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�EDITOR’S INTRODUCTION
The Wagner Forum for Undergraduate Research is an interdisciplinary journal which
provides an arena where students can publish their research. Papers are reviewed with
respect to their intellectual merit and scope of contribution to a given field. To enhance
readability the journal is subdivided into three sections entitled The Natural Sciences and
Quantitative Analysis, The Social Sciences and Critical Essays. The first two of these
sections are limited to papers and abstracts dealing with scientific research, clinical
investigations and complex mathematical/statistical modeling. The third section is
reserved for speculative papers based on the scholarly review and critical examination of
previous works. As has become a tradition, the fall edition commences with a reprint of
the abstracts of papers and posters presented at the Eastern Colleges Science Conference.
Read on and enjoy!
Gregory J. Falabella, Ph.D.
Editor-in-Chief
Editorial Board
Dr. Donald E. Stearns, Biological Sciences
Dr. Amy Eshleman, Psychology
Dr. Lori Weintrob, History
Prof. Josephine Marcantonio, Nursing
�ii
�Section I: Eastern Colleges Science Conference1
Abstracts
3
Behavioral Response of the Zooplankter Daphnia magna to the
Chemical Presence of a Visual Predator (the Zebrafish Danio rerio)
Bridget Damon
3
Calcium-mediated Modulation of Fibroblast Growth Factor Homologous
Factor Induced Voltage-gated Sodium Channel Long-term Inactivation
Gabriella Goldschmidt
4
The Effects of Chronic Ethanol Exposure on Seizure Susceptibility in
Planaria
Hasan Ibrahim
5
Online vs In-Person Learning: Self-Efficacy, Self-Regulation, and
Motivation in College Students
Gia Pecorella
5
Light and Immunogold Transmission Electron Microscopy Analysis of
Mast Cells in Adult Zebrafish Optic Tectum Upon Traumatic Brain Injury
Robert J. Tipaldi
Section II: The Natural Sciences & Quantitative Analysis
Full Length Papers
9
Behavioral Response of the Zooplankter Daphnia magna to the Chemical
Presence of a Visual Predator (the Zebrafish Danio rerio)
Bridget Yvette Damon
35 The Effect of Rising Interest Rates During High Inflation on the Lower
Socioeconomic Class
Hannah Muro
53 Influence of Empathetic Management on Unionization in the Workplace
Joy Mei Muller
1
Papers and posters presented at the 77th Annual Eastern Colleges Science Conference held in Fairfield,
CT on April 1, 2023.
iii
�Section III: Critical Essays
Full Length Papers
87 Free Will: Philosophical Debate, Neuroscientific Perspective, Practical
Implications
Elisa Parazzi
97 “We have Indigenous Solutions”: Leadership Lessons of Indigenous
Trailblazers
Kendall Tabobandung
iv
�Section I: Eastern Colleges
Science Conference
1
�2
�Behavioral Response of the Zooplankter Daphnia magna to the
Chemical Presence of a Visual Predator (the Zebrafish Danio rerio)1
Bridget Damon (Biopsychology and Environmental Studies) and Donald Stearns (Wagner
College faculty mentor)
Diel vertical migration (DVM) is a behavioral mechanism used by fish-food organisms to
avoid visual detection by predatory fish by remaining in deeper water during daylight
hours, then rising to feed on phytoplankton at night, when visual detection is minimized.
Diel et al. (2020) showed that the freshwater crustacean Daphnia magna displays DVM
in lakes and ponds when fish predators are present but not when visual predators are
removed, indicating predator detection and behavioral response in real time. To test for
chemical detection of fish and behavioral response, 46 D. magna were pipetted
individually into the middle sections of 50-ml test tubes containing store-bought spring
water. In contrast, 44 were similarly tested using aquarium water from a holding tank
containing several freshwater zebrafish. The tubes were positioned under fluorescent
lights (≈ 0.55 μEm-2s-1) and vertically divided into four equally-sized sections. Every
three minutes for 15 minutes, the vertical location of each zooplankter was recorded. Chisquare analysis showed Daphnia vertical distribution to be highly significantly (p <
0.005) skewed towards the bottom in the presence of fish chemicals compared with those
tested in their absence. Results indicate that D. magna can chemodetect fish presence and
behaviorally respond quickly.
Calcium-mediated Modulation of Fibroblast Growth
Factor Homologous Factor Induced Voltage-gated
Sodium Channel Long-term Inactivation2
Gabriella Goldschmidt (Biology), Christopher Marra, Ph.D. (Wagner College faculty mentor),
Nomon Mohammad, M.S. (Hunter College), and Mitchell Goldfarb, Ph.D. (Hunter College)
Fibroblast growth factor homologous factors (FHFs) are accessory proteins expressed
throughout the central nervous system (CNS). FHFs bind directly to the c-terminal
domain of voltage-gated sodium channels (Nav) and modulate gating properties. There
are four FHFs and each has an a-type isoform (AFHFs). AFHFs can induce what is called
long-term inactivation (LTI). In hippocampal pyramidal CA1 neurons (HipN), LTI alters
the cell's firing pattern described as spike frequency accommodation/adaptation (SFA).
1
Received an excellence award for best poster presentation in behavior.
Received an excellence award for nest platform presentation in biochemistry and
molecular biology.
2
3
�SFA is presumed to play a role in learning and memory, but there are other LTI
influencers outside of AFHF-induced LTI and the degree of SFA in cells varies. AFHFs
have a calmodulin binding site. We seek to determine if this site serves in calciumdependent modulation of AFHF induced LTI, suggesting that calcium levels modulate
firing properties. We aim to determine if LTI is altered in CA1 HipN via whole-cell
patch clamp via extracellular chelation of calcium. Overall, calcium chelation by
extracellular addition of EGTA significantly increased observable LTI in CA1HipN,
exhibiting a potential modulatory mechanism of LTI and SFA. The blockade of calcium
channels via cadmium showed significant modulation of LTI. Therefore, calciummediated modulation of LTI could be a product of calcium influx through partially
calcium permeable Nav.
The Effects of Chronic Ethanol Exposure
on Seizure Susceptibility in Planaria3
Hasan Ibrahim (Biopsychology) and Sara Guariglia, Ph.D. (Wagner College faculty mentor)
Alcohol use disorder is a widespread and significant public health problem associated
with various physical and mental health complications. In particular, chronic alcohol
exposure has been linked to an increased risk for seizures. Exposure to ethanol (EtOH) in
animal models has been widely used as a model for studying the effects of alcoholism in
humans. Chronic EtOH exposure has been shown to produce several changes in the brain
and behavior of animals. For example, chronic EtOH exposure has been shown to alter
the function of various neurotransmitter systems, including the glutamatergic,
GABAergic, dopaminergic, and serotonergic systems. For these studies, we selected to
determine if chronic alcohol exposure would induce enhanced seizure susceptibility
using bicuculine, an inhibitor of the GABAa receptor. Inhibition of GABAa results in a
shift in excitatory/inhibitory balance; the brain is less inhibited and more excited since
activation of the GABAa receptor initiates inhibitor activity. To test for seizure
susceptibility, we were chronically exposed to 0.1% EtOH for seven days and then
tracked their movements when exposed to a range of bicuculine concentrations to
determine if and when the animal developed epileptic-like activity. We found that
chronic EtOH exposure did not cause any increased susceptibility to seizure-like
movements in the planarians, which suggests that the chronic alcoholism mechanism of
susceptibility to seizures is likely driven by other means, such as glutamatergic
neurotransmission.
3
Received an excellence award for best platform presentation in behavioral neuroscience.
4
�Online vs In-Person Learning: Self-Efficacy,
Self-Regulation, and Motivation in College Students
Gia Pecorella (Biopsychology) and Jessica W. England, Ph.D. (Wagner College faculty
mentor)
As a result of the COVID-19 pandemic, college students experienced significant
academic and psychological challenges as they struggled with the stressors of the
pandemic while shifting to all online courses. Students reported difficulty staying
academically motivated, decreased self-regulation, concerns about their academic
performance, and increased struggles with mental health (Kecojevic et al., 2020; Son et
al., 2020; Usher et al., 2021). As the world continues to shift out of the pandemic, it is
important to investigate the potential ripple effects on the success and well-being of
college students and explore their current experiences with different learning formats,
especially students most impacted by the pandemic. The current study explores potential
differences between college student experiences in online versus in-person learning
environments. More specifically, researchers will examine how self-efficacy, career
adaptability, and self-regulation impact student motivation across learning environments
in order to investigate students’ current academic functioning following the pandemic.
Researchers surveyed both first-generation and continuing-generation students to
investigate potential differences. College initiatives aimed at the recruitment and
retention of college students are vital to the success of students who may be continuing to
struggle academically following the pandemic. Additional qualitative responses will be
analyzed, and implications for best educational practices will be discussed.
Light and Immunogold Transmission Electron
Microscopy Analysis of Mast Cells in Adult
Zebrafish Optic Tectum Upon Traumatic Brain Injury
Robert J. Tipaldi (Chemistry), Christopher P. Corbo, Ph.D. (Wagner College faculty
mentor) and Susan Briffa-Mirabella, Ph.D. (Wagner College faculty mentor)
Previous light and scanning electron microscopy analyses of injured adult zebrafish optic
tectum revealed a high abundance of cells with mast cell-like morphology in proximity to
highly organized regenerative structures. Here, we employ immunogold transmission
electron microscopy of tectal explants labeled with the mast cell-specific marker
carboxypeptidase A5 to attempt to confirm these cells as mast cells. To assess the
reliability and specificity of the selected mast cell marker, both light and transmission
5
�electron microscopy analyses were performed on the adult zebrafish liver, where the
presence of mast cells have been previously established.
6
�Section II: The Natural Sciences
& Quantitative Analysis
7
�8
�Behavioral Response of the Zooplankter Daphnia
magna to the Chemical Presence of a Visual
Predator (the Zebrafish Danio rerio)
Bridget Yvette Damon (Biopsychology and Environmental Studies)1
Diel vertical migration (DVM) is a behavioral mechanism used by fish-food organisms to
avoid visual detection by predatory fish by remaining in deeper water during daylight hours,
then rising to feed on phytoplankton at night, when visual detection is minimized.
Freshwater crustacean Daphnia magna displays DVM in lakes and ponds when fish
predators are present but not when visual predators are removed, indicating predator
detection and quick behavioral response. To test for chemical detection of fish and
behavioral response, D. magna were pipetted individually into the middle sections of 50-ml
test tubes containing store-bought spring water or aquarium water from a holding tank
containing several freshwater zebrafish. The tubes were positioned under fluorescent lights
(≈ 0.55 μEm-2s-1) or in a dark room and vertically divided into four equally-sized sections.
Every three minutes for 15 minutes, the vertical location of each zooplankter was recorded.
Chi-square analysis of the light treatment showed Daphnia vertical distribution to be highly
significantly (p<0.005) skewed towards the bottom in the presence of fish chemicals
compared with those tested in their absence. The results of the dark treatment displayed the
potential influence of light, whether the daphnids were exposed to the fish cue or not. Results
indicate that D. magna can chemodetect the presence of a visual predator and behaviorally
respond quickly, and are potentially influenced by the presence of light.
I. Introduction
Predator-prey relationships
To increase one’s fitness and thus survival, prey must adapt. The interaction
between predator and prey largely shapes the ecology and trophic balance of nearly every
ecosystem, including aquatic (Werner and Peacor, 2003; Hahn et al., 2019). The primary
mechanism for increased prey survival is phenotypic plasticity affecting species
interactions (Ebert, 2022; Werner and Peacor, 2003). This plasticity has been seen in
various animal and plant taxa, combined with life history, morphology, and physiology,
1
Written under the direction of Dr. Donald Stearns in partial fulfillment of the Senior Program
requirements.
9
�that improve their anti-predator mechanisms (risk effect) (Moll et al., 2017; Werner and
Peacor, 2003). Life history is reducing the impact of predation by prey adaptations that
interfere with the feeding strategy of predators or offset population losses (Diel et al.,
2020). Morphology is physical changes to the prey that interfere with the catching or
feeding behavior of the predator (Diel et al., 2020). Physiological changes are body
changes that assist in prey fight or flight response, like increased heart rate. The other way
predators influence their prey is through direct killing (lethal effect). However, recent
research has shown that risk effects, compared to lethal effects, may significantly
influence prey distribution, behavior, and demography (Moll et al., 2017; Werner and
Peacor, 2003).
One fundamental way prey species display plastic traits is through predator
detection systems. Standard detection methods include vision, physical contact, and
chemical cues. Systems that rely on aqueous chemical cues are particularly advantageous
due to their broad temporal and spatial scales, given the water solubility of many detection
cues prey rely on (Kalff, 2002). Additionally, chemical cues benefit prey that lacks high
escape velocity, direct defense abilities, or does not live in low-light environments (Kalff,
2002). These chemical cues have begun to be identified to more adequately understand
predator-prey interactions (Hahn et al., 2019; Pijanowska et al., 2020).
Daphnia magna to study anti-predator behavior
The genus Daphnia is taxonomically classified as follows: domain Eukarya,
kingdom Animalia, phylum Arthropoda, subphylum Crustacea, class Branchipoda,
superorder Cladocera, order Anomopoda, family Daphniidae, genus Daphnia (Ebert,
2022). There are over 100 described Daphnia species over a vast geographical area. These
species typically share similar body structures with a large head, one compound eye, and a
chitinous bivalve carapace or shell (Ebert, 2022). Specifically, their compound eye has a
multichromatic photoreceptor system that includes UV sensitivity (Smith and Macagno,
1990). It has also been found that Daphnia use this system to initiate negative phototaxis
as a response to higher amounts of UV radiation (Storz and Paul, 1998). Additionally,
most species share a transparent body to limit detection from visual predators like
planktivorous fish (Ebert, 2022). However, their transparency can be a hindrance as the
green pigment of the phytoplankton they consume can be seen in their gut. Commonly
Daphnia are known as “water fleas” due to the hop-like motion their two large antennae
(Figure 1) create when moving upwards through an aquatic environment (Kalff, 2002).
10
�Figure 1: Diagrammatic representation of the typical body structure of the
cladoceran Daphnia. Daphnia species possess a hard chitinous transparent carapace and
are commonly called “water fleas” due to their two large antennae. (Image taken by Dr.
Robert Berdan).
In the wild, cladocerans are the main filter feeder in lakes and ponds, feeding on
phytoplankton and protists. They significantly influence community production structure
in their ecosystems, making them keystone species (Ebert, 2022; Kalff, 2002; Schmitt,
1965). Additionally, their large populations serve as the primary food supply for many
planktivorous fish. The superorder Cladocera encompasses chiefly freshwater Daphnia
species, with Daphnia magna and Daphnia pulex being the most well-known and used for
scientific research (Kalff, 2002; Ebert, 2022). Specifically, Daphnia magna is the larger
Daphnia species, measuring between 2-to-5 mm, and can be seen with the naked eye,
increasing their research value. Additionally, most species can live to 100 days in
predator-free environments while still being able to reproduce quickly.
Daphnia’s research value is further increased due to their ability to reproduce
asexually and sexually (Figure 2) (Ebert, 2022; Kalff, 2002; Schmitt, 1965). They
typically reproduce asexually through amictic parthenogenesis or diploid eggs that do not
require fertilization. These eggs hatch from adult females’ brood chambers into miniature
female adults that mature in three to six weeks (Kalff, 2002). This asexual reproduction
means all offspring are clones of the mother, adding to Daphnia's genetic research value.
11
�Under favorable conditions, this asexual reproduction can continue for several years, with
the new generation of eggs producing the next in only a few weeks (Ebert, 2022; Kalff,
2002). This quick asexual reproduction is advantageous for scientific research and helps
explain Daphnia's common usage as a model organism.
Figure 2: Diagrammatic representation of the life cycle of Daphnia. Individuals can
alternate between parthenogenetic and sexual reproduction. (Figure taken from Wikipedia,
drawing by Dita Vizoso).
Sexual reproduction is usually only performed in unfavorable conditions, such as
many predators or deteriorating environmental conditions. Interestingly when unfavorable
conditions present themselves, many cladoceran species can begin to produce more males
to assist with fertilization (Kalff, 2002). Adult females can switch between the two
reproductive processes (Figure 2). When females switch to sexual reproduction, they
produce haploid eggs that require fertilization from a male. Once fertilized, the females will
drop the eggs from their brood chamber in an egg case called the ephippium made from her
carapace and let them settle into the bottom sediment of the aquatic environment (Ebert,
2022; Kalff, 2002). The eggs undergo diapause or resting until favorable conditions return,
where they hatch into females. This is why there is often a dramatic increase in population
in the spring or when rain fills bodies of water. Interestingly, some species of Daphnia can
12
�undergo the resting state entirely asexually (Ebert, 2022). However, it is essential to note
that the life cycle described could differ in any ecological aspect considering the wide
variety and several species in the Daphnia genus (Ebert, 2022).
Daphnia use in research is expanding as more advanced technologies and ideas
evolve. In the early beginnings, over 100 years ago, their diel vertical migration (DVM)
behavior concerning predator avoidance was of high interest especially related to
phenotypic plasticity (Ebert, 2022; Moll et al., 2017; Werner and Peacor, 2003). Due to
their long history in ecological and related research fields, they are one the best-studied
organisms and remain a prime model for various topics. Recently, their use has expanded
to host-parasite interactions, genetics, community ecology, and, pressingly, climate change
ecology (Ebert, 2022). Climate change is heavily disrupting the ecology of nearly all
ecosystems. Daphnia are keystone species, filter feeders, and the main food source for
higher trophic levels. Therefore, exposure to toxins, like microplastics and other
environmental contaminants, or increasing water temperatures have made them useful
models to see how freshwater food webs will be affected by climate change (Ebert, 2022).
Diel vertical migration (DVM)- a model of anti-predator behavior
DVM of zooplankton is one of the largest migration movements regarding
biomass that happens selectively in aquatic environments. It has been of interest for nearly
a century and continues to be an area of anti-predator research (Kalff, 2002). There have
been many hypotheses about what drives the behavior, but the most influential agreed
upon are predator avoidance of planktivorous fish and exposure to ultraviolet (UV) and
visible light.
Lakes and ponds are divided into stratified sections: the epilimnion, metalimnion,
and hypolimnion. These sections play a significant role in DVM behavior. During the day,
the zooplankton stay low in the water column (hypolimnion), where it is dark and difficult
for predators to visually perceive them (Figure 3). At night, they will move upwards in the
water column (epilimnion) to more safely feed on food sources, like phytoplankton, and to
reduce the costs of staying in the colder, deeper layer as the nighttime temperature
decreases (Kalff, 2002). This migration benefits and increases the fitness of the
zooplankton and puts their predators at a foraging disadvantage. Due to this, the prey
significantly impacts many ecosystem processes, like trophic distribution of the food web
(Ebert, 2022; Kalff, 2002).
In freshwater environments, like lakes and ponds, DVM is similarly influenced
by light intensity and predator-released chemical cues or info chemicals (Kalff, 2002).
Info chemicals that specifically influence migration are known as kairomones. They are
13
�Figure 3: Visual representation of fish-induced diel vertical migration. DVM is a prey
behavioral defense in Daphnia to counter planktivorous fish predation. Without fish
predation, Daphnia remain in warmer surface waters where their main food sources are (A).
Under predation, Daphnia migrate to greater depths during the day, minimizing visual
predation. At night, they migrate to surface waters for feeding (B). (Image from Weiss, 2019).
characterized as providing advantageous information to the prey or receiving organism
while disadvantageous to the predator or the producer of the chemical cue (Kalff, 2002).
Alarm substances that provide cues about injured or attacked prey organisms of the same
species may also affect the migration of Daphnia, yet this is not the focus of the current
study.
Based on previous research, a reduction in mortality from predation is the main
reason for DVM (Kalff, 2002; Ebert, 2022). DVM is related to predator abundance; if
more planktivorous fish are present, it is beneficial for the zooplankton to migrate deeper
into the water strata. Hence, phenotypic plasticity is involved, as prior literature has found
that DVM behavior increases in environments with long-established fish populations
(Gilwicz, 1986). Additionally, the clarity of the water and, thus, increased visibility of
Daphnia also affect how directionally strong the DVM behavior is (Dodson, 1990).
However, they need a reliable cue or a kairomone to conserve energy and accurately know
when a predator is or is not present. Kairomones are quickly released by fish regardless of
nutritional state and are readily degraded by bacteria in the surrounding water, hence why
it is an accurate indicator for prey (Kalff, 2002).
Isolating the specific kairomones that predatory fish release has been a main
focus of research to quantitatively measure kairomone concentration to better manipulate
and understand DVM behavior. Due to the use of the zooplankton Daphnia magna in the
current study, the isolated kairomone Daphnia utilized for DVM will be focused on. Hahn
et al. (2019) used a bioassay-guided approach where fish incubation water from cyprinids
14
�was extracted in a lipophilic solid phase separated by high–performance liquid
chromatography. Its fractions were individually examined to see which fractions induced
DVM. Kairomones are anions; thus, they isolated the kairomone with this as the
framework and further testing. It was identified as a known fish bile salt alpha-cyprionol
sulfate (CPS). It was the only compound in sufficiently high enough concentration in the
fish incubation water to be considered biologically active or inducing a physiological
change. When tested, it triggered DVM in the Daphnia.
Alpha-CPS is a bile salt, or in vertebrates, a metabolite of cholesterol that
emulsifies dietary fats and facilitates intestinal absorption (Hagey et al., 2010; Hoffmann
et al., 2010). Fish excrete these bile salts through the urinary tract, intestines, and gills, and
they are relatively stable compounds considering their ability to pass through the digestive
tract (Hagey et al., 2010; Hoffmann et al., 2010). Additionally, they are often conjugated
with taurine if a bile acid or sulfate if a bile alcohol, making them highly water soluble.
Furthermore, a comprehensive comparative study by Pijanowska et al. (2020) supported
that fish bile or selected bile acids/salts could be responsible for providing biological
activity to kairomones that Daphnia would be able to identify. Alpha-CPS was one of the
bile salts they examined, and it adequately resulted in Daphnia remaining significantly
deeper in the water column than the control during the daytime. The evolutionary process
of Daphnia sensitizing to this compound as an info chemical or kairomone makes
evolutionary sense. They possess a well-developed set of gustatory receptors to help detect
these compounds (Ebert, 2022). Hahn et al. (2019) display that bile salt was still released
by starved fish and did not require them to be successful in foraging for prey before they
induced DVM. Bile salts are a key process in the metabolism of fish, and why they have
been unable to stop releasing this kairomone despite its evolutionary disadvantage to their
fitness (Hahn et al., 2019).
Not all orders of fish share this bile salt. However, it seems the production of bile
salt alpha-CPS is the ancestral pattern from which more recent bile salt patterns have
deviated through enzymatic modifications (Hagey et al., 2010; Hoffmann et al., 2010).
Findings suggest Daphnia evolved a stable acute sensitivity to the ancestral fish bile salt to
adequately identify fish from differing orders that have developed variations of the alphaCPS bile salt (Hagey et al., 2010). This acute sensitivity would lower the metabolic costs
of Daphnia as having a reliable cue would reduce unnecessary and costly adenosine
triphosphate (ATP) use. Nevertheless, research still does not have enough evidence to
understand how Daphnia developed this plasticity and the molecular pathways they utilize
to detect the kairomone (Weiss, 2019).
Despite the clear influential role of kairomones in DVM, light exposure also
plays a significant role, with some literature even arguing a greater one. A study by Effertz
15
�and Elert (2014) suggested that light exposure was the modulating factor that induced
DVM, while kairomones determined the depth the Daphnia would reach. Furthermore,
other studies have shown that moonlight can be enough light intensity to alter DVM
behavior. Dodson (1990) found that full moonlight seemed to reduce the ascent of
Daphnia by 2 m. Overall, the cyclical nature of daytime versus nighttime is critical for
Daphnia’s reproduction. They prefer 12 hours of daylight and 12 hours of nighttime
(Ebert, 2022). Thus, light exposure seems to play a significant role in many biological
processes, including DVM.
Attempted experimental methods
The current study was the first performed by an undergraduate student at Wagner
College. Thus much of the research involved creatively designing and testing various
methods to determine the most suitable for studying DVM behavior in Daphnia magna
related to kairomones and light exposure. Hahn et al. (2019) stated that the specific
kairomone is not commercially available or easily accessible; thus, creative solutions had
to be found.
Dr. Juice® super concentrate scents
First was Dr. Juice® super concentrate scents in bass scent. It is a fish attractant
for fishers to attract larger fish. The ingredients were vague but stated it included watersoluble ingredients like fear pheromones from injured baitfish to attract predator fish, sex
pheromones to trigger aggressive behavior, schooling pheromones from baitfish, and
special amino acids and fish extracts to stimulate a strike (Dr. Juice® USA, 2023).
However, Dr. Juice® presented several problems. It was oily, possessed a deep yellow
color, had an extreme odor, and was difficult to work with overall. There was concern
about its volatility entering the air and affecting the Daphnia culture enclosure as testing
and housing of the specimen occurred in the same room. Furthermore, it did not seem to
work when used directly on the water surface of a test tube or when diluted with water
before application. Additionally, it was unknown if it possessed a kairomone that the
Daphnia would respond to and introduced too many other variables to continue its usage.
Zebrafish (Dario rerio)
Zebrafish (Dario rerio) holding tank water was collected instead in the hope of
receiving the specific kairomone diluted in the tank water (Figure 4). Fish tank water
seemed reliable, as prior literature used similar methods (Loose and Dawidowicz, 1994).
Furthermore, Hahn et al. (2019) tested a fish species in the same family (Cyprinidae),
supporting the possibility that zebrafish would adequately release alpha-CPS bile salt or
16
�another kairomone in high enough concentrations into the holding tank water to use for
experimentation.
Figure 4: Image of zebrafish (Dario rerio). Example of male and female zebrafish that
tank water was collected from for experimentation. (Image taken from Teame et al., 2019).
Zebrafish originate from the freshwater source of the Ganges River in India
(Teame et al., 2019). Their diet in the wild includes zooplankton, like Daphnia. They, too,
are an increasingly popular model organism related to various fields, but most importantly
in development, genetics, immunity, behavior, nutrition, and physiology (Teame et al.,
2019). For the purpose of the study, they were easily accessible freshwater, visually
predatory fish that were being housed in another lab at Wagner College.
Light exposure
Additionally, issues related to the amount of light exposure involved several
revisions. Initially, a turned-on overhead fluorescent glow light used for plant growth
approximately 1 m from the top of the test tubes was used as the light condition. Whereas
turned off with the normal overhead lights in the laboratory room were used as low light.
The grow lights and overhead ceiling lights emitted primarily light within the visible
spectrum. However, it was decided that the light exposure from the turned-on grow lights
introduced too much reflection in the test tubes. The light was reflecting off the bottom
concave surface of the test tube, leading to a bright spot. Black velvet was laid underneath
to minimize the reflection but did not greatly reduce it. The reflection was potentially
leading the Daphnia to be unable to determine the direction of the light source, thus
interfering with their DVM behavior. The grow lights were turned off for future trials.
Furthermore, a dark room was added to test if light was needed for the daphnids to move
downward in response to the chemical cues during the daytime phase of the daphnids'
activity cycle.
17
�Timing
Timing issues were also present as the Daphnia had to be quickly observed using
scan sampling. Thus, the appropriate timing and number of subjects had to be found,
which led to the least error and allowed quick, efficient scanning. The final number of
subjects became 10-to-12 per trial, using 10-to-12 test tubes with only one experimental
daphnid in each test tube. Each trial lasted 15 minutes, with a recorded observation every 3
minutes.
II. Objectives
The main objective of this thesis research project was to determine the effects of
planktivorous fish kairomone and the presence of light on the DVM behavior of the
zooplankton Daphnia magna. The subjects were exposed to either bottled spring water or
to water collected from a holding tank containing several zebrafish (Danio rerio) for at
least one week, and each subject’s vertical distribution was observed over a period of 15
minutes. Additionally, lighting conditions were varied in combination with the control and
fish-treated water to see if a difference in behavior was apparent, considering the supposed
modulating influence light has on DVM behavior. It was hypothesized that there would be
observational and statistically significant changes in the vertical distribution of Daphnia
magna indicative of DVM behavior in the presence of fish chemicals such as kairomones,
compared with their vertical distribution in the absence of such chemicals. It was also
hypothesized that there would be observational and statistically significant changes in the
vertical distribution of Daphnia magna in the presence of light, compared with their
vertical distribution in the absence of light.
III. Materials and Methods
Maintenance and handling of Daphnia magna
The cultures of Daphnia magna used in this experiment were received from
Carolina Biological Supply Company© in North Carolina. The Daphnia cultures arrived in
30 mL glass culture bottles that housed approximately 30 adults. The cap was loosened for
gas exchange and set to equilibrate to room temperature (22ºC). Once equilibrated, the
culture was slowly poured into an approximate 5.68 L plastic tank filled ¾ of the way with
Poland Spring® bottled spring water. Spring water was used to reduce exposure to
potential contaminants from tap water sources. The tank was covered with a lid with air
holes to allow gas exchange. A second identical tank was used to rotate as new cultures
were needed. The tanks were kept in the same area of the laboratory on an elevated
counter. The lighting conditions remained the same throughout the experiment, with all
18
�overhead lights in the room on, minimal outside light, and two fluorescent plant growth
lights approximately 1 m away. When needed, the Daphnia cultures were fed a yeast
pellet from Carolina Biological Supply Company ©.
The cultures typically survived and could reproduce for several weeks before a
replacement culture was required. To maintain appropriate conditions, the tanks were
cleaned once a week. During cleaning, 1000 mL of the dirty water was removed using a
500 mL glass beaker. Equal amounts of clean Poland Spring® bottled spring water
replaced the removed water. A small mesh filter attached to a section of PVC pipe was
placed a few centimeters beneath the surface of the tank water, and the new water was
poured through to minimize air bubble formation. Carolina Biological Supply Company ©
warned that sudden air bubble formation could be lethal to the Daphnia if the air becomes
trapped under their carapaces.
Experimental design
To set up the experiment, two test tube racks that hold 8 test tubes, respectively,
across their length, were placed next to each other (Figure 5). 10-to-12 identical 50 mL
test tubes that were 2 cm in diameter were placed in the test tube racks in spaces that did
not have visually impairing pieces of plastic as part of the test tube rack design. They were
labeled 1-12 with a marker to assist in quick identification during trials. They were filled
with approximately 48 mL of Poland Spring® bottled spring water for the controls and
zebrafish tank water for the fish treatment trials. In the light condition, the test tubes were
placed on a shelf with black-felt lining its bottom surface to minimize reflection or light
coming from underneath. The test tubes were graduated into four sections of
approximately 5 cm depth. A string was tied to the two poles on either side of the shelf,
separating the top two sections.
Next, approximately 10-to-12 adult Daphnia were collected from the Daphnia
supply reservoir using a pipette. Adults were chosen, as previous studies have shown that
younger and smaller daphnids may be less vulnerable to fish predation and will remain
higher in the water column during the day (Hannson & Highlander, 2009). The pipette was
cut to have a larger opening for the Daphnia to reduce harm as they were suctioned. They
were placed in a 250 mL beaker with a small amount of spring water for transfer. At the
start of each trial, the daphnid was placed in the center depth of the test tube and allowed
to acclimate for approximately two minutes before experimentation. Each trial ran for 15
minutes, with the vertical distribution of each animal (using the four sections) recorded
every three minutes.
19
�Figure 5: Experimental setup of test tubes. The arrangement of test tubes in the rack
maximized the Daphnia visibility. Additionally, it displays the four 5 cm sections for
recording vertical distribution.
Four treatments were performed during the study (Table 1). First was light
control which used the normal lighting of the laboratory with Poland Spring® bottled
spring water. The approximate light intensities (μEm -2s-1) based on the light sensor's
orientation and the test tubes' location were 0.55 straight up, 0.13 straight down, 0.20
towards the back wall, and 0.10 towards the remainder of the room. The second was the
light fish treatment which used the same lighting conditions with fish tank water. Third
was the dark control which used spring water in the dark room. The fourth was dark fish
treatment, the fish tank water in a dark room. It is important to note that the same set of
animals would often be used for the respective dark and light treatments with the same
type of water to save on the high usage of the animals.
Table 1: Treatment groups used for experimentation
Groups:
Treatments:
1
Light and spring water (control)
2
Light and fish water
3
Dark and spring water (control)
4
Dark and fish water
20
�The subjects were moved from the laboratory room in their test tubes to the dark
room for the dark trials. They were placed on a flat surface, and all possible light was
blocked out. The subjects were allowed to dark adapt for approximately five minutes
before experimentation began. A LED flashlight with the lowest brightness was used to
determine the depth in the dark. The light was filtered through a dark red filter that
suppressed wavelengths less than 690 nm. Daphnia are minimally sensitive to visible red
light (Stearns, 1975). A timekeeper sat on the other side of the blackout curtain to
minimize light exposure to the subjects. They communicated to the recorder when each 3minute mark was approaching during the 15-minute trial.
Dario rerio tank water collection
The fish tank water was collected from an onsite laboratory that housed zebrafish
(Dario rerio) for research (Figure 6). Fish water was collected from the zebrafish holding
tank, which held approximately 37.85 L of water. The tank held approximately 20
zebrafish. Surface tank water was collected using a one-gallon (3.79 L) Poland Spring®
plastic bottle. An approximately equal amount of bottled spring water was added to the
fish tank to keep the total volume the same. Fresh tank water was collected each time
when needed for experimental trials. Once the Daphnia had been exposed to fish water,
they would be discarded due to contamination. They were poured directly into a sink in
the laboratory. Furthermore, test tubes exposed to fish chemicals were not utilized again
for future trials to avoid the possibility of residual kairomones potentially affecting
Daphnia behavior in later trials.
Figure 6: Zebrafish holding tank. The image depicts the individual zebrafish and the
environment in which their water was collected for the experiment. The tank was housed
in another laboratory on the Wagner College campus.
21
�Statistical analysis
The total number of individual responses for the exposure to fish chemicals in the
light treatment was summed to determine the number of daphnids found in each of the
four sections. A chi-square test for goodness of fit was used to compare the resulting
observed vertical frequency distribution in the presence of fish chemicals in the light
(treatment group) with the vertical distribution pattern that would have been expected in
the absence of fish chemicals (the control group). To find the expected frequency
distribution had these daphnids not been exposed to fish chemicals, the proportion of
tested daphnids found in each of the four sections without exposure to fish chemicals was
found and multiplied by the total number of experimental daphnids exposed to fish
chemicals. Vertical distribution patterns under dark conditions using a much smaller total
sample size (n=22) did not meet conditions for a chi-square test for goodness of fit.
IV. Results
Light (fish treatment vs spring water)
A chi-square analysis of the daphnids exposed to the zebrafish tank water for 15
minutes under the experimental lighting conditions displayed a significantly (p < 0.005)
higher than expected frequency of individuals in the lower two sections (3rd and bottom)
of the test tube compared with the expected frequency distribution had the same number of
daphnids been tested without exposure to fish chemicals under the same lighting
conditions (Table 2, Figure 7).
Table 2: Chi-square testing comparing the observed vertical distribution of Daphnia
magna in the presence of fish chemicals with the expected distribution in the absence
of chemicals after 15 minutes of testing under light conditions. Expected frequencies
were based on proportions calculated from observed frequencies of the vertical
distribution of Daphnia magna in the absence of fish chemicals.
Category (Depth
in Water Column)
Observed Frequencies
With Fish Chemicals
Expected Frequencies
Without the Effect of
Fish Chemicals
ChiSquare
Values
Top (0-5 cm deep)
5
16.261
7.798
2 (5-10 cm deep)
3
7.652
2.828
3 (10-15 cm deep)
6
6.696
0.072
22
�Category (Depth
in Water Column)
Observed Frequencies
With Fish Chemicals
Expected Frequencies
Without the Effect of
Fish Chemicals
ChiSquare
Values
Bottom (15-20 cm)
30
13.031
22.097
Totals:
44
≈ 44
32.795*
(p < 0.005)
Figure 7: Visual representation of Table 2 data. The colors denote the total number of
individuals found in each test tube section after 15 minutes for the light treatment. In the
presence of fish chemicals, a majority of daphnids were found in the bottom section (A). In
the absence of fish chemicals, they were more evenly disturbed through the test tube (B).
All three-minute time intervals from 3 minutes to 15 minutes displayed
significant p-values less than 0.005 (Table 3). After only 3 minutes, the vertical
distribution of the daphnids had already significantly (p < 0.005) shifted downwards in the
presence of fish chemicals. Furthermore, the 3-minute time interval had the second highest
calculated chi-square value of 34.940, displaying that fish water effectively induced DVM
behavior within 3 minutes of exposure. Between 9 and 12 minutes, there was a drop in the
calculated chi-square value to 17.427 and 14.300, respectively. This increased back to
32.795 for the 15-minute calculation (Table 3). For the full data set of the vertical
distribution for light treatment, refer to Table 4.
23
�Table 3: Calculated chi-square values comparing observed distribution in fish water
with distribution expected if no fish chemicals in light
Time Frame
Calculated Chi-Square Values
After 3 minutes
34.940*
After 6 minutes
39.357*
After 9 minutes
17.427*
After 12 minutes
14.300*
After 15 minutes
32.795*
Table 4: Comparison of the vertical distribution of daphnids exposed to fish
chemicals (WF) and their distribution without fish (WoF) in the light every 3 minutes
during the 15 minute trials using only one daphnid per test tube
Category
(Depth in
Water
Column)
3 min
(WF)
3 min
(WoF)
6 min
(WF)
6 min
(WoF
)
9 min
(WF)
9 min
(WoF)
12 min
(WF)
12 min
(WoF)
15 min
(WF)
15 min
(WoF)
Top (0-5 cm
deep)
1
17
2
15
8
18
6
15
5
17
2 (5-10 cm
deep)
6
9
4
7
1
5
2
6
3
8
3 (10-15 cm
deep)
8
6
9
4
5
5
8
7
6
7
Bottom (1520 cm)
29
14
29
20
30
18
28
18
30
14
Dark (fish treatment vs spring water)
A complete chi-square analysis for the daphnids exposed to the zebrafish tank
water under the experimental dark room conditions for 15 minutes compared to the
controls exposed to spring water under the same lighting conditions was unable to be
calculated. According to Baldi and Moore (2012), no more than 20 percent of the expected
24
�counts in an expected frequency distribution should be less than 5. All individual expected
frequency distribution counts should be 1 or greater. One or both of these conditions were
not met for the experimental comparisons made in the dark room without light for any
time trials. Table 5, showed that the observed distributions after 3, 6, and 9 minutes
included sections with no daphnids; expected distributions after 12 and 15 minutes
violated the 20 percent condition. This led to the inability to calculate the total chi-square
value for each 3-minute time distribution.
Table 5: Comparison of the vertical distribution of daphnids exposed to fish
chemicals (WF) and their distribution without fish (WoF) in the dark every 3
minutes during the 15 minute trials using only one daphnid per test tube
Category
(Depth in
Water
Column)
3 min
(WF)
3 min
(WoF)
6 min
(WF)
6 min
(WoF)
9 min
(WF)
9 min
(WoF)
12 min
(WF)
12 min
(WoF)
15 min
(WF)
15 min
(WoF)
Top (0-5
cm deep)
0
0
1
0
1
3
2
2
4
2
2 (5-10 cm
deep)
0
1
3
4
1
0
4
2
0
1
3 (10-15
cm deep)
5
2
4
3
4
3
6
3
5
3
Bottom
(15-20 cm)
17
19
14
15
16
16
9
15
13
16
Although chi-square testing could not be performed for the experimentation done
in darkness, Table 6 and Figure 8 provide a visual comparison of the observed vertical
distributions of the daphnids exposed to fish chemicals and daphnids not exposed to fish
chemicals. In both cases, the vertical distribution patterns appear similar, with most
daphnids moving downward in the dark room during external daylight conditions.
Additional trials were not conducted because it was concluded that more trials would not
have changed the observed pattern of behavior in the darkness. All 3-minute time intervals
had at least 60% of 22 individuals in the bottom section for the control and experimental
conditions.
25
�Table 6: Comparison of the observed vertical distributions of the daphnids exposed
to fish chemicals and daphnids not exposed to fish chemicals after 15 minutes under
dark conditions
Category (Depth in
Water Column)
Observed Frequencies
With Fish Chemicals
Observed Frequencies
Without Fish Chemicals
Top (0-5 cm deep)
4
2
2 (5-10 cm deep)
0
1
3 (10-15 cm deep)
5
3
Bottom (15-20 cm)
13
16
Totals:
22
22
Figure 8: Visual representation of Table 6 data. The colors denote the total number of
individuals found in each test tube section after 15 minutes for the dark treatment. In the
presence of fish chemicals, a majority of daphnids were found in the bottom section (A).
They were also found in the bottom section (B) in the absence of fish chemicals.
26
�V. Discussion
Light treatment
These experimental results suggest that Daphnia can detect the chemical
presence of visual predators such as zebrafish and behaviorally respond quickly. Using a
fish species in the same Cyprinidae family as zebrafish, Hahn et al. (2019) identified a
kairomone that induced DVM in Daphnia magna. The daphnids in the current research
using zebrafish tank water responded within 3 minutes (or less) by moving downward in
the test tube, indicating the chemical detection of the presence of a visual predator quickly.
The Daphnia, even after a short window of 3 minutes, could identify the kairomone in the
water and adequately respond by moving deeper in the test tube or the artificial water
column.
Often most individuals during experimentation would move immediately to the
bottom and stay there for most of the experiment, further supporting their ability to
identify a predator's chemical presence quickly. Within 3 minutes, they established a
bottom-skewed distribution which was maintained throughout the 15-minute interval.
Approximately 82% (36 of 44) of the treatment individuals were found in the bottom of
the test tube after 15 minutes. Whereas for the control, 14-20 individuals were consistently
found in the bottom section. This supported the hypothesis that there would be
observational and statistically significant changes in the vertical distribution of Daphnia
magna indicative of DVM behavior in the presence of fish chemicals such as kairomones,
compared with their vertical distribution in the absence of such chemicals.
Furthermore, the current experiment supported that DVM behavior is induced by
fish tank water from the visual planktivorous zebrafish predator even when the individual
Daphnia were never exposed to the actual predator. This finding supports previous studies
that found Daphnia display DVM behavior even when never exposed to a visual predator
(Ebert, 2022). As far as the researcher knows, the Daphnia utilized were cultured and
raised from the acquired facility without predators displaying the innate trait of identifying
predatory kairomones.
Dark treatment
The dark treatment did not share the same clear difference in behavior between
the control and treatment groups as the light condition. During daylight hours, the
experimental daphnids under experimental light conditions showed a vertical distribution
pattern that showed higher numbers near the top and bottom of the tube than the middle
two sections. By contrast, the experimental daphnids in darkness showed a generally
bottom-skewed distribution during daylight hours. However, the two groups had no
substantial difference across the 15-minute intervals. Approximately 82-86% of the
27
�daphnids remained in the bottom half of the test tube in both the dark control and
treatment group. Adding fish chemicals under these lab conditions did not seem to change
anything distribution-wise in the dark experiments since the cladocerans without exposure
to fish chemicals may not have known where “up” is and/or sink at a faster rate than they
swim without the light stimulus around to stimulate the hop response. Thus, the bottomskewed distribution occurs with or without fish chemicals in the dark. A majority of
daphnids remained at the bottom of the test tube for both conditions, providing potential
evidence for light intensity influencing DVM.
If more dark sampling had been performed, the larger sample sizes would likely
have shown similar patterns, thus further supporting that the presence or absence of light is
a factor in determining the vertical distribution pattern of daphnids in the wild, at least
when fish chemicals are not around. For experimental daphnids exposed to fish chemicals,
a comparison of vertical distribution patterns under light and dark conditions showed
81.8% of the daphnids in the bottom half of the water column after 15 minutes (Table 4;
Table 5). For those not exposed to fish chemicals, only 46.2 % were found in the bottom
half of the test tube in the light, compared to 86.3% in darkness (Table 4; Table 5). These
results indicate that experimental light conditions may have affected vertical distribution
patterns. These results support the conclusion that the downward shift in vertical
distribution of the experiment daphnids occurs in the presence of light. Field studies
support this finding that daytime deeper depths are maintained by daphnids when visual
predators are present (Diel et al., 2020).
This is in line with previous research that found Daphnia seem to cease DVM
behavior when all light is blocked out, even in the presence of fish chemicals (Loose,
1993). Specifically, Loose (1993) found that when exposed to complete darkness, the
daphnids ceased their DVM behavior immediately. However, bottom skewed distribution
in the dark during the day hours in the lab may be due to endogenous rhythms (Young and
Watt, 1993). Whether or not endogenous rhythms also play a role in DVM in daphnids is
still valid and worth considering. Other researchers have found evidence that some
daphnids do display rhythms in their phototactic reactions (Young and Watt, 1993).
Therefore, potentially there is variation in populations of Daphnia regarding what they
rely on for the induction of their DVM behavior (Loose, 1993).
Several issues with the dark treatment could have influenced the described
results. First was the smaller sample size of n=22 for both the control and experimental
groups. However, it is likely that the clear pattern of most individuals going to the bottom
would stay the same with a larger sample size. Second, the culture of Daphnia in the
holding tank did not experience true 12-hour days and 12-hour nights. The holding tank
was in the same room as testing occurred, where the overhead lights were never turned off.
28
�Considering the importance of having consistent exposure to day vs. night light
conditions, this could have affected their DVM behavior, especially when exposed to the
extremely dark conditions in a dark room designed to eliminate light leaks (Ebert, 2022).
Furthermore, typically in the wild, they never experience true darkness as the moon and
other ambient light enter the top section of the lake or pond, making the dark room
potentially even more jarring. Before testing began, they were given 5 minutes to adjust to
the dark room. They may have needed more time to dark adjust adequately.
Suggestions for future studies
This was the first study conducted at Wagner College with the model organism
Daphnia magna and DVM behavior. Therefore, many improvements and future interests
could be made and studied. Considering the induction of DVM behavior within the first 3
minutes for the light and fish treatment, focusing on those first 3 minutes could be
interesting. For instance, a camera could be used to record the actual depth change of the
individual Daphnia as they are exposed to the fish water. This could attempt to answer the
question of how quickly Daphnia recognize the presence of the fish cue in the water.
Additionally, a future study could utilize different dilutions of the fish water to see in what
approximate concentration from the fish tank water it takes for the Daphnia to recognize
the cue. Nevertheless, it could be difficult to isolate outside variables, as it is extremely
difficult to isolate the alpha-CPS bile salt, which is not yet available commercially for
dosage testing using measured concentrations (Hanes et al., 2019).
Another idea could be replicating aspects of Hannson and Hylander's (2009)
study. Their methods inspired much of the current research; however, adding fish
predators could benefit future studies. They utilized a fish predator in a net above a
cylinder with Daphnia present within. This allowed active, natural secretion from a
predatory fish of the bile salt that is thought to be the main kairomone that induces DVM.
This could allow for more of a natural behavioral response from the Daphnia.
Additionally, the study’s main finding was that DVM behavior and predator response
seem to be size-dependent (Hannson and Hylander, 2009). They found that the predatory
fish preferred to eat larger individual daphnids, thus allowing the smaller individuals to
stay closer to the surface in the presence of a predator during the day. This complete
disregard for typical DVM behavior makes sense evolutionarily for the smaller Daphnia.
Hannson and Hylander (2009) tested this size dependence by allowing two fish predators
to feed for 60 minutes on a sample of Daphnia pre-measured into size classes. Then the
surviving Daphnia were measured again, and the difference was compared. This could be
replicated in future studies at Wagner College. Furthermore, the study’s experimental
29
�setup of their cylinders and light filters could inspire a future study examining the effects
of light on DVM and the potential intersection of the two more closely.
Related to light exposure, a future study could examine when daphnids are able
to detect light and what specific level of light induces DVM. This would be particularly
interesting since the current study found that when daphnids were placed in the dark room
they maintained a lower depth, and seem to show no indication of DVM. In nature, they
rarely live in complete darkness, even at night. Furthermore, DVM is suggested to be a
phototactic behavior, as they respond to the amount of light coming into the water to
maintain their potential rhythm. Thus, it may be worth investigating this rhythm more
closely to obtain a more precise answer of what role light plays in DVM versus
kairomones. Also, research could be done comparing daphnids who had prior exposure to
the physical presence of a visual predator versus those who had not. Their individual
reaction times could be compared to see the influence of prior experience and how that
shapes the daphnids' behavioral response rate.
From a different perspective, the temperature is also suggested to play a role in
shaping DVM (Weiss, 2019; Ebert, 2022). This makes sense, because when the daphnids
approach the water's surface at night, they feed and escape the colder, deeper water. It
could be worth examining that role in future studies to see if there is a difference in
behavior. Additionally, climate change is altering ecosystems and making bodies of water
warmer. It would be intriguing to look at how DVM behavior is altered with bodies of
water increasing in temperature, as well as the resilience of Daphnia to increasing
temperatures considering their role as critical keystone species in their ecosystems (Ebert,
2022; Kalff, 2002; Schmitt, 1965). Not only are they an important food resource for
planktivorous predators, but they are also filter feeders. Thus, if they cannot adapt to
higher temperatures, bodies of water may suffer dirtier water.
A last suggestion for further research is potentially looking further into the
physiological mechanisms and molecular pathways Daphnia utilizes to detect kairomones.
This is becoming a growing focus of current research (Weiss, 2019). One way to examine
this is with gene expression. One could modify a select group of daphnids with knockout
genes that are hypothesized to be involved in the induction of DVM behavior. This could
help target which gene or genes are involved.
Summary and Conclusion
In conclusion, the current research tested explicitly for changes in the vertical
distribution of Daphnia magna indicative of DVM behavior in the presence of fish
chemicals such as kairomones, compared with their vertical distribution in the absence of
such chemicals in both the light and dark. This was done by exposing the daphnids to
30
�bottled spring water or zebrafish (Danio rerio) tank water. Additionally, lighting
conditions were varied in combination with the control and fish-treated water to see if a
difference in behavior was apparent, considering the supposed modulating influence light
has on DVM behavior. Then each subject’s vertical distribution was observed over a
period of 15 minutes.
Chi-square analysis showed Daphnia vertical distribution to be highly
significantly (p < 0.005) skewed towards the bottom in the presence of fish chemicals
compared with those tested in their absence when experiments took place under lighted
conditions. The daphnids in the current research using zebrafish tank water responded
within 3 minutes (or less) by moving downward in the test tube, indicating the chemical
detection of the presence of a visual predator quickly. The light experiments displayed that
Daphnia stayed lower in the water column during daylight hours than they would if they
detected the chemical presence of visual predators such as fish. When there were no fish
chemicals and was exposed to light, the Daphnia showed a different vertical distribution
pattern in the water column. They may use light and their compound eye as a directional
guide to orient up from down. Removing the light cues during daylight hours (the dark
experiments) affected the vertical distribution of the cladoceran, perhaps by removing a
directional cue that the daphnid could have used for orientation purposes and possibly
removing a light-stimulated timing cue to direct their movement. Thus, the bottom-skewed
distribution occurs with or without fish chemicals in the dark. Future research should
continue to explore the several hypothesized factors that influence DVM and how they
may interact to produce the final observed behavior.
VI. Acknowledgments
I would like to thank my research advisor, Dr. Donald Stearns, for introducing me
to this research topic regarding Daphnia magna and guiding me through their interesting
DVM behavior. His patience with me during this whole experience, including the barriers
in designing an original study conducted at Wagner College for the first time, was greatly
appreciated. Dr. Stearn’s careful administration and recommendations gave me an enjoyable
learning experience of collaboratively thinking of creative research methods. I thank him
and everyone who aided in this experience, including my committee member and professor
Dr. Horst Onken. I would also like to acknowledge the staff of the Wagner College
Department of Biological Sciences and the college for providing the material, funding, and
daphnids used in this study.
31
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34
�The Effect of Rising Interest Rates During
High Inflation on the Lower Socioeconomic Class
Hannah Muro (Business Administration)1
The current economy of the United States in the past 3 years has been in a volatile state with
inflation on the rise. Due to the rise in prices, the Federal Reserve has responded by raising
the federal funds interest rate to combat the high inflation. The rise in inflation and the federal
funds can influence the spending of everyone. Previously, the spike in interest rates has more
dominantly affected the spending of the lower socio-economic class whereas the upper socioeconomic class did not change spending habits as intensely. The current rise in interest rates
is less aggressive than in earlier years and effecting the different socioeconomic classes
differently than it formerly did.
I. Introduction
The inflation in the United States and how the Federal Reserve responds with the
federal funds interest rate are both very prevalent in the everyday life of an American.
This paper will analyze how the rise in the federal funds interest rate during high inflation
affects the different socioeconomic classes within the United States and, more specifically,
how it negatively impacts the lower socioeconomic class. Over the past 20 years, the
federal funds interest rate and inflation have fluctuated and affected how people spend
their money, which can be seen in the data presented.
To represent the disparity in spending of socioeconomic classes when interest
rates rise during high inflation, charts, and tables will be provided to give visual aid. The
charts and tables will also provide analytical data on the change in the consumer price
index, the federal funds interest rate, and the spending of the lower, middle, and upper
socioeconomic classes. The tables will focus on the data presented on the variables. The
charts will focus on the relationship between the variables. The variables will contribute to
analyzing how the rise in interest rates during high inflation affects the socioeconomic
classes. The rise and fall in spending by the different socioeconomic classes will portray if
the lower socioeconomic class is most negatively affected by the rise in interest rates
during high inflation. The spending that will be analyzed in the charts and graphs includes
1
Written under the direction of Dr. Shani Carter in partial fulfillment of the Senior Program
requirements.
35
�the largest segments of spending which includes food, housing, clothes, transportation, and
entertainment. These segments are the largest portion of all socioeconomic classes'
spending and portray an accurate comparison of each socioeconomic class.
All the variables will be assessed to determine if the lower socioeconomic class is
the most negatively affected by the rise in interest rates during high inflation. The results
of the analysis will show the disparity among the socioeconomic classes within the United
States. The gap in income and spending will be highlighted in years of financial hardship
for the country that includes high inflation, which in turn presents higher federal funds
interest rates. The federal funds interest rate most dominantly affects loans from banks as
the interest rises with the rates, making it more expensive to get loans. The spike in
interest rates will become less affordable to those who are lower income and will overall
affect their spending. As a graduate going into the banking sector, I find it important to
identify the disparities between people with different incomes and eventually be able to
provide solutions for people who are most negatively impacted by the economy in the
United States.
II. Literature Review
Modern Money Theory
Modern money theory focuses on how government expenditures and taxation
affect the economy (Hans, 2023). It implies that governments can and should manage their
economies through fiscal policy, such as taxation and expenditure (Hans, 2023). The
foundation of modern money theory is the idea that governments should be free to use
spending and taxation as a means of achieving their objectives (Hans, 2023). This
contrasts with conventional fiscal policy, which is predicated on the notion that
governments should only spend money and impose taxes when essential to achieve
budgetary balance (Hans, 2023). According to modern money theory, fiscal policy should
be used by governments to attain full employment and price stability (Hans, 2023). It also
contends that if they control the money supply and maintain a low inflation rate,
governments can print money to finance spending without producing inflation (Hans,
2023).
Factors of spending money
Many factors affect the decisions of how people spend their money. Emotions
can have a major effect on spending habits (Edwards, 2020). Stress in life is one of the
main emotions that trigger spending. People tend to associate relief and happiness with
new things, so to alleviate stress, people spend (Edwards, 2020). Tiredness and jealousy
also increase spending (Edwards, 2020). When a person is tired, they tend not to think
36
�about negative consequences, so when spending money, it does not process that it may be
a bad decision (Edwards, 2020). People also can be very jealous by nature, so to try and
compete with others, people spend more money (Edwards, 2020). People also tend to
spend more money when they have the extra money to spend. Conversely, people also
spend more money when they do not have spare money. All of these are factors that affect
the human mind when deciding to spend money.
Variable expenses
Variable expenses are payments that vary from month to month and are not
generally planned out but rather are impromptu expenses. (Lake, 2022). Variable expenses
can include things such as gas, groceries, dining out, clothing, healthcare, and
entertainment.
Fixed expenses
Fixed expenses are payments that are required each month and go along with
general life. Examples of fixed expenses would be things such as rent, a mortgage, car
payments, subscriptions, etc. (Lake, 2022). These expenses generally are the same amount
each month. Fixed expenses are typically things that are non-negotiable when it comes to
budgeting (Lake, 2022). For families and individuals, these are bills that are going to be
sustainable such as housing and cars.
Money Spent
American citizens choose to spend their money on various things depending on
their needs and financial standing (U.S. Bureau of Labor Statistics, 2023). People who
have higher incomes will spend more money on extracurricular activities, whereas people
with lower incomes will spend most of their money on necessities (U.S. Bureau of Labor
Statistics, 2023). The income of people also influences how much money they spend on
things such as houses, transportation, and clothing (U.S. Bureau of Labor Statistics, 2023).
Money spent on necessities
Money spent on necessities is similar to fixed expenses. The necessities of a
person are things such as food and housing. Necessities can vary from person to person
(Lake, 2022). Things such as cars can be a necessity for one person where it is not for
another. One person may also require medical assistance or healthcare that is a necessity
that another person may not require. These necessities are the most important when
spending money and are a must when budgeting.
37
�Budget for extracurricular activities
Depending on a household's income, most people will attempt to budget for
extracurricular activities. These expenses come after a person has met all of the payments
for their necessities. If a person spends on extracurricular activities without budgeting for
the necessities, they will be in trouble (Lake, 2022).
Socioeconomic status
The term "socioeconomic status" refers to a person's or a group's place on the
socioeconomic scale. This position is based on a variety of social and economic factors,
including income, the level and type of education, the type and prestige of occupation, the
location of residence, and, in some societies or segments of society, ethnic origin or
religious background (Socioeconomic status). In the United States, socioeconomic status
varies greatly and there is a large inequality within our country (Akhand & Liu, 2002).
There have been arguments about the inequality of the wealthy continuing to become
wealthier while those in poverty suffer and become poorer (2013). People have called for
legislation to be proposed on aspects such as taxes to lower the inequality among the
socioeconomic classes within our country (Akhand & Liu, 2002). Reducing inequality is
one of the 17 Sustainable Development Goals of the United Nations. The US should
consider this one of their goals in many aspects but especially in the disparity of wealth
among the socioeconomic classes.
Income
The difference in income in the United States is drastic when looking at income
in terms of socioeconomic class. The median income of the lower class is $25,624,
whereas the middle class is $78,442 and the upper class is $187,872 (Elkins, 2019).
Income affects the spending habits of people and other aspects of their life such as
housing, transportation, and extracurricular activities (U.S. Bureau of Labor Statistics,
2023). The income of a family or person is highly dependent on their occupation and other
forms of work (Elkins, 2019).
Housing
The income of families and individuals in the US has a large impact on the
housing that they can afford (Jayashankar, Murphy, 2023). Ultra-wealthy individuals can
afford multiple homes across the country, whereas low-income households are often in
need of assistance from the government to afford housing (Cororaton, 2022). There is
homelessness in the U.S., which can be observed in large cities such as Los Angeles and
38
�New York. Many of those individuals go without housing at all and live on the streets in
poverty (Jayashankar, Murphy, 2023).
Occupation
The occupation of a person contributes immensely to their socioeconomic status
due to the prestige and income their occupation provides (Fujishiro et al., 2010). People
with high school degrees or less are more likely to be working in blue-collar jobs that pay
less money status (Akhand & Liu, 2002). Those with college degrees are more likely to be
in occupations that make more money and are considered middle-class status (Akhand &
Liu, 2002). Further education such as master's, medical degrees, or law degrees tends to
see people in higher-paying professions such as doctors, lawyers, and leaders within their
companies (Akhand & Liu, 2002).
Interest Rates
Federal funds Interest rates are set by the Federal Reserve (Basha, Zhang & Hart,
2021). The interest rates are based on the current economy of the country and rise and fall
based on how the Federal Reserve views the current situation within the country (Basha,
Zhang &Hart, 2021). When inflation is high, The Federal Reserve will raise the interest
rates to reduce spending (Curry, 2023). By increasing the interest rates, the Federal
Reserve predicts people are less inclined to borrow money because it will cost them more
(Curry, 2023). When people are not borrowing money, they have less money to spend.
This, in theory, is supposed to help combat inflation.
When the economy is not doing well and spending is low, such as during the
pandemic, the Federal Reserve will decrease interest rates to influence people to borrow
more money and in turn, spend more money.
The interest rates allow the Federal Reserve to control the economy in a sense
and attempt to keep it from going into a recession (Basha, Zhang & Hart, 2021).
Central banks can also influence the structure of interest rates (Deleidi &
Levrero, 2021). By changing the amount of money available, central banks modify
monetary policy. Typically, they do this by buying or selling securities on the open
market. Short-term interest rates are impacted by open market operations, which in turn
affect longer-term rates and the economy (Deleidi & Levrero, 2021). Monetary policy has
a lasting impact on long-term interest rates (Monetary policy and central banking 2023).
Inflation
Inflation is the overall increase in the price of goods and services across the
whole economy (Jahromi, Mihai & Tongyang, 2023). Inflation affects the purchasing
power of both consumers and businesses (2022).
39
�Inflation can have a very large impact on an economy. When inflation rises, it becomes
more difficult for people to buy goods and services (Jahromi, Mihai & Tongyang, 2023).
The rise in the price of goods and services erodes the purchasing power of people and
businesses (2020). The loss of purchasing power then negatively affects the economy
because not as much money is being spent.
To fight inflation, the Federal Reserve will raise interest rates and make it more
expensive to borrow money because the interest to borrow is higher. This encourages
people to stop spending as much money and will cause the demand for goods and services
to go down. When the demand for goods and services goes down, the prices also go down,
thus, combatting inflation (Jahromi, Mihai & Tongyang, 2023).
The effect of COVID on inflation
During the pandemic, there were historic drops in output in almost all major economies.
When the economy opened back up and the interest rates were low, people began to spend
their money more. Demand for products was so low during the pandemic that when the
demand rose after restrictions were lifted, businesses were not able to meet the demand of
people, which caused the prices to rise. This caused the overall rise of inflation in the
economy.
III. Hypothesis
H1: People in lower socioeconomic classes will be most negatively impacted by the rise in
interest rates during high inflation.
IV. Method
Subjects
Households across the United States who participated in the U.S. Bureau of
Labor Statistics survey of consumer expenditures and income will be the subjects.
Specifically, families who are considered in the upper socio-economic status, middle
socio-economic status, and lower socio-economic status. I have chosen these subjects
because they are all within the same country and subject to the same expenses represented
on the survey.
Upper Class
The upper class in the United States economy is considered a family whose
yearly income is greater than or equal to $156,600 annually (Social class in the United
States 2016). People in the upper class are defined as adults whose annual household
income is more than double the national median (Elkins, 2019). People who fall into the
40
�upper-class category are typically college educated and many have advanced degrees such
as master's, doctors, or lawyers (Elkins, 2019). People in the upper class are also those
who hold leadership roles within American society (Elkins, 2019).
Lower Class
The lower class in the United States economy is considered a family whose
yearly income is equal to or less than $52,200 a year (Social class in the United States
2016). People who fall into the lower class typically have jobs that require little prior skill
or knowledge to do the tasks of their jobs (Social Class in the United States 2016). These
jobs also rarely offer benefits such as healthcare and retirement planning (Social Class in
the United States 2016). Most lower-class jobs pay the minimum wage, which in NYC is
currently $15/hr. If an individual works 40 hours a week for 52 weeks of the year, their
annual income before tax is $31,200.
Variables and Instruments
Variables
Variable 1: Federal Funds interest rate
This variable is used to show the differences in interest rates throughout the years
and directly correlates to how people spend their money during the interest rates.
Variable 2: Spending of socioeconomic classes
The total expenses of each socio-economic class are measured through their
spending on food, housing, clothing, transportation, and entertainment.
Variable 3: Inflation
Inflation is measured through the consumer price index provided by the U.S.
Bureau of Labor and shows the fluctuation of prices in consumer goods.
Table 1: Hypothesis, Variables, and Statistical Analysis
Hypothesis
H1
INTEREST
RATE (IR)
(IR)
Variables
SPENDING OF
SOCIOECONOMIC
CLASSES (S)
(S)
INFLATION
(I)
I=IR=S
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.
41
(I)
Hypotheses &
Variable
Relationships
�Table 2: Detail About Variables
Data
Instrument / Survey
Variables
SPENDING OF
SOCIOECONOMIC
CLASSES (S)
Consumer Expenditure
Survey
INTEREST RATE (IR)
Average Federal Funds
Interest Rate
INFLATION (I)
12-month percentage
change, Consumer Price
Index, selected
categories
Author / Publisher
U.S. Bureau of Labor
U.S. Bureau of Labor
U.S. Bureau of Labor
Statistics
Statistics
Statistics
Type of data
Quantitative
Quantitative
Quantitative
Range of scores
0.08-5.02
0-100%
-4.2-8.02
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
As of February 2023, all information was gathered from the Business Source
Premier database. I utilized search terms like inflation, interest rates, socioeconomic
classes, and income by class to find and compile my data. I only displayed peer-reviewed
literature from the past 20 years in my search results.
I selected peer-reviewed studies published over the previous 20 years to acquire
precise and up-to-date information about socioeconomic classes and the impact of interest
rates. The articles I selected demonstrate the connections between all three variables and
will aid in addressing both hypotheses. To draw conclusions, I will also be able to assess
how inflation, socioeconomic spending, and interest rate fluctuations all connect to my
theory.
I acquired additional information from more recent papers published within the
last five years in addition to the peer-reviewed sources I found in the databases. I selected
these articles so that I could obtain precise data on the income of socioeconomic classes.
The interest rate fluctuations are also covered in certain publications by reliable sites like
US Labor Department. I found these sources using Google Scholar, and I used the same
search criteria as I used for the database search.
Statistical Methods to Present and Analyze the Data
I will produce graphs and line charts to show the correlations between inflation
and interest rate fluctuations and how that affects socioeconomic class's spending after I
have finished my analysis of the data that has been provided.
42
�V. Results
Inflation
Table 1 contains data on the average CPI from the years 2003 to 2022. For example, in the
year 2003, the inflation percentage was 2.25%.
Table 1: Yearly average
percentage change,
CPI
2003Yearly %
Increase
Year
in Inflation
2003
2.25
2004
2.68
2005
3.38
2006
3.23
2007
2.86
2008
3.85
2009
-4.20
2010
1.63
2011
3.16
2012
2.08
2013
1.48
2014
1.66
2015
0.13
2016
1.26
2017
2.12
2018
2.45
2019
1.82
2020
1.23
2021
4.70
2022
8.02
Source: U.S. Bureau of Labor Statistics
Federal Funds Interest Rate
Table 2 contains data on the average Federal Reserve interest rate by year from 2003 to
2022. For example, in 2003, the average Federal Funds interest rate was 1.13.
Table 2: Average Federal Funds interest rate 2003-2022
Year
Average rate
2003
2004
1.13
1.35
43
�2005
2006
2007
2008
2009
2010
2011
2012
2013
2014
2015
2016
2017
2018
2019
2020
2021
2022
3.21
4.96
5.02
1.93
0.16
0.18
0.10
0.14
0.11
0.09
0.13
0.40
1.00
1.83
2.16
0.38
0.08
1.68
Source: U.S. Bureau of Labor Statistics
Socioeconomic Class Spending
Table 3 contains data on the percentage of total expenses by each socioeconomic class
in the categories of food, housing, clothes, transportation, and entertainment. For example,
of the total expenses in 2004, the lower class accounted for 20%, the middle class
accounted for 35%, and the upper class accounted for 45%.
Table 3: Percent of total expenses by socio-economic class 2004 -2021
Year
Lower
Middle
Upper
2004
20
35
45
2005
18
33
48
2006
16
32
51
2007
17
32
51
2008
18
31
51
2009
18
32
50
2010
18
32
50
2011
18
31
51
2012
18
30
52
2013
19
30
51
2014
18
29
53
44
�2015
2016
2017
2018
2019
2020
2021
17
17
16
15
14
14
14
27
28
27
26
26
25
24
55
56
58
59
60
61
62
Sources: U.S. Bureau of Labor Statistics
Figures 1 and 2 show the relationship between the Federal funds interest rates and
inflation from the years 2003 to 2022. For example, in 2003 inflation was at 2.25% while
the interest rates were at 1.13%. Figure 3 shows the relationship between the
socioeconomic class's expenses percentage and the rise in the Federal Funds interest rate.
For example, in 2004, the interest rate was at 1.35 and the lower-class percentage of
expenses was 20%, the middle class was 35%, and the upper class was 45%.
Figure 1 Correlation between inflation and interest rate percentages line chart
Source: U.S. Bureau of Labor Statistics
45
�Figure 2 Correlation between inflation and interest rate percentages scatter chart
Source: U.S. Bureau of Labor Statistics
Figure 3 Correlation between interest rate and socioeconomic class expenses
Source: U.S. Bureau of Labor Statistics
46
�VI. Discussion
In my hypothesis, the spending of socioeconomic classes, inflation, and the
federal funds interest rates were analyzed to determine if the rise in the federal funds
interest rate during high inflation negatively impacted the lower socioeconomic class. In
table 1, the yearly average percentage change in the consumer price index is shown for the
years 2003 to 2022. This table is used to show the change in inflation through the
represented years and depict the years when inflation was high. Table 2 contains data
depicting the federal funds interest rate through the years 2003 to 2022. This data was used
to show the fluctuation in the federal funds interest rate throughout the represented years.
Figure 1 was then used to show the relationship between inflation and the federal funds
interest rate. When looking at figure 1, when inflation rises the interest rate soon follows
with a rise apart from 2012 to 2015 when the interest rate remained low, and inflation rose
slightly to between 1.5 and 3. It is evident in figure 1 that inflation directly affects the
federal funds interest rate. For example, in 2005 when the inflation rose to 3.5 and
eventually to 4 in 2008, the interest rate rose with it most notably in 2005 and 2006 when
it went up to 5 and remained there until 2007. Conversely, when inflation dropped
significantly in 2009 the interest rate also followed at nearly 0 and remained there for
multiple years. The data in table 1 and table 2 along with figure 1 directly show the
relationship between the rise in inflation and the federal funds interest rate.
Table 3 shows data collected from the U.S. Bureau of Labor Statistics on the
expenses of the socioeconomic classes. The expenses are a culmination of food, housing,
clothes, and transportation. The table represents the percentage that each class spent on
total expenses. For example, in 2004, of the total expenses between all the classes, the
lower class accounted for 20% of the expenses, the middle class was 35%, and the upper
class was 45%. This table was used to represent the spending of each socioeconomic class
through the years 2004 to 2021. The data seen in table 3 was then used to show the
relationship between socioeconomic class spending and the rise in the federal funds
interest rate in figure 2.
In figure 2, the left y-axis depicts the percentage of total expenses of each
socioeconomic class whereas the right y-axis shows the federal funds interest rate. Both
sets of data are from the years 2004 to 2021. This figure was used to determine if there
was a relationship between how each socioeconomic class spends their money based on
what the federal funds interest rate was. The hypothesis states that the lower class is most
negatively affected by the rise in interest rates, but the data does not completely represent
that. In 2006, the data shows that when interest rates hiked close to 5%, the lower class’s
spending did drop slightly from 18% to 16% from 2005 to 2006. Conversely, from 2005 to
2006 when the rates spiked, the upper class's spending rose from 48% to 51%. These data
47
�points are supportive of the hypothesis as it is evident that overall, the lower class's
spending dropped due to affordability whereas the upper class began to spend more money
because they have accessible extra money to afford the rise in prices. The next hike in
interest rates can be seen from 2017 to 2019 when they rose from nearly 0 up to close to 2.
This is where the discrepancy in spending is not as evident. There is not a noticeable
change in the pattern of spending between any of the classes during this rise in interest
rates. All of the socioeconomic classes follow the same pattern in which they had been
previously during times of low-interest rates. The upper class continues to slightly increase
spending and the middle and lower class remain on a very gradual slope of less spending.
During these years, it is not a large enough change in spending habits to determine that the
rise in interest rate from 0% to 2% affected one class more than it did another. The
discrepancy in the years 2016 to 2019 compared to 2006 and 2007 could be due to the
smaller change in interest rates. In 2006 and 2007 when the spending changes of the
classes is more prominent, the interest rates took a larger change, nearly 4%, whereas it
was only about 2% from 2016 to 2019. The smaller change from 2016-2019 may not have
been a large enough change to really affect the spending of any of the classes whereas it
was more prominent when the rates spiked 4% previously. Due to this data, the hypothesis
cannot be proven wrong or correct as the data can both support and contradict the
hypothesis.
VII. Conclusions
General Conclusions
The data and information presented in this paper can neither prove nor disprove
the hypothesis. Some data shows the spending of the lower socioeconomic class can be
negatively impacted by the rise in interest rates which were shown in the early 2000s.
There is also data presented from 2016 to 2019 that there was not a negative effect on the
lower socioeconomic class when interest rates rose slightly. The rise in interest rates
during high inflation never benefitted the lower socioeconomic class but did not negatively
impact it consistently to prove the hypothesis correct.
Implications for Practice
Based on the conclusion of the data presented, the implications for practice can
be directed mainly toward bankers and real estate agents. Bankers and real estate agents
are targeted because large loans such as mortgage and car loans will be most affected by
the rise in the federal funds interest rate. Therefore, bankers and real estate agents can
expect that in times of high inflation and rising interest rates, people with low income will
not be looking at purchasing homes or cars due to the extra expense of the higher interest.
48
�Implications for Research
Following the conclusions of the data presented, future research can be done that
focuses more on the specific spending sectors of the socioeconomic classes. When looking
at the spending of the socioeconomic classes, there was more disparity in where people
spent their money during high-interest rates. It was evident that the entertainment segment
varied more than the other segments based on inflation and interest rates because
entertainment is a variable expense. Future research should look into where the money is
spent rather than the overall spending.
Limitations of Research
Limitations of the research included the data analyzed. The U.S. Bureau of Labor
did not specify who the people surveyed for the spending was. This made it difficult to get
accurate information because not all participants were exposed to the same expenses.
People from New York City are subject to higher expenses than those in more rural areas.
This limited the accuracy of the data provided.
VIII. References
Akhand, H., & Liu, H. (2002). Income inequality in the United States: What the Individual
Tax Files Say. Applied Economics Letters, 9(4), 255–259.
https://doi.org/10.1080/13504850110060998
American Psychological Association. (n.d.). Socioeconomic status. American
Psychological Association. https://www.apa.org/topics/socioeconomic-status
Basha, A., Zhang, W., & Hart, C. (2021). The impacts of interest rate changes on US
Midwest Farmland Values. Agricultural Finance Review, 81(5), 746–766.
https://doi.org/10.1108/afr-11-2020-0163
Brainard, L. (2022, April 5). Speech by Governor Brainard on variation in the inflation
experiences of households. Board of Governors of the Federal Reserve System.
https://www.federalreserve.gov/newsevents/speech/brainard20220405a.htm
Cororaton, S. (2022, March 11). Distribution of housing wealth across income groups
from 2010–2020. www.nar.realtor. https://www.nar.realtor/blogs/economistsoutlook/distribution-of-housing-wealth-across-income-groups-from-2010-2020
Curry, B. (2023, April 12). Understanding the federal funds rate. Forbes.
https://www.forbes.com/advisor/investing/federal-funds-rate/
49
�Deleidi, M., & Levrero, E. S. (2020). Monetary policy and long‐term interest rates:
Evidence from the U.S. economy. Metroeconomica, 72(1), 121–147.
https://doi.org/10.1111/meca.12313
Elkins, K. (2019, September 30). 29% of Americans are considered ’lower class’-here’s
how much money they earn. CNBC. https://www.cnbc.com/2019/09/28/how-much-theamerican-lower-class-earns.html
Fujishiro, K., Xu, J., & Gong, F. (2010). What does “occupation” represent as an indicator
of socioeconomic status?: Exploring Occupational Prestige and Health. Social Science &
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�Influence of Empathetic Management
on Unionization in the Workplace
Joy Mei Muller (Business Administration)1
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 toprated 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?
I. 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 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
1
Written under the direction of Dr. Shani Carter in partial fulfillment of the Senior Program
requirements.
53
�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.
II. 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 who 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).
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
54
�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 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 &
55
�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).
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).
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).
56
�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).
Training. Training is a systematic effort by organizations to facilitate the
learning of job-related 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
57
�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 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 costsaving 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 (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
58
�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 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).
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
59
�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 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).
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).
However, empathy drives significant business results (Brower, 2021). Managers who
develop empathy as a skill create an employee-centric work environment that transforms
60
�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 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 20-item sub-scalable Mayor-Salovey-Caruso Emotional Intelligence Test
(MSCEIT), managers' and companies' empathic accuracy and agreeableness in power
61
�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 prounion employees in one out of five campaigns (“U.S. Department of Labor”, 2023).
Furthermore, federal labor officials have stepped up legal challenges accusing highprofile employers of unfair labor 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).
62
�However, RWDSU challenged the results claiming the company has engaged in antiunion 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).
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 nondiscrimination, 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).
63
�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 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 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).
64
�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).
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
anti-union corporations has shown that young workers are taking the lead in the labor
market (Logan, 2022).
65
�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).
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 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
66
�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, 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.).
67
�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 organization where employees will remember their managers' or
companies' peaceful and inclusive leadership at all levels (Colquitt et al., 2019).
III. Hypothesis
H1: Managers or companies lacking empathy will lead employees to form a union.
IV. 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
68
�company’s total net revenue was $87,132,000 ending January 1, 2023 (“Starbucks Corp.
February…”, 2023). As of March 27, 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
Empathetic management is leaders able to understand or feel what an employee is
experiencing and adopt an alternative perspective (Martinovki et al., 2007). Union
elections is another variable that 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: 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)
Hypotheses &
Variable
Relationships
EM
UE
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.
69
�Table 2: Detail About Variables
Variables
Data
Empathetic
Management (EM)
Instrument / Survey
Mayer-SaloveyCaruso Emotional
Intelligence Test
(MSCEIT)
Author / Publisher
(Côté et al., 2011)
Type of data
Quantitative
Empathetic
Management
(EM)
Study-specific:
Video
Interview
Survey
(Côté et al.,
2011)
Union
Elections
(UE)
Union Elections (UE)
Union
Winning
Percentage
Recent Election Results
(Combs,
2023)
National Labor Relations
Board
Quantitative
Quantitative
Quantitative
20-item scalable
NLRB – This is an
score: 89 to 103
excellent source of recent
Survey Scale: 1
*Note: The
Percentage:
election results. However,
(Disagree) to 7
Range of scores
average score is
20% to 80%
I may not have enough
(Agree)
100 and the
time to analyze all the
standard deviation
raw data.
is 15.
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
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.
In addition, sources were gathered from Google and Google Scholar with
similar search terms. The results from Google’s search engine relevant to this 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
70
�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.
V. 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
Lower Power Condition
M
SD
M
SD
-2.36
0.69
-2.73
0.74
Neutral
-2.73
0.58
-2.60
Note. Less negative values represent higher empathic accuracy.
Source: Côté, et al. 2011
0.72
Compassion
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
1
Transformational leadership
3.66
0.44
Ethical leadership
3.82
0.54
.75**
Ethical leadership mean
3.64
0.3
.52**
.67**
Moral awareness
3.52
0.39
.31**
.35**
71
2
3
.45**
4
5
6
�Empathic concern
3.88
0.27
.20**
0.07
0.07
.38**
Altruism behavior
4.1
0.63
0.13
0.25**
.19**
0.11
.16*
3.86
0.62
0.12
.20**
0.12
0.1
0.1
Courtesy
.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.
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 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%
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.
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.
72
�Figure 2: Percentage of Wage and Salary Workers 16 and older who Belong to a
Union (Source: Pew Research Center)
Figure 3: States where Labor is Most and Least Unionized (Source: Pew Research
Center)
73
�Table 5: NLRB Closed Case Election Results January 2023-April 2023
Votes Against
Region
Votes for Unions
Total Votes
Unions
New York
2,695
718
3,413
Connecticut
3,896
199
4,095
New Jersey
56
63
119
6,647
980
7,627
Total
Source: National Labor Relations Board
Figure 4: NLRB Closed Case Election Results January 2023-April 2023 (Source:
National Labor Relations Board)
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.
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%.
74
�Figure 5: NLRB Election Results by Union Win and Union Losses 1988-2022
(Source: Bloomberg Law)
Figure 6: NLRB Closed Case Winning Percentage January 2023 to April 2023
(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.
75
�Figure 7: Percentage of Labor Success in NLRB Elections 1988-2022 (Source:
Bloomberg Law)
VI. 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
76
�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.
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.
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,
77
�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 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 tristate 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.
VII. 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
78
�lack empathy will 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 wants
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 groups of employees, such as a cooperator style, will be beneficial in
addressing the number of union elections. Specifically, implementing empathetic
management in the workplace which are highlighted in this paper.
VIII. References
Adams' Equity Theory of Motivation: A simple summary. (n.d.). World of Work Project.
https://worldofwork.io/2019/02/adams-equity-theory-of-motivation/
Alba, D. (2023, February 27). Thousands of Google contractors just got a raise after
union protested against low pay and benefits. Fortune. Retrieved May 2, 2023, from
https://fortune.com/2023/02/27/google-contract-workers-raise-alphabet-workers-union/
79
�Allyn, B. (2021, January 8). Google workers speak out about why they formed a union:
'To protect ourselves'. National Public Radio. Retrieved May 2, 2023, from http://Google
Workers Speak Out About Why They Formed A Union: 'To Protect Ourselves'
Alphabet Inc. February 3, 2023 - 10-K. (2022). United States Securities and Exchange
Commissions. https://www.sec.gov/cgi-bin/viewer?action= view&cik= 1652044
&accession_number=0001652044-23-000016&xbrl_type=v#
Alphabet Inc. (GOOG). (2023). Yahoo Finance. https://finance.yahoo.com/
Amazon. (2023). Forbes. https://www.forbes.com/companies/amazon/?sh=15d4c796fb89
Amazon.com, Inc. (AMZN). (2023). Yahoo Finance. https://finance.yahoo.com/
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�Section III: Critical Essays
85
�86
�Free Will: Philosophical Debate, Neuroscientific
Perspective, Practical Implications
Elisa Parazzi1
Introduction
Free will has been a matter of interest since humans started to think critically.
Civilized societies and their justice systems have always been based on the proposition
that humans have free will and consequently that they are responsible for the actions they
freely decide to perform (Roskies, 2002). It is commonly thought that thinking and acting
are essential and irreducible manifestations of our freedom and rationality as human
beings. From ancient Greece to the present day, philosophers, scientists, and ethicists
have been trying to demonstrate logically and rationally the existence of free will. Their
arguments have attempted to answer the question “does free will exist, or is it an illusion
created by our brain to make us feel masters of our actions?”
Although there has been conceptual progress, philosophy hasn’t been able to
solve this dilemma (Lavazza A., 2016). This led to irreconcilable positions about human
freedom in the current debate: compatibilism on one side and incompatibilism on the
other side, further split between the libertarian and the illusionist theses. Although this
matter has been addressed only by philosophers for many years, in recent years we have
witnessed neurosciences’ raising interest in this field of research. Neuroscientists
endeavored to study the physiological processes in a person’s brain aiming to discover
whether human actions are intentional or merely a result of physical reactions.
Neuropsychologists and social psychologists also began to explore this field of research,
conducting experiments whose results revealed unexpected evidence. Experiments and
research conducted so far seem to show that free will does not exist as we commonly
tend to define it. Although in science a truth is never absolute, but always uncertain and
falsifiable, these results incite us to reflect on the “potentially dramatic implications for
our perspective on ethics and for social justice” (Roskies, 2002, p.21). Because
philosophy and neuroscience can no longer separately address the matter, but instead a
scientific and intellectual discourse is necessary, it has raised in recent years a new
interdisciplinary field: neuroethics.
1
Written under the direction of Dr. Penny Brandt for LC15: Business and the Arts in the 21st
Century.
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�Definition and Debate on Free Will
Free will has been defined by the Stanford Encyclopedia of Philosophy (2010)
as a “philosophical term of art for a particular sort of capacity of rational agents to choose
a course of action from among various alternatives” (O'Connor, 2010, para. 1). We could
argue that there is not only one definition of free will, or that the one provided above is
not the most accurate; however, more important than defining the concept of free will, is
to specify what conditions must occur in order to say that there is free will. First, it is
necessary to have an alternative course of action to choose from, defined as Principle of
Alternative Possibilities (PAP). In addition, there is a second condition: the Ultimate
Responsibility (UR). This means that an agent must be also the author of the choice; this
process entails conscious self-determination (Ruoso, 2014).
Scholars attempting to study human freedom date back to ancient Greece.
However, the concept behind the word “free will” varies depending on the period and on
the philosopher that it is being considered. The Greek philosopher Plato, for example,
refers to human freedom as a kind of self-mastery: “reason as the guide, the spirited
nature as the ally of reason, exhorting oneself to do what reason deems proper, and the
passions as subjugated to the determinations of reason” (O’Connor & Franklin, 2022,
para. 1.1). If a person manages to have this inner balance, they are considered free,
otherwise they are enslaved to their passions. Today such a definition of freedom is not
accepted anymore, and this is greatly due to the different perception that nowadays we
have of the physical world. When we refer to the physical world around us, we tend to
perceive it according to a deterministic view: the physical world is ruled by natural laws,
meaning that all the events are part of a cause-effect chain, where the cause is sufficient
to explain an effect. Consequently, we can affirm that, given certain causes A, it
necessarily derives an event B. But is the human mind part of this chain as well? How do
free will and determinism combine? There is no single answer to this question, as there
are different schools of thought in the current debate.
The belief that determinism can or cannot coexist with free will leads to two
different theories: compatibilism and incompatibilism. Compatibilism is “the thesis that
free will is compatible with determinism” (McKenna & Coates, 2019, para. 1).
Compatibilists base their theory on a different concept of freedom than the one most
people tend to believe. An action is defined as free if its cause is the will of the subject
and if the agent is able to pursue it in the absence of external impediments. This condition
is necessary and sufficient, implying that it is not relevant whether the will is in turn free
or not. The will, in fact, due to the deterministic theory they agree with, is not free but
determined by various inner and external factors. Various criticisms have been raised
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�against this theory, particularly because it does not respect the Principle of Alternative
Possibilities (PAP). Among them stands out the “consequence argument” by Peter van
Inwagen. He asserts, using a syllogism, that we are not free: no one has the power over
the past and over the laws of nature, and, if determinism is true, the facts of the past and
the laws of nature entail every fact of the future. It derives that we are not free.
Incompatibilist theories, instead, are based on the preposition that determinism
and free will are not compatible. Among those we find libertarian and illusionist theses:
the first states that determinism is not true, therefore we are free, the second one that
determinism is true, therefore there is no free will. Libertarians believe that even if the
physical world is regulated by cause-effect processes, humans are an exception, because
they can initiate causal chains. Even though this thesis meets both conditions (Principle
of Alternative Possibilities and Ultimate Responsibility), it is not exempt from criticism.
In fact, since humans are physical entities, how can they not be subject to natural laws?
Illusionists, on the other hand, assert that we are not free, because of the
deterministic world we live in, therefore free will is an illusion. Decisions are determined
by physical states of the brain; human will is only an epiphenomenon, but not the cause
of actions (Enrico, 2022).
Brain, Mind and Neuroscience
It is fundamental, in order to discuss free will, to understand what the human
mind is, if it is a different entity from the brain, and, if that is the case, how mind and
brain interact together. On this matter we can find supporters of dualism theory or of
identity theory: dualism is based on the preposition that mind and brain are different
entities, while identity theory holds that the mind is identical to the brain. The first
relevant scholar to address this topic was René Descartes (1596–1650). His theory is
strongly dualistic; he asserts that mind and body are two different substances: the mind is
knowable through introspection, while the body is knowable through the senses.
Therefore, he argues that everything that is physical (res extensa) is doubtful, hence the
only thing knowable with certainty is the mind (res cogitans), a thinking subject. If
Descartes’ thesis was true, there would be some philosophical problems; among all the
most relevant one would be: “If minds and bodies are so fundamentally different, how do
they seem to interact constantly?” (Marc Novikoff, 2022, para. 5). To answer this
question, it is necessary to introduce the most accredited position nowadays, which has
the consensus of most scientists: physicalism. According to physicalism everything that
exists is traceable to physical matter and can be explained through its physical properties.
Hence, the mind can be led back to the set of physical-chemical processes that occur in
the brain and can only be explained by the laws of the natural sciences. A physicalist
89
�view of the mind-body problem together with a deterministic view of the physical world
is a serious threat to the idea of human free will. Decisions are then merely a
consequence of a series of physical reactions that must necessarily occur because of both
internal and external inputs that the brain receives, and of the structure of the brain itself,
which is in turn determined by genes (Ruoso, 2014).
Researchers attempted to prove physicalist theory both in the field of
neuroscience and neuropsychology, in order to demonstrate whether free will exists or
not. Among the neuroscientific experiments there is Benjamin Libet’s experience in
1983. The study aimed to analyze the temporal relation between the start of a person’s
cerebral activity that prepares an action and the conscious intention to act. The
participants had to press a button in front of them, while looking at a watch, and then
report the time when they decided to perform their action. The result showed that the
brain activity, registered by an electroencephalogram, called RP (readiness potential, or
bereitschaftspotential), started 350ms before the subjects were aware of their intention.
More recently, in 2008, this experiment has been adapted from Soon, in order to add
more complexity to it. The participants no longer had to decide only when to perform a
certain action, they also had to decide what kind of action they wanted to undertake,
indeed whether to move the left or the right finger to press a button. The goal of the
experimenter was to predict the choice according to the raising cerebral activity in a
certain region of the brain. Observing the frontopolar cortex, they were able to predict the
decision 7 seconds before the subject's awareness and with a 60% accuracy.
Libet and Soon’s experiments seem to show that free will is an illusion, or at
least that it has no causality power. Many scholars analyzed those experiments, and
others of the same type that followed, trying to infer different conclusions, or to
reinterpret the results in a different key. An example is given in a recent journal
published by Gonçalves Coelho (2021), where the author investigates the relation
between the brain and the conscious mind, in order to prove that free will is not an
illusion. Particularly, he analyzes the mind and the brain's mutual causality power to
determine whether brain events cause conscious events or vice versa, aiming to define if
the agent of voluntary action is the brain, the mind, or the two of them working together.
Gonçalves Coelho (2021) argues that “the brain is the agent and the conscious mind, in
its various forms - cognitive, volitional and emotional - and contents, is its guide of
action” (Gonçalves Coelho, J., 2021, abstract). Hence, even if the brain is the agent of
the action, it bases its decisions on the conscious continents of the mind, therefore the
mind can be defined as a property of the brain. According to this vision, it is possible to
refer to the brain as a “conscious brain”. Therefore, Libet and Soon’s experiments, which
ascribed the agency power to the brain, no longer demonstrate that free will is an illusion,
90
�because the conscious brain is the agent of voluntary actions (Gonçalves Coelho, J.,
2021).
Society and Free Will
How much is human’s freedom of deliberation and action conditioned by
society and the situation that we found ourselves in? Should we redefine moral
responsibility considering evidence provided by neuroscientific experiments on free will?
What influence does the assumption that people have free will have in the social
systems?
It is necessary to introduce the notion of situationism. Galletti (2021) defines
situationism as the theory that people’s actions are influenced or even determined by the
circumstances the agents are found in (Galletti, 2012). In 1961 and 1971, two renowned
experiments in the field of social psychology were conducted, respectively by Stanley
Milgram and Philip Zimbardo. Due to the incredible and astonishing results, the
experiments have become pillars among researchers and scholars. Milgram’s experiment
aimed to investigate people’s acquiescence to authority, particularly to what extent
people would obey an order that goes against their values and morality only because it is
given by an authoritative figure. The people who decided to take part in the experiment
were assigned the role of “teachers”, and they had to test the memory ability of a
“learner”, who pretended to be a volunteer, but was a confederate of the experimenter. If
the learner answered incorrectly to the question, the teacher would have to administer an
electric shock; the teacher was told that the voltage of the electric shocks would increase
at each administration, till the point (labeled XXX) that it would be fatal to the learner,
but in reality there were no actual shocks. Even though the teacher was placed in a
distinct room with the experimenter, he was able to hear the screams of the learner after
the shocks were administered. The experimenter had to exhort the teacher verbally to
continue with the experiment whenever he protested about the cruelty of the experiment
and asked to end it. There were four exhortations in an exact order (“Please continue” or
“Please go on”, “The experiment requires that you continue”, “It is absolutely essential
that you continue”, “You have no other choice; you must go on”), and the experimenter
could use the following one if the previous one resulted unsuccessful; if the learner still
asked to halt the experiment after the fourth prod, the experiment was stopped. Despite
the screams, 26 teachers out of the 40 who decided to take part in the experiment reached
the highest voltage, a result that overturned the estimated 0-3% rate of the prediction.
Similarly, Zimbardo's experiment had an unexpected outcome. The experiment
was held by the department of psychology of Stanford University, and it took place in the
basement of the building, which was adapted to simulate a prison. Similarly to Milgram’s
91
�experiment, there were two categories of people: the “prisoners”, who got arrested, and
the “guards” who had to supervise them according to the assigned day and night shifts.
The guards, in a position of power, started to act cruelly, mistreating and abusing the
prisoners, who after a little time did not rebel anymore and instead started to bear with
the violence of the authority figures, acting as victims. These conditions led to the
precocious interruption of the experiment, on the sixth day. The prison environment
prevailed on the individual intentions of the participants and their ability to consciously
resist evil (Galletti, 2012, p.5,6). Due to the result of the experiment, Zimbardo himself
coined the term “lucifer effect” to refer to when certain circumstances influence people to
the point that they become perpetrators of immoral or “evil” behaviors. The evidence
provided by the two described experiments puts in crisis the proposition that humans
have free will; the predominance of situational influence over individual conscious
deliberation in decision making, makes the voluntary control of the actions doubtable.
Defining whether a person's action is a result of free decision or of some type of
coercion, is not merely speculation, but it has a practical implication. It is directly
correlated with the concept of moral responsibility. As highlighted in the Stanford
Encyclopedia of Philosophy (2022), there is not only one type of moral responsibility,
instead there are three different species: moral responsibility as answerability,
attributability, or accountability. Although, for what pertains to the free will discussion,
this last species is the one that it is commonly referred to. Hence “An agent S is morally
accountable for performing an action ϕ=df. S deserves praise if ϕ goes beyond what can
be reasonably expected of S and S deserves blame if ϕ is morally wrong” (O’Connor et
al., 2022, para. 2.1). This definition would consequently implicate that one who performs
a morally wrong action is blameworthy. But how is it possible to blame a person if the
action is not up to them? If our decisions cannot be said to be a result of free deliberation,
but instead they are a consequence of brain states that are in turn determined by our
genes, previous events, and current circumstances, who is responsible for our actions? If
we give credit to the experimental results of neuroscientists and psychologists, we should
consider redefining the rules of attribution of moral responsibility (Galletti, 2012).
It is worth analyzing to what extent the concept of moral responsibility
influences the way we act. In fact, people who believe in free will tend also to believe
that they are morally responsible for their actions, because they freely choose to perform
them; as a result, people are prone to act in a way for which they would consequently
deserve praise, rather than perform actions that are morally wrong, for which they would
deserve blame. In an article published by Frontiers, Caspar (2017) mentions that “A
substantial body of scientific research has highlighted the prosocial benefits of believing
in free will, as well as the negative effects of denying its existence” (Caspar et al., 2017,
92
�p. 1). Hence, the sense of responsibility of agents who believe to be free has an
implication on “the moral character of their subsequent behavior” (Caspar et al., 2017,
p.1). In order to provide evidence to this, it is worth mentioning the experiment
conducted in 2008 by two American psychologists, Jonathan Schooler and Kathleen
Vohs. The experiment consisted of two groups of people who were told to read distinct
articles: the first group was assigned with a neutral one, the second group with one
validating the deterministic thesis, and consequently denying the existence of free will.
After reading them, the participants had to perform some mathematical questions and
cognitive tests. The experiment was set up in a way that would have allowed participants
to cheat easily. The results showed that the people who were told to read the prodeterministic article were more inclined to cheat compared with the other group.
However, in the research article Satre (1943/ 1956) is quoted as an example of a counter
perspective on this topic: “We are always ready to take refuge in a belief in determinism
if this freedom weighs upon us or if we need an excuse” (pp. 78–79). This raises the
question “might the adoption of a deterministic worldview serve as an excuse for
untoward behaviors?” (Vohs, Schooler, 2008, pp. 49-54).
Conclusion
Free will is an intricate issue, whose importance and relevance has attracted
scholars from various fields throughout the years. Philosophers, neuroscientists,
neuropsychologists attempted to explain this mysterious concept to prove that humans
have the power to act freely. For this to be possible, two conditions need to be satisfied:
the Principle of Alternative Possibilities and the Ultimate Responsibility. Philosophers
integrated those two conditions with either a deterministic or non-deterministic vision of
the physical world, and elaborated various theories that either support or deny the
existence of free will. However, the debate is still open because all the positions present
both strong theses and criticisms.
Neuroscience in recent years started to address this topic as well. The main
problem was defining what relation exists between the so-called “mind” and “brain”, in
order to determine if conscious awareness is involved in the decision-making process or
not. Libet and Soon’s experiments revealed unexpected evidence: the neuronal processes
start before a subject’s awareness. These results have been analyzed and reinterpreted by
different scientists, who often presented arguments and theses in order to defend human
freedom.
The existence of free will has not only been challenged by neuroscience, but
important experiments have been conducted in the field of social psychology as well. The
results showed the predominance of situational influence over individual conscious
93
�deliberation, and put in crisis the traditional way of perceiving the decision-making
process. Hence, a person's actions are not only influenced, if not determined, by
biological and physiological factors, but also by environmental factors.
Setting aside the philosophical debate and the evidence provided by scientific
experiments, free will results to be a fundamental belief: people who believe in their
freedom also believe in the concept of moral responsibility. If people did not believe in
this crucial concept, on which our society is based, laws of social justice would no longer
be observed, and this might lead to societal collapse.
Regardless of all the research and the progress achieved throughout the years,
“As humans, we can identify galaxies light years away, we can study particles smaller
than an atom. But we still haven’t unlocked the mystery of the three pounds of matter that
sits between our ears” (Obama, 2013).
References
Roskies, A. (2002). Neuroethics for the new millenium. Neuron, 35(1), 21–23.
https://doi.org/10.1016/s0896-6273(02)00763-8
Gonçalves Coelho, J. (2021). Brain as agent and conscious mind as action guide: from
Libet-style experiments to necessary conditions for free will. Filosofia UNISINOS, 22(1),
78–83. https://doi.org/10.4013/fsu.2021.221.09
Mattia Ruoso, "Libero arbitrio e neuroscienze. Alcuni spunti di riflessione", in: Esercizi
Filosofici, vol. 9, n. 2 (2014), pp. 126-144. http://hdl.handle.net/10077/12198
Lavazza A. (2016). Free Will and Neuroscience: From Explaining Freedom Away to
New Ways of Operationalizing and Measuring It. Frontiers in human neuroscience, 10,
262. https://doi.org/10.3389/fnhum.2016.00262
Marc Novicoff Writing Portfolio. (n.d.). Philosophy of the mind: Dualism vs identity
theory. Marc Novicoff. Retrieved November 3, 2022, from https://journeys.
dartmouth.edu/marcanovicoff22/philosophy-of-the-mind
Waxman, B. (n.d.). Five philosophers on free will: Plato, Leibnitz, Hobbes, Hume, and
Hegel. Retrieved November 4, 2022, from https://www.researchgate.net/publication/
330635402_Five_Philosophers_on_Free_Will_Plato_Leibnitz_Hobbes_Hume_and_Hegel
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�Irene Sanità Gigante. (n.d.). Libero Arbitrio Tra Filosofia E neuroscienze. SinaPsyche.
Retrieved November 13, 2022, from https://www.sinapsyche.it/libero-arbitrio/
O'Connor, Timothy. “Free Will.” Stanford Encyclopedia of Philosophy, Stanford
University,29 Oct. 2010, http://plato.stanford.edu/archives/sum2011/entries/freewill
O’Connor, T., & Franklin, C. (2022, November 3). Free will. Stanford Encyclopedia of
Philosophy. Retrieved November 13, 2022, from https://plato.stanford.edu/entries/
freewill/#AnciMediPeri
McKenna, M., & Coates, D. J. (2019, November 26). Compatibilism. Stanford
Encyclopedia of Philosophy. Retrieved November 15, 2022, from https://plato.
stanford.edu/entries/compatibilism/
O’Connor, T., & Franklin, C. (2022, November 3). Free will. Stanford Encyclopedia of
Philosophy. Retrieved November 17, 2022, from https://plato.stanford.edu/entries/
freewill/#AnciMediPeri
Caspar, E. A., Vuillaume, L., Magalhães De Saldanha da Gama, P. A., & Cleeremans, A.
(2017, January 17). The influence of (dis)belief in free will on immoral behavior.
Frontiers. Retrieved November 19, 2022, from https://www.frontiersin.org/articles/
10.3389/fpsyg.2017.00020/full#B23
Galletti, M. (2012). Situazionismo, Responsabilità E Competenza morale. Academia.edu.
Retrieved November 20, 2022, from https://www.academia.edu/11877366/
Situazionismo_responsabilit%C3%A0_e_competenza_morale?auto=download
Vohs, K. D., & Schooler, J. W. (2008). The Value of Believing in Free Will:
Encouraging a Belief in Determinism Increases Cheating. Psychological Science, 19(1),
49–54. https://doi.org/10.1111/j.1467-9280.2008.02045.x
Obama, B. H. (2013, April 02). Remarks by the president on the Brain Initiative and
American Innovation.[Speech Transcript]. Retrieved from obamawhitehouse.
archives.gov/the-press-office/2013/04/02/remarks-president-brain-initiative-andamerican-innovation
95
�96
�“We have Indigenous Solutions”: Leadership
Lessons of Indigenous Trailblazers
Kendall Tabobandung (History)1
“One word could shatter your sense of belonging,” wrote Fred Sasakamoose
(1933-2020), the first Indigenous player to play in the National Hockey League (NHL) in
his 2021 memoir Call Me Indian. “One moment you could feel like just another guy on
the team and the next you would be reminded you were an outsider.” 2 Breaking new
ground despite prejudice and hardship in the Canadian residential schools, he paved the
way during the 1950s for other Indigenous hockey stars that dreamed of making it big.
Like Sasakamoose, Wilma Pearl Mankiller (1945-2010) became a role model with her
appointment as first female Principal Chief of the Cherokee nation in 1985. She was
twice re-elected due to her social work and leadership skills that enabled her to improve
rural community services–education, healthcare and housing– and build trust for her
vision.3 They both had a significant impact on the lives and well-being of their
generation of Indigenous peoples and for the generations who came after. Fred
Sasakamoose and Wilma Pearl Mankiller were Native American trailblazers and
visionaries who paved the way for Indigenous generations to come.
Born in Big River First Nation, Saskatchewan, on December 25th, 1933, Fred
Sasakamoose grew up in a six meter by seven meter home at Sandy Lake, now known as
Ahtahkakoop Cree Nation in Canada.4 He was raised by his father Roderick
Sasakamoose and his mother Judith Sasakamoose. He grew up with a strong bond
between him and his family, especially with his grandfather Alexander Sasakamoose.
Although his grandfather could not hear nor speak, he gave Fred a gift that would
eventually save his life – hockey. Fred learned to play hockey using bob skates tied to
the bottom of his moccasins, a tree branch carved into the shape of a hockey stick, and a
1
This paper was originally submitted for HI227: The Exercise of Leadership. I thank
Prof. Lori Weintrob for her help editing this paper.
2
Fred Sasakamoose, Call Me Indian: From Trauma of Residential School to Becoming
the NHL’s First Treaty Indigenous Player (Penguin Random House, 2021), foreword by
Bryan Trottier, 76.
3
Linda Wilson, “Wilma Mankiller,” in The Encyclopedia of Oklahoma History and
Culture, Oklahoma Historical Society.
4
Sasakamoose, Call Me Indian, 9.
97
�frozen piece of cow manure as a puck. He practiced hard and enhanced his skills on a
frozen lake while his grandfather ice fished nearby.
In 1941, when Fred was only seven years old, a canvas-covered grain truck
appeared in front of his small home in Sandy Lake. Three men got out of the truck and
approached the family, one he recognized as the “reserves Indian agent”, “an RCMP
officer”, and another Caucasian man “wearing a long black robe.”5 He would later learn
that this was a priest. Despite being loved unconditionally and cared for everyday, the
Canadian Government were able to deem any parents as “unfit” to care for their children
and so Fred was taken away from his family.6 The truck crammed with approximately
thirty children, traveled for hours as the children screamed, cried and pleaded.
From the creation of the school system in 1867 to their closure, “approximately
150,000 [Indigenous] children went through one of the 135 residential schools” across
Canada. 7 The government worked with the Catholic church and the Protestant church to
run these schools. Both believed that the ultimate goal of such schools was “killing the
Indian in the child.”8 In their goal of “civilizing” Indigenous children, they attempted to
assimilate them into European culture by stripping them of their language and cultural
teachings.9 These schools took children away from their homes in order to “break their
cultural bonds.”10 The school system used mental, physical, and sexual abuse as
punishment to further assimilate the children. Their hair was chopped off, they were
stripped of their traditional clothing, and violently scrubbed clean upon arrival at these
schools. No traces of their identity were to be remembered.
In 1920, the government gained more control over the Indigenous population
with the creation of the Indian Act, which made it mandatory for all Indigenous children
aged seven years old to 15 to attend either a residential school or an Indian day school.11
The churches would often go to court to get injunctions, threatening parents with arrests
5
Sasakamoose, Call Me Indian, 25.
Phil Fontaine and Aimée Craft. A Knock on the Door: The Essential History of
Residential schools from the Truth and Reconciliation Commission of Canada, Edited
and Abridged. Vol. 1 (Univ. of Manitoba Press, 2015), 6.
7
Virginia Arsenault. “The Indian Residential School System.” Resistance to the
Canadian Truth and Reconciliation Commission (Swisspeace: 2015), 5.
8
Bryanne Young. “‘Killing the Indian in the Child’: Death, Cruelty, and SubjectFormation in the Canadian Indian Residential School System.” Mosaic: An
Interdisciplinary Critical Journal 48, no. 4 (2015), 65.
9
Arsenault, Resistance, 5.
10
Arsenault, Resistance, 5.
11
Arsenault, Resistance, 5.
6
98
�if they did not allow their children to attend these schools. The residential school system
was a brutal and dark part of Canadian history. The Canadian government and the
Catholic Church have the blood of approximately 6,000 Indigenous children (and
counting) on their hands. Following the discovery of 215 Indigenous children’s
unmarked graves, attention was drawn to the roughly 6,000 students who had died during
their stay at the 130 residential schools.”12 Thankfully, Fred Sasakamoose was not one of
these children.
The Indian residential school system has created intergenerational trauma that
still affects Indigenous communities to this day. Fred’s nine years at Duck Lake
Residential School were extremely traumatic. Upon arrival, the nuns cut off his braid and
forced him to speak English and would punish him if he spoke otherwise, despite the fact
that Cree was his first language. He experienced emotional, physical, and sexual abuse.
The only escape he had from this torture was skating.13 In 1944, Georges Roussel, a
priest, arrived at the school and became a mentor or coach to Fred. He began assisting
Fred in enhancing his hockey skills when he joined the school's team. In an interview
published in Sundog Highway: Writing from Saskatchewan (2000) Roussel stated that
Fred “lived for hockey.” Fred began getting attention from Junior hockey team scouts
after a provincial championship win with his team. He was recruited to play hockey in
Moose Jaw for the Moose Jaw Canucks.14 Fred was hesitant to go, but his parents saw it
as a way to improve his life. Moving away to play hockey meant that he did not have to
go back to that horrible school. His skill was very evident but it was not only hockey that
he had to worry about.
As he achieved professional success, he had to get used to being a young
Indigenous man in a racist world. During a 2015 interview with Larry Loyie,
Sasakamoose stated that: “It was quite a journey, not only to Moose Jaw, but also to live
in a white society” among over 75 white recruits.15 It was not until after his final game
with the Moose Jaw Canucks in their 1953-54 season that Fred was called up to play for
the Black Hawks, a National Hockey League team based out of Chicago. Fred played
eleven games with the Black Hawks during the 1953-1954 season. This is when he made
Thorne, Niki, and Maria Moss. 2022. “Unmarked Graves: Yet Another Legacy of
Canada’s Residential School System: An Interview with Niki Thorne”. New American
Studies Journal: A Forum 72 (April), 2.
13
Sasakamoose, Call Me Indian, 43.
14
Sasakamoose, Call Me Indian, 61.
15
Larry Loyie and Constance Brissenden, ” Fred Sasakamoose” The Canadian
Encyclopedia, March 11, 2015.
12
99
�history, as the first statused Indigenous person to play in the National Hockey League.16
Playing in the NHL was not all fun and games for Sasakamoose because, much like the
1946 signing of Jackie Robinson, Sasakamoose experienced a lot of racism and hatred
directed towards him.17 Similarly to Sasakamoose, Jackie Robinson broke the color
barrier in the Major League Baseball when he became the first African American to play
in the Major Leagues. He was taunted on and off the ice, getting called names like
“Squaw humper” and “F-ing Indian.”18 Men from other teams always picked fist fights
with him on ice, never winning because of the boxing skills Fred learned at residential
school. Saskamoose was not only mentally tough, but he was also physically tough. He
played many sports other than hockey at school, took unimaginable beatings from priests
and nuns, and also gained farming skills and strength by being forced to do the school’s
chores.19
For over half a century, Sasakamoose expressed a transformational leadership
style. He was a “passionate advocate for creating opportunities for Indigenous youth to
play sports.” Sasakamoose spent 60 years of his life creating “hockey programs, leagues,
and camps” for Indigenous and non-Indigenous youth to attend. 20 He directed the ‘Fred
Sasakamoose Hockey School’ and also served on the “National Hockey League’s Ethnic
Diversity Task Force where he helped advance the recreational opportunities for lessfortunate children.”21 He served as a councilor on the Ahtahkakoop reserve’s Chief and
Council for 35 years and was also a Senator with the Federation of Saskatchewan Indian
Nations. Sasakamoose will be remembered as a role model for generations to come. His
leadership skills were very versatile and he was known for using his voice to give
Indigenous youth opportunities that were not as accessible to all.
Fred was a trailblazer for young Indigenous athletes across North America
including players like Ted Nolan, Gino Odjick, Jonathan Cheechoo, and Sheldon
Souray.22 More recently Indigenous hockey players like Ethan Bear of the Vancouver
16
Sasakamoose, Call Me Indian, 111.
Aviam Soifer, "Confronting deep strictures: Robinson, Rickey, and racism." Cardozo
L. Rev. 6 (1984): 865.
18
Sasakamoose, Call Me Indian, 76.
19
Sasakamoose, Call Me Indian, 32.
20
“Sasakamoose Remembered as a Role Model Who Made Hockey History - Alumni
and Friends.” 2020. Alumni and Friends. November 25, 2020.
21
Frederick Sasakamoose "Indspire." 2020, September 23, 2020.
22
John Valentine, "New racism and old stereotypes in the National Hockey League: The
“stacking” of Aboriginal players into the role of enforcer." Race and Sport in Canada:
Intersecting inequalities (2012), 111.
17
100
�Canucks have been taking pride in their culture while on the ice. 23 Fred Sasakamoose was
an Indian Residential School survivor. He overcame trauma from the emotional, physical,
and sexual abuse he experienced at Duck Lake and chose a path he never would have
thought he would have gotten the opportunity to choose. He was extremely creative. His
strength, strong will, and work ethic are what made him a great leader. He led through
actions and as he got older and grew more as a person, he began leading Indigenous
children through words. He broke through barriers, overcame adversity, and created a
path for generations of Indigenous athletes to come.
The Seventh Generation Principle is based on a Haudenosaunee nation
philosophy which believes “that the decision we make today should result in a
sustainable world seven generations into the future.”24 This philosophy has since been
adopted by many different Indigenous nations. Fred Sasakamoose’s decisions directly
impacted future generations of Indigenous youth, much like Wilma Pearl Mankiller’s
impact on future generations of the Cherokee people, as well as leaders of all races and
ethnicities.
A very influential and highly respected leader, Wilma Pearl Mankiller was most
known for her advocacy for Native American and women’s rights. She also spent a lot of
time working in promoting economic and social development within her community.
Born on November 18, 1945, in Tahlequah, Oklahoma, Mankiller moved with her family
to San Francisco in 1957 under a program to urbanize Native Americans. Her father was
a full-blooded Cherokee and her family debated politics at the dinner table.25 This
upbringing placed her at age 24, in 1969, in close proximity to the Native American takeover of Alcatraz, described below, which impacted her social justice ambitions. She
moved back to Oklahoma in 1971 with her two daughters, following her divorce. Her
social work skills and grant writing enabled her to make an impact on rural community
life. Later she served as the first woman deputy chief of the Cherokee beginning in
August 1983. Mankiller served as the first female Principal Chief of the Cherokee
Nation from 1985 to 1995, winning elections twice in 1987 and 1991. 26 During her time
as Chief, Wilma Mankiller was very popular and widely praised for her work and efforts
Dakota Wing and Ana-Maria Jerca. "“You were Really Good For First Time in
English”: Raciolingustic Discourse, Accommodation, and Gatekeeping Surrounding
Harnatayan Singh’s English Canadian NHL Broadcasts” (2021), 1.
24
Joseph, Bob. “What Is the Seventh Generation Principle?” Indigenous Corporate
Training Inc., June 6, 2023.
25
Wilson, “Wilma Mankiller.”.
26
King, Janis L. "Justificatory rhetoric for a female political candidate: A case study of
Wilma Mankiller." Women's Studies in Communication 13, no. 2 (1990), 21.
23
101
�to improve the lives of Cherokee Nation members as a whole. She worked to expand
health care services, strengthen tribal government, and increase educational opportunities
for members of the Cherokee Nation.27 She emphasized the importance of preserving
Cherokee culture and heritage.28
The Cherokee Heritage Center opened in 1967 and is dedicated to preserving
and promoting Cherokee culture and heritage. The center serves as a place for Indigenous
people to reconnect or learn more about their heritage. Mankiller was an active supporter
of the center which acts as a museum and cultural gathering space dedicated to
preserving Cherokee culture and traditions.29 During her campaign for Chief, she learned
important Cherokee history from elders in her community. She was educated on the
“tenacity of the Cherokee people, their belief in the importance of balance and harmony
between humans and nature, and their high regard for women.”30 Her vast knowledge of
the Cherokee way of living and great importance of community was priceless in her
campaign and is what led her to being elected Chief in 1987. Her primary focus as a
leader was on improving infrastructure and educational opportunities. To successfully
revitalize the Cherokee Nation, she believed more in partnership and giving people
opportunities rather than doing everything for them. She empowered her people “by
providing the resources but encouraging the people to actually do the work.” 31 During her
time as principal Chief she encouraged the people to decide what from the outside world
was of good use for their economic growth. In doing so, she also maintained traditional
Cherokee culture and values. Wilma Mankiller was “instrumental in achieving a balance
between the two worlds, while promoting Cherokee self-determination.”32 Mankiller was
a very proactive leader, she once said that “we must trust our own thinking. Trust where
we are going. And get it done.” This quote perfectly describes her proactivity and how
trust is essential for good leadership and confidence.
In 1969, a group of Native Americans took over the federal penitentiary on
Alcatraz Island and laid claim to it by right of discovery. This was a way to expose the
suffering endured by Indigenous people in the country. In her 1993 autobiography
Maureen O’Dea Caragliano, "Beyond Princess and Squaw: Wilma Mankiller and the
Cherokee gynocentric system" (1997), 83.
28
Candessa Tehee, “The Cherokee Heritage Center: Balancing Diverse needs.”
Practicing Anthropology 37, no. 3 (2015): 45.
29
Tehee. Practicing Anthropology, 45.
30
O'Dea Caragliano, "Beyond Princess and Squaw,” 70.
31
O'Dea Caragliano, "Beyond Princess and Squaw," 74.
32
O'Dea Caragliano, "Beyond princess and squaw", 66.
27
102
�“Mankiller: a Chief and her People”, Mankiller said, “when Alcatraz occurred, I became
aware of what needed to be done to let the rest of the world know that Indians had rights,
too.” The Alcatraz occupation lasted 19 months from 1969 to 1971. 33 Mankiller was not
directly involved with the occupation of Alcatraz, but she was a supporter of the
movement and its goals. Her involvement with the Alcatraz occupation reflects her
commitment to advocating for Indigenous rights and social justice. She continued to be
involved in activism throughout her life as her leadership and advocacy had a significant
impact on the Cherokee Nation.
Fred Sasakamoose and Wilma Mankiller are two Indigenous people who made
significant contributions to their communities as they broke down barriers for Indigenous
people in their respective fields. Both Fred Sasakamoose and Wilma Mankiller
demonstrated strong leadership in their respective areas of work. Fred Sasakamoose
showed leadership both on and off the ice. He was known for his dedication, hard work,
and perseverance as a hockey player, which allowed him to break down barriers in
professional sports. He laid the foundation for Zach Whitecloud and Brandon Montour,
two Indigenous professional hockey players, who faced-off against each other in the 2023
Stanley Cup Finals. He also used his platform to promote Indigenous issues and inspire
young Indigenous athletes to pursue their dreams. Wilma Mankiller worked to improve
healthcare, education, and economic development in her community, and was a strong
advocate for Indigenous rights and sovereignty from the 1970s onward. She also
established programs that supported the empowerment of women and girls in her
community. As the first woman to be elected as the principal chief of the Cherokee
Nation, she showed exceptional leadership in her role. Mankiller states in her
autobiography, "If I am to be remembered, I want it to be because I am fortunate enough
to have become my tribe's first female chief. But I also want to be remembered for
emphasizing the fact that we have indigenous solutions to our problems."34 In summary,
Sasakamoose and Mankiller demonstrated dedication and perseverance, as well as
advocacy for Indigenous rights, which are important qualities of effective leadership and
established a legacy.
33
Troy Johnson, "The Occupation of Alcatraz Island: Roots of American Indian
Activism," Wicazo Sa Review (1994), 64.
34
Wilson, “Wilma Mankiller.”
103
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Arcand, Eugene Wesley. “Closing Words: Sports Saved My Life.” Journal of Sport
History 46, no. 2 (2019): 318–24.
Arsenault, Virginia. “The Indian Residential School System.” Resistance to the Canadian
Truth and Reconciliation Commission. Swisspeace, 2015.
Forsyth, Janice, Taylor McKee, and Alex Benson. "Data, Development Discourse, and
Decolonization: Developing an Indigenous Evaluation Model for Indigenous Youth
Hockey in Canada." Canadian Ethnic Studies 53, no. 3 (2021): 121-140.
“Frederick Sasakamoose” "Indspire." 2020. Indspire. September 23, 2020.
Gasero, Mia. 2020. “Wilma Mankiller – Leadership Qualities – Indigenous Leaders &
Activists.” March 3.
Joseph, Bob. “What Is the Seventh Generation Principle?” Indigenous Corporate
Training Inc., June 6, 2023.
Johnson, Troy. "The Occupation of Alcatraz Island: Roots of American Indian
Activism." Wicazo Sa Review (1994): 63-79.
King, Janis L. "Justificatory rhetoric for a female political candidate: A case study of
Wilma Mankiller." Women's Studies in Communication 13, no. 2 (1990): 21-38.
Loyie, Larry and Constance Brissenden, “Fred Sasakamoose” The Canadian
Encyclopedia, March 11, 2015.
Mankiller, Wilma and Michael Wallis. Mankiller: A chief and her people. Macmillan,
2000.
O'Dea Caragliano, Maureen. "Beyond Princess and Squaw: Wilma Mankiller and the
Cherokee gynocentric system" (1997).
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Saskamoose, Fred. Call Me Indian: From Trauma of Residential School to Becoming the
NHL’s First Treaty Indigenous Player. Penguin Random House, 2021. Foreword by
Bryan Trottier.
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�Soifer, Aviam. "Confronting deep strictures: Robinson, Rickey, and racism." Cardozo L.
Rev. 6 (1984): 865.
Tehee, Candessa. “The Cherokee Heritage Center: Balancing Diverse Needs.” Practicing
Anthropology 37, no. 3 (2015): 45.
Thorne, Niki, and Maria Moss. 2022. “Unmarked Graves: Yet Another Legacy of
Canada’s Residential School System: An Interview With Niki Thorne”. New American
Studies Journal: A Forum 72 (April).
Valentine, John. "New racism and old stereotypes in the National Hockey League: The
“stacking” of Aboriginal players into the role of enforcer." Race and sport in Canada:
Intersecting inequalities (2012): 107-135.
Wing, Dakota, and Ana-Maria Jerca. "“You were Really Good For First Time in
English”: Raciolingustic Discourse, Accommodation, and Gatekeeping Surrounding
Harnatayan Singh’s English Canadian NHL Broadcasts”(2021), 107-135.
Young, Bryanne.“‘Killing the Indian in the Child’: Death, Cruelty, and SubjectFormation in the Canadian Indian Residential School System.” Mosaic: An
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�106
�
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Volume 22, Number 1
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Section I: Eastern Colleges Science Conference (Papers and posters presented at the 77th Annual Eastern Colleges Science Conference held in Fairfield, CT on April 1, 2023) -- Abstracts -- 3 Behavioral Response of the Zooplankter <em>Daphnia magna</em> to the Chemical Presence of a Visual Predator (the Zebrafish <em>Danio rerio</em>) / Bridget Damon -- 3 Calcium-mediated Modulation of Fibroblast Growth Factor Homologous Factor Induced Voltage-gated Sodium Channel Long-term Inactivation / Gabriella Goldschmidt -- 4 The Effects of Chronic Ethanol Exposure on Seizure Susceptibility in Planaria / Hasan Ibrahim -- 5 Online vs In-Person Learning: Self Efficacy, Self-Regulation, and Motivation in College Students / Gia Pecorella -- Light and Immunogold Transmission Electron Microscopy Analysis of Mast Cells in Adult Zebrafish Optic Tectum Upon Traumatic Brain Injury / Robert J. Tipaldi -- Section II: The Natural Sciences & Quantitative Analysis -- Full Length Papers -- 9 Behavioral Response of the Zooplankter <em>Daphnia magna</em> to the Chemical Presence of a Visual Predator (the Zebrafish <em>Danio rerio</em>) / Bridget Yvette Damon -- 35 The Effect of Rising Interest Rates During High Inflation on the Lower Socioeconomic Class / Hannah Munro -- 53 Influence of Empathetic Management on Unionization in the Workplace / Joy Mei Muller -- Section III: Critical Essays -- Full Length Papers -- 87 Free Will: Philosophical Debate, Neuroscientific Perspective, Practical Implications / Elisa Parazzi -- 97 “We have Indigenous Solutions”: Leadership Lessons of Indigenous Trailblazers / Kendall Tabobandung
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��EDITOR’S INTRODUCTION
The Wagner Forum for Undergraduate Research is an interdisciplinary journal which
provides an arena where students can publish their research. Papers are reviewed with
respect to their intellectual merit and scope of contribution to a given field. To enhance
readability the journal is subdivided into three sections entitled The Natural Sciences and
Quantitative Analysis, The Social Sciences, and Critical Essays. The first two of these
sections are limited to papers and abstracts dealing with scientific inquiries, business
research, clinical investigations and the use of mathematical/statistical modeling. The
third section is reserved for speculative papers based on the scholarly review and critical
examination of previous works.
Read on and enjoy!
Gregory J. Falabella, Ph.D.
Editor-in-Chief
Editorial Board
Dr. Annemarie Dowling-Castronovo, Nursing
Dr. Donald E. Stearns, Biological Sciences
Dr. Amy Eshleman, Psychology
Dr. Lori Weintrob, History
��Section I: The Natural Sciences &
Quantitative Analysis
Full Length Papers
3
Characterization of Novel Seed Endophytes in Medicago sativa
Sarah Lott
38 The Effect of Blockchain on Company Efficiency and Profit
Nicolas Olivier
Section II: The Social Sciences
Full Length Papers
59 The Effects of Influencer Marketing on Instagram and TikTok on
Brand Awareness in the Fashion Industry
Yasmin Rieger
81 Providing Mobile Healthcare to the Homeless Population of East
Harlem
Amanda Giordano, Mikaila Incantalupo and Tiffani-Raye Valentin
Section III: Critical Essays
Full Length Papers
101 Goblin Market Dramaturgy Packet for Wagner College Theatre
Production Stage One Theatre
Madeline Lee
115 Alive with Color: How Color Brings the Day of the Dead to Life
Diana Vidals
125 More than a Nurse, More than a Doctor: The Leadership of Dr.
Hadassah Bimko Rosensaft
Lejla Ivackovic
����Characterization of Novel Seed
Endophytes in Medicago sativa
Sarah Lott (Microbiology and Environmental Studies)1
The microbiome of plants is essential in their development and health. Seed endophytes are
microorganisms that live within the seeds of plants, the majority of which are believed to be
non-pathogenic, although more research is needed to better understand the function of seed
endophytes. They are present from the beginning growth stages and play many important
roles. A variety of bacterial species have been found as seed endophytes. They have also
been found to have common functions for colonization, benefiting plant growth, and
antifungal properties. In this project, seed endophytes were isolated from surface sterilized
Medicago sativa seeds on selective media for potassium solubilization, actinomycetes, and
nitrogen free media. Sterilized seeds were germinated and planted in Yosida agar. The
sterilized plants were then inoculated with the seed endophyte isolates and uptake of the
isolates into the plant roots was measured. The methods were improved, germinating the
seeds in sterile water often led to self-toxicity and the seeds germinated at a much higher
rate using the Murashige and Skoog Medium. Several sources of contamination within the
protocol were found and eliminated. The isolates also underwent DNA extraction and
colony PCR for 16S rRNA gene sequencing. Using this method, a Pseudomonas species
was identified. Seed endophytes from Medicago sativa were characterized.
I. Introduction
Members of Seed Endophyte Communities
Seed endophytes are microorganisms that can colonize the seeds of plants
without causing damage to the plant (Truyens et al., 2014). These microorganisms can be
beneficial to the seeds in many different ways. A great variety of organisms colonize
seeds. One hundred thirty-one bacterial genera have been found as seed endophytes,
according to a meta-analysis by Truyens and colleagues in 2014 (Truyens et al., 2014).
This included bacteria, identified using many different methods such as 16S rRNA
sequencing, which most commonly identified the phyla Frimicutes, Actinobacteria, and
the genera Pseudomonas, Enterobacter, Methylobacteria, Pantoea, and Sphingomonas
1
Research conducted under the supervision of Dr. Katherine Moccia in partial fulfillment of
the Senior Program requirements.
3
�(Ferreira et al. 2008, Mastretta et al., 2009, Johnston-Monje and Raizada 2011, Liu et al.,
2012). 16S rRNA sequencing is the most common genetic tool of phylogeny and
taxonomy, it looks at the 16S rRNA gene is found in all bacteria and archaea, is large
enough for bioinformatics and the function hasn’t changed (Janda and Abbott, 2007). PCR
DGGE was used to find Stenotrophomonas, Ochrobactrum, Pseudomonas, and
Enterobacter species (Hardoim et al., 2012). Bacillus, Pseudomonas, Burkholderia, and
Curtobacterium were isolated from seeds using fatty acid methyl ester profiles (Vega et al.
2005, Graner et al., 2003). Overall this meta-analysis found that the most common phyla
present in bacterial seed endophytes are Proteobacteria, Actinobacteria, and Frimcutes
across 25 plant species (Truyens et al., 2014). A core microbiota of seed endophytes is
conserved in maize and its ancestors from Mexico to Canada (Johnston-Monje and
Raizada, 2011).
A study of fungal seed endophytes identified Hormonema, Beauveria,
Cladosporium, Geopyxis, Geomyces, and Sarcinomyces from Pinus monticola seeds
(Ganley and Newcombe, 2006). Pini and colleagues looked at the bacterial communities in
Medicago sativa and found that Alphaproteobacteria dominated the plant tissues, but no
bands of 16S rRNA were recovered from surface-sterilized seeds (Pini et al., 2012).
MALDI-TOF has been used to find the phyla Proteobacteria, Actinobacteria, Frimicutes,
and Bacteroidetes within surface sterilized Medicago sativa seeds (Lopez et al., 2017).
Vertical Transmission of Endophytes
Johnston-Monje and Raizada found that the conserved core microbiota is
vertically transmitted between generations (Johnston-Monje and Raizada, 2011).
Endophytes can enter seeds in several ways. Vascular connections to the parent plant can
act as a path for endophytes to get into seed endosperm. Shoot meristems which can
develop into ovules can be colonized by endophytes causing the seeds to be colonized
(Truyens et al., 2014). This allows plants to pass beneficial bacteria onto their offspring
which might help maintain the stability of endophyte communities. The endophytes passed
down have been shown to be shaped by environmental stressors experienced by the parent
plant (Truyens et al., 2014). GFP gene tagging has been used to show the transfer of
Pantoea agglomerans from inoculated seeds to seedlings in Eucalyptus (Ferreria et al.,
2008). Endophytes from seeds were also found in the same switchblade plants a year later
(Gagne-Bourgue et al., 2012). Mitter and colleagues found that by adding
Paraburkholderia phytofirmans to the plants' flowers it would then be included in the
microbiome of that plant's progeny seeds (Mitter et al., 2017).
4
�Location of Endophytes within the Seed
Endophytes have been found in the seed coat, crease tissue, and endosperm
(Robinson et al., 2016). FISH has also been used to detect bacteria along the cell walls
inside of seeds (Compant et al., 2011). They have also been found in the intercellular
spaces of the root cortex and vascular system (Puente et al., 2009). Several different
endophyte isolates were found using GFP throughout the vascular system (JohnstonMonje and Raizada, 2011).
Seed Endophyte Functions
Metagenomic and bioinformatics studies have looked at bacterial endophyte
genomes for common genes and functions. Current evidence does not suggest that
endophytes are not specific to a plant host, so it makes sense that there is a general
strategy for host colonization. Prominent features found across many different species
were flagella, plant-polymer degrading enzymes, protein secretion systems, iron storage,
quorum sensing, detoxification of reactive oxygen species, nitrogen fixation and
denitrification, transporters, transcriptional regulators, redox potential maintenance
(Sessisch et al., 2012, Ali et al., 2014). Johnston-Monje and Raizada tested isolated seed
endophytes for similar traits and found that the ones most commonly observed were
phosphate solubilization and the production of acetoin/butanediol (Johnston-Monje and
Raizada, 2011). As discussed below, many of these can benefit plant growth, such as iron
storage, nitrogen fixation, and phosphate solubilization. Others may be useful for
colonizing the plants.
Interestingly, all known protein secretion systems other than type III were found
in endophytes. The type III section system is often used by pathogenic bacteria to control
host response (Sessisch et al., 2012, Ali et al., 2014). Several different plant-ployer
dragging enzymes have been found to help endophytes enter and move through the plant.
Similarly, flagella have been consistently found in seed endophytes; motility may likely be
helpful for colonization. The presence of enzymes used for the detoxification of reactive
oxygen species (ROS) have been found. Plants produce ROS when stressed, or as a
response to colonization by microorganisms, so it seems these enzymes might help
endophytes to survive (Sessisch et al., 2012, Ali et al., 2014). Transporter proteins for the
MFS and ABC transport systems have been found in endophytes, which may allow them
to take up nutrients from the plants (Ali et al., 2014). Many different translational
regulators were also found, mostly global regulators that affect cellular metabolism, which
may help respond to nutrients and the environment in the host (Ali et al., 2014).
5
�Plant Growth Promotion Among Seed Endophytes
Seed endophytes can provide many different benefits to plants. Several studies
have shown that they can stimulate plant growth. Many different plant growth-promoting
traits have been found in seed endophyte isolates, such as indole-3-acetic acid (IAA)
production, phosphate solubilization, siderophores production, nitrogen fixation, and 1aminocyclopropane -1-carboxylate (ACC) deaminase in Bacillus species isolated from
tomato seeds (Xu et al., 2014). IAA is naturally produced by plants to help with cell
growth but can also be made by bacterial symbionts. It promotes plant growth by altering
cell orientation, cell elongation and helping with organ development (Labeeuw et al.,
2016). Plant-associated bacteria release organic acids, which solubilize phosphates into
ortho-phosphate. Phosphate in the soil is insoluble making it unavailable to plants but
when microbes convert it to soluble phosphate then it can be used by the plants (Otenio et
al., 2015). Siderophores are used to uptake iron from the environment, which the plants
can then use (Lurthy et al., 2020). Plants produce ethylene under stress conditions.
Bacteria with the enzyme ACC deaminase can lower ethylene levels by hydrolyzing ACC,
the precursor of ethylene, into ammonia and α-ketobutyrate, which can make the plant
more resistant to stress (Gupta and Pandey, 2019). Some bacteria can produce the enzyme
dinitrogenase, which reduces N2 to fixed inorganic nitrogen, putting the nitrogen in a form
that the plants can use (Li et al, 2017). One study found that when cactus seeds were
inoculated with isolated source endophytic bacteria, they grew for a year with no
fertilization getting all of their nutrients from endophytes, the same seeds sterilized with
antibiotics they were unable to grow, but if sterilized seeds were inoculated then growth
resumed (Puente et al., 2009). Bacillus pseudomycoides strain BM1 was isolated from the
rhizosphere of alfalfa and has the ability to produce IAA, siderophores, lipase, cellulase,
and pectinase. It was also found that inoculating the seeds with BM1 increased root and
shoot length by up to 21.43% (Knezevic et al., 2021).
Seed endophytes have also been shown to have antifungal properties. Studies
have found well-known toxins from seed endophyte isolates such as surfactins (C 13, 14,
15), iturins, mycobacillin (Gagne-Bourgue et al., 2012). Iturnin and surfactins are
lipopeptides. They primarily work by binding to the cell membrane, forming ion channellike complexes, and releasing ions from cells, causing cell death (Tran et al., 2022).
Surfactins have been shown to have antifungal properties against several plant pathogens
in particular (Vitullo et al., 2012). Mycobacillin binds to ATP transports on the plasma
membrane, resulting in over-release and cell starvation (Tran et al., 2022). Rice seed
endophyte isolates were found to inhibit the growth of three plant pathogens, Curvularia,
Fusarium oxysporum, and Pythium ultimum (Ruiz et al, 2011). The isolated endophyte
Bacillus pseudomycoides strain BM1 inhibited F. graminearum, F. proliferatum, and F.
6
�oxysporum in vitro. When seeds were inoculated, the number of seedlings infected with F.
oxysporum were reduced by 25.41% (Knezevic et al., 2021).
Alfalfa as a Model Organism
Alfalfa (Medicago sativa) is a legume grown in temperate climates around the
world and is often used in crop rotation. It is useful in crop rotation due to its symbiotic
nitrogen fixing bacteria which can help add organic nitrogen to the soil (Pini et al., 2012).
Alfalfa has also been investigated as a possible crop for biomass feedstock to be turned
into bioenergy (Sanderson and Adler, 2008). Alfalfa has also been used in land restoration
due to the deep taproot and nutrient cycling abilities. It is often used as a model species for
studies of bacterial symbionts of plants, especially Sinorhizobium meliloti (Pini et al.,
2012).
Summary
The microbiome of plants is essential in their development and health. Seed
endophytes are microorganisms that live within the seeds of plants, the majority of which
are believed to be non-pathogenic although more research is needed to better understand
the function of seed endophytes. They are present from the beginning growth stages and
play many important roles. They have been found to be vertically transmitted between
generations. A variety of bacterial species have been found as seed endophytes. They have
also been found to have common functions for colonization, benefiting plant growth, and
antifungal properties.
II. Materials and Methods
Biological Materials
Alfalfa Seeds (Medicago sativa), Isolates 1-6
Other Materials
Media Ingredients
Magnesium sulfate (MgSO4), Calcium Carbonate (CaCO₃), Potassium Feldspar
(AlKO8Si3), Dextrose (C₆H₁₂O₆), Ferric Chloride (FeCl3), Agarose (C24H38O19), Sucrose
(C12H22O11), Magnesium Sulfate (MgSO₄), Sodium Chloride (NaCl), Ferrous Sulfate
(FeSO4), Sodium Molybdate (Na2MoO4), Difco Bacto Actinomycete Isolation Agar
dehydrated, Ammonium nitrite (NH4NO2), Potassium sulfate (K2SO4), Calcium chloride
(CaCl2), Manganese(II) chloride (MnCl2), (NH4)Mo7O2, Boric acid (H3BO3), Copper
sulfate (C4SO4), Potassium phosphate (KH2PO4), Ethylenediaminetetraacetic acid
(EDTA), LB broth mix, TSA mix, Murashige and Skoog Medium.
7
�Lab Equipment
Distilled water, Bleach, 1.5ml Eppendorf Tubes, Sterile Petri dishes, 70%
ethanol, sterile 1X Phosphate Buffered Saline, p20/p200/p1000 pipettes and sterile tips,
PCR tubes, agarose, 1X TAE, gel box, 15ml tubes, sterile mortar, mason jars, Autoclave,
heat block, 280C incubator, Thermocycler, Spectrophotometer, grow lights, nanodrop, and
qubit.
Molecular reagents
Invitrogen 27F, invitrogen 1492R, Master Mix, DNA Ladder, DNA loading dye,
Promega Wizard SV Gel and PCR cleanup kit, Qiagen DNeasy Ultra Clean Microbial kit,
ITS 4, ITS 9, and Qubit reagents.
Table 1: Primers used in these experiments
Primer Name
Sequence
27F
5'-AGAGTTTGATCCTGGCTCAG-3’
1492R
5'-AGAGTTTGATCCTGGCTCAG-3’
ITS4
5’-TCC TCC GCT TAT TGA TAT GC-3’
ITS9
5’-GAA CGC AGC RAA IIG YGA-3’
Techniques
Culture-based Methods
Media Preparation- Alexsandrow’s Media/ Jensen’s Media/ Actinomycetes Media
1000ml of Alexsandrow’s Media (K solubilization) was made using 0.5g of
Magnesium Sulfate, 0.1g of Calcium Carbonate, 2g of Potassium Feldspar, 5g of
Dextrose, 0.005g Ferric Chloride, 20g of Agar. The 2g of Calcium Phosphate was left out
because there was none in the lab. 1000 ml of Jesens Media (Nitrogen Free) was made
using 20g of Sucrose, 1g of Potassium Phosphate, 0.5g of Magnesium Sulfate, 0.5g of
Sodium Chloride, 0.1g of Ferrous Sulfate, 0.005g of Sodium Molybdate, 2g of Calcium
Carbonate, and 15g of Agar (Jesen, 1941). Potassium Phosphate was substituted for
dipotassium Sulfate. 1000ml of Actinomycetes Media was made using 22g of Difco Bacto
Actinomycete Isolation Agar dehydrated, which contains 2g of Sodium Caseinate, 0.1g of
Asparagine, 4g of Sodium Propionate, 0.5g of Dipotassium Phosphate, 0.1g of Magnesium
8
�Sulfate, 0.001g of Ferrous Sulfate, and 15g Agar. All three media were made by
dissolving the ingredients listed above in 1000ml of distilled water on a hotplate, once
dissolved they were placed within the autoclave (Buxton 8200) and the autoclave was set
to the liquid cycle. Once the autoclave cycle finished, they were all allowed to cool. Once
cooled enough to touch the media was poured into sterile labeled petri dishes in the sterile
media hood. Once the plates were cooled and solidified, they were placed into labeled
sleeves and stored in the refrigerator. All other media for this experiment was prepared the
same way.
Seed Surface Sterilization and isolation of organisms
Fresh 10% bleach solution was made. About 30 Alfalfa seeds were added to a
sterile 1.5 ml eppendorf tube. 70% ethanol was added to the tube to cover the seeds and
left at room temperature for five minutes. The ethanol was poured off and 10% bleach
solution was added to cover the seeds and left at room temperature for five minutes. The
bleach solution was poured off and the seeds were rinsed five times with sterile water. 1X
PBS was added to the tube to cover the seeds and they were left overnight at room
temperature. The next day a sterile mortar was used to homogenize the seeds. A p200 was
used to pipet 100μl of homogenized material onto each plate. Three plates of each media
(Alexandrow’s, Jensen’s, and Acintomyeyete) were used. Each of these plates plus one
control per media were placed in a 280C incubator.
Six days later there was growth on all of the plates inoculated with homogenized
seeds and no growth on the control plates. One organism was isolated from the
Actinomycete media (Isolate 1). Two organisms were isolated from the Jensen’s media
plates (Isolate 2 and 3). Two organisms were isolated from the Alexdanrow’s Media plates
(Isolates 4 and 5). The organisms were isolated by touching a sterile loop to the colony
and then performing a quadrant streak on the corresponding media. Each isolate was
quadrant streaked twice. The new plates were incubated at 280C. The original plates were
also incubated in order to look for slow growing organisms.
Media preparation- Yoshida Agar
Stock solutions were prepared for the Yoshida Agar in 50ml of distilled water.
2.84g of NH4NO2 for a 50X solution, 2.18g of K2SO4 for a 50X solution, 3.675g of CaCl2
for a 50X solution, 6.16g of MgSO4 for a 50X solution, 0.204g of MnCl2 for a 250X
solution, 0.01g of (NH4)Mo7O2 for a 250X solution, 0.143g of H3BO3 for a 250X solution,
0.003g C4SO4 for a 250X solution, 1.07g KH2PO4 for a 250X solution, and 1.55g of
EDTA for a 250X solution. Regular EDTA was substituted for Ferric EDTA and KH 2PO4
was substituted for H2PO4, ZnSO4 was left out.
9
�Seed Sterilization and Germination
A 3% bleach solution was made. Alfalfa Seeds were added to a sterile 1.5ml
eppendorf tube. Sterile water was added to the level of the seeds. The tube was then heated
on a 400C heat block (VWR scientific products Select heatblock) for thirty minutes. The
water was removed and 70% ethanol was added to cover the seeds and left at room
temperature for one minute. The ethanol was removed and the freshly prepared 3% bleach
was added to cover the seeds and left at room temperature for five minutes. The bleach
was removed and the seeds were rinsed with sterile water. The seeds were left in a small
approximately 8 ml petri dish with sterile water and covered with foil for two days then
left to sit under the grow lights for one day.
The original sterilized seeds were not germinating, possibly due to self toxicity.
The seed sterilization was performed again as above but this time they were put in a
normal approximately 20 ml sized petri dish at the end with sterile water.
Colonization Experiment 1
LB broth was made using the mix. 5ml of LB broth was added to sterilized 15ml
tubes and then inoculated with each of the isolates. They were incubated in the 280C
incubator for two days. The optical density of each isolate was measured using the
spectrophotometer. They were then standardized to 0.01 OD. The Yoshida agar was made
by using 1ml of 50X stock solutions and 200μl of 250X stock solutions and the media
preparation as described above. Three plates per isolate were prepared. Each plate was
prepared by using sterilized tweezers to place one germinated seed on each plate. 100μl of
each standardized isolate was pipetted onto the corresponding plant focusing on the root
area. The plants were then placed under the grow lights for one week.
Tryptic Soy Agar was made using a mix and the media preparation as described
above as a general media for the serial dilutions. Using sterilized tweezers the plants were
placed into individual 1.5 ml eppendorf tubes and weighed, the weight was recorded.
500μl of 1X PBS was added to each tube; the tube was then vortexed for thirty seconds
and poured off; this was repeated twice. 500μl of 1X PBS was added to each tube and the
plant was homogenized with a sterile mortar. Once homogenized a serial dilution with 1X
PBS was performed on each plant up to 10-6. 100μl of each dilution was plated onto a TSA
plate which was then spread with a sterile loop. The plates were then placed in the
incubator at 280C. Two days later all of the plates were equally contaminated. A TSA plate
and TSA plate with the 1X PBS were placed in the 280C incubator.
Seed Sterilization and Germination
Germination Agar was made using 2.22g Murashige and Skoog Medium and 5g
of agar in 500ml distilled water and using media preparation as described above. Seed
10
�sterilization was performed as described above. About ten sterilized seeds were placed on
each of the four plates using sterile tweezers. The plates were wrapped in foil and left on
the bench for two days. Then the plates were placed under the grow lights for one day.
Colonization Experiment 2
Made LB broth and added 5ml to 15ml falcon tubes which were inoculated with
the isolates and put in the 280C incubator for two days. The Yoshida agar was made again
as described above but put into mason jars that had been sterilized in the autoclave. The
isolates in LB broth had the optical density measured and were standardized as described
above. The germinated seeds were placed in the mason jars and the rest of the inoculation
was performed as described previously. Had two control plants which were placed in the
mason jars but not inoculated. The Mason jars were placed under the grow lights for one
week and the serial dilutions were performed as described above.
Seed Sterilization
The seed sterilization used before germinating seeds was performed but at the
end the seeds were homogenized and plated on LB agar. The plates were put in the 280C
incubator for two days. The same procedure was done with new bleach at 3% and 10%.
The seed sterilization was performed as described above using 3% of the new
bleach. Three plates of Murashige and Skoog Medium with 10 sterilized seeds each were
placed under the grow lights for three days.
Germination Experiment
The seed sterilization was performed as described above using 3% of the new
bleach. The isolates were grown in LB broth and standardized to 0.01 optical density using
the spectrophotometer as described above. 15ml of each 0.01 OD isolate (other than
isolate 4 which did not grow enough in the LB broth) were added to a sterile petri dish and
twenty sterilized seeds were added to each dish along with a control petri dish with 15ml
sterile water. The petri dishes were then left under the grow lights for one week.
Colonization Experiment 3
One 1L of Yoshida was made as described above. Six of the germinated sterilized
seeds were placed into their own mason jars with Yoshida agar. Three were left as controls
and three were inoculated with 50 ul of 0.1 OD of isolate 2. The mason jars were left
under the grow lights for one week. The plants were weighed and the homogenization and
serial dilution were performed again as described above. The plants were homogenized in
11
�200ul 1X PBS and 50ul of each dilution were plated on the LB plates and placed in the
280C incubator for two days.
In order to calculate the colony forming units (CFU) per gram the amount of
colonies on each serial dilution plate was counted, anything over 300 colonies was
considered too numerous to count (TNTC). The amount of CFU in 200ul was calculated
by multiplying the amount on plates (amount in 50ul) by four. The CFU per gram was
found by dividing the CFU in 200ul by the weight of the plant in grams.
Molecular Methods
Colony PCR and PCR Cleanup
After five days when the isolates had grown a colony PCR was performed. 1μl of
invitrogen 27F, 1 μl of invitrogen 1492R, 12.5μl of Master Mix (Taq 2X Master Mix NEB
#MO270S), 9.5μl dH2O, were added to six PCR tubes. Each colony was touched using a
sterile loop and then the loop was submerged in the corresponding PCR tube. The PCR
tubes were put into the thermocycler (Applied biosystems GeneAmp PCR system 9700)
and ran with the program: 940C- 3 minutes, (940C- 1 minute, 480C - 30 seconds, 720C - 1
minute) x35, 720C - 7 minutes, 40C. An agarose gel was made using 0.3g of agarose, 60ml
of 1x TAE, combined in a 150ml flask and microwaved in thirty second increments until
dissolved. The flask was left at room temperature until cooled and then poured into the gel
box thing. The ladder was prepared by combining 8μl of dH2O, 2μl DNA Ladder, 2μl
loading dye in a PCR tube. After the cycle had run 5μl of DNA loading dye was added to
each tube, and 5μl of each sample were loaded into the gel along with the ladder. The gel
box was filled with 1x TAE and at 50 volts for thirty minutes. Once done the gel was
imaged using the UV gel box (Fisher scientific Transilluminator FBTIV-88).
PCR Cleanup was performed using the Promega Wizard SV Gel and PCR
cleanup kit. 10μl of PCR product from isolate 2 was used. The kit protocol was followed.
The product was sent to Genewiz for sequencing and the results were visualized using
Ugene and identified using NCBI BLAST.
DNA Extraction
Used Qiagen DNeasy Ultra Clean Microbial kit according to protocol to extract
DNA from each of the isolates. Working stocks of ITS 4 and ITS were made. 10μl of
Master Mix, 0.5μl of ITS 4, 0.5μl of ITS 9, and 2μl of DNA extraction product were added
to each PCR tube. The PCR tubes were added to the thermocycler and run using the
program: 950C - 3 minutes, (950C - 30 seconds, 550C - 30 seconds, 720C - 30 seconds)
x25, 720C - 5 minutes, 40C. Made and loaded gel as described above. The DNA extraction
12
�products were nanodroped (Thermo scientific nanodrop 2000c). The ITS PCR was
performed again with a positive and negative control.
ITS PCR
A PCR was performed using the DNA extraction product. 0.5 μl of ITS 4, 0.5 μl
of ITS 9, and 10μl of Master Mix, were added to 7 PCR tubes. 2μl of DNA extraction
product from each isolate was added to the corresponding tube. The PCR tubes were put
into the thermocycler (Applied biosystems GeneAmp PCR system 9700) and ran with the
program: 950C- 3 minutes, (950C- 30 seconds, 550C - 30 seconds, 720C - 30 seconds) x25,
720C - 5 minutes, 40C. An agarose gel was made using 0.3g of agarose, 60ml of 1x TAE,
combined in a 150ml flask and microwaved in thirty second increments until dissolved.
The flask was left at room temperature until cooled and then poured into the gel box. The
ladder was prepared by combining 8μl of dH2O, 2μl DNA Ladder, 2μl loading dye in a
PCR tube. After the cycle had run 5μl of DNA loading dye was added to each tube, and
5μl of each sample were loaded into the gel along with the ladder. The gel box was filled
with 1x TAE and at 100 volts for twenty minutes. Once done the gel was imaged using the
UV gel box (Fisher scientific Transilluminator FBTIV-88).
The exact same protocol was repeated using only a positive and negative control.
16S PCR and PCR Cleanup
A PCR was performed using the DNA extraction product. 1.5 μl of invitrogen
27F, 1.5 μl of invitrogen 1492R, 12.5μl of Master Mix, 8.5μl dH 2O, were added to 8 PCR
tubes. 1μl of DNA extraction product from each isolate was added to the corresponding
tube. The PCR tubes were put into the thermocycler (Applied biosystems GeneAmp PCR
system 9700) and ran with the program: 94 0C- 5 minutes, (940C- 30 seconds, 580C - 30
seconds, 720C - 1 minute) x25, 720C - 10 minutes, 40C. An agarose gel was made using
0.3g of agarose, 60ml of 1x TAE, combined in a 150ml flask and microwaved in thirty
second increments until dissolved. The flask was left at room temperature until cooled and
then poured into the gel box. The ladder was prepared by combining 8μl of dH2O, 2μl
DNA Ladder, 2μl loading dye in a PCR tube. After the cycle had run 2μl of DNA loading
dye was added to each tube, and 5μl of each sample were loaded into the gel along with
the ladder. The gel box was filled with 1x TAE and at 75 volts for twenty minutes. Once
done the gel was imaged using the UV gel box (Fisher scientific Transilluminator FBTIV88).
PCR Cleanup was performed using the Promega Wizard SV Gel and PCR
cleanup kit. 20μl of PCR product from isolates, 1, 4, 5, and 6 was used. The kit protocol
13
�was followed. The PCR cleanup product was nanodropped and then a Qubit was also
performed.
The 16S PCR was performed again exactly as described above. A PCR Cleanup
was performed using the QIAGEN PCR cleanup kit, eluting in 30μl elution buffer and
letting the elution buffer sit for one minute before centrifugation. The products were sent
to Genewiz for sequencing and the results were visualized using Ugene and identified
using NCBI BLAST.
III. Results
Isolation of organisms
Six different colonies were isolated from the surface sterilized alfalfa seeds.
Isolate 1 grew on the Actinomycetes media, it was a small yellow round shiny colony.
Two colonies were isolated from the Jensens Media. Isolate 2 was very small round white
colonies, isolate 3 was a larger white fuzzy colony. Two colonies were isolated from the K
Solubilization agar. Isolate 4 was a small round white colony, isolate 5 was a large fuzzy
white colony with a slightly green center. There was no growth on any of the control
plates. 5 days after the initial isolation another slow growing colony was isolated. Isolate 6
grew on the K solubilization agar and had small, tall, hard colonies that were gray with a
white coating. These plates can all be seen in Figure 1.
Figure 1: Left to right, Isolate 1 on Actinomycetes agar, Isolates 2 and 3 on Jensen's
Media, Isolates 4 and 5 on K Solubilization Agar, Isolate 6 on K solubilization agar.
Seed Sterilization
After the alfalfa seeds were sterilized, they were placed in an 8ml petri dish with
sterile water and 4 of the 88 seeds germinated. More alfalfa seeds were sterilized and then
placed in a 20ml petri dish and 28 of the 66 seeds germinated (Figure 2).
14
�Figure 2: Left, Sterilized alfalfa seeds in an 8ml petri dish with sterilized water after 2
days in tin foil and 4 days under the grow lights. Right, sterilized alfalfa seeds in a 20ml
petri dish with sterilized water after 2 days in foil and 1 day under the grow lights.
Colonization Experiment 1
After one week under the grow lights the inoculated alfalfa sprouts’ roots and
leaves had grown and the inoculated bacteria could be seen in a halo in the Yoshida agar
surrounding the plant roots (Figure 3).
Figure 3: Alfalfa plants grown on yoshida agar and inoculated with isolates 4 and 5 after
one week under grow lights.
In the first colonization experiment there was an even amount of contamination
growth across all of the plates after two days in the 28 0C incubator. All plates of an isolate
6 replicate are shown as a representation but all of the plates looked very similar across all
isolates and replicates (Figure 4). To find the contamination a plain TSA plate was
incubated and no growth occurred, but there was growth on the plate with the 1X PBS
used.
Seed Germination
Seeds were germinated using Murashige and Skoog Medium and 88% of the
seeds germinated (Figure 5).
15
�Figure 4: Serial Dilutions of homogenized alfalfa sprouts inoculated with isolate 6 on
TSA after two days in the 28oC incubator and 1X PBS on TSA after one day in the 28 oC
incubator.
Figure 5: Sterilized alfalfa seeds germinated on Murashige and Skoog Medium after 2
days in tin foil and 3 days under the grow lights.
Table 2: Effectiveness of methods for germinating Alfalfa seeds
Method of
Germination
Number of seeds
germinated
Total number
of seeds
Percent of seeds
that germinated
Sterile water in
8ml petri dish
4
88
0.45%
Sterile water in
20ml petri dish
28
66
42%
Murashige and
Skoog Medium
39
44
88%
16
�Figure 6: Percent of alfalfa seeds germinated using different methods
Colonization Experiment 2
In the second colonization experiment there was growth on all of the serial
dilution plates including the control. There were multiple colonies with different colony
morphology across all plates. The contamination was consistent with the dilutions, there
was much more growth on the 100 plates than on the 106 plates.
Seed Sterilization
The alfalfa seed sterilization was performed exactly as before but the seeds were
immediately homogenized and plated onto LB agar, there was growth on the plates. It was
found that the bleach in the lab was one year expired. The serialization was performed
again with new bleach at both 3% and 10% and there was no growth for either (Figure 7).
Figure 7: Left to right, homogenized seeds after seed sterilization using original bleach
from the lab on LB agar after 2 days in the 28 oC incubator, homogenized seeds after seed
17
�sterilization using new bleach at 3% then 10% on LB agar after 2 days in the 28 oC
incubator.
Germination Experiment
Sterilized seeds were germinated in 0.01 OD of each of the isolates under grow
lights for one week. There was only germination in the control with sterile water. The
sterilized seeds in the inoculants did not germinate (Figure 8).
Figure 8: Left to right, 15 ml of isolates 1, 2, 3, 5, at 0.01 OD and control of sterile water.
Each plate with 20 sterile alfalfa seeds after 1 week under grow lights
Colonization Experiment 3
In the third colonization experiment one of the controls got contaminated, the
other two had no growth. For isolate 2, replicate 1 had 12 colonies on the 10 -6 plate and
125 colonies on the 10-5 plate, replicate 2 had 18 colonies on the 10-5 plate and 178
colonies on the 10-4 plate, lastly replicate 3 had 2 colonies on the 10-6 plate and 46 colonies
on the 10-5 plate. This can be seen in Figure 9.
Figure 9: Results of third colonization experiment, serial dilutions on LB agar after 24
hours in 280C incubator. From top to bottom, Control replicates 1-3 and Isolate 2
Replicates 1-3.
There was found to be 16x108 CFU/g for replicate 1, 18x107 CFU/g for replicate
2, and 2x108 CFU/g for replicate 3 for isolate 2 (Tables 3a and 3b).
18
�Table 3a: Isolate 2 Colony Counts
Isolated
Microbe
2
Control
Replicate
Number
1
2
3
1
2
3
Eppendorf Tube
Weight (g)
1.09
1.09
1.09
1.09
1.09
1.09
Eppendorf Tube
with Plant (g)
1.12
1.13
1.13
1.11
1.13
1.11
10-1
10-2
10-3
10-4
10-5
10-6
TNC
TNC
TNC
TNC
TNC
TNC
TNC
TNC
TNC
TNC
178
TNC
125
18
46
12
0
2
0
0
0
0
0
0
0
0
0
0
0
0
Table 3b: Isolate 2 CFU Calculations
Isolated
Microbe
2
Control
Replicate
Number
1
Eppendorf Tube
Weight (g)
1.09
Eppendorf Tube
with Plant (g)
1.12
2
1.09
3
CFU on
Plate
CFL per
200ul
4,800,000
CFL per
gram
1210-6
CFL per
50ul
12,000,000
1.13
1810
1,800,000
720,000
1.8108
1.09
1.13
210-6
2,000,000
800,000
2.0108
1
2
1.09
1.09
1.11
1.13
0
3
1.09
1.11
0
-5
Figure 10: CFU per gram of isolate 2 in alfalfa
19
1.6109
�Colony PCR
A colony PCR was performed and a band was there for the positive control and
for isolate 2 (Figure 11).
Figure 11: Gel from Colony PCR, from left to right Ladder, positive control, negative
control, isolates 1, 2, 3, 4, 5, 6
DNA Extraction
A DNA extraction was performed and the DNA extraction product was
nanodroped. The DNA concentration varied by isolates with some having very high
concentrations of DNA and others with very little (Table 4).
ITS PCR
An ITS PCR was performed and there were bands for isolates 1 and 4. The bands
appeared to be between 600-400bp (Figure 12).
Table 4: DNA concentration in extracted DNA product from each isolate
Isolate
Nanodrop DNA
Concentration (ng/µl)
1
185
Graph
20
�2
132.7
3
2.4
4
242.9
5
25
6
56.3
21
�L
1
2
3
4
5
6
Figure 12: Gel from ITS PCR
The ITS PCR was performed again using just a positive and negative control; no
bands for either control appeared (Figure 13).
L
+
-
Figure 13: Gel from ITS PCR with only controls
16S PCR and PCR Cleanup
A 16S PCR was performed using the DNA extraction product, there was a
between 2640bp and 1400bp band for the positive control as well as all isolates other than
isolate 3 (Figure 14).
The results from the 16S PCR Cleanup were nandroped and all isolates had very
low concentrations of DNA. A Qubit was performed and very similar concentrations of
DNA were detected for all samples (Table 5).
The 16S PCR was performed again with a modified PCR Cleanup and the
nanodrop DNA concentrations were higher, between 31 and 16ng/µl (figure 15).
22
�L
1
2 3
4
5
6
+
-
Figure 14: Gel from 16S PCR using DNA extraction product
Table 5: DNA concentration from 16S PCR Cleanup
Isolate
Nanodrop DNA
Concentration (ng/µl)
Nanodrop Graph
1
3.9
3.09
4
3.3
2.96
5
2.0
1.93
6
7.2
3.30
23
Qubit DNA
Concentration (ng/µl)
�Figure 15: Gel from second 16S PCR using DNA extraction product
Table 6: DNA concentration from modified 16S PCR Cleanup
Isolate
Nanodrop DNA
Concentration (ng/µl)
1
31.0
4
23.9
5
16.1
6
22.0
Graph
24
�The PCR product from isolate 2 from the colony PCR was sent to Genewiz for
sequencing and using NCBI BLAST was found to be a 99.35% match for several
Pseudomonas partial sequences.
The PCR products for Isolates 1,4,5, and 6 from the 16S PCR were sent to
Genewiz for sequencing. The samples were visualized using Ugene and appeared to be a
little bit contaminated. The samples were identified using NCBI BLAST anyway. Isolate 1
had no BLAST matches. Isolate 4 was a 93% match for Pseudomonas monteilii. Isolate 5
was a 77% match for Pseudarthrobacter sp.L1SW. Isolate 6 was an 83% match for
Pantoea agglomerans.
25
�Figure 16: 16S sequences for (from top to bottom) isolate 2, 1, 4, 5, 6, visualized in
UGene
IV. Discussion
Summary
Seed endophytes from alfalfa were isolated and characterized. The germination of
sterilized seeds was optimized and the best germination was found using Murashige and
Skoog Medium. Two different sources of contamination were identified and eliminated in
the colonization experiment, 1X PBS and expired bleach. It was found that isolate 2
(Pseudomonas sp) colonized alfalfa at an average of 6x108 CFU/g after 7 days. Using
colony PCR and 16S PCR the isolates were identified as a probable Acintomcyeytes
species, 99.35% match for Pseudomonas species, a 93% match for Pseudomonas
monteilii, a 77% match for Pseudarthrobacter sp, and an 83% match for Pantoea
agglomerans. An optimal PCR cleanup protocol was also developed. The protocols for
these experiments were performed for the first time at this institution and optimized. This
created a functioning framework of experiments for this lab.
Culture Based Experiments
The germination of the alfalfa seeds was optimized. In the first attempt to
germinate the surface sterilized seeds only 4 of the 88 seeds germinated. This may have
been due to alfalfa autotoxicity. Alfalfa are known to have autotoxicity where water
soluble compounds are secreted which inhibit germination. These allelochemicals are
likely produced in the shikimic acid or acetate pathway. They work by inducing oxidative
stress and causing reactive oxygen species to build up which can result in membrane lipid
peroxidation and even cell death (Zhang et al, 2021). When the alfalfa were germinated in
a larger petri dish with less seeds 41% more of the seeds germinated. The highest
percentage of seeds germinated when using Murashige and Skoog Medium, this is a
medium for plant growth (Murashige and Skoog, 1962).
There were several sources of contamination that were found and eliminated.
During the first colonization experiment the serial dilution plates were all equally
overgrown with contamination. Since the contamination was the same throughout all of
26
�the serial dilution plates the contamination most likely occurred after the dilution had
taken place. The most likely sources were either the TSA plates themselves or the 1X PBS
which was used to dilute the samples. A TSA plate and a TSA plate with 50ul of 1X PBS
were left in the incubator. There was no growth on the plain TSA plate but there was
growth on the 1X PBS plate (Figure 4). This indicates that the 1X PBS was the source of
this contamination. The lab is a shared space among both research students and students
using the space for lab assignments for classes. 1X PBS is very commonly used in many
different experiments. There were many different opportunities for the 1X PBS to become
contaminated.
In the second colonization experiment there was still contamination but the
contamination was serially diluted. There were several different types of colonies on each
plate including the control but the distribution through the dilutions was what was
expected. The contamination being diluted means that the contamination had to occur
before the serial dilution step. It also means that the original source of contamination had
been eliminated. In order to find this new source of contamination the earlier steps within
the protocol were evaluated. The first step is sterilizing the seeds which are then
germinated. The seeds were sterilized according to the original procedure and immediately
homogenized rather than germinated. The homogenization was plated on LB agar and
there was growth so the original seed sterilization procedure was not working (Figure 7).
The bleach used during this procedure was the bleach used to clean the labs. After
examining all the reagents used to the procedure it was found that the bleach in the lab was
over a year expired. The seed sterilization was performed again with fresh bleach at both
3% and 10% bleach concentrations and there was no growth on the plates (Figure 7). The
issue with the procedure was the expired bleach and when fresh bleach was used the seeds
were sterile so that source of contamination was eliminated. Since there was no growth on
plates at both concentrations the issue was the bleach itself and not the concentration of
the bleach so going forward 3% of the fresh bleach continued to be used for this
procedure.
The colonization experiment was repeated but less seeds germinated. This could
be due to the fresh bleach in the sterilization protocol. Due to the amount of germinated
seeds, the colonization experiment was performed with only controls and isolate 2 since
isolate 2 was able to be identified at that point. There was no growth on any of the plates
for two of the controls but one of the controls had growth on the plates (Figure 9). The
growth followed the serial dilutions and the colony morphology was the same as isolate 2.
The serial dilutions and plating for the isolate 2 replicates was done before the controls.
The control that was contaminated was the first control replicate so it is possible that the
contamination occurred during the procedure. There was found to be 16x10 8 CFU/g for
27
�isolate 2 replicate, 1. 18x107 CFU/g for isolate replicate 2, and 2x108 CFU/g for isolate 2
replicate 3 (Table 3). These values are similar to what has been found for other
Pseudomonas species colonizing alfalfa. P. fluorescens F113 has been found to colonize
alfalfa roots at a level of 2.9x107 CFU/g at day 7 (Villacieros et al., 2003).
None of the seeds germinated in the presence of 0.01 OD of the isolates (Figure
8). This could mean that the isolates are plant pathogens. Since all of them did not grow
there also could have been an issue with the protocol or calculations. There was also an
unexpected amount of turbidity in the water for 0.1 OD. This could indicate that the
calculations were off or the spectrophotometer values were off. The spectrophotometer is
quite old and infrequently used so it is very possible that the calibration is off. The control
group of sterile water had an expected amount of germination which indicates that there
was not an issue with the protocol. This experiment could be run again using a different
spectrophotometer and having another person double check all calculations.
Molecular Experiments
A colony PCR is performed by touching a sterile loop to an isolated colony on an
agar plate and using that as the DNA template for the PCR. When this was done there was
only a band for one of the isolates, isolate 2 (Figure 11). Colony PCR is a lab technique
usually used for rapid screening of yeasts or bacteria. Since it relies on using an isolated
colony as the DNA template rather than DNA that has been extracted, often they do not
work. This is because the membrane of the cells is unable to be broken open during the
PCR. Since gram positive bacteria have a thick peptidoglycan cell wall they are harder to
break open using colony PCR. The one organism that was amplified during the colony
PCR was later found to be a Pseudomonas sp. which are gram negative. Other than isolate
4, the other isolates that underwent the colony PCR were later identified as gram positive
organisms which might explain why they were not amplified by the colony PCR.
The first time that the ITS PCR was performed there were bands for some of the
isolates but they appeared to be the wrong length (Figure 12). The protocol was done
again with a positive and negative control and no bands appeared for either (Figure 13). It
was confirmed that the primers used were correct and the DNA extraction products were
nanodropped and other than isolate 3 all had fairly high concentrations. Later bands were
found for all isolates other than isolate 3 during the 16S PCR, meaning that the isolates
were all either bacteria or archaea. This would explain why there was no amplification
during the ITS PCR as the ITS region is found in fungi (Martin and Rygiewicz, 2005). If
none of the isolates were fungi then there is no ITS region to amplify.
A 16S PCR was performed using the DNA extraction products and there were
bands for all isolates other than isolate 3 which is to be expected since the initial DNA
28
�concentration for that sample was very low (Figure 14). A PCR cleanup was performed
using the Promega Wizard SV Gel and PCR cleanup kit and the DNA was eluted in 50ul
sterile water. The DNA concentrations were very low using both the nanodrop and Qubit
DNA concentrations between 1-3 ng/ul were found (Table 5). The PCR was performed
again with the same results for the gel. The PCR cleanup was performed using the
QIAGEN PCR cleanup kit and the DNA was eluted in 30ul of elution buffer and let to sit
for one minute before the final centrifugation. After this change to the protocol DNA
concentrations between 16-31 ng/ul were found (Table 6). For this kit DNA elution is
most efficient under slightly basic conditions (pH between 7 and 8.5) with a low salt
concentration (Kit handbook). DNA is more stable at this slightly basic pH because
hydroxide ions can interrupt the hydrogen bonds in the DNA. It being more stable allows
it to dissolve faster in the buffer which is important as the elution step is very quick. The
pH of the sterile water used for the initial elution was not tested and if the pH was too
acidic that could have interfered with the elution and caused the low DNA concentrations
initially found.
Isolate 1 was unable to be identified using molecular techniques. It was amplified
using 16S primers meaning that it is either a bacteria or archaea. It was also isolated on
actinomycetes selective media. Therefore it is very likely an actinomycetes species.
Actinomycetes are a common endophyte with 123 actinomycete strains having been found
in over 113 species of plants (Matsumoto and Takahashi, 2017). They have been found to
have some plant growth promoting properties along with antibacterial and antifungal
activity (Shan et al., 2018). Of 46 actinomycetes isolates from tea plants 93.5% produced
indole acetic acid (IAA) and 21.7% produced 1-aminocyclopropane- 1-carboxylic acid
(ACC) deaminase.
Isolate 2 was identified using DNA sequencing as a 99.35% match for
Pseudomonas species. Isolate 4 was also identified as a 93% match for Pseudomonas
monteilii. These isolates both have very similar colony morphology so it makes sense that
they are both Pseudomonas species. Pseudomonas spp. have been found as a seed
endophytes in several different plants using many different technologies such as 16S
rRNA Sequencing, PCR DGGE, and fatty acid methyl ester profiles (Ferreira et al. 2008,
Mastretta et al., 2009, Johnston-Monje and Raizada 2011, Liu et al., 2012, Hardoim et al.,
2012, Vega et al. 2005, Graner et al., 2003). Pseudomonas have been found using both
MALDI-TOF and 16S rRNA gene sequencing in alfalfa seeds (Lopez et al, 2017). P.
monteilii has been isolated from surface sterilized Salvadora persica (the toothbrush tree)
leaves, shoots, and roots (Korejo et al., 2019). It has been shown to have a zone of
inhibition and the lysis of fungal hyphae against M. phaseolina, F. solani, F. oxysporum
and R. solani, which are all root infecting fungi. It was also found to have a positive effect
29
�on sunflower growth. Similar results were found in Okra where P. monteilii was shown to
reduce infection of M. phaseolina, F. solani, and P. decumbens in okra roots alongside
Penicillin (Urooj et al., 2020). In a mixture with Penicillin it was also found to improve
okra height, weight and polyphenol production. Pseudomonas fluorescens F113 has been
found to have several plant growth promoting features and siderophore production, 1aminocyclopropane-1-carboxylic acid (ACC) deaminase activity, and inorganic phosphate
solubilization (Lally et al., 2017). P. fluorescens F113 has been found to increase crop
height, and stem, leaf and pod biomass in field experiments using Brassica napus.
Isolate 5 was identified as a 77% match for Pseudarthrobacter sp. L1SW
complete genome. This species is unpublished and was uploaded directly to NCBI by Li, J
at the School of Life Sciences and Biotechnology, Shanghai Jiaotong University (NCBI
website). Another Pseudarthrobacter species, Pseudarthrobacter phenanthrenivorans
strain MHSD1, has been isolated from surface sterilized leaves of Pellaea calomelanos,
which is a species of fern (Tshishonga and Serepa-Dlamini, 2020). A different
Pseudarthrobacter species has been identified in the rhizosphere of D. antarctica from
King George Island in the Antarctic peninsula (Marian et al, 2022). Pseudarthrobacter
have also been found in sterlized roots of tobacco plants (Shimasaki et al., 2021). While
not much is known about the role of Pseudarthrobacter species as endophytes they have
been found in a broad range of plants and environments. Isolate 3 was never able to be
identified since there was a very low DNA concentration after DNA extraction. Isolate 3
had a very similar colony morphology to isolate 5 so it is possible that isolate 3 was also a
Pseudarthrobacter sp.
Isolate 6 was identified as an 83% match for Pantoea agglomerans. Pantoea
agglomerans YS19 isolated from rice plants has been shown to be a plant growth
promoter (Shen and Song, 2006). It has been found to fix nitrogen and produce indole-3acetic acid, abscisic acid, gibberellic acid and cytokinin which are all phytohormones. It
was also found to increase plant biomass as well as enhance the transportation of the
photosynthetic assimilation product. The sugarcane endophyte Pantoea agglomerans
strain 33.1 has been found to colonize all areas of the sugarcane plant including the
rhizosphere, inside the roots and aerial plant tissues (Quecine et al., 2012). It has been
found to produce indole acetic acid (IAA) and solubilize phosphate and it has been
suggested to stimulate chitinase and cellulase production in plant roots.
The 16S identifications come with an important caveat. The 16S samples had
relatively low similarity to the sequences they matched to in BLAST and when visualized
in UGene they appeared to be contaminated. There were multiple overlapping peaks for all
of these samples (Figure 16). Overlapping peaks most commonly mean that there were
two template DNA sequences present in the reaction. The most obvious cause of this is
30
�contamination. The 16S reaction was run twice and both times the negative control did not
have any amplification suggesting that contamination did not come from any of the
reagents. One possible source of contamination would be intracellular bacteria, if two
organisms with 16S regions are present then both would be amplified. Overlapping peaks
can also mean that there are two priming sites present in the DNA template or too low of a
primer annealing temperature was used (Nucleics DNA sequencing support, website).
These isolates all came back as organisms that are known to be plant endophytes which
could indicate that the identifications are correct. But all analysis on the identity of these
organisms should be considered with the knowledge that these identifications could be
incorrect.
Future Research
There are many interesting directions for future research. Now that a working
protocol has been developed the colonization experiment could be repeated for the rest of
the isolates. This is the first time these experiments have been run at this institution and
now there is a framework for all of these experiments to be run again in the future. The
colonization experiment could also be repeated for different lengths of time. Due to time
constraints the colonization experiment was only conducted over 1 week but there can be
differences in endophyte colonization over different phases of plant growth. It would be
interesting to look at colonization over a month or two and look at the changes in
colonization week by week. The colonization in different parts of the plant could also be
measured. The roots, leaves, and stem could be homogenized separately and colonization
levels in these different areas of the plant could be measured. FISH could be used to
visually examine the location of these endophytes within both the seeds and the plant's
roots as they colonize. Various biochemical assays could be used to look for plant growth
promoting activities in the isolates such as indole-3-acetic acid (IAA) production,
phosphate solubilization, siderophores production, nitrogen fixation, and 1aminocyclopropane -1-carboxylate (ACC) deaminase production.
V. Acknowledgements
I would like to thank my mentor Dr. Katherine Moccia for helping me through all
stages of this project as well as Dr. Stearns for helping and motivating me throughout my
time at Wagner. I would also like to thank my parents and grandparents for supporting me.
I would like to thank all my friends for helping me throughout my thesis but particularly
Hannah Cloutier for keeping me company in the lab while working and helping
throughout the whole thesis process. This research was conducted at Wagner College
31
�which is on the land of the Lenepe people. I acknowledge the Lenni-Lenape as the original
people of this land and their continuing relationship with their territory.
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37
�The Effect of Blockchain on Company Efficiency and Profit
Nicolas Olivier (Business Administration)1
This paper takes a deep dive into blockchain infrastructure and how it could potentially
benefit industries and businesses if they successfully implement it into their infrastructure.
The breakdown of blockchain is explained through its molecular components and how
secure blockchain is. A point was also made to include the negatives of blockchain to let
the
reader decide for themselves if they feel blockchain can aid society.
I. Introduction
As we continue the technological revolution influenced by a mass pandemic, the
world is yearning for innovations that allow us to communicate on a less personal and
more mediated level while keeping the same sense of personal relationships. Although
the thesis intends to present this technology to whoever is reading, everyone must
understand the dynamics built around this technological advancement so that there are no
predisposed biases. With the direction the world is heading toward when it comes to
advancing technologically as a society, blockchain fits right into that progressive
direction and can serve as a helpmate for increasing a company's efficiency. Many
companies in various industries have adopted blockchain into their infrastructure to
combat common problems their markets may face. A prime example of blockchain being
adopted into an infrastructure would be the automotive industry, where they have been
fighting against environmental issues and high manufacturing costs for the past decade.
As a result, many of those automotive companies have collaborated to solve these
problems using blockchain. With all the upside blockchain possesses, that does not
exclude blockchain from its shortcomings. Blockchain is still relatively new and has
some chinks in its armor. With any new product on the market, issues will happen, but
with time and continuous research, the use of blockchain systems will improve the
efficiency of companies.
The concept of blockchain increasing company efficiency is related to United
Nations Sustainable Development Goal (SDG) number 9, Industry, Innovation, and
1
Written under the direction of Dr. Shani Carter in partial fulfillment of the Senior
Program requirements
38
�Infrastructure. The consistent growth in technology has allowed companies to progress in
their respective industries. The SDG proved an important point stating that highertechnology companies were more resilient towards crises than their counterparts of lower
technology. They also stated that 1 in 3 manufacturing businesses are affected negatively
by a crisis. With advancements blockchain has in itself, it can potentially serve as another
technological alternative to potentially help companies for not just the present, but the
future.
Components of Blockchain
Components
A basic description of blockchain would be that it is a disseminated network of
computer systems linked with the internet. These components rely on two fundamental
concepts, consensus and trust to efficiently work together to keep track of electronic
transactions for whoever implements it (YouTube, 2017). On a more complex level, a
blockchain comprises a series of blocks linked together in a chain. Each block consists of
three critical elements that allow the system to operate smoothly. The first element of the
block makeup is its data, which is responsible for providing transaction details (YouTube,
2017). That data is stored and registered in the system-assigned blocks through the
confirmation of nodes. Nodes serve as an intersection point for a blockchain network to
help maintain security. A simple example of a block's data would be the detailed
information of the sender, the receiver, and the total amount of money dealt with in the
transaction.
The block's Hash is the second and most crucial element, also known as a code.
A hash could be considered the fingerprint of a block, as each hash within the chain has
its unique makeup (YouTube, 2017). Once the information about the block is confirmed
by all of the nodes in this system, the block is solidified by being given a specific hash.
The job of a hash is to identify the contents of each block registered in the network for
the user. Depending on what type of blockchain system is being used, the user will
ingrain specific information that they want to be put into the first block, Called the
“genesis” block (YouTube, 2017). It is to be made known that blockchain is a very
particular network that does not veer off its program. Changing information inside the
block will cause the hash to change, making it easy to detect changes by the user or users
of that chain (YouTube, 2017). Strict computer codes enforce the rules of the blockchain,
and their codes do not possess any ambiguity in their meaning. Because of this process,
they cannot be not subject to human discretion or interference (Xu & Zou, 2020).
Bringing us back to the main point, whatever data the user puts inside that block must be
39
�specific and align with their end goal and overall agenda. Otherwise, it could potentially
lead to the failure of the individual's business infrastructure within the blockchain.
The final element in creating a blockchain Is the “hash of the previous block”
because there would be no chain if only a single block of recorded transactions existed.
The hash of the previous block is one of the keys to making blockchain as secure as it is,
although there was a recent case where Binance, the world’s largest cryptocurrency
exchange, was recently hacked (Forbes.com, 2022). Once the next block in the chain is
confirmed and put into the network, it receives its hash, but it also includes the hash of
the block created before it. This is a vital security process because the more blocks added
to the system, the higher the protection of the user's information from potential tampering
(YouTube, 2017). Let us say there were five blocks of data within a chain; if someone
were to tamper with the third block and change its hash information, it would then result
in the change of all the blocks coming after because the fourth block contains the hash
information of the third block. The fifth block has the knowledge of the fourth block.
Once their hash information is altered, all the other blocks’ code configurations change.
Security
An increase in crypto innovation over the past several years has also led to a
significant increase in crypto crimes reported. In 2020 it was reported a 24,057% increase
in crypto crimes from 2016 (Rotundu, 2022). What is also shocking about this statistic is
that the increase is directly proportional to increases in the value of Bitcoin), although the
cryptocurrency market took a huge hit recently (Rotundi, V., 2022). FTX, one of the
largest known crypto exchanges, collapsed due to a lack of liquidity and mismanagement
of funds (nerdwallet.com, 2022). Blockchain should not be held responsible for the
collapse of the crypto market for two reasons. First, blockchain is not limited to just one
market. Multiple industries can use blockchain depending on the business’s needs within
that industry. Second, blockchain follows a strict algorithmic protocol that does not allow
it to act maliciously. Part of blockchain’s security relies on a 3-part operating consensus.
The names of these operating systems are machine consensus, governance consensus, and
market consensus (Xu & Zou, 2022). A consensus is a decision or an opinion that is
accepted by a group of people, or in blockchain’s terms, by the system itself.
Machine Consensus
Blockchain's technological structure allows it to be useful in many different
industries and is a key part of making blockchain what it is. Strictly referring to
blockchain’s molecular makeup, it aims to ensure the nodes in its peer-to-peer network
share the same copy of a distributed ledger in case of harmful cyber-attacks and irregular
40
�communication within the chain (Xu & Zou, 2022). To get a better understanding of this
process, you must understand what nodes are. A node’s job is to serve as a gateway
within the blockchain network to confirm a transaction. Nodes can also be physical
equipment connected to a network, in which they can perform specific duties like
creating, receiving, or ascending data across a blockchain channel (Abrol; blockchaincouncil.org, 2022).
An example could be a person who is running the blockchain network from their
home, and they are using another physical system like a laptop with its own MAC
address so that the laptop’s identification can be verified. The user would now have
access to use that laptop as a physical node for producing, receiving, or moving data. The
action of a user controlling the physical node is called a “miner”. On a deeper note, a
node's function occurs when a miner seeks to add a new block of transactions to the
blockchain. The legitimacy of a block determines whether the miner accepts or declines
the transaction (Abrol; blockchain-council.org, 2022).
An internal form of machine consensus is proof of work (PoW). PoW is a
mechanism within a blockchain network that slows down the creation of new blocks by
requiring miners to solve a mathematical puzzle to confirm the transaction's legitimacy
(YouTube, 2018). Making the user complete a puzzle seems childish but doing so allows
for others participating on the network to be notified quickly enough of the change so that
the rest of the users can make a consensual decision to confirm or deny any change
(YouTube, 2018). The first miner within the PoW network to solve the hash equation
receives an award from the network. Because the PoW network gives larger rewards to
miners with better quality equipment, it has led to a situation where miners are creating
mass mining farms that use an excess of electricity to solve the equations (YouTube,
2018). This is an extremely important topic because technology is not the only important
application of knowledge. The knowledge of our world and how to preserve its health is
an integral part of our existence and improving one form of the world at the cost of
another is potentially catastrophic to our people's well-being and safety. A recent study
identified a significant increase in energy consumption from December 1st, 2020 –
December 1st, 2022. PoW miners have also been known for creating what is known as
mining pools to raise their hash power and increase their chances of receiving mining
rewards that could be distributed evenly amongst the group (YouTube, 2018). The act of
a person strengthening their processing power irregularly through mining pools
contradicts blockchain’s intended duty. The actions conducted within mining pools create
a more centralized operating system leaning away from the blockchain’s intended
decentralized infrastructure (YouTube, 2018). The environmental and structural
41
�drawbacks of PoW systems have sparked other crypto exchanges to make the switch over
to a new system of consensus.
PoW was heavily used by nodes in the earlier stages of Ethereum (crypto
exchange platform) to find the hash of their transactions, but the environmental hazards
motivated the company to switch its machine consensus to a more productive and safer
version called Proof-of-Stake (PoS). Ethereum believed it would help prevent users from
double spending on their network (etherum.org, 2022). Unlike the system of PoW, PoS
uses validators to confirm transactions and requires them to mint or forge new blocks
(YouTube, 2018). For a user (node) or users to become a validator, they are required to
make a deposit to the network that way every other node within the network is held
responsible if the system fails (YouTube, 2018). Smaller businesses are great examples to
help gain a better understanding of what PoS is. For example, a well-known independent
contractor of a small sports performance business wants to promote a product for a
respected company. The two parties then come to an agreement to use a blockchain
platform to finalize their agreement. Depending on what platform the two companies
choose, whether it be Coinbase, Ethereum, or any other exchange platform using PoS, the
agreement is installed in the blockchain system and stored as a hash in a block, making
them nodes. If the two nodes would like to become validators over the block, whoever of
the two invested more into the network as a stake is given a higher chance of being
randomly selected to check over the validity of transactions within the block. Once the
transactions are successfully processed, the chosen node becomes the validator and can
sign off on the block and add it to the chain. You might now ask, how can the other node
in the agreement tell if the validator is being truthful about the validity of the block? PoW
regulates the nodes by penalizing the offender with a percentage of their stake
significantly reduced if fraudulent transactions were confirmed. With a multitude of
machine consensus options, blockchain has to offer, blockchain can serve as a useful tool
in ensuring the protection of companies (Youtube, 2018).
Governance Consensus
Another valuable process in blockchain’s consensus info structure is governance
consensus. Governance consensus pertains to members of a blockchain community that
all agree on a decision or decisions that benefit the group as a whole (Xu & Zou, 2022).
The unified decisions of the group are a crucial element in the stability and security of
blockchain. If individuals fail to come to an agreement or deviate from the consensus
rules, the possibility of governance consensus is broken, leaving companies susceptible to
collapsing (Xu & Zou, 2022).
42
�Market Consensus
Market consensus deals with transactions of tokens that are traded with each
other or with assets outside of the blockchain system. Depending on what the equilibrium
of the market price is, it determines the state of the market consensus (Xu & Zou, 2022).
Each form of consensus has some type of relationship with the other that affects
blockchain as a whole. If there was malicious behavior taking place amongst the
members of governance consensus and the system were to fail for a company using
blockchain, it could lead to malfunctions within machine consensus. The failure of the
machine consensus then would have an effect on the integrity of the market consensus.
Difference Between Blockchain Platforms
Today, new technology is often complex and is not created in a way to complete
a particular task. New technology is structured and coded to take care of a multitude of
needs for a consumer regularly; the same goes for blockchain and its platforms.
Depending on what type of network a company conducts business on, whether it be a
public, permissioned, or private network, or what the company needs to be protected
from or track within the industry, determines which blockchain platform is selected
(leewayhertz.com, 2022).
Small business owners and large companies need to know what type of
blockchain platform they want before picking one. You can install a platform whose
ledger type is permissionless, like Ethereum so that you can have more control over the
decisions of your transactions made (leewayhertz.com, 2022). You can want the opposite
in your ledger type and get a blockchain platform that requires permission to maintain
equilibrium between a partnership. If a company wants to have the ability to configure
official contractual electronic agreements on the blockchain network called a smart
contract, the company selects a certain platform that provides that need.
Smart Contracts
This brings us to our next topic of discussion, the use of smart contracts within
the system of blockchain. Smart contracts are decentralized agreements with built-in
computer code stored on a blockchain (Sklaroff, 2017). The goal of smart contracts is to
remove some of the inefficiencies that paper contracts may face. Examples of
inefficiency for traditional contracts can be breaches of contracts, slow processing, or
manipulation tactics. Smart contracts can mitigate the possibility of a breach by forcing
the people agreeing to the contract to honor their original agreement (Sklaroff, 2017).
The rigid quota of smart contracts reduces the negotiation flexibility of nodes once they
have finalized the smart contract.
43
�Advantages and Disadvantages of Blockchain
Disadvantages
As much as blockchain may get recognized for its benefits, some factors about
blockchain are not too appealing. As was mentioned before, the process of mining
blockchain blocks has had considerable negative effects on energy consumption for the
past several years (digiconomist.net). Large amounts of energy being consumed could
potentially lead to power outages or even fire hazards if one of the mining farms were not
kept under safe conditions. Blockchain’s strict infrastructure might not be conducive for
everyone, as some people might want the ability to opt out of a contract. Once the people
within the network agree to a contract, they are bound to the contract by being confirmed
as nodes in a blockchain system (YouTube, 2018). Being an integral part of the machine
consensus, they are held to certain rules backed by the system. Blockchain being
recognized as a useful system in the tech world is still relatively new due to it just
recently bursting onto the scene around four years ago. The lack of expertise in the
technology has left blockchain vulnerable to hackers and skilled criminal organizations
(Rotundu, 2022). This is the most alarming problem because blockchain’s reputation
relies on its word of being a highly secure AI network.
Advantages
On the other hand, the problems that blockchain may face do not entirely define the
potentialities of what it can bring to companies. Blockchain still offers services that help
many different companies across several different industries. A consensus of 37 major
automotive and tech companies, Toyota and General Motors being of the group, have
banded together to help tackle the challenge of making vehicles more widely accessible
to the public with blockchain technology (Dobreva, 2019). The ability to create
affordable cars would be able to significantly help automotive companies because that
could potentially increase sales rates of companies, generating more money for each
other. Blockchain has also played a role in the retail industry. Companies like Home
Depot and Walmart have joined blockchain systems themselves to help ensure the safe
travel of their products being transferred from destination to destination (Brown, 2021).
Blockchain offers a flexible system that gives entrepreneurs or companies the option of
tailoring the blockchain system to their business infrastructure depending on the
individual’s particular needs.
44
�Versatility of Blockchain
Ways Blockchain is Used
As mentioned before, blockchain is a very flexible system that can be used in
many different industries. Automotive and Retail industries have formulated business
plans revolving around blockchain, but blockchain can offer so much more. The county of
Jordan in the Middle East has proposed ideas to fully integrate the blockchain system into
the government's financial department, amid the mass pandemic that took place back in
2020 (Khasawneh, Oquab, 2022). By Jordan linking blockchain to its governmental eaccounting systems, Khasawneh believed that they would be able to improve policies and
decisions that help manage Jordan’s health crisis from COVID-19 (Khasawneh, Qquab,
2022).
II. Hypothesis
After concluding my research and taking the pros and cons of the structure of
blockchain, I believe that if companies were to implement blockchain into their platform
then the company's efficiency would increase. The ability to measure efficiency for a
company can be difficult, so my data research consisted of me analyzing the financial
data of a company's annual profit, revenue, and income numbers. I planned on calculating
the productivity of a company, but that too became difficult to analyze because
productivity is another element that is difficult to judge solely by numbers.
III. Methods
Subjects
As part of my research, I looked at the financial data of five companies in four
separate industries. I wanted to gather more companies to research but due to time
constraints, it was very difficult for me to do so. Home Depot, AT&T, Ford Motors, TMobile, and Pfizer were all the companies that I studied and analyzed the data for.
Home Depot
Home Depot is the world's largest home improvement retailer in the U.S.
founded in June 1978. Their specialties consist of building materials, home improvement
supplies, hardware, and various other products that help customers with their daily needs.
AT&T
AT&T is an American multinational telecommunications company. The
company was established in October 1983 and its main headquarters is located in the
downtown Dallas area of Texas. They are currently the world's largest
45
�telecommunications company in revenue and the third-largest provider of U.S. telephone
services.
Ford Motors
Ford Motors is an American multinational automobile company established on
June 16th, 1903. They are headquartered in Dearborn, Michigan, and sell automobiles as
well as commercial vehicles under the brand.
T-Mobile
T-Mobile is a multinational telecommunication company established in
December 1999 and headquartered in Bonn, Germany. T-Mobile offers mobile
broadband internet access for smartphones, basic phones, and tablets.
Pfizer
Pfizer is one of the world’s largest biopharmaceutical companies. Founded in
1849, they serve to deliver breakthroughs in the pharmaceutical industry using science
and technology.
Measures
Because efficiency is a difficult variable to calculate, the variables that I will use for my
data research are income, revenue, and gross profit. Income is an important part of this
data research because the use of blockchain directly correlates with the efficiency of a
company. If a company is more efficient in its work, it will then gain more income from
its products. Revenue is important to the research because it serves as an indicator for a
company based on the other two variables. If a company’s income and profit are up,
likely, its revenue will also increase. This leads back to the hypothesis that the efficiency
of that particular company will increase. Gross Profit gives a clear indication of how a
company stands in the ranks within its respective industry, making this data extremely
important to the research.
46
�Components of Study
Variables
Data
Efficiency
Blockchain
Income
Gross Profit
Revenue
Horrmann Library,
Peer reviewed topic
articles
annual financial reports
of Ford, Home Depot,
AT&T, T-Mobile, and
Pfizer companies
annual financial reports of
Ford, Home Depot, AT&T,
T-Mobile, and Pfizer
companies
annual financial reports of
Ford, Home Depot, AT&T,
T-Mobile, and Pfizer
companies
annual reports of
publicly traded
Data Source companies
annual reports of
publicly traded
companies
annual reports of publicly
traded companies
annual reports of publicly
traded companies
Type of data
gathered
Quantitative
Quantitative
Quantitative
Quantitative
Types of
scores
produced
Indexed to 1982
Instrument
Total GNP
Adapted from: Rudestam, K.E. & Newton, R.R. (1992). Surviving Your Dissertation. Newbury Park, California: Sage
Publications, Inc. page 140.
Hypothesis, Instruments, and Statistical Analysis
Variable
Relation
ships
Instrument
Hypothesis
Efficiency
Blockchain
H1: The use of
blockchain technology
will improve the
efficiency for a
company.
Horrmann
Library, Peer
reviewed
topic articles
Income
Revenue
Gross Profit
annual financial
reports of Ford,
Home Depot,
AT&T, TMobile, and
Pfizer
companies
annual financial
reports of Ford,
Home Depot,
AT&T, TMobile, and
Pfizer
companies
annual financial
reports of Ford,
Home Depot,
SC=PF+
AT&T, TPD+RV
Mobile, and
Pfizer
companies
Statistical
Test
correlation;
regression; line
charts
Adapted from: Rudestam, K.E. & Newton, R.R. (1992). Surviving Your Dissertation. Newbury Park, California: Sage
Publications, Inc. page 138.
47
�Procedure
The statistical procedure I will use is to look at the financial records of each
company from before and after they applied blockchain into their business. Then I will
look to see if there is any legitimate documentation from the companies stating whether
the implementation of blockchain has positively or negatively affected the company. The
approach that I used to locate the journal articles consisted of me using the Horrmann
Library to direct myself to the business source premier. There, I looked up in the search
bar blockchain technology “and” efficiency and got 541 articles. I found that the articles
became too general and limited my search results by applying full text and peer reviewed
to my search results. When I applied those two factors the search results went down to
105, where I found 10 solid articles to support my hypothesis. To conclude my
hypothesis, I utilized the annual financial reports of the companies that were previously
mentioned. Each report provides the company’s net income, revenue, and gross profit.
Based on the company’s annual reports, it determines how much of a positive or negative
change blockchain may have had. A two-year period was recorded before and after the
year each company implemented blockchain into the business, giving a balanced outlook
on the data.
IV. Results
Table 1 shows the financial data of Ford Motors from the years 2017–2021.
Ford implemented blockchain into their company in 2019, so the numbers provided are
two years before the implementation and two years after.
Table 1: Ford Financial Income Statement, 2017–2021, In Millions
Income
Statement
Net Income
Revenue
Gross Profit
Dec. 31, 2017
Dec. 31, 2018
Dec. 31, 2019
Dec. 31, 2020
Dec. 31, 2021
$7,757
$3,695
$84
($1,276)
$17,910
$145,653
$160,338
$143,604
$115,894
$126,150
$25,455
$24,069
$21,207
$14,392
$21,690
(Sec, 2022)
Figure 1 shows that for the years 2017 and 2018, all of Ford’s financial recordings were
for the most part at its highest. From 2019 to 2020, their revenue and net income dropped
significantly before picking back up slightly in 2021.
48
�Figure 1. Depiction of Ford’s Net Income, Revenue, and Gross profit from 2017–2021 in
Millions.
Table 2 shows the financial data of Home Depot from the years 2016–2020.
They implemented blockchain into their company in 2018, so the numbers provided are
two years before the implementation and two years after. Figure 2 depicts that all of
Home Depot’s financial stats had increased steadily before taking a small, but significant
jump in revenue in 2019. This was one year after the implementation of blockchain.
Table 2: Home Depot Financial Income Statement, 2016 – 2020, In Millions
Income
Statement
Jan. 31, 2016
Jan. 29, 2017
Jan. 28, 2018
Feb. 03, 2019
Net Earnings
$7,009
$7,957
$8,630
$11,121
$11,242
Revenue
$88,519
$94,595
$100,904
$108,203
$110,225
Gross Profit
$30,265
$32,313
$34,356
$37,160
$37,572
(Sec, 2022)
49
Feb. 02, 2020
�Figure 2: Home Depot Financials 2016–2020 in Millions.
Table 3 shows the financial data of AT&T from the years 2016–2020. They
implemented blockchain into their company in 2018, so the numbers provided are two
years before the implementation and two years after. Figure 3 shows that from 2016 to
2018 AT&T’s financial stats fluctuated several times between each other. In 2019, one
year after they implemented blockchain, their stats increased before plummeting the next
year.
Table 3: AT&T Financial Income Statement, 2016–2020, In Millions
Income
Statement
Dec. 31, 2016
Dec. 31, 2017
Dec. 31, 2018
Dec. 31, 2019
Dec. 31,
2020
Net Income
$13,333
$29,847
$19,953
$14,975
($3,821)
Revenue
$163,786
$160,546
$170,756
$181,193
$171,760
Gross Profit
$23,543
$19,970
$26,096
$27,955
$6,405
(Sec, 2022)
50
�Figure 3: AT & T Financials 2016–2020 in Millions.
Table 4 shows the financial data of T-mobile from the years 2016–2020. They
implemented blockchain into their company in 2018, so the numbers provided are two
years before the implementation and two years after. Figure 4 shows that T-mobiles
numbers of its revenues, gross profit, and net income all increased through the years 2016
and 2017 and fluctuated between gradual increases and decreases throughout the next two
years. In 2020 All of AT&T’s finances dramatically increased.
Table 4: T-Mobile Financial Income Statement, 2016-2020, In Millions
Condensed
Consolidated
Statements of
Comprehensive
Income-In millions
Dec. 31, 2016
Dec. 31, 2017
Dec. 31, 2018
Dec. 31, 2019
Net Income
$1,460
$4,536
$2,888
$3,468
$3,064
Revenues
$37,490
$40,604
$43,318
$44,998
$68,387
Gross Profit
$26,671
$28,996
$24,964
$26,477
$40,121
(Sec, 2022)
51
Dec. 31, 2020
�Figure 4: T-Mobile Financials 2016–2020 in Millions.
Table 5 shows the financial data of Pfizer from the years 2017–2021. They
implemented blockchain into their company in 2019, so the numbers provided are two
years before the implementation and two years after. Figure 5 shows that Pfizer was in
fact going through some financial troubles, but in 2020 the company’s finances increased
significantly and shows that the numbers are likely to keep increasing.
Table 5: Pfizer Financial Income Statement, 2017-2021, In Millions
Income Statement
Dec. 31,2017
Dec. 31,2018
Dec. 31,2019
Dec. 31,2020
Dec. 31,2021
Net income
$11,188
$16,056
$9,195
$22,025
$21,979
Revenue
$52,546
$40,825
$41,172
$41,908
$81,228
Gross Profit
$41,318
$42,399
$32,851
$33,167
$50,467
(Sec, 2022)
52
�Figure 5: Pfizer Financials 2017–2021 in Millions.
V. Discussion
Through the past several weeks, gathering and deciphering the financial data of
companies to support my hypothesis stating, “smart contracts within the system of
blockchain improve efficiency for a company”, has been interesting. I went into the
research process assuming that every company implementing blockchain into their
business would have immediate success because of the upside of blockchain’s security
system. What I learned provided insight into how a company may or may not need
blockchain based on non-controllable factors for financial success. The five companies
researched showed insightful information. An important statistic to bring up is all the
companies reviewed all implemented blockchains before the start of the COVID virus.
This is a significant point to consider because the entire dynamic of business interaction
was disrupted during this time, resulting in mass disruption of corporate stability. To
fully grasp the importance of each company’s stat, it is necessary that “non-controllable
factors” be broken down. A non-controllable factor is a phrase that I made up initially to
help me to understand how circumstance (positive or negative) a company has no control
over affects their profit.
An example of this can be natural disasters, where floods destroying a large sum
of telephone poles in a specific area can directly affect the payment plan of members,
disrupting the expected income for a significant telephone company in that area. Or a
mass pandemic that altered how businesses (small or large) connect and interact with
53
�each other. That said, the reader impacts how much of an effect blockchain had on their
company. I came up with my opinions on the data given by finding out when each
company officially implemented the software. I then created a line graph posting the
company’s net income, revenue, and profit two years before and after the system’s
implementation to find results to prove my hypothesis.
Automobile companies like BMW, Toyota, and Ford have served as essential
forms of travel for years now. With the increase in technology came the need for higherquality parts to help newer models of cars to run efficiently. Because most automobile
companies sell worldwide, they often transport many parts to different headquarters. To
help prevent expensive manufactured items from being misplaced, leading to unnecessary
expenses. After researching financial data of automobile companies using blockchain, I
realized and feel that automobile companies that incorporated blockchain into their
company were successful during the pandemic because of how much of a safety net
blockchain’s system offered, mitigating parts being lost by tracking parts since most
companies had to lay-off many employees. I believe this prevented significant decreases
in the financial deficits of companies.
The pandemic contributed significantly to the success of the home retail market,
and Home Depot was one of the retail stores that experienced immediate success after
installing blockchain. The transportation of products became a problematic way of
business due to person-to-person restrictions. The initial intentions of Home Depot using
blockchain were to help ensure all inventory was well-maintained and fully traceable.
People around the world were forced to stay indoors from the virus, which forced them to
stay in the house unless they needed important materials like food, home appliances, and
tools. Home Depot’s specialty is supplying home appliances and tools, so the need for
retail stores seemingly increased overnight. I feel as though blockchain fits the need of
where Home Depot wanted to progress, and COVID-19 contributed to their goal by
naturally forcing consumers to rely on their products and services.
VI. Conclusion
Based on the evidence presented to me over the course of this semester, I was
able to prove that my hypothesis was correct, but to a certain extent. I realized that the
success of many businesses was predicated by factors that could not be controlled, like
environmental disasters or market crashes within an industry. A particular incident in the
FTX collapse opened my eyes to see that people or companies that use blockchain to take
advantage of the system often backfired and left businesses empty-handed. I learned a lot
of new information that I plan to carry over into my next career.
54
�VII. References
Abrol, A. (2022, September 9). What are blockchain nodes? Detailed guide. Web3 &
Blockchain Certifications. Retrieved December 5, 2022, from https://www.blockchaincouncil.org/blockchain/blockchain-nodes/
Bitcoin Energy Consumption index. Digiconomist. (2022, April 20). Retrieved December
5, 2022, from https://digiconomist.net/bitcoin-energy-consumption
Blocked. (2022, April 29). Key challenges in the automotive industry and blockchain
solutions. Blog. Retrieved December 5, 2022, from https://www.blockedge.io/ blog/
blockchain-solving-automotive-industry-problems/
Brown, B. (2021, September 14). Ten retail companies using blockchain technology DOR. Foot Traffic and People Counting for Retail & Facilities - Dor Blog. Retrieved
December 5, 2022, from https://www.getdor.com/blog/2021/09/14/retail-companiesusing-blockchain-technology/
Castillo, M. del. (2020, February 27). Blockchain 50. Forbes. Retrieved December 5,
2022, from https://www.forbes.com/sites/michaeldelcastillo/2020/02/19/blockchain50/?sh=43ef61627553
Dobreva, K. (2020, February 25). Real-life blockchain use cases in automotive.
OpenLedger Insights. Retrieved December 5, 2022, from https://openledger.info/
insights/blockchain-use-cases-automotive-industry/
Francesca, D. M., Dicuonzo, G., Massaro, M., & Dell'Atti, V. (2020). Smart contracts to
enable sustainable business models. A case study. [Smart contracts to sustainable
business models] Management Decision, 58(8), 1601-1619.
Iredale, G. (2022, August 15). List of top 50 companies using Blockchain Technology.
101 Blockchains. Retrieved December 5, 2022, from
https://101blockchains.com/companies-using-blockchain-technology/
Ping-Kuo, C., Qiu-Rui He, & Chu, S. (2022). Influence of blockchain and smart contracts on
partners’ trust, visibility, competitiveness, and environmental performance in manufacturing
supply chains. Journal of Business Economics and Management, 23(4), 754-772.
55
�Raucci, D., Santone, A., Mercaldo, F., & Dyczkowski, T. (2020). BPM perspectives to
support ICSs: Exploiting the integration of formal verifications into investment service
provision processes. [BPM perspectives to support ICSs] Industrial Management & Data
Systems, 120(7), 1383-1400.
Sharma, T. K. (2022, October 14). What is proof of work? How? Yeah, just initially, no,
no, I just I just OK wanted to see if you could just double check to see if the numbers
added up good I mean I think 100 a 100 yeah is it produced in the blockchain? How is it
produced in the Blockchain? Retrieved December 5, 2022, from https://www.blockchaincouncil.org/blockchain/what-is-proof-of-work/
Takyar, A. (2022, September 26). Top blockchain platforms of 2022 for Blockchain
Applications. LeewayHertz. Retrieved December 5, 2022, from
https://www.leewayhertz.com/ blockchain-platforms-for-top-blockchain-companies/
YouTube. (2017). How does a blockchain work - Simply Explained. YouTube. Retrieved
December 5, 2022, from https://www.youtube.com/watch?v=SSo_EIwHSd4&t=13s.
YouTube. (2017). Proof-of-Stake (vs it was so good Proof-of-work) – Simply Explained.
YouTube. Retrieved December 5, 2022, from https://www.youtube.com/
watch?v=M3EFi_POhps&list=TLPQMDYxMjIwMjJcW4aG5xQ8SQ&index=2
Zhong Xu & Chuanwei Zou (2021) What can blockchain do and cannot do? China Economic
Journal, 14:1, 4-25, link to article https://doi.org/10.1080/17538963.2020.1748968
Other. SEC Emblem. (2014, January 15). Retrieved October 15, 2022, from
https://www.sec.gov/edgar
56
���The Effects of Influencer Marketing on Instagram and
TikTok on Brand Awareness in the Fashion Industry
Yasmin Rieger (Business Administration)1
Increasing brand awareness is the top goal that marketers seek to achieve when working
with influencers on social media. To illustrate the effects of influencer marketing on
brand awareness on TikTok and Instagram, this thesis analyzes ten fashion influencers
that worked with the fashion retailer, Shein, in the past. One post per influencer on
Instagram and TikTok was used to calculate variables like reach and engagement. The
results show that both Instagram and TikTok are great platforms for fashion brands and
retailers to promote their products through influencers. While TikTok showed a greater
reach and engagement per post, Instagram is more predictable regarding the success of
each post. Instagram shows a positive correlation between followers and reach, which
implies that companies will reach a greater audience when working with macroinfluencers. TikTok works differently due to a complex algorithm. This is why, in some
cases, micro-influencers might reach more people than macro-influencers.
I. Introduction
Influencer marketing has become a popular marketing tool in the past years.
Influencers are individuals on social media that are seen as trustworthy and are
considered to be experts in their field by their followers (Scholz, 2020). Companies
cooperate with these influencers to promote their products. Brands seek to achieve
different goals with their influencer marketing strategy. The main objective in 2022 for
companies was to raise brand awareness, followed by sales, and user-generated content
(Influencer Marketing Hub, 2022). With brand awareness, companies try to link their
brand in the consumer’s mind so that they remember the brand when they make a
purchase decision (Azzari & Pelissari, 2020). Through influencers, companies hope to
expose their brand to many potential customers and, thus, increase brand awareness. This
paper intends to measure the effectiveness of influencer marketing when it comes to
increasing brand awareness on Instagram and TikTok in the fashion industry. Influencers
have changed the fashion industry in the past years. They serve as trendsetters and people
1
Written under the direction of Dr. Shani Carter in partial fulfillment of the Senior Program
requirements.
59
�take fashion advice from the influencers (Fashion Gone Rouge, 2020). Because
customers primarily seek fashion inspiration from social media influencers, most fashion
brands and retailers work together with these individuals.
II. Literature Review
Brand Awareness
What is Brand Awareness
Brand awareness is the conscious recollection of a brand (Renchen, 2020). It
shows how strong a brand is linked in a customer’s mind (Azzari & Pelissari, 2020).
When a consumer then wants to make a purchase decision, all brands one is aware of will
be available for selection (Langaro et al., 2015).
Nowadays, new brands emerge constantly which means that simply being aware
of a brand does not yet lead to a positive or negative perception. Brand awareness does,
however, serve as the first step toward building positive attitudes and behaviors towards a
brand (Azzari & Pelissari, 2020).
Creating Brand Awareness
Brand awareness is created by constantly repeating the exposure of a brand to
consumers. The exposure should be memorable so that the consumers will remember the
brand (Langaro et al., 2015).
Brand awareness can be divided into two dimensions: brand recall and brand
recognition. One speaks of brand recall when a customer remembers a brand when they
encounter the product category or usage situation the brand covers. Brand recognition, on
the other hand, describes the ability to recognize a brand’s elements and products.
Communication of the brand is the key to building brand recall and brand recognition
(Langaro et al., 2015).
Influencer Marketing
Definition of Influencers
Influencers are individuals on social media who produce original content
displaying their lifestyle and expertise (Scholz, 2020). Their content and portrayal of
themselves allow them to accumulate a large network of followers. Their followers see
them as trusted tastemakers and experts. Other resources call influencers opinion leaders
that exercise a significant social influence on their followers (Leung et al., 2022).
Actively interacting with their followers allows influencers to build an active
relationship. Just like companies, influencers build their brand by carefully managing
60
�their social media content and image. Followers then voluntarily decide to follow
influencers with whom they feel a personal connection (Leung et al., 2022).
Influencer Marketing
Influencer marketing is a strategy where companies carefully select individuals
to promote their products on social media with the hope of increasing the company’s
performance (Leung et al., 2022). Companies work with these opinion leaders, that are
followed by many people on social media, to post about the brand’s interest and generate
positive behavioral actions in their followers towards the brand. This leads to a cocreation of the brand by the influencers and followers (Martínez-Lopez, 2020). Influencer
marketing can be seen as a hybrid of the “old” marketing tool of celebrity endorsement
and new modern content-driven marketing campaigns (Influencer Marketing Hub, 2022).
In 2022, the Influencer Marketing Industry is expected to grow to around $16.4
billion. In comparison, the industry was valued at $1.7 billion in 2016 (Influencer
Marketing Hub, 2022). The industry has been growing rapidly over the last years and that
is why 75% of brand marketers locate some of their budgets to influencer marketing in
2022 (Influencer Marketing Hub, 2022). Some marketers even spend 75% of their total
marketing budget on influencer marketing (Scholz, 2021).
Influencer Categories
Brands have been using celebrities or other well-known opinion leaders as
influencers for a while. These people, however, usually come with very high prices and
are mostly too expensive for smaller brands. That is why smaller brands have started to
leverage micro-influencers. Micro-influencers are social media personalities that are less
known than celebrities but still have a big following (Appel et al., 2020).
Influencers are often categorized based on their number of followers (Santora,
2021). Nano influencers have one thousand to ten thousand followers, micro-influencers
have ten thousand to 100 thousand followers, macro-influencers have 100 thousand to
one million followers, and celebrity influencers have over one million followers.
Influencers can also be differentiated based on the content they post, such as fashion,
fitness, or food (Santora, 2021).
When it comes to choosing what influencer to work with, companies must look
at the goals of the influencer marketing strategy. If the goal is brand awareness, it is
recommended to leverage influencers with a large following as the reach of these
influencers is higher. However, if a company would like to reach a specific target
audience in a specific area, a smaller influencer is the better option (Haenlein et al. 2020).
61
�Word-of-Mouth Marketing
Traditional word-of-mouth (WOM) occurs when a current customer shares their
experience with a product without any influence from the company (Leung et al., 2022).
WOM is appealing to marketers because it helps convince customers of a company’s
product fast and at a low cost (Trusov et al., 2009).
The internet has always been a popular tool for WOM marketing. Consumers
can easily share their views and experiences with others (Trusov et al., 2009). Electronic
word-of-mouth (eWOM) reaches more people and spreads more quickly than traditional
WOM. Also, it allows customers to share their thoughts anonymously (Ishida et al.,
2016).
While influencer marketing is also considered word-of-mouth marketing, it
differs from traditional WOM since the influencer is purposely chosen and paid by the
company to share their thoughts on the products (Leung et al., 2022). However, it is
recognized as personal WOM since the influencer posts their thoughts on a personal
channel, not through a commercial channel which makes it more trustworthy to
customers (Ishida et al., 2016).
Impact on the Consumer Decision-Making Process
The consumer decision-making process consists of five stages: problem
recognition, information search, alternative evaluation, purchase transaction, and postpurchase experience evaluation (Avery et al., 2016).
Influencers play an important role when it comes to problem recognition. They
can be a source of external problem recognition (Avery et al., 2016). The need for a
product can be activated by an influencer in a consumer sees them trying out a new
product (Appel et al., 2019).
Influencers also help as a source of information. Even though they are controlled
by the marketer and would, thus, be considered marketer sources, consumers see them
more as personal sources even though they do not know the influencer personally (Avery
et al., 2016). The relationship between influencers and consumers is often described as a
parasocial relationship, which is a one-sided relationship where the consumer develops a
friendship with an influencer (Scholz, 2020). This leads to the consumer seeing the
influencer as a trusted source of information. That is why influencers are considered a
personal source since the consumer feels as if they would know the influencer (Scholz,
2020). Parasocial relationships are long-term relationships that are equivalent to
friendship (Liebers et al., 2019).
62
�Additionally, if a consumer can trust the influencer, they are more likely to form
a positive attitude toward the brand the influencer is presenting and consider the brand in
their alternative evaluation (Chetiousi et al., 2019).
Source credibility
Consumers follow influencers because of their independence from brands and
expertise (Scholz, 2020). Since the consumers are aware of the fact that most of the
influencers get paid for their posts, they choose carefully which influencers to follow.
Consumers will neglect influencers that never say anything negative, only wear one
single brand, and post about this one brand all the time (Scholz, 2020).
Trust is an important factor when it comes to credibility. Consumers have to be
able to trust what the influencer is saying is true (Chetiousi et al., 2019). Thus,
Influencers seem more credible and trustworthy when they give balanced arguments
about products and try products from different brands. By doing so, influencers present
themselves as consumers rather than agents of brands (Scholz, 2020).
Credibility increases if the brand product and the influencer show similarities,
meaning they target the same audience (Liebers et al., 2019). An influencer will not seem
credible if they endorse incongruent brands. With the industry rising, it gets more
difficult for businesses to choose the right influencer that will best promote their products
to the right audience (Liebers et al., 2019). That is why companies have to look at their
brand personality, which is the human characteristics associated with a brand. Defining
the brand personality makes it easier to find an influencer that is a good fit for the brand
(Von Mettenheim et al., 2021)
A study has shown that consumers perceive the trustworthiness and the level of
expertise as higher if the influencer matches the brand they are promoting (Liebers et al.,
2019). If an influencer promotes a product with a low congruence to the influencer itself,
followers perceive the message shared more as commercial intent (Von Mettenheim et
al., 2021). Another study conducted by Liebers et al. (2019) showed that the familiarity
of the influencer is also very important when it comes to credibility, meaning that
consumers trust influencers more if they have been following them for a while (Von
Mettenheim et al., 2021).
Fashion Influencers
Fashion is one of many niches for influencers. Fashion influencers post content
that revolves around fashion and are often considered trendsetters. This allows them to
influence their follower’s opinions and purchase behavior (Chetioui et al., 2019). While
trends were introduced on catwalk shows in the past, they are now presented on social
63
�media by influencers. Around 50% of all Instagram users follow some kind of fashion
account for outfit inspiration (Fashion Gone Rouge, 2020).
Social Media Platforms
Instagram
Instagram is a social media platform that is mostly focused on picture sharing,
even though short videos are slowly gaining importance (Haenlein et al., 2020).
Instagram’s goal is to bring people closer to things they love (Instagram, n.d.). The app
was launched in October 2010. The platform shows its users the content of users they
follow and so have a “connection” with (Haenlein et al., 2020).
When posting a picture, users usually use hashtags. Hashtags are words with a
“#” in front of them. By putting the pound sign in front of text on Instagram, it turns the
text into a link. When a user clicks on a hashtag, they will see all the photos that were
posted using the same hashtag (Instagram, n.d.). This allows users to reach people that
are not following them. An artificial intelligence algorithm decides the order and content
of the posts a user gets to see on their feed which leads to lower exposure of posts
(Haenlein et al., 2020).
There are different ways to advertise on Instagram. One way is to create a
sponsored post. These posts will then reach people who are not following the account the
advertisement is coming from (Haenlein et al., 2020). The platform offers an Ads
Manager which allows for more advanced multi-platform campaigns. This means that
you can launch the same campaign on Facebook and Instagram from one place.
Businesses can decide when and where to launch the campaign and they offer insights
into the success of the campaign. On the ad manager, one can also specify their
demographics to reach the target audience with the ad. Instagram also offers an even
easier and faster way to create ads. It introduced the “boost” feature which turns any post
into an advertisement within seconds (Instagram, n.d.). When it comes to influencer
marketing, Instagram drives $6.6 million in sales for every million dollars spent (O’Brien
et al., 2021).
The main target audience for Instagram is 18 – 34 years. There is an even
balance between female and male users on Instagram (Influencer Marketing Hub, 2022).
There are around two billion monthly active users on the app which makes Instagram one
of the most popular social media sites worldwide. In the U.S. there are 157 million
Instagram users (Statista, 2022).
64
�TikTok
TikTok emerged in 2018. It was the second most downloaded social platform in
the first quarter of 2020 and in January 2021 it was ranked seventh among all social
platforms when it comes to worldwide users (Peña-Fernandez et al., 2022). TikTok has
been the most downloaded app and it reached more than one billion monthly active users
globally in September of 2021 (O’Brien et al., 2021). The focus of TikTok is short
videos. Users often create these videos based on trending songs, dialogues from movies
or TV shows, or certain sound effects. These sounds are crucial for linking content on the
platform and reaching a wide audience. The app also uses hashtags, however, the sounds
are more important. All videos that use a certain sound are combined in a "folder". Users
can search for the sounds and then find all the videos using them (Haenlein et al., 2020).
TikTok is very fast-paced. New trends emerge every day and will only last for a
short period. TikTok is divided into different subcultures with their trends, which makes
it very important for businesses to figure out which niche they want to work in. Examples
of subcultures are fashion, fitness, healthy recipes, and so on (Haenlein et al., 2020).
The TikTok feed is divided into two parts. The “Following” feed shows the user
videos of people they follow whereas the “For You” feed shows videos that the algorithm
chose for the user based on certain actions on the app (Haenlein et al., 2020). The
algorithm works very proficiently. The app’s “For You” page is very explosive compared
to Instagram and Facebook, which work more linear and incremental. Not much is known
in detail about the algorithm, however, it is speculated that every video is sent to a
minimum number of users. Depending on the performance of the video, it will be
promoted more or less. Normally, engagement, such as likes and views, goes up as
followers go up. However, the algorithm also allows new users to get millions of views
without any followers. This is a big challenge for content creators since they must
produce videos that are relevant to many users to receive views and likes (O’Brien et al.,
2021).
The number of companies that use the platform for advertisement has increased
by 500% in 2020. 70% of the top 500 brands have an account on TikTok (O’Brien,
2021). TikTok wants to point out the fact that brands will be more successful if they
create videos that are entertaining to their target audience rather than a classic
commercial (TikTok, n.d.).
TikTok supports brands to work with content creators by providing a Creator
Marketplace that provides analytics tools. The app also pays users with more than 10,000
followers and more than 100,000 views in the last month. The CEO of ROI Influencer,
65
�Seth Kean says that for every million dollars spent on influencer marketing on TikTok,
the brand sees $ 7.2 million in sales over the first 90 days (O’Brien, 2021).
TikTok targets Generation Z. The main age group represented in the app is 13 –
24 years old (Influencer Marketing Hub, 2022). This age group represents 63.5% of the
US. In 2020, the US had 45.6 million active users. The app surpassed 100 million
monthly active users in February 2021 (Peña-Fernandez et al., 2022). TikTok is femaledominant when it comes to the age group of 24 and younger. The gender bias balances
out for the age group of 24 – 34 years (Influencer Marketing Hub, 2022).
UN Sustainable Development Goals
Influencer marketing is all about a partnership between the brand and the
influencer. That is why it is linked to the United Nations development goal number 17:
Partnership for the goals. It says that the 17 sustainable development goals can only be
achieved with strong global partnerships and cooperation. The same is true for a business.
In order to achieve their goals, partnerships are very important. Influencers can help
companies to reach their marketing goals especially when it comes to increasing
awareness globally. The UN states that inclusive partnerships at the global, regional,
national, and local levels that share the same principles and values and follow the same
vision are crucial for successfully executing the agenda (United Nations, n.d.). When it
comes to influencer marketing, it is also very important that the company and influencer
share the same values to assure credibility. Without credibility, the partnership would not
be successful.
III. Hypotheses
H1: Promoting products through influencers on Instagram will increase brand
awareness in the fashion industry.
H2: Promoting products through Influencers on TikTok will increase brand
awareness in the fashion industry.
IV. Method
Subjects
Fashion Brands
The subjects included in this study are fashion brands and fashion retailers in the
United States. To show the effect of Influencers on brand awareness, the online fastfashion retailer Shein was used as an example in this Study. Shein was founded in 2012.
The company targets the Gen Z and millennial generation with its cheap prices and wide
66
�range of products (Shein, n.d.). Their Instagram account has 23.7 million followers and
their TikTok account has 3.8 million followers.
Influencers
Other subjects that are important to the study are fashion influencers. The
influencers promote the brand’s product on their social media and, thus, share it with
their followers. Shein has different ways of collaborating with influencers. They work
with celebrities, like Addison Rae or Katy Perry, as well as micro-influencers. On
Instagram, they use the hashtag #SHEINgals for their micro-influencers. Shein was the
third most mentioned brand on Instagram in 2021 ahead of Nike and H&M (Influencer
Marketing Hub, 2022). The fashion retailer worked with over 50,000 Instagram
influencers in 2021(Influencer Marketing Hub, 2022). On TikTok, the hashtag #sheinhaul
is very popular. Influencers post videos of them showing what they have ordered on
Shein. The hashtag has 4.8 billion views and #SHEINgals has 2.4 billion views on
TikTok
Social Media
Social media platforms are the “workplace” for Influencers. They provide a
place to connect with their followers and to “influence” them. While multiple social
media platforms are used for influencer marketing, this study focuses on Instagram and
TikTok. According to a study conducted by Influencer Marketing Hub (2022), Instagram
was the most popular platform for companies for influencer collaborations. TikTok
placed third after Facebook (Influencer Marketing Hub, 2022).
Measures
Table 1: Components of Study
Hypothesis
Variables
1
2
3
H1
IF
I
IEI
H2
IF
4
IET
5
V
Hypotheses &
Variable
Relationships
Statistical
Tests
6
7
IBA
MU
IF + I + IEI + MU =
IBA
correlation;
regression;
line charts
IBA
MU
IF + IET + V + MU =
IBA
correlation;
regression;
line charts
Adapted from: Rudestam, K.E. & Newton, R.R. (1992). Surviving Your Dissertation. Newbury Park, California:
Sage Publications, Inc. page 138.
67
�Table 2: Hypothesis, Instruments, and Statistical Analysis
Variable 1: Influencer Followers
This variable gives the number of followers an influencer has on TikTok and
Instagram. This variable affects other variables in the study such as reach and
engagement rates. The average number of followers of 10 Influencers on Instagram and
TikTok will be used to represent this variable.
Variable 2: Influencer Engagement Rate Instagram
The engagement rate on Instagram describes how many people engaged with an
influencer’s post. Engagement includes likes, comments, saves, and shares. Engagement
mostly comes from but is not limited to followers.
Variable 3: Influencer Reach Instagram
The reach of a post measures the number of users that have seen the post. Due to
the algorithm, a post is not shown to all of a user’s followers, however, the post can also
be shown to non-followers.
Variable 4: Influencer Engagement Rate TikTok
The engagement rate on TikTok measures, as for Instagram, the number of likes,
comments, shares, and saves for a video.
Variable 5: Views on TikTok (Reach)
On TikTok, the reach is measured by views. Each video a user posts shows how
many people have seen it and, thus, measures how many people the video reached.
Variable 6: Monthly users on Instagram and TikTok
This variable shows how many people are using each app monthly. This gives
an idea of the potential for reaching new customers through influencers.
68
�Variable 7: Increased Brand Awareness
The goal of the study is to show whether the variables above will have a positive
effect on brand awareness.
V. Procedure
Procedure To Locate Journal Articles and Data
For the location of journal articles, the Business Premier Database of the
Wagner College Library as well as Google Scholar were used. The search was filtered to
“peer-reviewed” articles. I looked at more general articles about brand awareness,
influencer marketing, and social media marketing when it comes to search terms. Next, I
narrowed down the search by focusing on Marketing on Instagram and Marketing on
TikTok. Other search terms used were “influencer marketing in the fashion industry” and
“the effect of influencers on brand awareness”. The articles I chose presented a good idea
and different opinions on the subject matter. The journal articles were retrieved on March
20th, 2022. Other sources of data will be the social media platforms Instagram and
TikTok.
Statistical Methods to Present and Analyze the Data
For the presentation of the data, tables, line charts, correlations, and regression
charts will be used.
Analysis of Fashion Brands’ Social Media Accounts
To find a correlation between Influencers and increased brand awareness, the
average number of followers of 10 Shein influencers will be used to calculate the
engagement rate on Instagram and TikTok as well as the reach on TikTok. To calculate
the average reach on TikTok, the average number of views will be calculated by using 10
influencer accounts and their average views per video.
VI. Results
Table 3 shows the number of followers each of the selected influencers has on
Instagram and TikTok. The reach was calculated using the Instagram reach rate
depending on an influencer’s number of followers. For the reach on TikTok, the number
of views on a Shein video was used.
69
�Table 3: Followers and Reach on Social Media
Influencer
Total
Followers
TikTok
Reach TikTok
Followers Instagram
2,200,000
Reach Instagram
1
46,200
7,065
279,400
2
30,500
11,700
23,700
5,830
3
4,333
3,956
189,000
36,099
4
1,600,000
274,000
372,000
71,052
5
57,700
488,200
31,100
7,651
6
84,000
504,400
397,000
75,827
7
97,300
850,600
2,361
857
8
6,159
4,200,000
1,500,000
190,500
9
4,300,000
295,000
674,000
98,404
10
1,300,000
534,900
32,200
7,921
7,526,192
7,169,821
5,421,361
773,541
Source: Instagram, TikTok, and Gothivarekar (2021)
Table 4 and figure 1 show the reach rate on Instagram based on the number of followers.
The reach describes how many people a post on Instagram reaches.
Table 4: Reach Rate on Instagram
Followers Instagram
Reach Rate Instagram
<10,000
36.30%
10,000 - 50,000
24.60%
50,000 - 100,000
21.30%
100,000 - 500,000
19.10%
500,000 - 1,000,000
14.60%
>1,000,000
12.70%
Source: Gothivarekar (2021)
70
�Figure 1: Reach rate on Instagram based on number of followers.
Source: Gothivarekar (2021)
Figure 2: The average number of followers of Shein Influencers on TikTok and
Instagram.
Source: Instagram and TikTok
71
�Table 5: Engagement in Social Media
Engagement on TikTok
Engagement on Instagram
Engagement rate
13.09%
1.06%
Average Followers
752,619
542,136
98,518
5,747
Average Engagement per post
Source: Influencer Marketing Hub (2022)
Figure 3: This chart shows the average engagement an Influencer’s post generates on
TikTok and Instagram. An engagement rate of 13.09% was used for TikTok and a rate of
1.06% for Instagram. The average number of followers on Instagram and TikTok of
Shein influencers was used to calculate the engagement per post.
Source: Influencer Marketing Hub (2022)
72
�Figure 4: The bar chart shows the comparison between TikTok and Instagram regarding
reach per post. The reach on TikTok is measured by the average number of views per
video that a Shein Influencer posted promoting the fashion retailer. The reach on
Instagram is calculated using a reach rate between 12.70% and 36.30% depending on the
number of followers of each Influencer used in the sample.
Source: TikTok and Gothivarekar (2021)
Figure 5: The Scatter Diagram shows that there is no correlation between the number of
followers of an influencer and the reach per post on TikTok. The correlation coefficient
for both variables is -0.18.
73
�Figure 6: The Scatter Diagram shows a positive correlation between the number of
followers and the reach per post on Instagram. The correlation coefficient for the two
variables is 0.99.
Figure 7: This chart compares the number of monthly users on both social media apps in
2021.
Source: Statista (2021)
74
�Figure 8: The bar chart shows the total number of potential customers who were reached
with 10 posts by 10 different Shein Influencers on TikTok and Instagram.
VII. Discussion
H1: Promoting products through influencers on Instagram will increase brand awareness
in the fashion industry.
According to Figure 2, a Shein influencer has an average of 542,136 followers
on Instagram. On average, one post on Instagram reached 77,354 people per influencer as
shown in Figure 4. This makes a total of 773,541 (Figure 8) potential new customers who
could have seen one of the influencers promoting Shein on their accounts. Taking these
numbers into consideration, it is obvious that influencers help brands like Shein to
increase brand awareness on Instagram. The average engagement of 5,747 per post on
Instagram (Figure 3) is low compared to the average number of people reached.
However, a person does not have to like or comment on a picture to become aware of a
new brand. The reach shows how many people actually saw the post which further
represents the increase in awareness. Instagram had 2 billion monthly users in 2021, as
seen in Figure 7, which makes it a great platform for advertisement as there is great
potential for reaching a large number of people.
The benefit of using an influencer on Instagram is that a company can target a
specific market. Followers of fashion influencers are very likely interested in fashion,
otherwise, they would not follow the influencer. The followers of these fashion
influencers want to see what the influencers wear and how they style certain clothes.
They want to stay up to date about what is considered in trend at the moment. This means
that if the influencer posts a picture and mentions where they bought the clothes from, the
followers can purchase the same articles and discover new brands.
75
�There is also a positive correlation between the number of followers and the
reach per post, as shown in figure 6, meaning as the number of followers increases, the
number of people reached increases as well. This implies that if a company decides to
cooperate with an influencer with a large following, it is guaranteed that the post will
reach more people than a post from an influencer with fewer followers would reach.
Thus, considering the goal of increasing brand awareness, it is better to work with macroinfluencers.
H2: Promoting products through Influencers on TikTok will increase brand awareness in
the fashion industry.
Figure 2 and Figure 4 show that on average, a Shein influencer has a greater
following and a higher reach per post on TikTok than on Instagram. The same is true for
the average engagement per post (Figure 3). With one post per influencer, ten Shein
influencers have reached a total of 7,169,821 people on TikTok. This number clearly
shows that TikTok is also a great platform to leverage influencers if a company wants to
increase brand awareness. However, there are some differences compared to Instagram.
There is no linear relationship between the number of followers and the reach on TikTok
as represented in Figure 5. An almost 0 correlation coefficient means that the number of
followers per influencer does not dictate the number of views an influencer gets on their
video. This is due to the complex algorithm of the app which makes the work with
influencers a lot riskier on TikTok than on Instagram. The video of the fashion influencer
on TikTok must be relevant enough to be shown to the right audience. This makes it
difficult for fashion brands and retailers to predict how many people they will reach when
they work with influencers. The brands could save money by working with microinfluencers because their video has the potential to reach more people than a macroinfluencer. On the other hand, the company could also lose money if the video of the
influencer does not perform well and, thus, does not reach any people. Working with
macro-influencers is more expensive, however, would guarantee the brand to reach the
current followers of the influencer, which would be a greater number than they would
reach with a micro-influencer.
VIII. Conclusions
General Conclusions
The research shows that working with influencers can have a great impact on
brand awareness for fashion brands. However, it has to be mentioned that not every brand
might see success when working with influencers. Brands must think about what target
76
�audience their brand attracts. For example, if the company seeks to reach an older
population, it might be difficult to increase brand awareness due to the lack of social
media use in populations over 40-years-old. On the other hand, for fashion retailers like
Shein, which mostly targets Generation Z, influencers are a great marketing tool since
this generation spends a lot of time on social media and relies on the opinion of
influencers. Since Shein works with a large number of influencers, these customers are
constantly exposed to the brand which ultimately builds brand awareness.
Implications for Practice
The results of this thesis show companies that are still hesitant about working
with influencers that influencer marketing is an effective way to reach the younger
generation and increase the brand’s awareness among this audience.
Additionally, the research helps companies choose the right influencers and
platforms for their marketing strategy. It also gives insight into how the social media
platforms work and how to use them as a company. This is crucial for the success of an
influencer marketing strategy.
Implications for Research
Further research can be done to go into more depth when it comes to the
increase of brand awareness through influence marketing. While the reach shows how
many people have seen a post from an influencer, it does not indicate how many of these
people will recall the brand promoted by the influencer after seeing their post. Thus,
research can be done on how well people remember brands after seeing a post from an
influencer.
Furthermore, more companies with different target audiences can be analyzed to
draw a comparison to Shein. This would give insights into how the success of influencer
marketing is dependent on the target audience that a company wants to reach.
IX. References
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Avery, J., Kozinets, R. V., Mittal, B., Raghubir, P., & Woodside, A. G. (2017).
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�Providing Mobile Healthcare to the
Homeless Population of East Harlem
Amanda Giordano (Nursing), Mikaila Incantalupo
(Nursing), and Tiffani-Raye Valentin (Nursing)1
On a daily basis, the average individual does not realize the impact having a
house to come home to each night has on their health and wellness. Most people might
not think about the immense privilege it is to turn one’s keys into the lock and walk into
an insulated, open space with running water and electricity. Similarly, one does not
usually ponder how easy it could be to tip the scale from having a home to not having
one. There are many factors that may lead to homelessness other than simply not having
enough money to pay for, or continue to pay for, a living space. Some heads of household
may have to choose between buying nutritious foods for the week or paying the rent.
Others may be considering going a week or two without picking up their medication so
that they do not have to face the looming copay. Others may simply be trying to hold
onto a job, for losing the job not only means losing a source of income, but losing their
shelter as well. Every individual deserves a house to come home to each night. However,
not everyone can always afford that luxury. In the Upper Manhattan neighborhood of
East Harlem, many members of the adult population are at risk for, or are already
experiencing, homelessness. In a city and a country filled with numerous resources and
an abundance of wealth, it is difficult to imagine how some may experience such ordeals
regarding stable housing. Aspects such as gentrification, high unemployment rates, rent
burden, and food insecurity can easily lead to homelessness.
Each of these factors impacting homelessness has a profound impact on the
community of East Harlem, especially the adult population. When faced with
homelessness, adults often have two options: move into homeless shelters (which might
not be in the best conditions), or simply live on the streets. Not much data is even
available on the homeless population, as they are most likely not counted in census data
and not much research has been done on them. There is also a pervasive negative stigma
surrounding homeless adults in the U.S., especially in areas like NYC. The health of
adults in East Harlem is negatively impacted by homelessness as well. One’s health is
1
Written under the direction of Professor Josephine Marcantonio and Professor Tinamarie
Petrizzo-Hughes for NR400: Nursing Research.
81
�greatly influenced by the environment one surrounds oneself with, and being exposed to
an environment where safety, support, and shelter is not guaranteed can have detrimental
effects on one’s health and wellness. It would be unethical for health professionals such
as nurses to ignore the inhumane issue of human beings living on the streets rather than in
affordable dwellings they rightfully deserve access to.
This problem within this community begs the question: amongst adults in East
Harlem, how does providing access to mobile healthcare improve the health outcomes of
the homeless population of East Harlem? After taking into account information on this
issue and the numerous health problems that may arise from homelessness, nurses may be
able to come together to develop a solution. A proposed solution, entitled SMILE, may
be able to help. SMILE (Screening, Medication, Immunization, Learning, Eats) is a
mobile healthcare system that provides comprehensive complementary healthcare for
homeless adults in East Harlem. This program provides an array of services ranging from
primary to tertiary interventions such as vaccinations, commonly needed medications,
and education.
The Community
Ethnic and Cultural Patterns of the Community
East Harlem is a place known for its rich culture and ethnic diversity. With a
total population of 123, 582; 43% of residents are Hispanic, 29% are Black, 14% are
White, and 10% are Asian, with 4% identifying with two or more races (Census
Reporter, 2021). This neighborhood is made up of a majority of ethnic minorities, giving
the area a richness in cultural expression that cannot be replicated elsewhere. In addition,
49.7% of residents speak a language other than English at home, which is more than 1.5
times the rate in New York state itself and more than double the rate in the whole country
(Census Reporter, 2021). Overall, East Harlem is known for having a dominant Spanish
and Latino culture, having the nickname El Barrio. Even with the Puerto Rican and a few
other ethnic groups' population declining since the early 2000s, the, “immigrants’ imprint
is still fully alive and apparent throughout the neighborhood streets, storefronts, arts, and
politics” (Guerrero, 2017, para. 18). The neighborhood is rooted in such cultural
enrichment that all the cultural influences still persist despite the changing demographics,
showing how powerful the community values are. Walking through East Harlem streets,
one may encounter Dominican restaurants, Mexican vendors, Puerto Rican marketplaces,
and even more, all sharing a single block (Guerrero, 2017). The combination of a
multitude of cultures and ethnic groups brought together in a small area has created a
unique identity for East Harlem and East Harlemites themselves. The livelihood and
82
�diversity is palpable in this community as many different people are brought together to
form one unified neighborhood.
East Harlem has also gone through cultural and ethnic changes over the last few
years, largely due to gentrification. Written in 2021, “Across East, Central and West
Harlem, the neighborhood's Black population declined by 10,805 people between 2010
and 2020, according to newly released data from last year's census. The number of
Hispanic people dropped by 2,015. Meanwhile, the number of white residents increased
by 18,754” (Garber, 2021, para. 2-3). In order to make room for brand new wealthier,
often white, residents moving into the neighborhood, many members of minority groups
have left. Whether this change is attributed to an increase in rent, a lack of affordable
housing, or displacement of residents to make room for said housing, this marks a change
in the community culture. A large influx of white residents accompanies the migration of
a new culture into the community, which could grow to dominate the Latin American
influence.
Economic Environment of the Community
In terms of economy, East Harlem is well-known as a poverty-stricken
neighborhood. Living in poverty, facing high unemployment rates, and facing rent burden
can easily lead an individual to homelessness. Community Health Profiles for East
Harlem states, “Living in high-poverty neighborhoods limits healthy options and makes it
difficult to access quality health care and resources that promote health. In East Harlem,
23% of residents live in poverty, compared with 20% of NYC residents” (New York City
Department of Health and Mental Hygiene, 2018, p. 7). Even if certain residents of East
Harlem want to make healthy lifestyle choices and participate in their own health
promotion, they may be unable to simply due to economic circumstances. The rising cost
of healthcare services may push residents in poverty to make sacrifices to keep up with
their health, or force them to not do so at all. Living in poverty could also indicate risk for
homelessness as residents are most likely unable to afford housing. East Harlem’s
unemployment rate is 11%, higher than both Manhattan and NYC overall (New York
City Department of Health and Mental Hygiene, 2018). This highlights how wealth and
opportunity are distributed disproportionately across areas of NYC, which could
contribute to the economic status of East Harlem. Without a stable source of income,
residents may be unable to afford their housing and may be forced to relocate.
Although gentrification may be seen as beneficial in that it transforms
previously low-income neighborhoods into higher income ones, the changes that occur
are inequitable and often displace residents and businesses who have occupied the area
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�for decades, East Harlem being one of the 17 affected neighborhoods in NYC (New York
City Department of Health and Mental Hygiene, 2018). East Harlemites might find
themselves becoming the collateral damage of gentrification as they are inevitably forced
to make room for wealthier new residents. 48% of East Harlemites are also rent
burdened, meaning residents pay more than 30% of their total income for housing (New
York City Department of Health and Mental Hygiene, 2018). Putting such a large
percentage of their income towards housing leaves little room for purchasing necessities
such as food and medication. Rent burden may also be pushing certain East Harlemites
into homelessness as more individuals are faced with rising rent prices while their
incomes remain the same (Calmes, 2016). This highlights the inequality present within
this community’s economy, showing how easy it can be for an individual to slip into
homelessness.
Health of the Community
The overall health of a community is influenced by the environment surrounding
the residents and the economic status of the area, and East Harlem is no exception. “A
quarter of East Harlem children in grades K through 8 has obesity. This is higher than the
citywide rate of one in five” (New York City Department of Health and Mental Hygiene,
2018, p. 12). This could be due to food insecurity in that it is easier to access fast food
than nutritious food, which would be more expensive as well. Despite the disparities,
76% of East Harlem residents reported their own health as “excellent,” “very good,” or
“good,” comparing reasonably to the citywide rate of 78% (New York City Department
of Health and Mental Hygiene, 2018, p. 13). East Harlemites may have a different
perception of health or may not realize health problems they face, which could lead to
this statistic. 68% of East Harlem adults report engaging in physical activity in the last 30
days and 84% report having at least one serving of vegetables or fruit each day (New
York City Department of Health and Mental Hygiene, 2018, p. 13). These percentages
are fairly consistent with good health habits. “The rate of avoidable hospitalizations
among adults in East Harlem is more than double the citywide rate” (New York City
Department of Health and Mental Hygiene, 2018, p. 14). This shows that health
promotion or screening tactics within East Harlem could use improvement, possibly with
more health education readily available to residents. When it comes to statistics on
vaccinations, East Harlem ranks well when compared to Manhattan and NYC as a whole.
71% of teens receiving all doses of the HPV vaccine and 46% of adults having received
their flu vaccine (New York City Department of Health and Mental Hygiene, 2018, p.
15). The rate of diabetes in East Harlem is higher than the NYC average with 17% of
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�adults having been diagnosed, and the rate of hypertension is 34% amongst adults, which
is similar to the NYC average (New York City Department of Health and Mental
Hygiene, 2018, p. 16). When it comes to psychiatric hospitalizations, East Harlem’s rate
is significantly higher when compared to that of Manhattan and NYC overall. This
reflects hardships residents in poorer neighborhoods face, such as, “difficulty accessing
preventive services and early care, greater exposure to stressors and interruptions in
health insurance coverage” (New York City Department of Health and Mental Hygiene,
2018, p. 17). East Harlem residents die prematurely at a much higher rate, with lung,
breast and colorectal cancer being the “three leading causes of cancer-related premature
death” (New York City Department of Health and Mental Hygiene, 2018, p.18). This
could be rectified with more accessible screening services in combination with education
about healthier diets, exercise, and the importance of regular screenings. Health outcomes
are largely due to racial inequalities as well, research showing that poorer health
outcomes congregate in places where there are more residents living in poverty and
where more people of color reside (Johnson, 2017). Therefore, in an area like East
Harlem with a large population of minorities, many residents of color are likely to
experience poor health outcomes which may be evident in higher incidences of chronic
and preventable diseases.
Resources Available in the Community to Combat Homelessness
There are a few programs attempting to help community members who are
already homeless, and also help them combat factors that may lead to homelessness. Like
other NYC neighborhoods, East Harlemites have access to an East Harlem Neighborhood
Action Center that provides services such as car seat distribution, nicotine replacement
therapy, and a family wellness suite that helps families avoid eviction and find jobs (New
York City Department of Health and Mental Hygiene, 2022). This program also offers
many other services that may help decrease individuals’ risk for homelessness. East
Harlemites are also provided with the Project Renewal Support and Connection Center
that houses citizens experiencing homelessness, mental illness exacerbations, substance
abuse disorder, and those with a criminal history for five night periods (Moses, 2022).
This service is an inclusive, welcoming, and judgment-free zone staffed with nurses and
other medical professionals (Moses, 2022). This program truly works to help the people
of East Harlem and aims to provide the personal touch and human connection that
homeless shelters often lack. East Harlem also participates in a homelessness prevention
program called Homebase that houses families in crisis and helps them overcome
problems that cause them to lose their home (Goodman et. al, 2016). This program is
85
�especially unique as it aims to help families who are specifically eligible for their criteria,
meaning they are most likely helping those at high risk for homelessness. East Harlem
also has a few food stamp distribution centers, most notably the presence of SNAP
Centers. However, many of these centers have recently been facing closures which
directly impact those who experience homelessness (Harlem World Magazine, 2019).
Without access to these vital food stamps, many individuals are robbed of their main
source of food. It has even been known that people who participate in SNAP are less
likely to return to homeless shelters than those who do not (Harlem World Magazine,
2019). Even programs created by government officials aimed to help the homeless are not
as effective as they appear to be when put into practice. In 2016, Mayor de Blasio’s plan
to build 200,000 units of affordable housing in neighborhoods like East Harlem has
actually caused residents to fear change as they would consequently be displaced from
their homes in order to make room for new residents and the infrastructure necessary for
this plan (Calmes, 2016). Therefore, improved solutions are needed to combat this issue,
specifically solutions that would be rooted in solving the issues not only homeless
citizens face, but also those who are at risk for homelessness. In order for a solution to
this problem to be successful, program starters and government officials need to exercise
empathy and understanding through direct communication and interaction with
populations at risk for, or already experiencing, homelessness.
Problems in the Community
Among adults in East Harlem, homelessness has been a pervasive problem that
negatively affects the community’s health and wellness. People experiencing
homelessness do not have access to long-term, stable housing, including those residing in
shelters, subway stations, or on the streets. Homelessness is a complex issue that can
have many different causes, including high unemployment rates, food insecurity, rent
burden, and gentrification.
Causes of Homelessness
Gentrification, or when wealthier people move into a poorer neighborhood in an
attempt to make “improved” changes in the community, is a huge leading cause of
homelessness (Figueroa, 2022). Residents at risk for homelessness related to
gentrification may start seeing signs such as new tenants moving into the neighborhood
paying a higher rent, more and more neighbors moving out or being displaced, and the
development of luxury housing and more established buildings or businesses (Figueroa,
2022). In addition to the physical neighborhood itself changing, the neighborhood's
86
�culture can also change through gentrification as wealthier, often white, residents and
their businesses come and overtake both the housing and the local businesses of the
previous residents. Rent burden can also lead to homelessness, as NYC residents might
end up becoming unable to afford the increasing rent payments as the cost of living
increases, but their income does not. In terms of income, a stable source of income can
easily become unstable if employees lose their job or are forced to stop working due to
their own illness or the need to become a caretaker. Therefore, high unemployment rates
may also be linked to homelessness. Food insecurity and the closing of several food
stamp centers impacts homelessness as well, making the problem worse (Harlem World
Magazine, 2019). Saving money on food through the assistance of food stamps may keep
families from homelessness since that extra cost can perhaps go towards paying the rent.
The closure of food stamp centers in East Harlem takes away a main source of food for
many families who are homeless or who are at risk for homelessness. Many families may
rely on the help of food stamps and similar programs in order to put food on the table. If
these programs are defunded, it may push certain families to either cut back on their
meals or begin paying more money for food instead of rent, both of which are options
that affect their health and wellness.
Homelessness Data
East Harlem has a high rate of homelessness and poverty. The median
household income in East Harlem in 2019 was $34,060, about 53% less than citywide
median household income ($72,930). The poverty rate in East Harlem was 34.0% in 2019
compared to 16.0% citywide. In 2019, 24.7% of renter households in East Harlem were
severely rent burdened (spent more than 50% of household income on rent). In 2019, the
homeownership rate in East Harlem was 5.5%, lower than the citywide share of 31.9%.
The homeownership rate in the neighborhood has decreased by 1.1 percentage points
since 2010 (East Harlem Neighborhood Profile, 2022). According to the US census, the
national poverty rate was 12.8% in 2021 (Benson, 2022). This is a 21.2% difference
compared to East Harlem alone. In 2021 an estimated 698 million people, or 9% of the
global population, are living in extreme poverty – that is, living on less than $1.90 a day.
Over one-fifth of the global population live below the higher $3.20 poverty line (1,803
million people), and over two-fifths (3,293 million people) live below $5.50 a day
(Suckling et al., 2021). Poverty and homelessness is a global problem, but East Harlem is
one of the most affected areas by these issues.
87
�Effects of Homelessness
Homelessness is a problem that can happen to anyone, however, New Yorkers
of color and people living with disabilities are disproportionately affected among those
experiencing homelessness. 86% of homeless single adults and 93% of heads-ofhousehold in family shelters identify as Black or Hispanic – significantly higher than the
53% of New York City’s population overall who identify as Black or Hispanic (Routhier,
2020). East Harlem’s population is primarily comprised of Black or Hispanic individuals.
In 2019, the Black population of East Harlem made up 35.9% of the whole population,
and the Hispanic population made up 43%. The disabled population makes up 12.5% of
the area as well. Because of this, East Harlem has many risk factors for having
homelessness in the area (East Harlem Neighborhood Profile, 2022).
Homelessness is a lot more than not having somewhere to call home. It affects
people’s psychological state and can lead to poor health outcomes. A study about HIV
diagnoses in the East Harlem area accentuates that homelessness is very multifaceted.
The study discusses the relationship between stable housing and HIV diagnoses. It looked
at people who were eligible for and applied to a permanent supportive housing
intervention in NYC between 2007 and 2013. People included in the evaluation had to be
18 or older and had not received an HIV diagnosis or HIV supportive housing services.
The research focused on if there was a decrease in risks for new HIV diagnoses after
giving participants stable housing. After looking at the results, the new HIV diagnosis
rate for those who were provided housing was lower than the comparison group. The
study found a significant reduction in risk for a new HIV diagnosis among those who
received housing placement compared to those who did not (Lee et al., 2018). This
supports the hypothesis that long-term and stable housing decreases the HIV risk for
those experiencing homelessness. This can be applied to the concept that homelessness
leads to unfavorable health outcomes. Unfortunately, HIV is just one of the diseases that
homeless individuals have an increased risk of developing.
Homeless individuals also suffer disproportionately high rates of diet-related
chronic illness such as hypertension, hypercholesterolemia, and diabetes mellitus but are
often poorly diagnosed and treated (Dewi, 2022). Screenings and vaccinations are
imperative to providing top quality care to patients. Preventable deaths include heart
diseases, cancer, injuries, strokes, and lower respiratory diseases. These issues have many
modifiable risk factors, including diet, weight, and lack of physical activity. For people
experiencing homelessness, these risk factors are difficult to control. These individuals
are more worried about their living situation or if they can eat anything at all than the
88
�quality of the food they can obtain. When there is a limited amount of money available, it
is difficult for people to choose healthier options since they are usually more expensive.
Fast food restaurants have large amounts of food for a small cost, while organic and more
nutritious foods or meals are more expensive. This contributes to obesity and health
issues in homeless people, since, many times, they will have to settle with the cheaper,
less nutritious meals rather than not eating anything at all. Most homeless people can not
afford a monthly gym membership, and they might not have the time, energy, or money
for exercise programs. This contributes to a lack of physical activity in their population.
Overall, while these risk factors are something that are “modifiable” to the general
population, for a lot of the homeless population, they are uncontrollable. This leads to
poor health outcomes and a higher rate of disease.
The U.S. Department of Health and Human Services performed a study
evaluating the health records of homeless people between 2015 and 2019 (Sutherland et
al., 2021). A list of the 15 most prevalent chronic conditions among people with a history
of homelessness, and the rates of those conditions in the comparison group was compiled.
The study found that most of the conditions, 10 out of 15, had higher rates in the
homeless population than the comparison group. These conditions included asthma,
diabetes, heart disease, and hepatitis. The research shows that chronic health conditions
are more likely to be present among people with a history of homelessness compared to
people without a history of homelessness. Further investigation also found that homeless
people have a higher rate of traumatic injuries, such as fracture of bone, injury of head,
and broad traumatic injury. People experiencing homelessness also had a higher
substance abuse rate compared to the control group (Sutherland et al., 2021). This study
highlights the fact that homeless people are more at risk for injury and illness than those
who are not homeless, which can further show that homelessness negatively affects
health outcomes.
While it is clear that homelessness individuals struggle with higher rates of
physical illnesses, they also have high rates of mental health illnesses. Two-thirds of
homeless New Yorkers have some measure of “mental health needs” and about 17% have
a “severe mental illness” (Improving Care Coordination for Homeless Individuals with
Severe Mental Illness in NYC, 2022). This is an issue because they do not have the same
access to care as people who are not homeless. They are most likely not receiving the
mental health care that they need, which can lead to safety issues for themselves or
others. This also contributes to the stigma that homeless people are “crazy,” meanwhile,
89
�they just don’t have access to the resources that people who are not experiencing
homelessness can access.
Nursing Care for Homeless Individuals
Nursing is vital in the care of those experiencing homelessness. We, as nurses,
can be homeless patients’ biggest advocates by continuing to defend their rights,
especially in terms of access to high-quality shelters and programs that give them food
and other necessities. Many homeless people do not have the means to look up places that
can give them resources, so we can also provide them with those resources, or come up
with a list ourselves to provide them with. Advocating for healthy eating to become more
widespread and more available to people is essential too, since poor diet is a key risk
factor for acquiring diseases. Nurses can volunteer their time by participating in available
clinics or places that provide affordable healthcare by actively helping or by finding these
places and letting patients know about them. Patient education is so important, especially
for the homeless population, since they are at a disadvantage of not always having
information available to them at their fingertips. Nurses can help close that gap for
homeless patients in order to give them the best care that they can. Collaborating with
social workers is so important as well to ensure patients go to safe and high-quality
places after discharge. If a homeless patient is residing in a shelter that has unpleasant
conditions, a social worker may be able to help them find another place to live that can
better serve them.
Within this particular community, the rate of pregnant community members who
receive late prenatal care, or just a complete lack thereof, is about 2% higher than the
citywide rate (New York City Department of Health and Mental Hygiene, 2018, p. 11).
This could be due to a lack of financial resources amongst pregnant residents or a lack of
prenatal health education readily available within the community. As nurses, we can
advocate for increased prenatal care and education for residents that these issues can
affect. It is essential to try to help patients as much as possible, and nurses play such a
large role in advocating, providing resources, and instilling education for all patients, but
especially for the patients that may need the help more than others.
Proposed Solution/Program
The adult homeless population of East Harlem too often face barriers that
deprive them of their fundamental right to healthcare, food, water, education, and
nondiscrimination. The proposed solution is a program with the initiative to eliminate
these barriers and advocate for the basic human rights of unsheltered individuals. SMILE
90
�(Screening, Medication, Immunization, Learning, Eats) is a mobile medical clinic that
provides comprehensive free healthcare and resources for the adult homeless population
in East Harlem. The mobile clinic will visit homeless encampment sites daily throughout
East Harlem and is staffed with a physician, mental health professional, substance abuse
counselor, social worker, and nurse. Private examination rooms will be available and
equipped for the clinical team to perform screenings, prescribe common medications,
administer vaccines, provide education and referrals, and offer food, water, and other
basic necessities. The clinic will work closely with our community partners including
emergency shelters, substance abuse treatment facilities, psychiatric hospitals, food
pantries, dental providers, and mental health providers to provide the homeless with
various resources to meet the immediate needs of the adult homeless population in East
Harlem.
SMILE proposes the offering of many screenings on-site to assess for common
health concerns identified in the homeless. The clinical team will evaluate each patient
to determine which screenings best address their needs. Screenings will be available for
cardiovascular disease risk factors including hypertension, hyperlipidemia, and diabetes,
depression, infectious diseases including COVID-19, hepatitis C, and tuberculosis,
sexually transmitted infections, intimate partner violence, and substance abuse. These
screenings are reported by the HCH’s Preventive Medicine Task Force as the highest
priority screenings for the homeless population (Jean, 2017, p. 3). If a screening detects
a health problem, unsheltered individuals can reduce their risk through immunizations,
medications, education, and outside resources provided by the clinic.
The homeless can be treated with medications at the clinic if recommended by
the healthcare provider following their assessments and appropriate screenings.
Available medications will include antibiotics, common over-the-counter medications
including antihistamines, antipyretics, analgesics, and antiviral treatment for patients
that test positive for COVID-19. A recent study interviewing New York City homeless
on the barriers faced when entering shelters found that many homeless individuals
choose not to live in shelters because their complex health needs could not be met,
especially medication needs (Wusinch, 2019). SMILE aims to make medication more
accessible to the homeless by providing common medications on-site and
recommending local clinics and hospitals that address the complex health problems of
the homeless. Immunization can also be administered on-site for vaccine-preventable
diseases that the homeless have a higher rate of contracting including hepatitis A/B,
influenza, invasive pneumococcal disease, tuberculosis, and COVID-19 (McCosker,
91
�2022). Immunized patients will be asked to sit outside the clinic in a waiting area under
a tent for 15 minutes to monitor for vaccine reactions. For patients reluctant to receive
vaccines, education will be provided on the high risks of being unvaccinated in a
vulnerable population.
Social workers, substance abuse counselors, and mental health professionals
will be available on-site to work with patients experiencing intimate partner violence,
mental health disorders, and substance abuse. Patients will work alongside healthcare
professionals to develop an individualized plan and discuss the option of transitioning to
a shelter, rehabilitation facility, or psychiatric facility. The clinic will have naloxone on
hand to reverse overdoses from opioids, including heroin, fentanyl, and prescription
opioid medications that occur while the mobile clinic is at the encampments. The opioid
antidote will also be given out to the homeless to keep on hand in case an overdose
occurs when the mobile clinic is closed. Before giving out the naloxone, a member of
the clinical team will provide a quick demonstration on how to administer it as well as a
pamphlet that reviews the steps of proper administration. Drug overdose remains the
leading cause of death among the New York City homeless population, accounting for at
least 237 deaths between July 1, 2020 and June 30, 2021, up from 131 the previous year
(Brand, 2022). Food and water will be provided, as well as information to connect them
to East Harlem food pantries. Patients will also be supplied with hygiene kits containing
toothbrushes, toothpaste, soap, surgical masks, baby wipes, tissues, socks, feminine
hygiene products, and first-aid kits.
Other cities like Los Angeles have already successfully launched similar
solutions to address the health needs of its homeless population. In September of 2022,
Los Angeles County launched Housing for Health, a program that brings mobile
medical clinics to homeless encampments to provide primary, urgent, and specialty care
(LA County, 2020). The clinic offers patients primary care, including vaccines and
medications, and urgent care procedures such as wound care, ultrasounds, and blood
work. Los Angeles’ efforts have led to more than 70% of its homeless population being
vaccinated for COVID-19 and models the success that can come with direct outreach
and integrated medical care (LA County, 2020). Los Angeles will continue to serve as a
leading example to SMILE and will hopefully encourage other cities to fight for its
homeless populations' right to healthcare.
Community Health Goal
SMILE’s community health goal is to screen, medicate, immunize, educate,
and provide food to homeless encampments in East Harlem. In order to meet this goal,
92
�SMILE is aiming to eradicate healthcare barriers among the homeless. Common barriers
include a lack of information, limited transportation to clinics, and reluctance to trust
healthcare professionals (McCosker, 2022). The homeless often misunderstand their
infection risk and the importance of comprehensive healthcare due to limited education.
A recent study found that two-fifths of the homeless population are unsure of where to
receive vaccines, and more than half of homeless people do not have access to
transportation to travel to a clinic (McCosker, 2022). SMILE removes the need for
transportation to a clinic and brings care directly to East Harlem encampments. Another
common barrier is hesitancy to trust healthcare. The homeless population often has
limited interactions with healthcare providers, leading to mistrust and skepticism.
SMILE hopes that over time with regular visits to encampment sites, the homeless will
recognize the clinical team's efforts to bring them complementary care and will be
willing to build a trusting relationship with the healthcare professionals.
Learning Objectives
SMILE developed several learning objectives that the homeless are expected to
learn after receiving care at the clinic. The first learning objective is that the homeless
will be able to verbalize an understanding of the risks that come with being
unvaccinated in a vulnerable population. If an individual declines a vaccine at the clinic,
they will be educated on the risk of acquiring a preventable disease, as well as the risk of
spreading the disease to other homeless individuals. The second learning objective is
that the homeless will be able to verbalize preventable diseases that often spread in
encampments as well as symptoms that require prompt treatment. The third learning
objective is that the homeless will be able to verbalize how to properly administer
naloxone after watching a demonstration. Due to the overwhelming number of
overdoses that occur in the homeless population, the clinic hopes to provide East Harlem
encampments with the resources to save the life of someone overdosing on opioids.
Education is a valuable tool that SMILE will utilize to optimize the health of the East
Harlem homeless population.
Theory/Theorist
A theory that can be applied to East Harlem's community problem of
homelessness among adults is Martha Rogers’ theory of “Science of Unitary Human
Beings.” Rogers viewed the human being and their environment as a single unit, and
therefore, must be studied together. The theory's main assumption is that the
environment is an integral part of a patient and therefore must be considered to ensure a
93
�successful recovery (Gonzalo, 2021). Rogers believes that a human being is an
individual who is the sum of all of their complex parts, and these individuals fit into a
society that makes up a larger group of people, and the health of all of these individuals
is intrinsically linked to the environment they have surrounded themselves with (Vince,
2022).
Rogers’ theory is an excellent framework for SMILE because homelessness is
closely related to a patient's environment. Her theory underlines that the environment an
individual resides in can have a significant impact on their health, therefore, having a
lack of a home environment or being surrounded by an environment that has rampant
issues of high unvaccinated rates, rise in vaccine-preventable diseases, limited access to
health care, and lack of education on health could consequently create more health
issues and decrease the life expectancy of unsheltered individuals. Inspired by Roger’s
theory, SMILE highlights the importance of improving a patient's overall environment
in order to improve the health of more patients and members of the community. SMILE
hopes to fulfill this initiative by bringing a clinical team directly to underserved
encampments to provide free comprehensive healthcare, resources, and compassion.
Conclusion
The adult homeless population of East Harlem continues to face a homeless
crisis as many residents are at risk for or currently experiencing homelessness.
Unsheltered individuals too often meet barriers that deny them access to basic
necessities such as food, water, safety, housing, and healthcare. The proposed program,
SMILE, aims to challenge these barriers and the stigma that comes with being homeless
by bringing complementary healthcare directly to encampments. The mobile clinic
hopes to provide care on the frontline to bring hope and healing to East Harlem’s most
vulnerable patient population.
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����Goblin Market Dramaturgy Packet for Wagner
College Theatre Production Stage One Theatre
Madeline Lee (Theatre and Childhood Education)1
Origins of Goblin Market
Goblin Market is based on an 1859 poem of the same title, written by British
lyric poet Christina Rossetti (1830-94). Though she wrote over one thousand poems
(Rosenblum 2), “Goblin Market” is regarded as her most famous poem, and was
acclaimed by critics and the public, though it received some critique concerning the
irregularities in the poem’s meter. During the early 20th century, Rossetti’s “Goblin
Market” was typically regarded as a poem for children, though this innocence has been
largely lost to modern scholars. (Rosenblum 63).
Christina Rossetti and Goblin Market
In reading “Goblin Market,” it is also important to examine Rossetti’s life and
consider the parallels between the two. Like Laura and Lizzie, Rossetti also had siblings.
She was the youngest of four children, having two brothers, Dante Gabriel and William,
and a sister, Maria. According to Jan Marsh’s book, Christina Rossetti: a Literary
Biography, Rossetti had an individual relationship with all of her siblings, united with
each of them by shared personality, age, or gender, respectively.
Rossetti was raised in a God-fearing household, and, from an early age, was
taught that the omnipresent God would reward or punish her actions. Her mother also
taught her that girls were “supposed to suppress desire and ambition, told that wishing
and wanting were greedy and selfish” (Marsh). These principles are seen in “Goblin
Market,” when Laura indulges her desire for the goblin fruit, and is punished as a result.
1
Written under the direction of Prof. Theresa McCarthy as a research project for the Wagner
College Theatre Production Goblin Market by Polly Pen and Peg Harmon. The department
presented this musical theatre work in Stage One Theatre October 20-23, 2022. Madeline’s
dramaturgy provided the actors, director, musical director, designers and technicians crucial
background understanding of the original source material, historical context, sociological
interpretations, religious connotations along with other curiosity provoking discoveries.
101
�Production History
“Goblin Market” was adapted into a musical by Peggy Harmon (book) and Polly
Pen (book and music), first published in 1987 by Dramatists Play Service. Both Harmon
Fig. 1. The Rossetti family. From left to right: Christina, Dante Gabriel, Frances (their
mother), William, and Maria.
and Pen were better known as actors (Gussow), though Pen later found success with her
1996 score for Bed and Sofa (Dramatists Play Service).
Goblin Market made its debut in the 1985 season of New York’s Vineyard
Theatre (“Goblin Market Author Bios”), and transferred to the Circle in the Square
Theater in 1986 (“Goblin Market - 1986”). This production, directed by Andre Ernotte,
featured Terri Klausner as Laura and Ann Morrison as Lizzie (“Goblin Market - 1986”).
The show was generally well-received, and nominated for several awards,
including Drama Desk Nominations for Best Musical, Best Score, and Best Actress in a
Musical for both Terri Klausner and Ann Morrison; and was named in the year’s 10 Best
Plays Volume (“Goblin Market - 1986”). In his 1985 review, Mel Gussow, for the New
York Times, writes that the production was effective in not physicalizing the goblins,
instead allowing the audience to “feel their presence through the wide eyes and
incantatory memories of the sisters” (Gussow para. 4).
Themes
Temptation and Sin
With an overtone of religion, the themes of temptation and sin are seen
throughout the poem. The goblin’s fruit and Laura’s longing for it mirrors the Biblical
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�fall of man, where humans transitioned from purity and innocence to disobedience. In the
Book of Genesis, God creates “plants yielding seed of every kind, and trees of every kind
bearing fruit with the seed in it” (The New American Bible, Genesis 1.11). This echoes
the wide selection of wares the goblins bear, with “gifts both choice and many” (Rossetti
line 149). Upon placing Adam and Eve in the Garden of Eden, God tells them “of the tree
of the knowledge of good and evil you shall not eat, for in the day that you eat of it you
shall die” (Gen. 2.17). Similarly, Lizzie warns Laura about the dangers of eating the
goblin fruit, reminding her of Jeanie, who, after eating the fruit, “dwindled and grew
grey; / Then fell with the first snow” (Rossetti lines 156-157). Despite God’s
commandment, the smooth-talking serpent convinces Eve to try the fruit, tempting her
with the promise of enlightenment: “when you eat of it your eyes will be opened, and you
will be like God, knowing good and evil” (Gen. 3.5). Laura is similarly convinced to try
the fruit, despite her sister’s warnings, through the goblins’ calls: “Sweet to tongue and
sound to eye; / Come buy, come buy” (Rossetti lines 30-31). Laura and Adam and Eve
are all punished for their disobedience, though in different ways. While Laura falls into a
physical illness, Adam and Eve are expelled from the Garden of Eden, condemned to live
a life of pain and toil (Gen. 3.16-23).
According to the Catechism of the Catholic Church, which summarizes the
primary beliefs of the Catholic faith, several wounds afflict the human race as a result of
original sin. However, in Goblin Market, Laura and Lizzie overcome all of these effects.
It states that the entire human race, due to Adam’s sin of eating from the tree of
knowledge, is “subject to ignorance, suffering and the dominion of death, and inclined to
sin - an inclination to evil that is called concupiscence” (Catechism 404). In Goblin
Market, Lizzie illustrates the first wound, ignorance. At the beginning of the story, she
refuses to look at the goblins to avoid being tempted by their wares, and “cover’d up her
eyes, / Cover’d close lest they should look” (Rossetti lines 50-51), and, in the play, sings
that “Their evil gifts would harm us. / We must not look at goblin men, / We must not
look. We must not buy” (Harmon and Pen 16). With her eyes shut, Lizzie is ignorant of
the world and its offerings, even if they are harmful. However, when she goes to the
goblins to save her sister, Lizzie “for the first time in her life / Began to listen and look”
(Rossetti lines 327-328). Despite her ignorant beginnings, Lizzie, motivated by her desire
to save Laura, sets aside her cautious nature, begins to examine the world and its perils,
and finally becomes enlightened.
The second wound named in the Catechism of the Catholic Church, suffering
and death, is illustrated by Laura’s illness. After committing the sin of eating the goblin
103
�fruit, Laura falls ill until she “Seem’d knocking at Death’s door” (Rossetti line 321). In
her sickness, Laura thinks of Jeanie, who also became ill and died after eating the fruit
(Rossetti line 315). However, unlike Jeanie, Laura survives her encounter with the goblin
fruit after Lizzie braves the goblins’ market to bring her another piece of fruit, which
serves as an antidote, bringing “Life out of death” (Rossetti lines 524). Laura, though she
committed the sin of eating the goblin fruit and suffered because of it, defied death with
her sister’s help.
Concupiscence– the inclination to sin, defined as a strong desire
(“Concupiscence”)–, is seen in the difference between Laura and Lizzie’s encounters
with the goblin fruit. While Laura and Lizzie both go to the goblins’ market for fruit,
their individual desires for fruit alter their fates. Laura, tempted by the goblins’ calls,
“Long’d” (Rossetti line 106) for the fruit, and, once she tastes it, sings about its pleasures:
O tell me now, o tell me
Why thy sweetness lures me so, so
That in thee all bliss is mine
All bliss is mine
Ah, ah, ah, fount of joy divine. (Harmon and Pen 17)
After eating the fruit, Laura, wanting more, but unable to obtain it, falls into a state of
sorrow, caught in a “passionate yearning, / And gnash’d her teeth for baulk’d desire, and
wept / As if her heart would break” (Rossetti lines 266-268). Laura’s intense desire for
the fruit causes her to suffer and sin again, illustrating the principle of concupiscence.
Lizzie, on the other hand, spurns the goblins’ fruit, which saves her and Laura.
In the play, the goblins try to convince Lizzie to eat their fruit by daring to “Hug her and
kiss her, / squeeze and caress her” (Harmon and Pen 28). Lizzie is harassed by the
goblins, who touch her inappropriately to get her to eat their fruit. The goblins’ assault on
Lizzie illustrates concupisence, which carries the connotation of sexual desire
(“Concupiscence”). Through their molestation, the goblins tempt Lizzie to commit the
same sin that her sister committed– to open her mouth and eat the fruit, preying on her
concupiscence– the inclination to sin, specifically in a sexual manner.
Despite the goblins’ harassment, Lizzie remains steadfast in her quest. As she
endures the goblins’ assault, she “utter’d not a word; / Would not open lip from lip / Lest
they should cram a mouthful in” (Rossetti lines 430-432). Unlike Laura, who “suck’d and
suck’d and suck’d the more / Fruits which that unknown orchard bore” (Rossetti lines
134-135), Lizzie refuses to taste the goblin fruit, instead enduring the goblins’ attempts to
entice her, so she can bring Laura another piece of fruit. By not giving into the goblins’
104
�temptations, Lizzie overcomes concupiscence– the propensity to sin–, defying the last of
the wounds resulting from original sin.
Sisterhood
In the author’s note, Harmon and Pen write that Goblin Market is, at its core,
“the story of a very real and intricate relationship between two sisters” (Harmon and Pen
5). The importance of sisterhood in the story can be seen in Dante Gabriel Rossetti’s
1862 frontispiece for the poem (see fig. 4). Dante Gabriel Rossetti, Christina Rossett’s
brother, chose to illustrate Laura and Lizzie, locked in an embrace, captioned with the
line from the poem, “Golden head by golden head.”
Fig. 2. Illustration for Goblin Market by Arthur Rackham, 1933, depicting Lizzie refusing
the goblin’s fruit, therefore refusing their temptations.
105
�Fig. 3. Adam and Eve by Titian, circa 1550, depicting Adam and Eve giving into
temptation by eating from the tree of knowledge.
Fig. 4. Frontispiece for Goblin Market and Other Poems, illustrated by Dante Gabriel
Rossetti.
Dante Gabriel Rossetti gives Laura and Lizzie almost identical facial features, and tangles
their limbs under loose clothes and blankets, so it is difficult to tell where one sister ends
and the other begins. The goblins are isolated into a small circle in the upper left corner,
while Laura and Lizzie take up the majority of the image. According to this image, the
106
�dominant theme in the poem does not concern the goblins, who are almost an afterthought
in the illustration, but is about the bond that Laura and Lizzie share.
Laura and Lizzie, despite the challenges they face throughout the story, are very
close, both in appearance and their relationship. Simultaneously, they sing that they are
“like as like can be … you can’t tell her from me” (Harmon and Pen 21), and both have
“hair nut brown and fine” (Harmon and Pen 21). As Laura is affected by the goblin fruit,
their appearances begin to differ, her hair growing “thin and grey” (Harmon and Pen 25).
The goblin fruit, in addition to making her lethargic and delusional, separates her from
Lizzie in appearance, physically showing that the fruit has the power to divide their
sisterly bond. Later, after Lizzie saves Laura, they again sing that they have “hair nut
brown and fine, / You twine it in a single braid, a single braid, / And hers is just like mine,
/ And hers is just like mine” (Harmon and Pen 35). After Laura recovers from her illness,
the sisters return to their similar appearances, and their relationship is strengthened. This
difference is shown in Laurence Housman’s 1893 illustrations for the poem. He first
shows their similarities by illustrating the lines “Cheek to cheek and breast to breast /
Lock’d together in one nest” (Rossetti lines 197-198), depicting two identical faces
pressed together (see fig. 5). Like Dante Gabriel Rossetti’s illustration (see fig. 4), the two
girls are intertwined, making it difficult to discern where one sister stops and the other
begins.
Fig. 5.
However, after Laura eats the goblin fruit and falls into a depression, Housman
depicts them very differently (see fig. 6). In this illustration, though Lizzie embraces
Laura, their bodies are less intertwined. Additionally, while Lizzie’s face is still youthful
and full, Laura’s is gaunt, giving her the appearance of an old woman. Housman’s
illustrations depict the separation between the sisters due to the goblin fruit.
107
�Fig. 6.
At the end of the play, the sisters reflect on how their experience influenced
their relationship. They pass the lessons that they learned onto their own children, telling
them to “cling together / For there is no friend like a sister / In calm or stormy weather …
to strengthen whilst one stands” (Harmon and Pen 36). As sisters, they stand together not
only in good times, but also support one another in hard times, as proven by their ordeal
with the goblin fruit.
The World of Goblin Market
The Market
Despite the poem’s rural setting, Christina Rossetti may have drawn upon urban
London to create the world of Goblin Market. Coming from an affluent family, Rossetti
was known to visit Covent Garden Market, and was once noted as going there “twice
within one week in December 1883 to buy a wreath, a cross, and flowers” (Tarr 298),
though her shopping habits prior to writing Goblin Market in 1859 are difficult to trace.
Though the bustling urbaneness of Covent Garden Market seems like a contrast to Goblin
Market’s bucolic setting, many people comment upon the Market’s rural aura. In his
1858 poem, “Convent-Garden Market,” John Ashford writes “The country’s here in
town, its fresh sweet ware, fragrant of fields, perfumes the smoky air” (qtd. in Tarr 301).
108
�Despite its location in the middle of London, Covent Garden Market conjures a bit of
countryside, creating a location not unlike the goblin’s market in the glen.
Like the goblins’ market, Covent Garden Market was full of things to see, exotic
goods, and danger. In 1873, Punch called it “the sweetest, nastiest, prettiest, dirtiest,
brightest, dullest, beautifullest, beastliest place in all London” (qtd. in Tarr 299). Of all
the markets in London, Covent Garden Market alone offered both exotic fruits and
greenhouse-grown flowers. This is significant, as the goblins, too, sell imported fruits and
hothouse flowers, including “Rare pears and greengages” (Rossetti line 23), “Citrons
from the South” (Rossetti line 29), and “flowers / Pluck’d from bowers / Where summer
ripens at all hours” (Rossetti lines 150-152).
Though many families shopped at Covent Garden Market, children had to learn
to be wary of the dangers lurking there. Guidebooks, such as John Frost’s 1844 City
Scenes, showed children what they might encounter there, encouraging them to take
caution at the Market (Tarr 299). Covent Garden Market attracted some unscrupulous
vendors, “cut off from the rest of metropolitan society by their low habits, general
improvidence, pugnacity, love of gambling, total want of education, disregard for lawful
marriage ceremonies, and their use of a peculiar slang language” (Hotten qtd. in Tarr
306). Given the distrust of these vendors, Rossetti’s Goblin Market may function as a
warning for children to be wary in the Market, lest the end up like Lizzie, after the
goblins had “cuff’d and caught her, / Coax’d and fought her, / Bullied and besought her, /
Scratch’d her, pinch’d her black as ink, / Kick’d and knock’d her, / Maul’d and mock’d
her” (Rossetti lines 424-429).
Fig. 6. Drawing of Covent Garden Market by William Havell (1782-1857)
109
�Food Anxieties and Laura’s Illness
Aside from the religious and moral symbolism of the goblin’s fruit, Goblin
Market’s warning about caution in the marketplace has its roots in the concerns with food
safety and addiction in the Victorian era. During this time, food was often altered,
producing harmful effects. In 1820, the German chemist Frederick Accum wrote that
“Numerous facts are on record, of human food, contaminated with poisonous ingredients,
having been vended to the public; and the annals of medicine record tragical events
ensuing from the use of such food” (qtd in Stern 486). By 1855, the issues with food
tampering had become so prevalent that Parliament formed a Select Committee to handle
the situation (Stern 487). The average Victorian person could expect to consume a
plethora of toxic pigments and other harmful substances, including lead, mercury, and
copper, on a daily basis (Stern 487). While many of the toxins came from potted meats
and fruits, fresh fruits were not entirely safe. Produce was often colored with harmful
substances to make them more appealing. An 1855 pamphlet titled “How to Detect
Adulteration” comments upon the “abominable practice of adulterating all green fruits
with copper. Gooseberries, greengages, olives, limes and rhubarb are almost invariably
coppered to give them a false colour. The purchaser of these fruits is advised to abstain
from any that have a bright green look, for it is impossible to preserve greenness in
preparations of this kind without the use of copper; but a bad colour is preferable to
poison” (qtd. in Stern 488). Like the goblins, luring Laura and Lizzie with their fruits “so
luscious” (Harmon and Pen 15), Victorian fruit vendors tempted their customers with
visual appeal, though at the expense of the consumer’s safety.
The focus on toxic foods and Laura’s resulting illness also reinforces the
allusions to Covent Garden Market. In 1857, the Parliamentary Papers reported on a
poisoning from a purchase at Covent Garden Market (Tarr 308). Though accidental, the
victim ingested belladonna, a plant with sweet-tasting– and toxic– dark purple berries. In
1859, several London news outlets again reported on a case of poisoning after a group of
boys stole belladonna extract from a Covent Garden vendor, then, thinking it was
licorice, sold it to other children, who ingested it (Tarr 308). According to an 1854
medical journal, victims of belladonna poisoning can experience “heat and dryness of the
mouth, throat, and fauces,—giddiness, double vision, with delirium, convulsions, stupor,
and lethargy; sometimes nausea and vomiting. The pupils are much dilated, and the eyes
are insensible to light” (Medical Jurisprudence qtd. in Tarr 308). Laura, after eating the
goblins’ fruit, experiences many of the same symptoms. She is described as “longing for
the night” (Rossetti line 214), which, if her pupils were dilated, would allow her to see
110
�more comfortably in the low light. She becomes lethargic, unwilling to fulfil her typical
household duties, and refuses to eat:
She no more swept the house,
Tended the fowls or cows,
Fetch’d honey, kneaded cakes of wheat,
Brought water from the brook:
But sat down listless in the chimney-nook
And would not eat. (Rossetti lines 293-298)
Instead of going about her normal routine, Laura becomes lost in visions, dreaming “of
melons, as a traveller sees / False waves in desert drouth / With shade of leaf-crown’d
trees, / And burns the thirstier in the sandful breeze” (Rossetti lines 289-292). Not only is
Laura experiencing hallucinations, but these visions suggest thirst– yet another symptom
Laura shares with the victims of the Covent Garden Market belladonna poisonings.
Poetic Language
Much of Goblin Market’s text is taken verbatim from Rossetti’s poem, or, at the
very least, imitates her style of writing. This poetic quality not only drives the piece’s
impulse and pace, but also helps to create the fictitious market. In Victorian England,
rhyming and alliteration were commonly used by vendors to hawk their wares in the
marketplace, and “costermongers [one who sells goods, especially fruits or vegetables,
from a handcart], were among the earliest users of rhyming slang” (Lobdell 5). Like
market vendors, the goblins use rhyme and alliteration to lure the girls to give into their
temptations as they hawk their wares. The goblins call to Laura, crying “‘Pretty goblin’
still for ‘Pretty Polly’” (Pen and Harmon 16), and later tempt Lizzie with the words
“Come take a seat with us, / Honour and eat with us” (Pen and Harmon 30). In both
instances, the goblins use poetic devices– alliteration and internal and end rhyme,
respectively– to coerce Laura and Lizzie to take their fruits. By reproducing merchant
calls to sell harmful fruits, Rossetti, Pen, and Harmon create a cautionary tale about the
Victorian marketplace: keep your wits about you in the market, for not all calls come
from trustworthy vendors.
111
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�Alive with Color: How Color
Brings the Day of the Dead to Life
Diana Vidals 1
The Day of the Dead, also known as el Día de Los Muertos, is one of Mexico’s
most well-known cultural celebrations, with growing popularity throughout Latin
America. Celebrated from October 31st to November 2nd, the holiday is recognized for
its colorful ofrendas and recognizable symbols such as the colorfully decorated sugar
skulls. The holiday has roots tracing back to pre-Columbian Mesoamerica and has even
survived the Spanish’s attempt to eradicate Mexico’s indigenous roots through
Catholicism. Despite Mexico being a predominantly Catholic country, the Day of the
Dead is often seen as separate from the church. This distance can be viewed through the
customs and practices of the holiday, rather than mourning the loss of a loved one, the
Day of the Dead celebrates them with bright colors that can be found in flowers, food,
decor, and art. Through the use of color, the Day of the Dead festively celebrates a
morbid event, ultimately changing the narrative in which death is portrayed.
What is the Day of the Dead?
Starting at midnight on October 31st, the Day of the Dead is a time when it is
believed that the deceased can cross from their supernatural world into ours, “there is a
very fine line that separates the world of the living from the supernatural world where the
dead live. On El día de Muertos (the Day of the Dead), that line dissolves and, for a time,
there is only one world” (Hayley and Fukuda 1). During this brief period, the dead can
return home and reunite with their loved ones. The Day of the Dead is deeply rooted in
Mesoamerican traditions that date back to 3,000 years (Mejorada). The practice of
honoring the dead through altars and offerings stemmed from the Aztec custom of
Miccaihuitl, a ritual to honor the dead (Mittan) and honor the Aztec goddess
Mictēcacihuātl, the goddess of the underworld. Traditionally, Miccaihuitl is a month-long
celebration that was done in August instead of November, which also marked the end of
the harvest (Richman-Abdou). However, the standard way in which the holiday is
currently celebrated differs from the pre-Columbian Mesoamerican way of celebrating
1
Written under the direction of Prof. Jennifer Toth and Dr. Felicia Ruff for LC3: The Rainbow
Connection: Color Connections in Art and Theatre.
115
�the deceased, due to colonization at the hands of the Spanish. Most notably, the days it is
celebrated have been changed to fit in line with the Catholic holidays, All Saints and All
Souls day. These changes were made in an attempt to colonize the holiday, however,
instead, it created “a syncretic holiday, meaning it’s a cultural product of two different
religious traditions that hybridized during the European colonization of the Americas”
(Sandoval).
Three millennia later there are still a few pre-Hispanic elements that can be
found in the Day of the Dead, a prime example of this is the use of ofrendas. The practice
of honoring the dead through offerings originated from Mexico’s indigenous people,
Mesoamericans such as the Aztecs and Toltecs who through offerings celebrated the lives
of their deceased rather than grieve them (PBS). Tied to the “pan-Mexican Tree of Life”
(Hayley and Fukuda 135), three-tier ofrendas were made to symbolize life and the world,
“The floor represents the underworld. The tabletop is the world of men and the arch
represents the sky stretching overtop of it all. The ofrenda is their universe in miniature”
(Hayley and Fukuda 135). Today, the size of an ofrenda is simply based on the taste of
whoever is constructing it. A tier on an ofrenda is typically dedicated to a single family
member, thus, ofrendas with three tiers or more are common.
Another pre-Hispanic element that can be found in modern celebrations is the
skeleton iconography that is representative of the Day of the Dead. The connection
between skeletons and death is linked to pre-Hispanic Mesoamerican art with “preColumbian stone sculptures of deities and humans with skull-like faces” (Brandes 47)
produced by ancient Aztecs and Mayans. This skeletal art also had ties with the cultural
belief shared by indigenous groups in Mexico such as the Nahuatl people who saw
skeletons as a symbol of life (Paz). Today, the Day of the Dead is known for its skeleton
iconography in the form of paper-mache skulls, clay Calaveras and sugar skulls. Sugar
skulls, like the skeleton art, also date back to pre-Hispanic times, however, sugar skulls
have a history of being “an indigenous response to repressive overlords” (Hayley and
Fukuda 133). Prior to the arrival of the Spanish, indigenous groups in Mexico would
celebrate their dead by digging up “the remains of their ancestors, particularly the skull,
and clean the bones, paint them bright colors and put a prayer and the name of the person
to whom the skull belonged on the forehead” (Hayley and Fukuda 133). This was put to a
stop, along with many other spiritual indigenous practices, by the Spanish government.
However, the Mexican people found a way around the ban on their traditional practices
with the creation of sugar skulls. Sugar skulls are made of granulated sugar mixed with
water, and decorated with floral details with colorful icing, contrary to popular belief, the
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�skulls are meant to be decor, not food. Today, while the practice of cleaning bones is
continued in Pomuch, a Maya town in Mexico (“In Pomuch..”), sugar skulls have become
an important aspect of the celebration and a famous symbol of the Day of the Dead.
While many traditions have been lost or altered, a still-standing tradition is the
use of the color yellow as a marker of death. Yellow can be found throughout the
traditions of the Day of the Dead, from the sugar skulls to the cempasúchil flowers, this is
due to the Mesoamerican belief that it is the “color of death and the color that coincides
with the direction south (where the Village of the Dead is located)” (Hayley and Fukuda
74). Along with this, many people believe that the vivid color cheers up the deceased
(Richman-Abdou). Despite the changes made throughout the centuries, the importance of
color and art on the Day of the Dead is undeniable.
The Day of the Dead and Catholicism
While Mexico does not have an official religion, the country and culture are
predominantly Catholic, with over 80% of the population identifying as Catholic
(Evanson). Catholicism was first introduced in Mexico in the 16th Century by the
Spanish, this has led the religion to increase in popularity as well as become ingrained in
the country’s culture. However, there are many differences in the way that Mexicans
practice Catholicism, one prime example is their treatment of death. In Catholicism,
death is traditionally observed somberly with a series of masses, prayers, and the color
black, “the color most often associated with death for Catholics'' (Hayley and Fukuda
134). It is often treated as a serious and grim event as many of the rituals such as the Last
Rites determine whether the soul of the deceased goes to heaven or hell. The disparity in
the treatment of death between both cultures is seen distinctly in how both holidays are
observed. Differing greatly from the lively celebrations of the Day of the Dead, All Souls
and All Saint’s Day, which fall on the same days as the Day of the Dead, “ is bleak and
dismal, requires one to go to the cemetery to pray and to mourn once again for lost loved
ones” (Hayley and Fukuda 2). This is not the case when celebrating the Day of the Dead
as it is not seen as “mourning of lost loved ones, but a celebration, a reunion with the
dead” (Hayley and Fukuda 2). The different emotions that both celebrations evoke
ultimately display how the perception of death in each culture is vastly different,
“because it is a flamboyant, colorful holiday of considerable renown, the Day of the Dead
is often cited as a manifestation of a uniquely Mexican view of death” (Brandes 273).
Despite the inclusion of religious icons, the Day of the Dead is often seen as
separate from the church, “the church does not identify itself with nor does it support the
celebration as a Catholic event. Occasionally, individuals within the church will attempt
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�to participate but they do so without the sanction of their superiors” (Hayley and Fukuda
123). This separation is particularly astonishing as “once the Spanish conquered the
Aztec empire in the 16th century, the Catholic Church moved indigenous celebrations
and rituals honoring the dead throughout the year to the Catholic dates commemorating
All Saint’s Day and All Souls Day on November 1 and 2” (Román). Despite the Spanish’s
attempt to eradicate the Mesoamerican celebration, the two holidays are seen as two
separate entities as “nominally this is the Christian feast of the All Saints’ and Souls’, but
it is celebrated in Mexico as nowhere else in the Catholic world” (qtd. In. Brandes 187).
Despite having similar objectives, the Day of the Dead is detached from the typical
Catholic holiday due to the striking and festive nature of its celebration and view of
death.
Color Significance on the Day of the Dead
As previously mentioned, color is vital to the festivities as they bring the
celebration to life. Bright colors on the Day of the Dead are traditionally preferred over
colors with washed-out appearances such as pastels. As a symbol of death, with cultural
ties to Mexico’s indigenous roots, yellow is always present in the form of cempasúchil
flowers. The color is often tied to another important symbol of the Day of the Dead, the
sun. Yellow is believed to represent unity “because under the sun, we’re all the same”
(Incorvaia). Other colors that are commonly used in the celebration are pink and white.
Pink which can be found on Papel Picado and adorning sugar skulls is believed to
symbolize the happiness that the souls and family feel celebrating the Day of the Dead.
White is meant to depict spirit, purity, and hope (“Day of the Dead:..”), this can be tied
back to Mexico’s religious culture through Catholicism and even the nation’s flag, whose
white stripe also represents purity. Other prominent colors are red, which is meant to
represent blood and life, and purple, which typically represents royalty, symbolizes
mourning, suffering, and loss (Incorvaia). Many colors such as yellow are used
throughout the holiday traditions due to the cultural symbolism behind them.
The Traditions
Many traditions make up the Day of the Dead, ofrendas are the most important,
serving as the epicenter of the celebration. Ofrenda in Spanish means offering, set up on
the 30th of October and taken down on the 2nd of November, ofrendas are created by the
family members of the deceased to place offerings for them to enjoy upon their arrival
home. Ofrendas serve as a symbol of remembrance of the dead, “The ofrendas speak of
affection toward the deceased and are an expression of love towards life” (“What is
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�dia…”). varying in size, some families create elaborate multilevel ofrendas, with one
level for each deceased family member while others make simpler ones that consist of
just one. The size of ofrendas can also vary depending on the age of the deceased,
ofrendas for children are simpler, “Usually, the altar was either a single wooden chair
with the back placed against the wall or a wooden crate…The children’s altars were
small, about 18 inches (45 cm) above the floor (to make it easier for the ‘little ones’ to
reach)” (Hayley and Fukuda 67). Each ofrenda is made with the utmost care and attention
to detail, hoping to satisfy the dead who are believed to be “capable of bringing
prosperity (e.g. an abundant maize harvest) or misfortune (e.g. illness, accidents,
financial difficulties) upon their families depending on how satisfactorily the rituals are
executed” (UNESCO - Indigenous Festivity Dedicated to the Dead). There are a few
items that are staples in ofrendas such as a cup of water, “The dead are always
thirsty”…Hot chocolate is almost as common…The more modern families would place
bottles of soft drinks on their ofrendas. The flavors or kinds depended on the ones the
dead preferred while alive'' (Hayley and Fukuda 77). Objects such as photos of the
deceased, religious icons, “fanciful ceramic skulls or tiny skeletal figurines to, as they
say, add a bit of color to the ofrenda…” (Hayley and Fukuda 76). Toys such as brightly
painted skeletal figurines are included on the ofrendas for the deceased children to play
with, while these toys seem morbid, the colorful skeletal figurines are often portrayed in
a comical way reflecting “a peculiarly Mexican view of death- an "acceptance of death…
the expression of a unique and creative philosophy of life and death” (Brandes 182).
Along with food, toys, pictures, and religious icons, ofrendas famously include
colorful decorations. ofrendas are created to be colorful and eye-catching, typically using
bright pinks, and oranges “along with purple and white, are commonly attributed
symbolic meanings: the life-giving properties of the sun, celebration, mourning, and
purity” (Sunnucks 3). The most popular decorations are Papel Picado, banners made of
tissue paper that have designs cut out of them. Papel Picado is known for its bright colors,
each symbolizing a different theme in the celebration, such as mourning, celebration,
hope, and sun. Another popular decor that is used is fruits and vegetables. Some families
simply lay the fruits and vegetables on the ofrenda while those with more elaborate
setups hang them on arches, “The most common were bunches of bananas, limes,
oranges, manzanitas, nísperos, and jicama. In some homes, apples, grapefruit, or lemons
are also added” (Hayley and Fukuda 75).
While the majority of the Day of the Dead is celebrated at home alongside the
ofrendas, a big portion of the celebration happens at the cemetery. Along with making
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�ofrendas, families also decorate the graves of the deceased and spend the night in the
cemetery celebrating. As with ofrendas, the complexity of the setup is up to each family,
however, a lot of time and care is still put into cleaning and colorfully decorating the
graves with religious icons such as the Virgin of Guadalupe, photos of the deceased,
candles, flowers, and even sand paintings. Families spend their time at the cemetery
sharing meals and stories, further linking the living with the dead. Despite the morbid
setting, the visits to the cemetery are treated as a celebration, complete with music, food,
and in some cases art. In certain towns such as Xoxocotlán, the graves are also decorated
with paintings “using multicolored or painted sand” (Hayley and Fukuda 107), known as
tapetes de arena. In other places such as San Felipe del Agua, artists use flowers to create
these portraits as well, while others even use broken glass. These paintings are sometimes
religious, depicting the Virgin Mary or Jesus Christ, or they are portraits of the deceased,
whatever the subject the paintings use saturated colors such as blue, pink, and red in
order to stand out. Decorating the graves is seen as another way to welcome the dead
back home, in many places, even those who don’t have families in town, otherwise
known as Los olvidados, have their graves decorated by those who had a few flowers and
candles to spare. The presence of color at the cemeteries is just as important as with the
ofrendas, the warm and vibrant colors from the orange flowers and yellow candlelight
turn an otherwise bleak setting into a celebration of life and death.
The Cempasúchil Flower
While there are many iconic symbols that the Day of the Dead is recognized for,
the cempasúchil flower, otherwise known as the marigold flower, serves as one of the
most important. The strong smell and the vibrant orange color of the cempasúchil flower
are inescapable during the Day of the Dead as they are used in many of the traditions.
Due to their strong scent and bright appearance, cempasúchil flowers are placed on the
ofrendas to attract the dead, “The strong scent of cempasúchil, the prepared foods, the
bright colors, and the candlelight are popularly thought to attract the spirits of the dead
and lead the way home” (Sunnucks 3). Their presence can also be found adorning the
graves of the dead in flower pots and art. In some cases, “women sometimes wear the
flower-heads in their hair” (“Discovering Cempaxochitl…”) this is typically seen in those
who dress up as Catrinas, another famous symbol of the Day of the Dead, to join in the
celebration. Whether they are used as decor or an accessory, the cempasúchil flower
remains a symbol of light and death. According to Aztec tradition, the flower and its
bright hue “contains the connotation of a compass that leads the souls of the dead to the
material world” (“Day of the Dead Colors…”). The flower serves as a tie between the
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�dead and the living, as well as a tie between the indigenous and modern celebrations of
the Day of the Dead.
Known as the flower of the dead, the cempasúchil flower has had associations
with death since pre-Hispanic times. The belief that the flower signifies death stems from
the Aztec legend of the young Aztec couple, Xóchitl and Huitzilin. The couple would
often climb up to the top of a mountain where it was believed that the sun god, Tonatiuh,
lived and they would offer him flowers. On one of their hikes up the mountain, they
asked the sun god for his blessing in their union. However, shortly after the couple
received his blessing, they were torn apart by war and death. Devastated by the loss of
Huitzilin, Xóchitl climbed the mountain, this time to ask to be reunited with her love, and
was turned into an unbloomed flower. Ultimately, the two were reunited in death when
Huitzilin, now reincarnated as a hummingbird, perched himself on the flower that then
bloomed into a cempasúchil (“The Legend of...”). The flower’s ability to reunite the
couple has made cempasúchil a symbol of death and it became known as a device to
reunite the dead with the living as “yellow is a color that attracts the spirits of the dead
and brings them to the altars to enjoy the feast that has been prepared for them and placed
on the altar for them” (Hayley and Fukuda 74).
Because of the belief in the cempasúchil’s ability to guide the dead, it is
customary to create a trail of its petals to lead the dead home. On November 1st, trails of
marigold petals that begin in front of the ofrendas and end in the cemeteries at the graves
of the deceased, adorn the floors and streets, “This magic path now shows the way from
the grave to the ofrenda and the family’s home… The grave acts as a homing beacon,
attracting the dead to the right place. Once there, the soul follows the appropriate path to
the home of his or her loved ones and he cannot get lost because of the path’s magic”
(Hayley and Fukuda 87). While they make great decorations for a festive ofrenda,
cempasúchil flowers hold cultural and spiritual significance in bringing the dead home.
Death is traditionally depicted as sad, serious, and alongside the color black.
During Mexico’s Day of the Dead, death isn’t treated with fear but instead with warmth
as families get ready to welcome back their deceased loved ones. The festive decor,
colors, traditions, and overall atmosphere change how death is viewed and portrayed.
Many traditions on the Day of the Dead use color to do this, such as the ofrendas which
utilize colorful fruits, flowers, and objects to welcome the dead home. Similarly, families
also decorate their graves as well and use the bright orange petals of the marigold flowers
to guide their ancestors back home. The lack of dark colors like black depicts this holiday
to be more like a party rather than another cycle of mourning. Thus showing that the use
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�of bright colors can change and evoke different feelings as they help create a festive
atmosphere, turning a morbid holiday into something festive celebrating both life and
death.
Works Cited
Brandes, Stanley. “Iconography in Mexico’s Day of the Dead: Origins and Meaning.”
Ethnohistory, vol. 45, no. 2, 1998, pp. 181–218. JSTOR, https://doi.org/10.2307/483058.
Accessed 22 Nov. 2022.
Brandes, Stanley. Skulls to the Living, Bread to the Dead: The Day of the Dead in Mexico
and beyond. John Wiley & Sons, 2009.
Brandes, Stanley. “Sugar, Colonialism, and Death: On the Origins of Mexico’s Day of
the Dead.” Comparative Studies in Society and History, vol. 39, no. 2, 1997, pp. 270–99.
JSTOR, http://www.jstor.org/stable/179316. Accessed 15 Nov. 2022.
Evanson, Nina. “Mexican Culture - Religion.” Cultural Atlas,
https://culturalatlas.sbs.com.au/mexican-culture/mexican-culture-religion.
Haley, Shawn D., and Fukuda, Curt. Day of the Dead: When Two Worlds Meet in
Oaxaca, Berghahn Books, Incorporated, 2004. ProQuest Ebook Central,
https://ebookcentral.proquest.com/lib/wagner-ebooks/detail.action?docID=1809599.
Incorvaia, Samantha. “Day of the Dead Face Painting: How to and What It Means.” The
Arizona Republic, Arizona Republic, 7 Oct. 2019,
https://www.azcentral.com/story/entertainment/holidays/day-of-thedead/2016/10/14/day-of-the-dead-dia-de-los-muertos-face-painting/91500656/.
Mejorado, Rebekah. “Traditions and Change: The Transformation of Día De Los
Muertos in the United States.” Smithsonian American Art Museum, Smithsonian
American Art Museum, 27 Oct. 2022, https://americanart.si.edu/blog/dia-de-los-muertosunited-states.
Mexperience, and Gwen Miller says. “Discovering Cempaxochitl, Mexico's Iconic
Flower.” Mexperience, 31 Oct. 2022, https://www.mexperience.com/mexicos-iconicflower/.
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�Mittan, Kyle. “Understanding the History and Traditions of Día De Los Muertos.”
University of Arizona News, 13 Oct. 2021, https://news.arizona.edu/story/understandinghistory-and-traditions-d%C3%ADa-de-los-muerto.
Mulík, Stanislav, and César Ozuna. “Mexican Edible Flowers: Cultural Background,
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Columbia University Press, 2006. EBSCOhost, https://ezproxy.wagner.edu:2462/
login.aspx?direct=true&db=nlebk&AN=477746&site=eds-live.
Osorio Sunnucks, Laura. “Curating the Mexican Days of the Dead: ‘Intangible Heritage’
at the British Museum.” Anthropology Now, vol. 8, no. 1, 2016, pp. 25–36.,
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Paz, Octavio. “The Day of the Dead.” The Day of the Dead - Spanish Section,
Department of Classical and Modern Languages, https://louisville.edu/spanish/oldarchive/day_of_the_dead/dia_muertos_mexico.
Richman-Abdou, Kelly. “Día De Los Muertos: How Mexico Celebrates Its Annual ‘Day
of the Dead.’” My Modern Met, 1 Nov. 2022, https://mymodernmet.com/dia-de-losmuertos-day-of-the-dead/#The_Ofrenda.
Sandoval, Matthew. “How Commercialization over the Centuries Transformed the Day
of the Dead.” The Conversation, 13 Sept. 2022, https://theconversation.com/howcommercialization-over-the-centuries-transformed-the-day-of-the-dead-170428.
Sector, Charlotte. “Reading the Colors of the Vatican.” ABC News, ABC News Network,
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Broadcasting Service, 18 Apr. 2022, https://www.pbs.org/education/blog/beyond-sugarskulls-the-history-and-culture-of-dia-de-los-muertos.
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Symbolisation | Ritual Trip, 4 June 2019, https://ritualtrip.com/day-of-the-dead/colors.
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�More than a Nurse, More than a Doctor:
The Leadership of Dr. Hadassah Bimko Rosensaft
Lejla Ivackovic1
When thinking of World War II and the Holocaust, our minds often go straight
to the number of casualties - six million Jews and millions of other civilians - or to the
Nazi perpetrators, without considering who showed bravery during these times and in
their aftermath. During World War II, women of all faiths did invaluable service as both
nurses and doctors. Thousands of nurses aided those targeted by the Nazis, including
Allied soldiers, and significantly decreased their death rate. Dr. Hadassah Bimko
Rosensaft (1912-1997) was one of these extraordinary people. She was extremely selfless
and used her medical skills to help aid Holocaust survivors back to health. On arrival in
Auschwitz, she endured news of her husband and child’s gassing, yet found a new
purpose in saving women and children there and in Bergen-Belsen. Dr. Rosensaft and
many other women showed extreme courage during these times and made an impact on
thousands of lives.
Across the world, female nurses were helping injured soldiers fighting in the
war. Between 1942 and 1945, 59,000 women were recruited in the Army and Navy
Nurses Corps as part of the Red Cross Team to help wounded soldiers.2 Although nurses
were not fighting directly in the war, they too were at risk because of the constant attacks
and bombings, but leaders wanted to be sure to keep them safe. On June 12, 1944, six
days after the D-Day landing, 1st Lt. Edna Haddick Dorsman landed on Omaha Beach,
where her unit was immediately besieged with patients. As she recalled in her memoir,
1
This essay was written for the interdisciplinary LC1-RFT course in History and Oral
communication, taught by Theresa McCarthy and Lori Weintrob, “We Say Never
Again”: Empathy, Ethics and Courage.” I want to thank them for their assistance in
editing this paper.
2
Duquesne University School of Nursing, “The History of Wartime Nurses: World War
II” and National Museum of the United States Air Force, “Winged Angels: USAAF
Flight Nurses in WWII.” For example, 2nd Lt. Geraldine Dishroon served on the first air
evacuation team to land on Omaha Beach after the D-Day invasion in June 1944.
African-American female nurses were segregated until 1947. Bullough, Bonnie. “Nurses
in American History: The Lasting Impact of World War II on Nursing.” The American
Journal of Nursing, 1976, pp.120.
125
�“All the nurses just jumped right in and did whatever needed to be done, all urgent stuff
like give IVs, administer oxygen, pass stomach tubes and set up suctions, possibly change
bandages, and give shots.”3 Not only were these nurses helpful on the battlefield, but they
were also influential as role models because they proved just how useful women were
and that this was a job they could manage.
According to Duquesne School of Nursing, due to the skills of nurses “the U.S.
military had an astonishingly low rate of death following injury.”4 These women were
able to use their skill and decrease death rates despite a shortage of resources. Not only
was this an extremely risky job, but they also developed diseases and infections due to
the substantial number of patients they were treating. Since so many men were recruited
to the war, many jobs were left empty and women had to step up and take their spots,
proving that they were just as capable to do that job as a man would be. After years of
being underestimated, women finally began to earn recognition for all their challenging
work on the battlefield.
From October 1943-November 1944, in Auschwitz-Birkenau, a woman named
Dr. Hadassah Bimko (later, Rosensaft) was also responsible for saving lives. Born in
Poland in 1912, Dr. Rosensaft completed her dental surgery training in France. She
practiced her dentistry in Poland up until the outbreak of World War II, when she was
deported to Auschwitz, the largest Nazi death camp. Tragically, her five-year old son, her
parents, her husband and her neighbors were murdered at Auschwitz. Dr. Rosensaft’s
main goal after her deportation was to use her expertise and help aid inmates of the
camps.5 In addition to the Auschwitz camp, she also helped save hundreds of lives at
Bergen-Belsen Concentration Camp, in Northern Germany. Even though she had been a
dental surgeon, she collaborated with the British Army medical staff and was able to save
the lives of thousands of sick and wounded survivors. Upon finding more than 13,000
lifeless bodies in Bergen-Belsen, and another 15,000 sick Jewish and non-Jewish
prisoners, British troops asked Dr. Rosensaft to put together a medical team to assist in
3
As cited by Megan Harris, “D-Day Journeys: Nurses on the Ground and in the Sky,”
Library of Congress, April 15, 2019.
4
Duquesne University School of Nursing, “The History of Wartime Nurses: World War
II.”
5
Eric Pace, “Hadassah Rosensaft, 85, Dies, Saved Auschwitz Inmates.” The New York
Times, October 8, 1997l.
126
�aiding the survivors back to health.6 As mentioned previously, this medical team was
filled with some people who had little knowledge when it came to the medical field, but
this did not discourage them in any way. They were determined to help as many people
as possible and that they did.
Not only did Dr. Rosensaft help save the lives of survivors, but she was also a
key witness for the prosecution at the first trial of Nazi war criminals. Dr. Rosensaft
along with other doctors and nurses of Auschwitz and Bergen-Belsen talked about the
horrible acts of violence they witnessed during the Holocaust. She recalls, “women
coming into the infirmary with abscesses, furuncles, and wounds inflicted by dogs as well
as from the infirmary’s guards who watched the women at work.”7 She mentions how the
infirmaries were not well equipped and they struggled looking for supplies such as
aspirin, scissors and bandages. She started off at Birkenau's Jewish infirmary but was
then moved to the concentration camp in Bergen-Belsen on November 14, 1944. In
December of that year, forty-nine Dutch Jewish children were placed in her care by Nazi
S.S. guards and more children continued to come as well. One of the barracks were then
used as a children’s home for around 150 boys and girls. She was able to work with
inmates to provide these children with additional necessities such as food, clothing, and
medication. Inmates recall that she “walked from block to block, found the children, took
them, lived with them, and took care of them. … The children were very small and sick,
and we had to wash them, clothe them, calm them, and feed them. That they survived was
due to Ada Bimko and her helpers.”8 This was yet another reason for Dr. Rosensaft to be
seen as heroic. She not only helped save hundreds of lives by treating the ill, but she took
in hundreds of sick children as well and treated them as her own.
In The Shalvi/Hyman Encyclopedia of Jewish Women, a reference tool, her son
Dr. Menachem Rosensaft writes proudly: “Because of her countless acts of bravery Dr.
6
Jane Brooks, “‘The nurse stoops down … for me’: Nursing the liberated persons at
Bergen-Belsen,” in One Hundred Years of Wartime Nursing Practices, 1854-1953 edited
by Jane Brooks and Christine E. Hallett (Manchester University Press, 2015), 213. At
liberation, 90% of those in Bergen-Belsen were Jewish victims of the Holocaust.
7
Menachem Z. Rosensaft, “Hadassah Rosensaft.” Shalvi/Hyman Encyclopedia of Jewish
Women (Jewish Women’s Archive, 31 December 1999). See also his article “Hadassah
Bimko Rosensaft: Saving Others” in Linda Stein. Holocaust Heroes: Fierce Females:
Tapestries and Sculptures (Old City Publishing, 2016), 55-58.
8
Rosensaft, “Dr. Hadassah Rosensaft.” Shalvi/Hyman Encyclopedia of Jewish Women
(Jewish Women’s Archive, 31 December 1999); Brooks, “‘The nurse stoops down … for
me’, pp.213, 218.
127
�H. Rosensaft was appointed to the United States Holocaust Memorial Council by
President Jimmy Carter in 1980 and then reappointed in 1989 by President Reagan.”9 It is
refreshing to know that Dr. Rosensaft was alive when she received her recognition
because so many heroines and survivors of the Holocaust died without knowing their
story has been shared all across the world and that they have created an impact on so
many people's lives.
The term “ordinary people doing extraordinary things” has so much meaning
behind it not only as a general statement, but when it is applied to the Holocaust. Leo
Ullman is a well-educated man who, at the age of three, went into hiding in the
Netherlands. In his memoir, he shares his story of how he was split from his family and
placed to live with Hendrik and Jannigje Schimmel. They raised him for 796 days while
his family was in separate hiding places in Amsterdam. The Schimmels along with any
other non-Jews who helped Jewish families hide are great examples of ordinary people
doing extraordinary things.10 These families could have ignored the struggles of the Jews,
just like the rest of the world, but they decided to take a leap of faith and help them.
Because of these ordinary people’s amazing deeds, they were able to save a life which is
a truly extraordinary thing. I am a firm believer of the fact that we are all ordinary people,
but it is our actions that make us extraordinary.
In 2023, the Holocaust Memorial Day Trust, an organization in England devoted
to lessons of genocide, chose to promote the theme of “Ordinary People” for the
following reasons:
Ordinary people were involved in all aspects of the Holocaust. Nazi persecution
of other groups, and in the genocides that took place in Cambodia, Rwanda,
Bosnia, and Darfur. Ordinary people were perpetrators, bystanders, rescuers,
witnesses – and ordinary people were victims… ordinary people have choices.11
This is a notable example to show how we hold our destiny and fate in our own hands. It
is up to us to decide whether we want to do good with our lives. So many heroes like Dr.
Hadassah Rosensaft, the Schimmel family, the partisan Vitka Kempner, or the British
special agent Noor Khan, among others, all saw themselves as regular people but to the
9
Rosensaft, “Dr. Hadassah Rosensaft.”
Leo Ullman, 796 Days: Hiding as a child in occupied Amsterdam during WWII and
then coming to America (Conte Q Publishing, 2015); Diane D’Amico. “Expansion of
Holocaust Resource Center Tells Story of Those Who Helped Family Survive.” Jewish
Community Voice, October 23, 2019.
11
Holocaust Memorial Day Trust, Theme of 2023 Holocaust essay contest.
10
128
�rest of the world they are true inspirations.12 The women healthcare workers all tie into
this aspect. At the time their struggles went unnoticed, and they were underappreciated
but if you were to do any research on them you would see just how resourceful they were
and learn how they put themselves in dangerous positions and sacrificed their lives just to
help others. Like the famous saying goes, “Not all heroes wear capes.”
Overall, it is important to dig deep beyond the first impressions of history
because so many heroic people go unnoticed when past events are being taught. Dr.
Rosensaft along with so many other women on different battlefields, used their incredible
skill and resilience to save thousands of lives. Although they were not fighting in the
military sense, they dealt with the aftermath, which was difficult and heart-breaking.
They certainly did not have to choose to sacrifice their lives, but they made the brave
decision to step up and do what was right in their hearts, which was to become quiet
heroes and save lives.
Bibliography
Brooks, Jane. “‘The nurse stoops down … for me’: Nursing the liberated persons at
Bergen-Belsen,” in One Hundred Years of Wartime Nursing Practices, 1854-1953 edited
by Jane Brooks and Christine E. Hallett. Manchester University Press, 2015, pp.211-231.
Bullough, Bonnie. “Nurses in American History: The Lasting Impact of World War II on
Nursing.” The American Journal of Nursing, 1976, pp.118-120.
D’Amico, Diane. “Expansion of Holocaust Resource Center Tells of Those Who Helped
Family Survive.” Jewish Community Voice of New Jersey, October 23, 2019.
https://www.jewishvoicenj.org/articles/expansion-of-holocaust-resource-center-tellsstory-of-those-who-helped-family-survive/.
Duquesne University School of Nursing. “The History of Wartime Nurses: Duquesne
University.” April 5, 2022. https://onlinenursing.duq.edu/history-wartime-nurses/.
Holocaust Memorial Day Trust. “Holocaust Memorial Day, 2023”, https://www.hmd.org.uk/.
12
Kempner and Khan (a British SOE agent later killed in Dachau Concentration Camp)
are among the eleven women depicted in Stein, Holocaust Heroes: Fierce Females,
Sculptures and Tapestries.
129
�Pace, Eric. “Hadassah Rosensaft, 85, Dies, Saved Auschwitz Inmates.” The New York
Times, October 8, 1997, B7, col. 1
Rosensaft, Menachem Z. “Hadassah Bimko-Rosensaft (1912-1997),” Shalvi/Hyman
Encyclopedia of Jewish Women. Jewish Women’s Archive, 31 December 1999.
Stein, Linda. Holocaust Heroes: Fierce Females: Tapestries and Sculptures. Old City
Publishing, 2016.
Ullman, Leo. 796 Days: Hiding as a child in occupied Amsterdam during WWII and then
coming to America (Conte Q Publishing, 2015).
130
�
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Volume 21, Number 2
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Section I: The Natural Sciences & Quantitative Analysis - Full Length Papers -- Characterization of Novel Seed Endophytes in Medicago sativa / Sarah Lott -- The Effect of Blockchain on Company Efficiency and Profit / Nicolas Olivier -- Section II: The Social Sciences - Full Length Papers -- The Effects of Influencer Marketing on Instagram and TikTok on Brand Awareness in the Fashion Industry / Yasmin Rieger -- Providing Mobile Healthcare to the Homeless Population of East Harlem / Amanda Giordano, Mikaila Incantalupo and Tiffani-Raye Valentin -- Section III: Critical Essays - Full Length Papers -- Goblin Market Dramaturgy Packet for Wagner College Theatre Production Stage One Theatre / Madeline Lee -- Alive with Color: How Color Brings the Day of the Dead to Life / Diana Vidals -- More than a Nurse, More than a Doctor: The Leadership of Dr. Hadassah Bimko Rosensaft / Lejla Ivackovic
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��EDITOR’S INTRODUCTION
The Wagner Forum for Undergraduate Research is an interdisciplinary journal which
provides an arena where students can publish their research. Papers are reviewed with
respect to their intellectual merit and scope of contribution to a given field. To enhance
readability the journal is subdivided into three sections entitled The Natural Sciences and
Quantitative Analysis, The Social Sciences and Critical Essays. The first two of these
sections are limited to papers and abstracts dealing with scientific research, clinical
investigations and complex mathematical/statistical modeling. The third section is
reserved for speculative papers based on the scholarly review and critical examination of
previous works. As has become a tradition, the fall edition commences with a reprint of
the abstracts of papers and posters presented at the Eastern Colleges Science Conference.
Read on and enjoy!
Gregory J. Falabella, Ph.D.
Editor-in-Chief
Editorial Board
Dr. Donald E. Stearns, Biological Sciences
Dr. Amy Eshleman, Psychology
Dr. Lori Weintrob, History
Dr. Annemarie Dowling-Castronovo, Nursing
��Section I: Eastern Colleges Science Conference 1
Abstracts
3
A Comparison of the Effects of Nitrate Concentration on Population
Growth Dynamics of the Duckweed Lemna minor Grown in Distilled
and Spring Water
Raven K. Pitt
3
Characterization of Novel Seed Endophytes in M. Sativa
4
Novel Mounting of Biological Tissue Samples for 3D Model
Reconstruction using Tandem Scanning Electron Microscopy and
Photogrammetry Software
Sarah Lott
Ian T. Massaro, Alice Mashensky, Ricardo L. Peguer, Andras Bimbo-Szuhai
4
GABAA Receptor Activation Reduces Social Behavior in Planarians
Kendal Lascar and Michael Pepe
Section II: The Natural Sciences &
Quantitative Analysis
Full Length Papers
9
A Comparison of the Effects of Phosphate Concentrations on
Population Growth Dynamics of the Duckweed Lemna minor Grown
in Distilled and Spring Water
Heather McLean
Section III: The Social Sciences
Full Length Papers
49 The Barriers Impeding Women’s Existence in the Financial Industry
Mackenzie Vogler
1
Papers and posters presented at the 76th Annual Eastern Colleges Science Conference held in New
Rochelle, NY on April 2, 2022.
�67 Influence of Gender Stereotypes on Gender Inequality &
Discrimination in the Workplace
Morgan Matrone
Section IV: Critical Essays
Full Length Papers
87 Increasing Vaccination Rates in the Jerusalem Ultra-Orthodox
Community
Kayla Hay, Reilly Patterson, and Allyssa Turner
97 The Creation of a Monster: An Analysis of Emotional Perception in PreModern Literature
Kevin Roach
105 The ‘Classy’ Way to a Man’s Heart
Maïa Vitoratos
121 The Renaissance, the Vatican, and the Music of Palestrina
Bridget Quinn
���A Comparison of the Effects of Nitrate Concentration
on Population Growth Dynamics of the Duckweed
Lemna minor Grown in Distilled and Spring Water
Raven K. Pitt (Biology) and Dr. Donald Stearns (Biological Sciences)
For 13-30 days, the duckweed Lemna minor was grown in 50 mL test tubes under
controlled conditions. Each test tube initially contained either distilled water prepared by
the laboratory’s distillation facility, 25 store-purchased distilled water, or store-purchased
spring water. To some test tubes, no additional nitrate was added. To other test tubes, nitrate
was added to alter the initial nitrate concentration levels while maintaining the initial total
volume of 50 mL. One three-frond plant was added to each test tube and grown under
continuous lighting (≈ 28.5 μEm-2s-1). Sample size for each group was n = 5 test tubes.
Frond number was monitored; estimates of rmax (maximum per capita rate of population
increase) and k (carrying capacity) were compared. Results using spring water showed an
increase in k from 9.6 to 12 fronds when the nitrate level was increased from 10 ppm to ≈
25 ppm as determined using nutrient strip indicators, after which higher nitrate levels up to
250 ppm showed a decrease in k suggestive of Liebig’s law of the minimum and Shelford’s
law of tolerance. The rmax values similarly showed increases with increasing nitrate
concentrations up to ≈ 50 ppm, after which rmax values declined. Using distilled water
instead of spring water showed little population growth and low rmax values, regardless of
nitrate concentrations, which were the same as those used in spring-water treatments.
Distilled-water experiments were stopped after 13 days due to frond death. These results
estimate the nitrate concentrations required for optimal population growth.
Characterization of Novel Seed Endophytes in M. Sativa
Sarah Lott (Microbiology & Environmental Studies) and Dr. Katherine Moccia (Biological
Sciences)
The microbiome of plants is essential in their development and health. Seed endophytes are
microorganisms that live within the seeds of plants, the majority of which are believed to be
nonpathogenic although more research is needed to better understand the function of seed
endophytes. They are present from the beginning growth stages and play many important
roles. A variety of bacterial species have been found as seed endophytes. They have also
been found to have common functions for colonization, benefiting plant growth, and
antifungal properties. In this project, seed endophytes were isolated from surface sterilized
Medicago sativa seeds on selective media for potassium solubilization, actinomycetes, and
nitrogen free media. Sterilized seeds were germinated and planted in Yosida agar. The
3
�sterilized plants were then inoculated with the seed endophyte isolates and uptake of the
isolates into the plant roots was measured. The methods were improved, germinating the
seeds in sterile water often led to self-toxicity and the seeds germinated at a much higher
rate using the Murashige and Skoog Medium. Several sources of contamination within the
protocol were found and eliminated. The isolates also underwent DNA extraction and
colony PCR for 16S rRNA gene sequencing. Using this method, a Pseudomonas species
was identified. Seed endophytes from Medicago sativa were characterized.
Novel Mounting of Biological Tissue Samples for
3D Model Reconstruction using Tandem Scanning
Electron Microscopy and Photogrammetry Software
Ian T. Massaro (Microbiology), Alice Mashensky (Microbiology), Ricardo L. Peguero
(Microbiology), Andras Bimbo-Szuhai (Microbiology), and Dr. Christopher P. Corbo
(Biological Sciences)
Biological 3D models have a multitude of applications in both research and academic
settings, however the generation of such models at an ultrastructural scale has remained a
daunting task. Here our group presents a method by which ultrastructural 3D models can be
generated using tandem scanning electron microscopy (SEM) and photogrammetry. Our
methods include a novel technique for mounting specimens for SEM which allowed our
group to capture images from all angles around the specimen. Our results demonstrate that
using our technique is adequate for the construction of an interactive, ultrastructural 3D
model that can be viewed from all orientations. We ultimately see use for these models in
educational settings and research when the 3D analysis of ultrastructural anatomy is
necessary.
GABAA Receptor Activation Reduces Social Behavior in Planarians
Kendal Lascar (Biopsychology) and Michael Pepe (Biopsychology)
Planarians, a species of flatworm that belongs to the Phylum Platyhelminthes, are known
for their regenerative properties. Planaria can regenerate a mature central nervous system
within seven days following decapitation, making them an attractive model for studying
early neurodevelopmental processes. Traditionally, planarians have been used in
regenerative studies. Few studies have addressed behavioral phenotypes. Here, we use a
novel assay to assess social behavior in the planarian by studying clumping behavior and
nearest neighbor distance (NND) between planarians in an open field. In previous work, our
lab group found that exposure to ethanol, a gamma-aminobutyric acid A (GABAA) receptor
4
�agonist, results in less clumping and a larger NND between planaria. To confirm that
GABAergic stimulation regulates social behavioral processes, we used the pharmacological
GABAA receptor agonist muscimol to perturb GABAergic neuro-transmission. We found
that exposure to 0.05% muscimol for ten minutes resulted in a decrease in clumping
distance, or social interactions between planaria (p < 0.001; F(1,61) = 37.07; Mixed Effects
Model). This effect was sustained at multiple time points after planaria were introduced to
one another (p < 0.001 at 40 m and 60 m; Sidak’S Multiple Comparisons Test). Our data
demonstrated that the GABAA receptor agonism reduces social interactions between
planaria. The ability to perturb social interactions in planaria makes it an attractive high
throughput model to study social behavior and neuro-developmental disorders, in which
social behavior is often disrupted.
5
����A Comparison of the Effects of Phosphate Concentrations on
Population Growth Dynamics of the Duckweed Lemna minor
Grown in Distilled and Spring Water
Heather McLean (Biology)1
In this experiment duckweed Lemna minor was grown for 31 days under controlled
laboratory conditions. Duckweed was grown in test tubes as control or treatment groups in
the following solvents: spring water, lab-distilled water, or commercial-distilled water.
Control groups had no additional phosphate. Treatment groups had phosphate added to
make various phosphate concentrations. Five tubes were made for every nutrient condition
with three-frond duckweed plants placed into each. The number of fronds was counted
throughout the experimental period. Carrying capacity and r max were calculated to determine
growth levels. Results for spring water showed a significant (P ≤ 0.05) difference in the
carrying capacity for 10 ppm compared to each treatment group. Carrying capacity followed
Liebig’s law of the minimum and r-max Shelford’s law of tolerance. Lab-distilled water
showed less growth and lower rmax values compared to spring water. The results showed that
50-100 ppm had a significantly higher (P ≤ 0.05) carrying capacity and r-max compared to
0 ppm. However, trends were not followed while using lab-distilled water. When comparing
the controls of each solvent, it was found that lab-distilled water had a significantly lower
carrying capacity compared to spring water and commercial-distilled water. It is most likely
due to issues with the filtration system or plasticizers from the carboy. These results show
the importance of determining phosphate concentrations required for optimal population
growth and which concentrations have negative growth effects.
I. Introduction
General Introduction to Population Growth Dynamics
Duckweed growth is characterized by population growth dynamics. Fluctuations
constantly occur in communities as individuals are born and die. Growth defines the
changes in size and structure over time. Exponential growth is when populations become
greater in proportion to their total growing size, creating a rapid increase with passing
time. It occurs when the size of the population increases by the same percentage per unit in
1
Research conducted under the supervision of Dr. Donald Stearns in partial fulfillment of the
Senior Program requirements.
9
�time. The growth occurs at the same percentage, not necessarily the same amount. A graph
shows an accelerated increase in the size of a population, which appears as a J-shaped
curve. Exponential growth depends on the ability of individuals in a population to
reproduce and survive under their environmental conditions (Freeman et al., 2017).
Growth can be described using per-capita rate of increase (r-value). It is each
individual's contribution to the initial population, compared to the increase of the
population. The value is positive when the birth rate is greater than the death rate and is
negative when it is the opposite. Exponential growth occurs when the r-value does not
change over time. The intrinsic rate of increase (r-max,) is the maximal r-value found in
optimal conditions. These conditions are achieved when the birth rates per individual are
maximized, and death rates are minimized (Freeman et al., 2017).
Populations cannot grow exponentially indefinitely and will eventually reach
their carrying capacity (K) for environmental conditions. Carrying capacity is the
maximum number of individuals supported in an environment. It depends on limiting
factors such as nutrients, water, light, disease, and space. As a population approaches the
carrying capacity, the growth rate slows. Carrying capacity is an important factor in
logistic population growth. This growth begins as exponential growth but levels off at the
carrying capacity. It appears as an S-shaped curve on a graph. Exponential growth is
density independent, whereas logistic growth is density dependent (Freeman et al., 2017).
Taxonomic Classification and Natural History of the Duckweed Lemna minor
The scientific name for duckweed is Lemna minor (Lemna perpusilla, 2021). The
classification of duckweed is shown in Table 1. Duckweed is part of the domain eukarya,
the kingdom plantae, the phylum tracheophyta (vascular plant), the class spermatophyta
(plants that produce seeds), the order Magnoliopsida (flowering plants), the family araceae
(borne on a type of inflorescence called a spadix), the genus lemna and the species Lemna
minor (Lemna minor, 2021).
Duckweed is a flowering aquatic plant located in quiet waters. It is found in a
variety of habitats, including ponds, marshes, lakes, or slow-moving streams. There are
nine duckweed species in North America. The common duckweed is the most widespread
species, ranging across Canada and the United States. Duckweed is composed of single,
flat small oval leaves called fronds, and roots. The fronds float on the water’s surface and
roots submerge to absorb nutrients (Fertig, 2021). Figure 1 shows a diagram of duckweed,
with frond, frond buds, and roots labeled.
10
�Classification
Classification in Lemna
minor
Domain
Eukarya
Kingdom
Plantae
Phylum
Tracheophyta
Class
Spermatophyta
Order
Magnoliopsida
Family
Araceae
Genus
Lemna
Species
Lemna minor
Table 1. The classification of Lemna minor (duckweed), including domain, kingdom,
phylum, class, order, family, genus, and species.
Figure 1. Lemna minor (duckweed) consists of small, oval leaves called fronds, new
vegetative growth called buds, and roots submerged in water to absorb nutrients (Carolina
Biological, 2008).
11
�Duckweed grows in dense floating mats piled up in several layers. The
biodiversity in the water under mats is often low. The environment is highly anaerobic and
has substantial light competition (Driever et al., 2005). The flowering part of the
duckweed consists of two microscopic staminate flowers and one tiny pistillate flower in a
pouch-like sac. Duckweed is the world’s smallest flowering plant. Their flowering
structure is commonly not visible to the naked eye. Most duckweeds reproduce asexually
by forming chains of new stems in the form of vegetative buds. Less commonly,
duckweed will reproduce sexually through seeding. This process usually occurs during
winter when seeds fall from old fronds and sink to the bottom to germinate. (Fertig, 2021).
Duckweed can grow at temperatures ranging from 5°C to 35°C (Lasfar et al., 2007). Most
species have an optimum growth at 26°C. Duckweed reproduces quickly until all nutrients
have been consumed at this temperature. On either side of this optimal value, growth
decreases significantly, as viewed in Figure 2 (Lasfar et al., 2007).
Figure 2. The growth rate of duckweed depends on temperature. Optimal growth is at
26°C. On either side of this value the growth rate decreases. Temperatures lower than
10°C or higher than 35°C strongly inhibits growth (Lasfar et al., 2007).
12
�Duckweed is a valuable model organism for laboratory work due to its high
reproduction rate, small size, and easy maintenance. Fast growth can be used for
bioremediation of waterways from excessive agricultural runoff of phosphorus (Fertig,
2021). Duckweed can grow in different conditions such as, dirty, saline, or eutrophic
waters, allowing for successful biological treatment of polluted waters (Sivaci et al.,
2017). Research is also developing techniques to use genetically modified duckweeds to
synthesize commercially valuable proteins, such as insulin (Fertig, 2021).
The Importance of Macronutrients on Population Dynamics, in General, with a Particular
Focus on Lemna minor
Nutrients needed in large quantities (exceeding 1.0 mg/L) are macronutrients.
(Sharma, 2006). Regular growth, development, fruiting, and blooming of duckweed
require macronutrients (Subramanian et al., 2021). Carbon, hydrogen, nitrogen, oxygen,
phosphorus, and sulfur are macronutrients required by duckweed. With the exemption of
oxygen, all nutrients can be obtained through fertilizers. Macronutrients are used to
produce carbohydrates, lipids, proteins, and nucleic acids. These biological molecules are
essential for life (Broyer & Stout, 1959). Carbohydrates are made up of carbon, hydrogen,
and oxygen. The covalent bonds connect the macronutrients with frequent polar hydroxyl
(-OH) groups (Grindley, 2001). Carbohydrates create duckweed’s structure, store energy,
and make up the bulk of organic material moving through the phloem. Additionally,
glucose formed during photosynthesis is used in cellular respiration to release energy
(Wardlaw, 1968). Lipids are a family of molecules composed of carbon, hydrogen, and
oxygen. The carbon atom makes a single covalent bond with other carbon and hydrogen
atoms to form saturated or unsaturated fatty acids (Meara, 1955). Lipids function in
membranes and energy sources for seed germination (Mumtaz et al., 2020). Proteins are
composed of carbon, hydrogen, oxygen, and nitrogen. Amino acids are linked creating
proteins, and they consist of an amino group (-NH2), a carboxyl group (-COOH), and a
variable R-group (Branden & Tooze, 1991). Proteins have several enzymatic, structural,
and functional roles in duckweed. They additionally act as storage mediums for the
nutritional demands of developing seedlings (Rasheed et al., 2020). Nucleic acids, such as
DNA and RNA, contain carbon, hydrogen, oxygen, nitrogen, and phosphorus. Nucleotides
consist of a nitrogen-containing aromatic base, pentose five-carbon sugar, and a phosphate
group. Nucleic acids make up the genetic material of duckweed (Neidle, 2008).
Chemical Introduction to the Phosphate Molecule
Phosphate is an important molecule for duckweed physiology. The charged ion
([PO4]-3) has a molar mass of 94.97 g/mol. The structure consists of a central phosphorus
13
�atom surrounded by four oxygen atoms in a tetrahedral arrangement, as seen in Figure 3
(Schirber, 2012).
Figure 3. The structure of phosphate ([PO4]-3) with a central phosphate atom surrounded
by four oxygen atoms in a tetrahedral shape (Wypych, 2013).
Phosphate has many cellular functions. It makes up the hydrophilic heads of the
phospholipid bilayer of cell membranes. Membranes are semi-permeable allowing only
select molecules to diffuse across. Small hydrophobic molecules, such as O 2 and CO2, can
cross membranes rapidly. Larger molecules, like glucose; require active transport to pass
through. Phosphate also makes up part of the structure of adenosine triphosphate (ATP),
the energy carrier of cells. ATP consists of a chain of three phosphate groups, along with a
nitrogenous base and ribose sugar. When one of three phosphate groups are removed
energy is released. The energy can perform many cellular functions, such as DNA
replication, cell division, or protein synthesis. Phosphate is also necessary for the structure
of DNA and RNA, which consists of a 5-carbon deoxyribose sugar, nucleotide, and
phosphate group. Phosphate is also involved in phosphorylation, which is an important
mechanism for altering the activity of proteins after they have been synthesized. In the
process, a phosphate group is added to a protein by specific enzymes called kinases. The
removal of a phosphate group is called dephosphorylation (Schirber, 2012).
Phosphate Concentrations and Population Density Affect the Growth of the Duckweed
Lemna minor
Phosphate is considered a primary nutrient for duckweed growth, development,
and reproduction. It is vital for many cellular components (Sivaci et al., 2017). The
capacity of phosphate uptake affects biomass, growth, production, and quality of
duckweed (Abdolzadeh et al., 2010). Duckweed must receive correct phosphate levels to
maintain homeostasis (Razaq et al., 2017). Reviewing the literature on how phosphate and
14
�density affect duckweed creates an understanding of growth dynamics (Lasfar et al.,
2007).
The article Intrinsic growth rate: A new approach to evaluate the effects of
temperature, photoperiod, and phosphorus–nitrogen concentrations on duckweed growth
under controlled eutrophication determined duckweed intrinsic growth rate as a function
of temperature, photoperiod, and phosphorus-nitrogen concentrations. The experiment
found optimal growth ranges for each condition. The results for phosphorus showed that
intrinsic growth rate was practically constant for phosphorus concentrations ranging from
1 to 20 ppm (parts per million). It decreased rapidly for concentrations less than 1 ppm,
and for concentrations more than 20 ppm, it was slightly inhibited. It was hypothesized
that concentrations of phosphorus higher than 1 ppm do not significantly influence
intrinsic growth. The results are demonstrated in Figure 4 (Lasfar et al., 2007).
Figure 4. Intrinsic growth rate in dependence of phosphorus concentrations (1 mg
phosphorus /L = 1 ppm). It was constant from 1-20 ppm, decreased rapidly at less than 1
ppm, and slightly inhibited at more than 20 ppm (Lasfar et al., 2007).
The study Evaluation of Some Physiological Parameters of Lemna Minor L.
Exposed to Different Hypertrophic Phosphate Levels evaluated several biochemical
properties, such as Chlorophyll a, chlorophyll b, carotenoids, phenolic compounds,
thiobarbituric acid reactive substances, and protein contents with antioxidant enzyme
activities (glutathione reductase and catalase). Duckweed was exposed to different
phosphate concentrations for 24, 48, 96, and 144 hours in laboratory conditions. The
results showed that an oversupply of phosphorus for long periods of time decreased
protein amounts and increased chlorophyll b. These function as adaptive responses to
phosphate overexposure (Sivaci et al., 2017).
15
�The experiment Influence of Nitrogen and Phosphorus on the Growth and Root
Morphology of Acer Mono studied the influence of phosphorus on Acer mono (commonly
known as maple). The results found that phosphorus fertilization significantly affected the
growth and root morphology of A. mono seedlings. When the seedlings did not receive
sufficient nutrients, they showed lower plant height, root collar diameter, chlorophyll,
carotene content, and several root morphology parameters. When seedlings were supplied
with optimal phosphorus (8 g plant-1), maximum values of the parameters were recorded.
This study hypothesized that optimal phosphorus levels can be used to ensure the
production of healthy A. mono seedlings with high levels of growth (Razaq et al., 2017).
The study Growth Limitation of Lemna Minor Due to High Plant Density tested
growth limitations in Lemna minor populations due to high plant density. Results found at
high densities (biomass above 180 g DW/m2) there were slightly negative growth rates.
Fronds grow as dense mats piled up in several layers. This piling creates an upper part
with nutrient limitations, mostly phosphate and nitrate, and a lower part with light and
CO2 limitations. Negative growth rates are the result of limiting factors of carrying
capacity. The experiment also found that at low densities (biomass below 9.5 g DW/m 2)
increasing density increased growth rate. The increase was most likely due to higher
temperatures caused by solar radiation being trapped in mats at low densities. The
experiment proposed growth increase at low densities due to an initial piling of fronds, but
as piles reach higher densities there is a decrease due to carrying capacity. This creates a
logarithmic model dependent on carrying capacity, displayed in Figure 5. The competition
for phosphate, nitrate, light, and space also follows this model (Driever et al., 2005).
Figure 5. Growth rate as a function of the initial biomass of duckweed. The growth
initially increased with increasing density (below 9.5 g DW/m 2), before leveling off at
carrying capacity, and eventually at high densities (above 180 g DW/m 2) showed a
negative growth rate (Driever et al., 2005)
16
�The Importance of Micronutrients (Trace Elements) on Plant Growth with a Particular
Focus on Lemna minor and Phosphate
Micronutrients are important for the life cycle of duckweed. All autotrophic
plants require the use of the following micronutrients: potassium, calcium, magnesium,
iron, manganese, copper, zinc, molybdenum, boron, and chlorine. These nutrients are
specific and cannot be replaced. They are obtained from soil-forming minerals.
Micronutrients have many important roles, including structurally in organic compounds,
such as membranes. Alterations in plasma membranes have been linked to zinc deficiency.
Micronutrients also have a catalytic role as drivers and regulators of enzyme-catalyzed
reactions. Another function is electron receptors. Micronutrients assist in controlling the
flow of electrons between molecules in enzyme redox reactions. This phenomenon is seen
in the mitochondria and chloroplast as part of the electron transport chain. Osmoregulation
is affected by the number of micronutrients. Chlorine and potassium fluxes regulate water
flow, inducing turgor changes that control the stoma opening. Lastly, micronutrients have
an important role in reproduction. Low reproduction rates have been linked to a deficiency
in micronutrients. This reduction is due to the lowering of photosynthetic efficiency. There
is a quantitative requirement for micronutrients for optimal growth. If there are not enough
micronutrients, the structure, function, and development of plants is negatively affected
(Sharma, 2006).
Micronutrients and phosphorus together impact duckweed development. The
buildup of phosphorus in environments decreases growth or causes death in plants.
Excessive soil phosphorus reduces the plant's ability to take up required micronutrients,
especially iron and zinc. In high phosphorus conditions, iron and zinc are quickly
converted to non-available forms. Iron deficiencies are characterized by yellowing
between the leaf veins, and zinc by the bleaching of tissue (Provin & Pitt, 2008).
Significance of this Research
The significance of this research was to empirically show the population growth
dynamics of the duckweed Lemna minor under experimental conditions. It specifically
showed how the concentration of available phosphate affects population growth dynamics
(rmax and K). It is important to know which phosphate concentrations are required for
optimal population growth and which concentrations have negative effects. The study also
provided important insights into how storage of distilled water in carboys can potentially
inhibit duckweed growth.
17
�II. Objectives
The research objective was to examine and compare the effects of phosphate on
the population growth dynamics of the duckweed Lemna minor growing in spring water
and distilled waters.
The study idea was to vary the amount of phosphate available while duckweed
grew in a controlled environment. Each test tube contained either lab-distilled water,
commercial-distilled water, or spring water. Some test tubes were control groups, having
no added phosphate. The other test tubes were treatment groups with additional phosphate.
A three-frond duckweed was added to each test tube and placed under continuous lighting
and temperature. The number of fronds was monitored throughout the experimental period
of 31 days.
Growth was characterized by the appearance of a new frond. The number of
fronds in tubes was monitored and compared. The results were statistically analyzed for
interpretation and graphed on a line plot. The data were used to determine the growth
dynamics in terms of rmax and K. Statistical analysis was conducted to see if the results
were significant.
III. Materials and Methods
Experimental Species
Lemna minor duckweed was the experimental species in the experiment.
Duckweed was ordered from Carolina Biological Supply Company. It was kept in a finger
bowl (seen in Figure 6) filled with Poland Spring® 100% Natural Spring Water to mimic
the abundance of macronutrients and micronutrients found in their natural environment.
The spring water promoted growth producing dense floating mats on the water surface.
The bowl was kept in a laboratory at a room temperature of approximately 21°C and under
a grow light as described in the experimental setup.
Procedure for Preparing All Experimental Frond Populations
A long-term experiment was used to collect data on duckweed population growth
dynamics. Each time the experiment was conducted it followed the same general
procedure with phosphate, but various solvents were used. The solvent was measured with
a graduated cylinder. Phosphate was added using the dropper on the bottle. Phosphate was
obtained from Carolina Biological Supply Company. It was a phosphate solution
composed of water (99.63%), potassium phosphate monobasic (0.20%), and potassium
phosphate dibasic (0.17%). When making the test tubes, phosphate was always added
before the solvent for mixing. Five nutrient concentrations were created with varying
amounts of solvent and phosphate. Five tubes were made for each nutrient concentration,
18
�Figure 6. The experimental species Lemna minor at room temperature (about 21°C)
under a grow light. They grew on top of spring water in the finger bowl.
creating a sample size of n = 5. In the control tubes, only 50 mL of solvent was added.
There was no phosphate to achieve a baseline. In the next test tubes, 49.5 mL of solvent
and 10 drops of phosphate were put into each test tube. The 0.5 mL was added with a
pipette. Next, 49 mL of solvent and 20 drops of phosphate were used. The following
phosphate environment was created with 40 drops of phosphate and a solvent
concentration of 48 mL. Lastly, 47 mL of solvent was added to 60 drops of phosphate.
After the nutrient concentrations were created, duckweed was added to each tube.
Duckweed was picked from a colony growing in a finger bowl and added to the surface of
the water. The collection tool had a slender metal end. Duckweed was chosen which had
only three fronds. All three fronds had to be attached, but they could be a variety of sizes,
including small buds. A three-frond duckweed selected is observed in Figure 7.
Figure 7. A duckweed chosen from the colony with exactly three fronds. It was added to
the surface of a test tube with the desired solvent and phosphate concentration.
19
�After adding duckweed, plastic wrap was placed around the top of the tube and
secured with elastic bands. This technique aimed to prevent spillage and evaporation. The
last step was to poke eight holes in the plastic wrap to allow gas exchange to occur. Tubes
were placed in a test tube rack under a growth light. Grow lights are electric lights used to
assist plant growth by providing a light spectrum like the sun. Finalized test tubes under
the grow light are seen in Figure 8.
Figure 8. The final setup of the duckweed experiment with test tubes in a rack with various
phosphate and solvent concentrations, duckweed with three fonds, plastic wrap, and elastic
bands sitting under the grow light.
Solvents Used for Experimental Frond Populations
During the experiment three different solvents were used: lab-distilled water,
commercial-distilled water, and spring water. Lab-distilled water was purified using a
Thermo Fisher Scientific Barnstead Classic Electric Still with a model number A1016X003 in the Wagner College laboratory. Commercial-distilled water was purchased from
ShopRite by the brand Bowl and Basket. It was purified by steam distillation, micron
filtration, and UV disinfection to ensure quality. Distilled water removed 99.9% of all
minerals found in water. Spring water was Poland Spring® 100% Natural Spring Water.
The following nutrients were reported in the 2020 Poland Spring® 100% Natural Spring
Water analysis: 0-0.014 ppm of bromide, 3.7-12 ppm of calcium, 0-14 ppm of chloride, 00.25 ppm of fluoride, 0.67-1.6 ppm of magnesium, 1.6-9.1 ppm of sodium, 0-0.88 ppm of
nitrate, and 0-8.1 ppm of sulfate. All other nutrients tested were not detected (Poland
Spring®, 2020).
20
�Procedure Used to Measure Changes in Population Size Over Time
The growth of the duckweed was recorded three days a week: Mondays,
Wednesdays, and Fridays. The days since the experiment began were noted every day.
The experiment setup was day 0. The daily frond growth was also recorded. On day 0, the
frond growth for all tubes was three. The total number of fronds in each tube were
counted. Every frond, even small buds, were included. Each frond on duckweed plants
were considered an "individual", instead of each duckweed plant being the “individual”.
The results were analyzed using the number of counted fronds in each test tube as the
population size. When counting fronds, it was noted if they were together or broken apart,
the color, and any other significant observations. Magnifying glasses were used to view
the small buds. The counting ended when the fronds had fallen apart, became brown, and
ceased to grow. The room temperature was also recorded using a thermometer in a beaker
filled with water also placed under the grow light.
Additional results were obtained through light readings. The readings were taken
using a LI-COR LI-250A light meter. The sensor used was LI-COR Quantum 47836. The
light detector was placed in the front, middle, and back of the grow light station. Three
readings were recorded for the front and back, and four were recorded for the middle. The
average of the readings determined light activity in each position. The units used were
µmol/m2/s. Micromoles are the number of photons coming down from the light area per
unit of area per second.
Nutrient strips were used to determine the concentration of phosphate in each test
tube used in the experiment. The strips were Phosphate 0-100 ppm Test’s from the
company Bartvation. The nutrient strips were dipped in the test solution for one second,
and then after three minutes were held up to the color comparison on the bottle. The
results were recorded in ppm phosphate.
Calculations of r-max and K
To display population growth dynamics carrying capacity and r-max were
calculated. Data from each of the five tubes were averaged to create only a singular table
with average daily frond growth. Carrying capacity and r-max calculations used the
averaged data. Carrying capacity was the maximum amount of growth for a specific
nutrient treatment. The r-max values were found through a sequence of calculations. The
first step was to subtract the daily frond growth by the prior day’s growth. This found new
frond growth. Next, days since the previous count was found by subtracting the days since
the experiment started by the prior day’s number. The change in the number of fronds per
day was determined by dividing the new frond growth by the days since the previous
count. Lastly, the change in the number per day was divided by the daily frond growth of
21
�the previous day. This value was the change in the number of fronds per day per frond, or
the r-values. The r-max value was the highest r-value found for a specific nutrient
treatment.
Statistical Analysis of Collected Data
Statistical analysis was done with a widely used program called IBM® SPSS®
(International Business Machines Corporation Statistical Package for the Social Sciences).
A comparative mean analysis called One-Way ANOVA (analysis of variance) with four
different tests was used. Firstly, descriptive statistics found statistics of location and
dispersion for each group. Mean and standard deviation were relevant to the study. Next
was a test of homogeneity of variances based on the mean. This tested if the samples had
equal variances. If the P-value was greater than 0.05, the variances were not statistically
different, and ANOVA test could be conducted without data transformation. ANOVA
determined if there were statistical differences between the means of the groups. When Pvalues were less than 0.05 it indicated that the mean of at least one of the groups
significantly differed from the mean of at least one other group. The last analysis was a
Tukey test. The purpose of this test was to determine which group significantly differed
from which other group. It compared the means of all groups to the mean of every other
group to determine if the relationship between two sets of data were statistically
significant. When the P-value was less than 0.05 it was statistically significant. Statistical
analyses comparing carrying capacities and r-max values were performed for the
following groups: spring water, lab-distilled water, and control of all three solvent groups.
IV. Results
Numerical Data
The experiment data was organized into spring water, lab-distilled water, and
commercial-distilled water results. The data were collected for a total of 31 days. The first
12 days had a sample size of 10 while the remaining days had a sample size of 5. Results
were displayed in tables and graphically as line plots.
Spring Water
The data for spring water are displayed in Table 2. In the 10 ppm tubes there was
a carrying capacity of 9.4 fronds and an r-max of 0.13 per day. The 10-25 ppm showed a
carrying capacity of 18.2 fronds and r-max of 0.24 per day. The carrying capacity for 25
ppm was 17.8 fronds with an r-max of 0.27 per day. The tubes which were 50-100 ppm
yielded a carrying capacity of 17 fronds and r-max of 0.24 per day. Lastly, >100 ppm had
a carrying capacity of 17.2 fronds and r-max of 0.16 per day.
22
�Spring Water: 10 ppm
Days Since
Experiment
Began
Daily Fond
Growth
New Frond
Growth
Days Since
Previous
Count
Change in
the Number
of Fronds
per Day
Change in
the Number
of Fronds
per Day per
Frond
(per day)
0
3
XXXXXX
XXXXXX
XXXXXX
XXXXXX
3
4
1
3
0.33
0.11
5
5
1
2
0.5
0.13
7
6
1
2
0.5
0.1
10
7.2
1.2
3
0.4
0.067
12
7.4
0.2
2
0.1
0.014
14
8
0.6
2
0.3
0.041
17
8.6
0.6
3
0.2
0.025
19
8.6
0
2
0
0
21
8.6
0
2
0
0
24
8.6
0
3
0
0
26
8.6
0
2
0
0
28
9
0.4
2
0.2
0.023
31
9.4
0.4
3
0.14
0.015
23
�Spring Water: 10-25 ppm
Days Since
Experiment
Began
Daily Fond
Growth
New Frond
Growth
Days Since
Previous
Count
Change in
the Number
of Fronds
per Day
Change in
the Number
of Fronds
per Day per
Frond
(per day)
0
3
XXXXXX
XXXXXX
XXXXXX
XXXXXX
3
5.2
2.2
3
0.73
0.24
5
6.6
1.4
2
0.7
0.13
7
8.6
2
2
1
0.15
10
11.6
3
3
1
0.12
12
12.8
1.2
2
0.6
0.052
14
13.2
0.4
2
0.2
0.016
17
14.2
1
3
0.33
0.025
19
15
0.8
2
0.4
0.028
21
15.2
0.2
2
0.1
0.0067
24
15.2
0
3
0
0
26
16.6
1.4
2
0.7
0.046
28
16.8
0.2
2
0.1
0.0060
31
18.2
1.4
3
0.47
0.027
24
�Spring Water: 25 ppm
Days Since
Experiment
Began
Daily Fond
Growth
New Frond
Growth
Days Since
Previous
Count
Change in
the Number
of Fronds
per Day
Change in
the Number
of Fronds
per Day per
Frond (per
day)
0
3
XXXXXX
XXXXXX
XXXXXX
XXXXXX
3
5.4
2.4
3
0.8
0.27
5
6.4
1
2
0.5
0.093
7
8.6
2.2
2
1.1
0.17
10
11.8
3.2
3
1.07
0.12
12
12.8
1
2
0.5
0.04
14
13.2
0.4
2
0.2
0.016
17
13.6
0.4
3
0.13
0.0098
19
15
1.4
2
0.7
0.051
21
15.2
0.2
2
0.1
0.0067
24
16.2
1
3
0.33
0.022
26
16.8
0.6
2
0.3
0.019
28
17.2
0.4
2
0.2
0.012
31
17.8
0.6
3
0.2
0.012
25
�Spring Water: 50-100 ppm
Days Since
Experiment
Began
Daily Fond
Growth
New Frond
Growth
Days Since
Previous
Count
Change in
the Number
of Fronds
per Day
Change in
the Number
of Fronds
per Day per
Frond
(per day)
0
3
XXXXXX
XXXXXX
XXXXXX
XXXXXX
3
5.2
2.2
3
0.73
0.24
5
7
1.8
2
0.9
0.17
7
10
3
2
1.5
0.21
10
12.4
2.4
3
0.8
0.08
12
12.8
0.4
2
0.2
0.016
14
13.4
0.6
2
0.3
0.023
17
14.4
1
3
0.33
0.025
19
14.8
0.4
2
0.2
0.014
21
15
0.2
2
0.1
0.0068
24
15.6
0.6
3
0.2
0.013
26
15.6
0
2
0
0
28
15.8
0.2
2
0.1
0.0064
31
17
1.2
3
0.4
0.025
26
�Spring Water: >100 ppm
Days Since
Experiment
Began
Daily Fond
Growth
New Frond
Growth
Days Since
Previous
Count
Change in
the Number
of Fronds
per Day
Change in
the Number
of Fronds
per Day per
Frond
(per day)
0
3
XXXXXX
XXXXXX
XXXXXX
XXXXXX
3
5.2
2.2
3
0.73
0.024
5
6.4
1.2
2
0.6
0.12
7
8.4
2
2
1
0.16
10
12.4
4
3
1.33
0.16
12
12.4
0
2
0
0
14
12.6
0.2
2
0.1
0.0081
17
13.6
1
3
0.33
0.026
19
13.8
0.2
2
0.1
0.0074
21
14.6
0.8
2
0.4
0.029
24
14.8
0.2
3
0.067
0.0046
26
15.6
0.8
2
0.4
0.027
28
15.6
0
2
0
0
31
17.2
1.6
3
0.53
0.034
Table 2. Results of duckweed grown in spring water with various phosphate concentrations.
Carrying capacity is the maximum daily frond growth and r-max the maximum change in
the number of fronds per day per frond.
27
�The line plot in Figure 10 displays the daily frond growth in spring water for
each phosphate concentration. Each line shows an upward trend as growth occurred
continuously. The y-axis goes up to 20 fronds. At the concentration of 0 ppm there was
significantly lower growth than the treatment groups. The 10 ppm, 25 ppm, 50-100 ppm,
and >100 ppm tubes all had similar growth levels.
Figure 9. Line plot of the average daily frond growth of duckweed grown in spring water
with varied phosphate concentrations.
Lab-Distilled Water
Results for lab-distilled water are displayed in Table 3. The 0 ppm tubes had a
carrying capacity of 4.6 fronds and an r-max of 0.057 per day. At 10 ppm it yielded a
carrying capacity of 4.8 fronds and r-max of 0.14 per day. The carrying capacity for 10-25
ppm was 5.6 fronds with an r-max of 0.11 per day. At 50 ppm the carrying capacity was
4.8 fronds and r-max was 0.085 per day. Lastly, 50-100 ppm had a carrying capacity of 5.6
fronds with an r-max of 0.15 per day.
28
�Lab-Distilled Water: 0 ppm
Days Since
Experiment
Began
Daily Fond
Growth
New Frond
Growth
Days Since
Previous
Count
Change in
the Number
of Fronds
per Day
Change in
the Number
of Fronds
per Day per
Frond
(per day)
0
3
XXXXXX
XXXXXX
XXXXXX
XXXXXX
3
3.5
0.5
3
0.17
0.057
5
3.6
0.1
2
0.05
0.014
7
3.9
0.3
2
0.15
0.042
10
3.7
0
3
0
0
12
3.9
0.2
2
0.1
0.027
14
4.2
0.3
2
0
0
17
4.4
0.2
3
0.067
0.016
19
4.6
0.2
2
0.1
0.023
21
4.6
0
2
0
0
24
4.4
0
3
0
0
26
4.6
0.2
2
0.1
0.023
28
4.6
0
2
0
0
31
4.6
0
3
0
0
29
�Lab-Distilled Water: 10 ppm
Days Since
Experiment
Began
Daily Fond
Growth
New Frond
Growth
Days Since
Previous
Count
Change in
the Number
of Fronds
per Day
Change in
the Number
of Fronds
per Day per
Frond
(per day)
0
3
XXXXXX
XXXXXX
XXXXXX
XXXXXX
3
3.6
0.6
3
0.2
0.067
5
4.6
1
2
0.5
0.14
7
4.5
0
2
0
0
10
4.7
0.2
3
0.067
0.015
12
4.8
0.1
2
0.05
0.011
14
4.6
0
2
0
0
17
4.6
0
3
0
0
19
4.6
0
2
0
0
21
5
0.4
2
0.2
0.043
24
5
0
3
0
0
26
5
0
2
0
0
28
5
0
2
0
0
31
4.6
0
3
0
0
30
�Lab-Distilled Water: 10-25 ppm
Days Since
Experiment
Began
Daily Fond
Growth
New Frond
Growth
Days Since
Previous
Count
Change in
the Number
of Fronds
per Day
Change in
the Number
of Fronds
per Day per
Frond
(per day)
0
3
XXXXXX
XXXXXX
XXXXXX
XXXXXX
3
4
1
3
0.33
0.11
5
4.6
0.6
2
0.3
0.075
7
4.7
0.1
2
0.05
0.011
10
4.7
0
3
0
0
12
4.9
0.2
2
0.1
0.021
14
5.6
0.7
2
0.35
0.071
17
5.4
0
3
0
0
19
5.4
0
2
0
0
21
5.4
0
2
0
0
24
5.4
0
3
0
0
26
5.4
0
2
0
0
28
5.4
0
2
0
0
31
5.4
0
3
0
0
31
�Lab-Distilled Water: 50 ppm
Days Since
Experiment
Began
Daily Fond
Growth
New Frond
Growth
Days Since
Previous
Count
Change in
the Number
of Fronds
per Day
Change in
the Number
of Fronds
per Day per
Frond
(per day)
0
3
XXXXXX
XXXXXX
XXXXXX
XXXXXX
3
3.5
0.5
3
0.17
0.057
5
3.8
0.3
2
0.15
0.043
7
4.1
0.3
2
0.15
0.039
10
4
0
3
0
0
12
4.1
0.1
2
0.05
0.013
14
4.8
0.7
2
0.35
0.085
17
4.6
0
3
0
0
19
4.6
0
2
0
0
21
4.6
0
2
0
0
24
4.8
0.2
3
0.067
0.015
26
4.8
0
2
0
0
28
4.6
0
2
0
0
31
4.6
0
3
0
0
32
�Lab-Distilled Water: 50-100 ppm
Days Since
Experiment
Began
Daily Fond
Growth
New Frond
Growth
Days Since
Previous
Count
Change in
the Number
of Fronds
per Day
Change in
the Number
of Fronds
per Day per
Frond
(per day)
0
3
XXXXXX
XXXXXX
XXXXXX
XXXXXX
3
3.5
0.5
3
0.17
0.057
5
4.3
0.8
2
0.4
0.15
7
5.4
1.1
2
0.55
0.13
10
5.5
0.1
3
0.033
0.0061
12
5.6
0.1
2
0.05
0.0091
14
4.8
0
2
0
0
17
5.2
0.4
3
0.13
0.043
19
5.4
0.2
2
0.1
0.05
21
5
0
2
0
0
24
5.4
0.4
3
0.13
0.043
26
5.4
0
2
0
0
28
5.4
0
2
0
0
31
5.2
0
3
0
0
Table 3. Results of duckweed grown in lab-distilled water with various phosphate
concentrations. Carrying capacity is the maximum daily frond growth and r-max the
maximum change in the number of fronds per day per frond.
33
�The line plot in Figure 11 displays the daily frond growth in lab-distilled water.
The line plot shows that each nutrient concentration had similar growth levels, but the
growth was sporadic as the lines were not constantly increasing. The y-axis only went up
to 6 fronds. Tubes at 0 ppm, 10 ppm, and 50 ppm all had the exact same growth, whereas
10-25 ppm and 50-100 ppm had slightly greater growth.
Figure 10. Line plot of the average daily frond growth of duckweed grown in lab-distilled
water with varied phosphate concentrations.
.
Commercial-Distilled Water
Lastly is the data from duckweed grown in commercial-distilled water. Results
are viewed in Table 4. The carrying capacity for 0 ppm was 9.4 fronds with an r-max of
0.14 per day. The line plot in Figure 12 displays commercial-distilled water duckweed
growth. It included only 0 ppm. The graph displays growth increasing steadily upward.
Light Readings
The last results were light readings taken under the grow light in multiple positions. The
front had an average reading of 25.9 µmol/m2/s. The back's average reading was 28.28
µmol/m2/s. Lastly, the middle had an average reading of 31.33 µmol/m 2/s.
34
�Commercial-Distilled Water: 0 ppm
Days Since
Experiment
Began
Daily Fond
Growth
New Frond
Growth
Days Since
Previous
Count
Change in
the Number
of Fronds
per Day
Change in
the Number
of Fronds
per Day per
Frond
(per day)
0
3
XXXXXX
XXXXXX
XXXXXX
XXXXXX
3
3.6
0.6
3
0.2
0.067
5
4.6
1
2
0.5
0.14
7
5.4
0.8
2
0.4
0.087
10
6
0.6
3
0.2
0.037
12
6.2
0.2
2
0.1
0.017
14
7
0.8
2
0.4
0.016
17
8
1
3
0.33
0.047
19
8.6
0.6
2
0.3
0.038
21
8.6
0
2
0
0
24
8.8
0.2
3
0.067
0.077
26
9
0.2
2
0.1
0.011
28
9
0
2
0
0
31
9.4
0.4
3
0.13
0.014
Table 4. Results of duckweed grown in commercial-distilled water with various phosphate
concentrations. Carrying capacity is the maximum daily frond growth and r-max the
maximum change in the number of fronds per day per frond.
35
�Figure 11. Line plot of the average daily frond growth of duckweed grown in commercialdistilled water at 0 ppm.
Position
Readings (µmol/m2/s)
Average (µmol/m2/s)
Front
26.0, 26.0, 25.7
25.9
Back
28.4, 28.0, 30.0, 26.7
28.28
Middle
31.3, 31.2 , 31.5
31.33
Table 5. Average light readings under the experimental grow light. Readings were taken
three times in the front and back, four times in the middle, and averaged.
Statistical Analysis Data
Spring Water
Statistical analysis was performed to determine significance in the data. The first
analysis used carrying capacity values for spring water. Descriptive statistics yielded
standard deviations of: 1.517 for 10 ppm, 1.304 for 10-25 ppm, 3.564 for 25 ppm, 2.280
for 50-100 ppm, and 3.564 for > 100 ppm. The following were the mean values: 9.4 fronds
36
�for 10 ppm, 16.8 fronds for 10-25 ppm, 17.8 fronds for 25 ppm, 17.2 fronds for 50-100
ppm, and 17.2 fronds for > 100 ppm. The homogeneity of variance had a Levene statistic
of 2.488 and a P-value of 0.076. Since P ≥ 0.05, the variances were not significantly
different from each other. This condition must be met before ANOVA can be performed.
The ANOVA test found a F-value of 8.997 for 4 and 20 degrees of freedom. The P-value
was 0.001 meaning at least one group was significantly (P ≤ 0.05) different from at least
one other group. Lastly, the Tukey test found that all four phosphate treatments had
significantly (P ≤ 0.05) higher carrying capacities compared to the control group at 10
ppm. The four treatment groups did not significantly differ from each other.
Next, statistical analysis was determined between spring water r-max values. The
descriptive statistics found the following standard deviations: 0.0850 for 10 ppm, 0.0508
for 10-25 ppm, 0.0677 for 25 ppm, 0.0492 for 50-100 ppm, and 0.0966 for > 100 ppm.
The mean values were: 0.212 per day for 10 ppm, 0.276 per day for 10-25 ppm, 0.336 per
day for 25 ppm, 0.242 per day for 50-100 ppm, and 0.274 per day for > 100 ppm. The
homogeneity of variance had a Levene statistic of 1.264 and a P-value of 0.317, meaning
the variances were not significantly (P ≥ 0.05) different from each other. ANOVA yielded
an F-value of 2.042 with 4 and 20 degrees of freedom. The P-value was 0.127, meaning
that none of the groups were statistically different from any other group.
Lab-Distilled Water
Statistical analysis was performed for the carrying capacities in lab-distilled
water. Descriptive statistics yielded the following standard deviations: 0.548 for 0 ppm,
1.140 for 10 ppm, 1.140 for 10-25 ppm, 0.0894 for 50 ppm, and 1.304 for 50-100 ppm.
The mean values were as follows: 4.6 fronds for 0 ppm, 5.4 fronds for 10 ppm, 5.4 fronds
for 10-25 ppm, 4.4 fronds for 50 ppm, and 7.2 fronds for 50-100 ppm. The homogeneity of
variance found a Levene statistic of 0.939 and a P-value of 0.462, meaning the variances
were not significantly (P ≥ 0.05) different from each other. ANOVA yielded an F-value of
5.648 for 4 and 20 degrees of freedom. The P-value was 0.003, meaning at least one group
was significantly (P ≤ 0.05) different from at least one other group. The Tukey test
concluded that there were no significant differences between 0 ppm, 10 ppm, 10-25 ppm,
and 50 ppm phosphate groups. Only at 50-100 ppm was there a significantly (P ≤ 0.05)
higher carrying capacity compared with 0 ppm.
The statistical analysis was also conducted on r-max values. The descriptive
statistics found the following standard deviations: 0.0696 for 0 ppm, 0.0654 for 10 ppm,
0.0423 for 10-25 ppm, 0.0333 for 50 ppm, and 0.0482 for 50-100 ppm. The mean values
were as follows: 0.0972 per day for 0 ppm, 0.158 per day for 10 ppm, 0.423 per day for
10-25 ppm, 0.0920 per day for 50 ppm, and 0.222 per day for 50-100 ppm. The
37
�homogeneity of variance had a Levene statistic of 0.472 and a P-value of 0.755, meaning
the variances were not significantly (P ≥ 0.05) different from each other. ANOVA yielded
an F-value of 4.905 with 4 and 20 degrees of freedom. The P-value was 0.006 showing
that at least one group was significantly (P ≤ 0.05) different from at least one other group.
Lastly, the Tukey test concluded that 50-100 ppm had a significantly (P ≤ 0.05) higher rmax compared with the 0 ppm. There were no significant differences between any other
groups.
Control Groups of Spring Water, Lab-Distilled Water, and Commercial-Distilled
Water
The control groups of each solvent were analyzed for statistical significance. The
control groups had no added phosphate. For spring water, the phosphate concentration was
10 ppm, and lab-distilled water and commercial-distilled water were both 0 ppm. When
analyzing the carrying capacities, the descriptive statistics yielded the following standard
deviations: spring water was 1.517, lab-distilled water was 0.548, and commercialdistilled water was 1.517. The following were the mean values: spring water was 9.4
fronds, lab-distilled water was 4.6 fronds, and commercial-distilled water was 9.4 fronds.
The homogeneity of variance had a Levene statistic of 2.699 and a P-value of 0.108
meaning the variances were not significantly (P ≥ 0.05) different from each other.
ANOVA yielded an F-value of 23.510 for 2 and 12 degrees of freedom, and a P-value was
0.001, meaning at least one group was significantly (P ≤ 0.05) different from at least one
other group. Lastly, the Tukey test showed that lab-distilled water control had a
significantly (P ≤ 0.05) lower carrying capacity compared to spring water and commercialdistilled water controls. The spring water and commercial-distilled water controls did not
significantly differ from each other.
The last statistical analysis compared the r-max of the solvent controls. The
descriptive statistics found the following standard deviations: spring water was 0.0850,
lab-distilled water was 0.0690, and commercial-distilled water was 0.100. The following
were the means: spring water was 0.212 per day, lab-distilled water was 0.0972 per day,
and commercial-distilled water was 0.234 per day. The homogeneity of variance had a
Levene statistic of 0.856 and a P-value of 0.449, meaning the variances were not
significantly (P ≥ 0.05) different from each other. ANOVA yielded an F-value of 3.656
with 4 and 20 degrees of freedom. The P-value was 0.058, meaning that none of the
groups were significantly different from any other group.
38
�V. Discussion
Methodological Aspects
It is possible that this experiment could contain errors due to the scientific
methods used. Inconsistencies arise when working with model organisms in laboratories.
Plants are temperamental to growing in non-ideal conditions, and the experimental
laboratory did not have controlled air circulation, light, or temperature. Changing
conditions in the lab were not optimal for duckweed temperament.
Another possible oversight in the procedure was the number of days allowed for
duckweed growth. According to research in the literary overview of the introduction, there
is a growth inhibition at high phosphate concentrations (Lasfar et al., 2007). If the
experiment continued for longer than 31 days, the inhibition could have occurred.
A limitation of the study was the lack of data on the commercial-distilled water.
Representatives at ShopRite would not release their chemical composition of Bowl and
Basket distilled water. The absence of nutrient information limits the certainty of
conclusions drawn on differences between controls of distilled water.
Errors in measurement could have occurred. Counting large amounts of drops
had significant capacity for mistakes. Variation in drop amounts would lead to growth
level inconsistencies. A more accurate measurement for counting drops should have been
used. There also could have been a greater number of groups per nutrient concentration.
Increasing the sample size would create less chance for outliers to skew the data.
Spring Water
Spring water yielded a statistically significant (P ≤ 0.05) difference in carrying
capacities for the 10 ppm control compared to each of the phosphate treated groups. The
control had a carrying capacity of 9.4 fronds, while the treatment groups had 18.2 fronds
(10-25 ppm), 17.8 fronds (25 ppm), 17 fronds (50-100 ppm), and 17.2 fronds (> 100 ppm).
The treatment groups were not statistically different, but each were approximately double
the 10 ppm carrying capacity. This phenomenon follows Liebig's law of the minimum.
The law states that adding more of an abundant nutrient does not increase growth. Only
adding the limiting nutrient will increase growth (Tang & Riley, 2021). Since phosphate
was provided in abundance, it was not the limiting nutrient. Further additions of phosphate
did not affect the carrying capacity. These results correlate with past research on the
effects of phosphate on intrinsic growth rate. In this study, concentrations of phosphorus
higher than 1 ppm did not significantly influence growth (Lasfar et al., 2007). The results
in this study had a similar conclusion. It found that only phosphate concentrations less
than 10 ppm affected growth. Concentrations greater than 10 ppm had no significant
influence. The difference in the concentrations which affected growth can be attributed to
39
�variations in the experimental setup, solvents, length of the experiment, and experimental
laboratory conditions.
The r-max showed no significance in the statistical analysis; however, a general
trend can be observed. The results showed a maximum with decreasing values on either
side. The highest value was at 0.27 per day at 25 ppm, and the lowest values were at 0.13
per day at 10 ppm and 0.16 per day at >100 ppm. This trend follows Shelford's law of
tolerance. The law states that growth relies on a variety of complex conditions creating
minimum, maximum and a tolerance range for growth. The tolerance range is the area
between minimal and maximal values within which species can survive. A Shelford’s law
curve can be seen in Figure 12 (Erofeeval, 2021).
Figure 12. Shelford's law of tolerance curve, showing minimum, maximum and a tolerance
range for growth (Erofeeval, 2021).
The r-max at 10 ppm was a minimum value, 25 ppm was the maximum value, and >100
ppm was another minimum value. These values create a tolerance range. Theoretically,
when a certain phosphate concentration under 10 ppm and over 100 ppm is added,
40
�duckweed would be unable to survive in the conditions due to being out of the tolerance
range. Past studies support the results. In a study on the effects of phosphorus on the
growth and root morphology of A. mono seedlings, when supplied with optimal
phosphorus (8 g plant-1), maximum values of the growth parameters were recorded (Razaq
et al., 2017). Another study showed that an oversupply of phosphorus, for long periods of
time, caused decreases in cellular components (Sivaci et al., 2017). Sufficient phosphate is
needed for healthy duckweed, but too much has negative effects. It is important to avoid
an oversupply or undersupply of phosphate. These conditions cause low r-max values
leading to growth inhibition.
Lab-Distilled Water
Lab-distilled water results showed that 50-100 ppm had a significantly (P ≤ 0.05)
greater carrying capacity and r-max compared to the 0 ppm control group. While there was
statistical significance in the data, overall trends are not consistent. The r-max values
initially increase, before decreasing, and then increasing again. This does not follow
Shelford's law of tolerance as the spring water results did. It is opposite, as it has a
minimum value with increasing values on each side. The carrying capacity results also do
not follow a trend. The values began by having a slow increase; however, they had a
decrease at 50 ppm before increasing again. Adding more of the limiting nutrient should
not increase the growth rate. There is also no logical reason for a decrease in growth at 50
ppm. The r-max and carrying capacity results are inconsistent, leading to the hypothesis
that there may be something in the lab-distilled water leading to growth inhibition.
Comparing the control groups of each solvent provides insight into this hypothesis.
Control Groups of Spring Water, Lab-Distilled Water, and Commercial-Distilled Water
In the control results, lab-distilled water (0 ppm) had a significantly (P ≤ 0.05)
lower carrying capacity compared to spring water (10 ppm) and commercial-distilled
water (0 ppm). The spring water and commercial-distilled water controls did not
significantly differ from each other. Both distilled water solvents contained 0 ppm
phosphate and grew in the same conditions. As distilled water should theoretically lack
macronutrients and micronutrients outside of the added phosphate, the carrying capacities
are expected to be the same. However, lab-distilled water had significantly less growth
compared to commercial-distilled water. The carrying capacity of commercial-distilled
water was 9.4 fronds, while lab-distilled water was only 4.6 fronds. The growth was more
than halved. There could be two conclusions based on this finding: lab-distilled water is
inhibiting growth or commercial-distilled water is promoting growth.
41
�The hypothesis drawn from the data is that lab-distilled water is inhibiting
growth. Commercial-distilled water and spring water both had the exact same carrying
capacity of 9.4 fronds. Since both carrying capacities were the same, the growth increase
cannot be due to micronutrients in spring water. Commercial-distilled water had to go
through rigorous testing to be sold as distilled water, so there are most likely no additional
nutrients in the water. Another contributor is the appearance of duckweed during the
experiment. Duckweed in lab-distilled water tubes fell apart, turned yellow or brown, had
a smaller size, and occasionally sank to the bottom of the tube within days of the
experiment starting. These characteristics were rarely seen in both spring water and
commercial-distilled water. If they were seen, it was within the last days when the
carrying capacity had already been reached. The quick degradation in lab-distilled tubes
shows that growth inhibition is occurring. A comparison of duckweed on day 10 at 0 ppm
between lab-distilled water (left) and commercial-distilled water (right) is shown in Figure
13.
Figure 13. Comparison of experimental duckweed in lab-distilled water (left) and
commercial-distilled water (right) both on day 10 at 0 ppn. Lab-distilled water appeared
brown and fallen apart, while commercial distilled water was green and together.
The hypothesis is also supported when comparing spring water and lab-distilled water at
the same phosphate concentrations. When both solvents were at 10 ppm, spring water had
a carrying capacity of 9.4 fronds and lab-distilled water 4.8 fronds. At 10-25 ppm, spring
water had a carrying capacity of 18.2 fronds and lab-distilled water 5.6 fronds, and at 50100 ppm spring water had a carrying capacity of 17 fronds and lab-distilled water 5.6
fronds There are substantial decreases in growth considering each had the same amount of
phosphate available. Additionally, when looking at the graphs in Figure 9 and 10, the y-
42
�axis goes up to 20 fronds in spring water but only 6 fronds in lab-distilled water. The lines
are also consistently increasing in spring water, but sporadic in lab-distilled water. The
data suggests that lab-distilled water is inhibiting growth.
The inhibition of growth in lab-distilled water could be due to the distillation
system in the laboratory or storage in carboys. After contacting representatives at Fisher
Scientific, they could not communicate the exact nutrient concentration after distillation
using their system. It depended on resistivity, dissolved ions, volatile organics, bacteria
levels, and pH of the added water. There are many factors, meaning the distillation in the
laboratory may not be a reliable distilled water source. The storage of distilled water is
carboys could potentially leak chemicals. Carboys are soft bottles which hold water under
unpredictable laboratory conditions for long periods of time. They contain plasticizers,
which are substances added to a polymer solution to promote plasticity and flexibility.
Studies have been conducted to examine water contamination from soft bottle materials
and plasticizers. The study reported 66 elements contaminating bottled waters. Another
study by the University of Copenhagen found more than 400 different substances in water
from plastic material, with the toxicity of at least 70% being unknown (Reimann et.al,
2010). The decrease of carrying capacity could be due to toxic chemicals from the plastic
in the carboy inhibiting duckweed growth.
Summary
The results of this research show that spring water or commercial-distilled water
were better as experimental solvents. Issues arise while using lab-distilled water. This
could have been due to the laboratory filtration system or storage of the water in carboys.
When duckweed is grown in spring water the carrying capacity follows Liebig's law of the
minimum and r-max Shelford's law of tolerance. Future research should focus on the
causes behind growth inhibition in lab-distilled water. Additionally, it is important to learn
more about duckweed growth for applications such as bioremediation or synthesizing
proteins.
VI. References
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supply on growth, phosphate concentration and cluster-root formation in three Lupinus
species. Annals of Botany. 105(3): 365–374.
Branden, C. & Tooze, J. (1991). The Building Blocks In: Introduction to Protein
Structure, Vol 2, pp 3-12 (eds. Matthew Day). New York: Garland Publication.
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�Broyer, T.C. & Stout, P.R. (1959). The Macronutrient Elements. Annual Review of Plant
Physiology. 10 (1): 277-300.
Carolina Biological Supply Company. (2008). Carolina Population Growth in Lemna
minor Kit (Kit 18-1030). AP Environmental Science. 3-13.
Driever, S.M, van Nes, E.H & Roijackers, R.R.M. (2005). Growth limitation of Lemna
minor due to high plant density. Aquatic Botany. 81(3): 245-251.
Erofeeval, E.A. (2021) Plant hormesis and Shelford’s tolerance law curve. Journal of
Forestry Research. 32(5):1789–1802
Fertig, W. (2021). Common duckweed (Lemna minor). United States Department of
Agriculture.
Freeman, S., Quillin, K., Allison, L., Black, M., Podgorski, G., Taylor, E., & Carmichael,
J. (2017). Biological science, 6th ed. New York: Pearson Benjamin Cummings. 1163.
Grindley, T.B. (2001). Structure and Conformation of Carbohydrates. In: Glycoscience:
Chemistry and Chemical Biology, Vol 1, pp 3-51 (eds. Tatsuta K., Thiem J). Berlin:
Fraser-Reid B.O Press.
Lasfar, S., Monette, F., Millette, L., & Azzouz, A. (2007). A new approach to evaluate the
effects of temperature, photoperiod and phosphorus–nitrogen concentrations on duckweed
growth under controlled eutrophication. Water Research. 41(11): 2333-2340.
Meara, M.L. (1955). Fats and Other Lipids. Modern Methods of Plant Analysis. 2: 317402.
Mumtaz, F., Zubair, M., Khan, F., & Niaz, K. (2020). Analysis of plants lipids In: Recent
Advances in Natural Products Analysis, (eds. Ana Sanches Silva, Seyed Fazel Nabavi,
Mina Saeedi & Seyed Mohammad Nabavi) pp 667-705
Neidle, S. (2008). The Building-Blocks of DNA and RNA In: Principles of Nucleic Acid
Structure, Vol 1, pp 20-33. Amsterdam: Academic Press.
Provin, T. L., & Pitt, J. L. (2008). Phosphorus - What does high phosphorus in soil mean?
Texas A&M Agrilife Extensions.
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�Rasheed, F., Markgren, J., Hedenqvist, M. & Johansson, E. (2020). Modeling to
Understand Plant Protein Structure-Function Relationships—Implications for Seed
Storage Proteins. Molecules. 25 (4): 873.
Razaq, M., Zhang, P., Shen, H. & Salahuddin. (2017) Influence of Nitrogen and
Phosphorus on the Growth and Root Morphology of Acer Mono. PLOS ONE 12(2).
Reimann, C., Birke, M., & Filzmoser, P. (2010). Bottled drinking water: Water
contamination from bottle materials (glass, hard PET, soft PET), the influence of color and
acidification. Applied Geochemistry. 25: 1030–1046
Schirber, M. (2012). The Cosmic History of Life-Giving Phosphorus. Live Science.
Sivaci, E.R., Sevgiler, Y., Duman, S., Yardimci, M., Eroglu, S., & Sivaci, A. (2017).
EVALUATION OF SOME PHYSIOLOGICAL PARAMETERS OF LEMNA MINOR L.
EXPOSED TO DIFFERENT HYPERTROPHIC PHOSPHATE LEVELS. Fresenius
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Sharma, C. P. (2006). General In: Plant Micronutrients: Roles, Responses and
Amelioration of Deficiencies, Vol. 6, pp 3-5. Lucknow: Science Publishers.
Subramanian, D., Subha, R., & Murugesan, A.K. (2021). Accumulation and translocation
of trace elements and macronutrients in different plant species across five study sites.
Ecological Indicators. 135: 108522.
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International.
45
����The Barriers Impeding Women’s
Existence in the Financial Industry
Mackenzie Vogler (Business Administration) 1
In today’s world, many disciplines are heavily male-dominated. Finance is one of those
disciplines with far fewer women being a portion of this industry. With a gap between the
two genders, women face social and political barriers from reaching the same dominant
presence men have established in this respective field. The childhood, as well as the
personality of a woman, will determine what industry she will enter in with societal bias
being the root of her decision. If a woman does enter the financial industry successfully,
her chances at promotion are hindered greatly as subjective judgments impede a fair
evaluation. Men’s inherited traits of aggressiveness and fierceness are seen as the reason
why the finance world is the relentless way it is, leaving women to be seen as the unfit
candidate.
I. Introduction
With women incurring many disadvantages of the world, there is often a fight
for their justice in gaining the same privileges as men. In this paper, I will be analyzing
many disadvantages faced by women ultimately leading to their misrepresentation in the
finance industry. Over time, women have gained a much stronger existence with their
numbers on the upward tick. Though, it is not nearly at the same capacity as men making
it hard for women to be taken seriously when they join the office centered off of distinct
masculine energy with cursing, screaming, and highly competitive stakes.
To portray this image of misrepresentation, charts, as well as tables, will be
implemented to show readers visually and analytically the gap between genders. These
data figures will focus on the difference in the amount earned by each gender, the rate at
which women hold seats in congress, and the homeownership rate of single women over
time. All of these variables will contribute to showing how society has restricted women
from being successful. With the numbers of women being low who hold a position in
finance, this follows the ideology that they are steered from entering this type of work as
well. In young boys and girls, there is a math gender gap that says boys are better at math
1
Written under the direction of Dr. Shani Carter in partial fulfillment of the Senior Program
requirements.
49
�while girls are better at reading. This goes back to gender categorization and judgments
of what girls and boys should thrive in, not what they may enjoy learning. Because of this
gap, girls will view themselves better linguistically while boys view themselves as more
quantitatively driven individuals. Childhood learnings are a key factor in adulthood
behavior and how one will pursue themselves later in life.
All of the variables will be examined over some time with respect to women
growing to be as well respected as men. The presence of women in finance is crucial to
showing that they can do just as much as men, with the same amount of assertiveness as
they depict in finance. Each gender has its strengths and with misrepresentation in
finance, these will not be successfully executed if there is a gap. Currently, I am a young
woman pursuing a career in finance with high hopes that this gap will slowly, and more
steadily, become close. It is extremely impactful for me to see women in high-ranked
positions within finance knowing that I am capable of reaching the same stature.
II. Literature Review
Social Role Theory
Social role theory states that individuals are affected by the stereotypes
associated with the role they are influenced to take on by their surrounding environment
(Franke et al. 1997). Ethical decisions are made in life and later those decisions may
result in events crucial to one’s well-being and standard of living. These ethical decisions
are said to be affected by the gender of an individual and their biological makeup and can
be seen as a part of the social role theory. One’s gender will determine what choices they
make and how they will progress with their life due to the gender they undertook since
birth.
Gender Differences and Similarities in Social Behavior
Social role theory explains the fact that men and women, throughout life, occupy
multiple roles and are ever-changing. In each stage of life, people encounter roles through
work, family, and friendships, and other recreational activities (Eagly and Koenig 2014).
Although roles ebb and flow through an individual’s lifetime, a man’s role and woman’s
role will differ heavily. Women are seen as the more generous and charitable sex having
more empathetic habits compared to men who are viewed to be more confident, decisive,
and adept (Franke et al. 1997). In the workplace, men and women in the same position
will experience what is called gender-role spillover, and each will face different
expectations due to their gender and cause them to behave differently to meet those
(Franke et al. 1997). Because of this “spillover,” roles have become clearly defined in
50
�what outsiders see as the generic stereotypes of women and men leaders inside the
workplace and what they have to offer when it comes to a position of high rank.
Societal Stereotypes about Men
Men are expected to be the more dominant and forceful nature within the office
(Lombard et al., 2021). Viewed to have the upper hand when it comes to decisions, men
make them quicker and more efficient in the workplace. Attributed to their childhood
pressures of being the tough one to exhibit little to no emotion, their disposition in the
office has remained pushy and unapologetic for a historical number of years.
Societal Stereotypes about Women
Women have the perceived role of being kind and nurturing in their behavior.
(Eagly and Koenig 2014). Women are not viewed as a substantial force in the workplace
and are instead viewed to be the weaker link between men and women. If one were to
compare the difference between a male leader and a female leader, gender would be the
difference at hand and women would be judged on all obligations tied to them throughout
each role played in life, not just their presence in the workplace (Eagly and Koenig
2014).
Social Empowerment
Women do not have as much freedom to speak as they please. (Selzer et al.,
2017). They are the gender seen to be either too agreeable or too stubborn to the point
where their opinion on a stance is not valued rendering them unfit for a position with
seniority (Selzer et al., 2017). With the finance industry being so heavily male-oriented,
an environment for women to rise has been so toughly struggled against and has not been
able to be sustained (Selzer et al., 2017).
Lack of Female Role Models in the Industry
Women do not join the financial sector at the same rate as men due to the culture
of the industry (Jones and Merritt, 2020). This is only a small percentage of the female
population represented in this career path and leaves room for a plethora of women who
have not been taken into account during studies of women in this industry. Following
suit, women do not major in finance in the same magnitude as men ultimately leading to
the low participation rate in the investment services sector and overall finance world
(Jones and Merritt, 2020). With an exceedingly low representation of young women
pursuing finance in the classroom, few would like to follow where women are not
typically venturing, leading to fewer women partaking in this side of the business world.
51
�High Turnover Rate of Women in C-suite
Not only is there a low percentage of women participating in the financial
services industry, but there is also a large portion of women who leave their senior
positions (Jones and Merritt, 2020). Their presence is lacking in all aspects with the little
promise it will be fruitful in the coming years. It has been found that less than two
percent of women make up CIO positions for all firms across the globe. (Jones and
Merritt, 2020). There are quite a few factors that contribute to why women leave these csuite positions and transition into other more, accommodating, careers that may better
suit them and their desires in life. The company and/or position may not be structured to
her liking leading to discomfort and a lack of confidence. The role has fulfilled her goals
and all that she has wished to achieve leading to a lack of desire to stay and continue.
Lastly, she has begun to realize there is more to life outside of work and she would like to
explore and see what it has to offer. Her high-stress, high-paying job may not be her top
priority anymore and each has concluded it is something she must part ways with.
Women’s Shift in Life Roles (e.g., Family)
One of the most important roles some women have is being a mother. Women
face a decision in their professional career of when or if they would like to have children.
This decision will disrupt the balance they have established in their career and lead to a
new lifestyle to pursue. Some women do not want to balance a child and work so they
decide to become their own boss and determine how they will provide for themselves
(Blair-Loy 1999). Women are expected to mold into a maternal figure as it is a position
sought to be filled by societal pressures around them. To fill this role, they must have a
well-balanced life between work and their personal life. This desired balance has led
women to take on a role as self-reliant entrepreneurs to reach equilibrium in each position
she has in life (Blair-Loy 1999).
Five-Factor Model of Personality
The career path of an individual is related to the traits that the individual shows
(Ham et al. 2009 and Larson et al. 2002). The five-factor model of personality distributes
an array of personality traits based on five general factors. Those factors are openness,
experience, conscientiousness, extraversion, agreeableness, and neuroticism (Sheerin’
2013). The personality traits of women will then in turn take part in why or why not they
may choose to enter the financial services industry. These different traits are not the end
all or be all to why an individual may choose a career path but a factor that is only a piece
to the puzzle as to why they may have chosen a certain career path.
52
�It is said that past the age of thirty the use of personality traits is more consistent
and stable while ages below that can be inconsistent and unreliable in nature (McCrae
and Costa 2003). Even though this model has some condemnations regarding its validity,
it can be viewed as a valuable way to examine why women are lacking in this industry. In
addition to why women are lacking in the industry, it can illustrate why young women are
not interested in studying finance at the university level. Personality traits are said to be
the main cause as men and women may enter a field to practice and are rooted in how
they inherited their traits (Sheerin’ 2013).
Gender Identity Growing Up
Growing up, there are rules and standards meant to be followed and as a child,
you are going to do as you are told. Expectations from family and later, friends, are
sustained by children their entire life into adulthood. This is seen as the root to which
paves the way for an adult’s behavior and identity later in life (Franke and Spake, 1997).
These expectations are also a part of the observed behavior of certain groups and the
roles they occupy (Eagly and Koenig, 2014).
Boys vs. Girls Phenomenon
Whether it is elementary school, middle school, or high school, there are an
array of pressures placed on each gender and what kind of behavior they need to
replicate. If a child is a girl, it’s ok to let out the tears. If a child is a boy, hold back the
tears and move on with your day. The types of things they may be active in are also
heavily criticized. Little boys should like trucks and wrestling while girls stick to dolls
and makeup. Women are to have an abundance of relationships while men are to instill
justice in other individuals when the time is right (Franke and Spake, 1997). The
stereotypes premeditated for each boy and girl puts pressure on what they must grow up
to be.
Influence of a STEM Parent on Child’s Career Choice
The occupation of a child’s parent heavily influences the occupation they will
choose for themselves later in life. Specifically, female role models in a child’s life will
heavily determine the route of their professional life. It is more likely that an individual
will choose a route in finance if they had a mother or father in a STEM career or
finance/economics before they reached the age of 14. (Adams et al. 2018). Most
individuals look to their role models or parents for guidance in what they should do for
themselves to make money. It has been found that there is a 28.6% increased chance of a
53
�girl becoming a CFA Institute member if raised by a father with a STEM background
(Adams et al., 2018)
Math Gender Gap in Middle School
The math gender gap is the phenomenon between boys and girls at the age of 15
where boys are farther advanced in math-based courses, while girls are not, and girls are
farther advanced in reading courses, while boys are not (Breda and Napp, 2019). With
women more likely to pursue a career in finance with a father in STEM, comes the idea
that the math gender gap in middle school will also affect their career choice (Adams et
al., 2018). The gap is traced back to ideas and cultural norms within math development
around boys and girls in middle school (Breda and Napp, 2019). If a girl is not pushed to
thrive in her math courses and succeed as much as her male counterpart, she will not
choose to pursue a career in the STEM field or the finance industry. In addition to the
environment and society’s influence, students choose a path that they perceive will best
fit their strengths (Breda and Napp, 2019). With no one pushing girls to have success on
the math side of education, she will deter herself from entering a career that requires
math.
Political Empowerment
In the office setting, there is rank and with a higher rank comes the implied
responsibility of leadership. Politically, masculine defaults are heavily prominent causing
a systematic disadvantage for women in the political setting (Lombard et al., 2021). The
masculine defaults integrated into the U.S foundations of its political system, women are
hindered from filling top positions and continue to produce barriers (Lombard et al.,
2021).
Women Perceived as the Weaker Gender
Gender stereotypes within finance have kept women from entering this field.
Even if a woman may be a talented individual within her respective field, her lack of
confidence will keep her from excelling in it (Gerdman, 2019). With a competitive male
counterpart, women render themselves inadequate with no chance of competing with men
in a consistent matter. The lack of confidence has caused fewer seats to be filled by
women in the C-suite and ultimately male dominance in finance as well as technology
(Gerdman, 2019). Women not having confidence in themselves creates a lack of
confidence in them by outside viewers.
54
�Companies Afraid of Gender Discrimination
Lawsuits are one of the obstacles that become prominent when a company is
incorporated. Of those lawsuits, gender discrimination and a hostile work environment
can be one of them with women at the forefront of this issue. 1 in 10 women face gender
discrimination at their workplace (Parker, 2018) and are more likely to report gender
discrimination (Parker, 2018). From these gender discrimination reports erupt lawsuits
which big corporations would like to keep under wraps and not have showcased. It is
believed that women are not hired often within the financial services world because of the
possibility of a gender discrimination lawsuit that could be filed (Sheerin’ 2013).
Outside Pressure Causes Unrealistic Expectations Imposed
Complex judgment by employers on women in the finance world leads to
classifying and stereotyping. This judgment is based on grouping women into a category
that describes their traits and ultimately results in discrimination. (Bloomfield et al.,
2021). Categorizing women into one group and not taking them as individuals, hinders
the chances of being promoted and being seen as a fit candidate for the position
(Bloomfield et al., 2021). In the finance discipline, women will be seen as stereotypical
women and not stereotypical analysts when it is time for evaluation. (Bloomfield et al.,
2021). The same judgment is not passed to men as their stereotype of being assertive and
competitive in the office is what is sought by evaluators.
Subjective Judgement Rather than Objective Judgement
In the performance evaluation, there are a plethora of judgments that root in
being subjective, not objective. Subjective determinants include one’s knowledge of the
industry, accessibility, and professional integrity that tell you who someone is
(Bloomfield et al., 2021). A woman is viewed to be communal and kind in her ways that
may deem her unfit as women are not seen to be the success of the finance industry, men
are. (Bloomfield et al., 2021). Men’s characteristics align with what the finance sector
thrives on. Aggressiveness, assertiveness, and dominance. The two different extremes
between both genders put women at a disadvantage as they are seen to not have what it
takes to thrive in this heavily male-dominated field. (Bloomfield et al., 2021).
III. Hypothesis
H1: There is a scarce number of women who work in the finance industry due to a lack of
political and social empowerment.
IV. Method
55
�Subjects
The individuals who are the subject of my research will be women who hold
positions in the investment industry and students in college whose ages will range from 1822.
Measures
Measures will include an overall examination of the women, as well as men, in
the investment industry. The first variable is the number of women in the finance
industry, it will be measured through the total number of women with earnings above or
below $80,000 in financial operations. To make this data relative to the total amount of
professionals in the investment sector, the total number of men with earnings above or
below $80,000 will be utilized in addition to the data of women. We will view this
through PINC-06. The following variable, social empowerment, will be measured
through homeownership rates of single women which were found through the U.S
Bureau of Labor Statistics. The final variable, political empowerment, will be measured
through the number of women who have had and currently have seats in congress and
was examined through data by Rutgers Eagleton Institute of Politics.
Table 1: Components of Study
Variables
Data
Number of
Women
Social Empowerment
Political
Empowerment
Instrument
PINC-06
Electronic Survey
(STEM)
Data Source
United
States
Census
Bureau
2x2 between
subject’s
design
scenario
CFA Institute
American
Accounting
Association
Type of data gathered
Quantitative
Quantitative/Qualitative
Qualitative
Types of scores
produced
Median
Income in
$$$
Mean % of men/women
that are CFA member
Persistent/
NonPersistent
Adapted from: Rudestam, K.E. & Newton, R.R. (1992). Surviving Your Dissertation.
Newbury Park, California: Sage Publications, Inc. page 140.
56
�Procedure
The business source premier database on Wagner’s library website was used.
Search terms to locate these articles include women in finance, glass ceiling, gender gap,
and women in investments. These searches were completed in September 2021. Each
article was selected because it showed the buildup of how women do not participate for a
sustained time in the investment world. A few of the articles support the causes of low
percentages of women in the finance world while some exhibit the effect on the industry
and how men may get away with certain unethical practices.
To analyze the discovered data, line charts will be utilized to describe the
relationship between women’s empowerment socially and politically and how that will
influence their presence in the financial sector. The total number of men and women with
an income over or below $80,000 in the financial sector will be evaluated in four
different years: 1998; 2000; 2010; and 2020. This variable will take into account the
gender with the most earnings. This will be shown through a line graph.
The political empowerment variable will examine the total number of seats in
congress that are held by women. Next to the number of seats, time will be compared
showing how over time there has been a change in the presence of women. This will be
shown through a line graph.
The social empowerment variable considers the homeownership rate of single
women. To measure this, time will be used in comparison to show its changes over time.
This comparison will be shown through a line graph.
Table 2: Hypothesis, Instruments, and Statistical Analysis
Variables
Hypothesis
Number of
Women
Social
Empowerment
Political
Empowerment
Hypotheses &
Variable
Relationships
Statistical
Tests
There is a
scarce number
of women who
work in the
finance
Number of Social
Political
industry due to Women
Empowerment Empowerment
the lack of
political and
correlation;
social
regression;
empowerment.
LowNOW=LSE+LPE line charts
Adapted from: Rudestam, K.E. & Newton, R.R. (1992). Surviving Your Dissertation. Newbury Park,
California: Sage Publications, Inc. page 138.
57
�V. Results
Variable 1
Over time, women have entered the financial industry more heavily even though they are
not seeing a large pay increase like men are.
1500
1400
1300
1200
1100
1000
900
800
700
600
500
400
300
200
100
0
1998
2000
2010
2020
Women Below 80k Salary
Women Above 80k Salary
Man below 80k Salary
Men above 80k Salary
Figure 1: Number of Financial Specialist Men and Women with Earnings Above or
Below $80k. Source: United States Census Bureau (2020). PINC-06.
Table 3: Personal Income of Men and Women in Financial Services Over Time
1998
2000
2010
2020
Women Below 80k Salary
705
750
1446
1346
Women Above 80k Salary
34
79
326
591
Men below 80k Salary
539
447
997
835
Men above 80k Salary
299
114
558
862
58
�Variable 2
Over the span from 1997-2021, seats held by women in the U.S Congress have improved
with more women entering each year.
140
130
120
110
100
90
80
70
60
50
40
105th
Congress
107th
Congress
109th
Congress
111th
Congress
113th
Congress
116th
Congress
Total Number of Women in Congress
Figure 2: Total Number of Women in Congress
Table 4: Number of Women in Congress Over Time
Congress
Total Number of Women in Congress
105th
63
107th
72
109th
82
111th
90
113th
100
116th
126
59
�Variable 3
From 1988 to 2008, the number of single women who chose to purchase their own home
has increased.
Table 5: Homeownership Rates of Single Women
60.00%
56.00%
52.00%
48.00%
44.00%
40.00%
36.00%
32.00%
28.00%
24.00%
20.00%
16.00%
12.00%
8.00%
4.00%
0.00%
1988
Year
% of Women Who Own Homes
1988
9.4%
1992
17.4%
1996
29.4%
2000
39.2%
2004
49.7%
2008
47.3%
1992
1996
2000
2004
% of Women Who Own Homes
Figure 3: Homeownership Rates of Single Women
60
2008
�VI. Discussion
In my hypothesis, said social and political factors were analyzed and the
different impacts they may have on how women live their lives and the types of roles
they may take on. We will examine how a women’s salary, a women’s role in owning a
house, and a women’s participation in government are all closely tied when it comes to
stepping into these positions and then are soon subdued by their male counterparts.
The first variable of my thesis, the number of women, was evaluated through the
difference between the earnings of financial men and women. Table 3 shows the number
of men and women by salary below $80,000 or a salary above $80,000 from 1998 to
2020. From the years 1998 to 2000, 113 women earned a salary above $80,000 and 413
men who had earned a salary above $80,000. This supports my hypothesis that there is a
scarce number of women present in the finance industry and was heavily outweighed by
their male counterparts. Considering the other end of the spectrum, women still
outperformed men when earning below an $80,000 dollar salary. 1,455 women received a
salary below $80,000 while 986 men received a salary below $80,000. This portion of
data exemplifies the less substantial positions women held in the finance sector earning a
smaller salary while men dominated in leadership positions, ultimately leading to higher
wages. Now, considering the latter half of the data, there were very similar trends in
comparison to the years 1998-2000. 2,792 women earned below an $80,000 salary and
1,832 men earned below an $80,000 salary. With 917 women earning above an $80,000
salary and 1,420 men earning above an $80,000 salary, my hypothesis remains consistent
proving the idea that women in the finance industry are scarce. For all years, more men
than women earn more than $80,000 and more women than men earn less than $80,000.
These wage gaps make for a poor incentive to get women into the finance world and
work alongside men who are receiving higher pay for the same duties and same roles.
My second variable, political empowerment, considers the number of women
who hold seats in Congress. In the fourth table, the number of women in Congress over
time is displayed from 1997 and ends in 2021. In that period, there is a clear trend of
women becoming a larger and larger portion of Congress and gaining more seats each
year. The trend line in figure 1 displays this upward increase of women in Congress
gaining a presence. The data was progressing at a steady rate until it hit the 113th
congress with a sharp increase in seats, jumping from 100 seats held to 126 seats held. In
1997, there were 63 seats taken by women and in 2021, there are currently 126 seats
being filled by women. With Congress having a total body of over 500 individuals, 126
of those being women is still relatively low. With only 126 out of 500 seats being filled
61
�by women today, this supports the idea that women are suppressed to gain dominance in
other disciplines outside of finance.
In the fifth table, the social impact on women is exhibited through the number of
women that become homeowners on their own. The data looks at homeownership of
single women from the years 1988 to 2008. Homeownership rates by single women have
sharply increased up until the year 2004 then declines. From 1988 through 2008, it is
implied over time women grew to become more motivated to become single homeowners
but did not have this motivation to do so in 1988 as single women only owned homes
themselves at a rate of 9.4%. Substantial growth has been gained for women but it is not
been fully reached with only 47.3% of women owning homes indicating outside
pressures deterring them from doing so. If 100% of single women-owned homes in 2008,
the social impact would not be a factor upon how single women may choose to live but it
is evident with the lacking rate.
VII. Conclusion
Life for women is not as easily endured as it is for men. A woman faces barriers
from the day she is born until the day she dies. Stigmas and categorization are attributed
to this hard-fought life and some days make it seem impossible to reach where she would
like to go in life. One of the biggest goals in the life of any individual is pursuing a career
that they enjoy and for many women that could be the financial industry. However, upon
entering the finance world many barriers hinder upward mobility.
To put an end to this seemingly large gender gap, there can be measures taken in
childhood and college years to minimize the inequality. The math gender gap will need to
be shut as it has a direct effect on whether or not girls choose to chase occupations that
involve being highly quantitative. Teachers will need to encourage both boys and girls
equally to choose math courses and electives that they enjoy participating in.
Emphasizing to young girls that they can complete the same courses their male
classmates do will be a key success. Having equal parts participate in math will boost the
chances of more girls taking a liking to math and guiding them into fields where math is
required. This can be achieved through equal participation requirements in technology
clubs and mathletes competitions. Requirements of equal gender representation will
emphasize the importance of both genders and not make girls view themselves as
outweighed and undervalued. In college, a young women’s professional club surrounding
finance could be established and become a society of strong women. If a well-renowned
finance women’s club is founded, women will know they have a space to enter with other
individuals just like them. With the different benefits and privileges of this club, women
62
�can realize they are just as valuable to the finance world as men are. These projects will
teach girls and women of all ages the importance of their participation in finance. What is
learned in younger years will translate into their adulthood and how they choose to live it.
The representation of women in finance can be directed through different
initiatives tailored to once they have been working for a financial firm. The business
world should put more coverage and applaud more women for completing the
impossible. Their work should not go unshown and needs to be highly commended for
being just as fierce as their competition. Men. With more women being the point of
emphasis, younger girls will be inclined to reach the position they are at one day. Media
coverage and the news follows us around everyday so it should be used as an effective
way to relay the struggles and successes women in finance have endured. Whether it is
being the cover of a financial magazine, being a highlight story on a news channel, or
displaying books of female authors at business networking events, it can be done. These
plans can be followed by a dedication to hiring just as many women as men in an
investment firm. If a firm pursues employees based on their passion and drives them to
succeed in finance, there will not be a wide gap left. Women possess the same
capabilities as men, and it should be honored through the even distribution in the gender
of employees.
With academia continuing to draft literature on the severe imbalance of women
in the financial sector it is evident the issue will persist unless the stigma is eradicated
around women being seen as unfit to practice finance. My data also solidified the
inequality between men and women despite all three of my tables representing their
presence growing. Within the earnings achieved by men and women, men outweigh
women at every point in time. In terms of seats held in Congress, women only hold about
a quarter of the weight. Homeownership rates do not embody dominance and show that
there is still more to be accomplished. With all factors considered, it is clear women’s
presence in the finance industry will need to start way before they reach an interview.
Preparing women for the unusually high-strung environment before they step foot in, will
set the tone for what it’s like securing a job in the finance world. The finance industry can
be highly rewarding just as it is challenging. Women deserve to experience the same
return on their hard work when it comes to their career. With the stigma being taken out
of the equation, women will soon be able to make just as much money as men do. I hope
to see the rates today, largely increase by the time I am 10 years into my profession.
Knowing I will have strong women working next to me will push me to reach goals and
accomplishments I thought I could have never completed. All of the women before me
have paved the way and I hope one day, to do the same for younger girls.
63
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Selzer, R., Howton, A., & Wallace, F. (2017). Rethinking women’s leadership
development: Voices from the trenches. Administrative Sciences, 7(2), 18.
https://doi.org/10.3390/admsci7020018
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https://doi.org/10.1108/09649420710778718
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�66
�Influence of Gender Stereotypes on Gender
Inequality & Discrimination in the Workplace
Morgan Matrone (Business Administration)1
This paper highlights how women face discrimination and stereotypes that in turn impact
their interview opportunities, salaries, and levels of leadership. Specifically, the paper
discusses the negative impacts of gender bias and stereotypes on women that work for
Fortune 500 companies. This paper will highlight forms of gender-based workplace
discrimination in the form of the wage gap and unequal promotional opportunities. While
exploring theories, such as a practice-based theory of diversity and the glass ceiling. This
paper utilizes relevant case studies, filing from the U.S Census Department, U.S. Bureau of
Labor Statistics, peer-reviewed sources, and charts of surveys that prove and demonstrate
the hypothesized theory.
I. Introduction
Societal constructs of the male and female genders have influenced the unequal
opportunities in the professional workplace for women. While improvements have been
made to strive for equality between men and women, the workplace exemplifies the
progress that still needs to occur to reach complete gender equality. As diversity, equity,
and inclusion are becoming more prominent within Fortune 500 companies’ cultures, why
are women continuing to experience a wage gap and limited interview as well as
promotional opportunities, compared to men?
These are the concepts that I will deep-dive into throughout this paper. I will provide
the readers with a more in-depth understanding of some of the hardships women endure
within the corporate workforce, specifically among Fortune 500 companies.
In the current paper, I further explore the stereotypes and predisposed gender bias that
women encounter from entry-level to senior executive positions within Fortune 500
companies. I focus on how these stereotypes and biases impact women's wages, interview
opportunities, and levels of leadership.
I begin this paper with a detailed explanation of gender stereotypes, gender bias, and a
practice-based theory of gender. Furthermore, I explain the impact that each one of these
1
Written under the direction of Dr. Shani Carter in partial fulfillment of the Senior Program
requirements.
67
�topics has on women in the workforce, specifically within Fortune 500 companies. I used
previously executed studies and surveys to highlight the connection between predisposed
gender bias and how women are treated in the workplace through job opportunities,
promotions, and pay compared to men. This paper concludes with charts and data tables
that express to the audience the unequal interview opportunities, wage gap, level-ofleadership differences, and additional data that helps support the studied hypotheses.
II. Literature Review
Ontology
Stereotypes
Forms of gender inequalities within a professional environment are based on the
foundation of societal stereotypes of each gender. Stereotypes regarding gender are
especially influential because gender is an aspect of a person that is readily noticed and
remembered (Hentschel Et. al., 2019). A stereotype is a fixed, generalized belief or
thought about a person, group of people, or a class of people.
Theories behind Social Inequalities
Diversity, inequalities, and exclusions of a specific person or groups of individuals
can be viewed as well as analyzed through a vast variety of perspectives that are
dependent on numerous factors, such as: who is acknowledging the problem and the
circumstances of the situation. After approximately three decades of research, diversity
scholars are increasing their search for strategies to theoretically advance and rejuvenate
the field (Janssens & Steyaert, 2019). Revisiting diversity research from an ontological
perspective means considering how scholars are approaching the nature and basic structure
of social life and social phenomena (Janssens & Steyaert, 2019).
The workplace has sometimes been referred to as an inhospitable place for women
due to the multiple forms of gender inequalities present (Stamarski & Hing, 2015).
Organizations continuously act as a key role in generating and maintaining gender
stereotypes through forms of inequality and unfair employment outcomes, regardless of
attempted diversity efforts.
A diversity climate is focused on employees’ perceptions about the extent to which an
organization successfully promotes fairness and the elimination of discrimination, as well
as expressing, listening to, actively valuing, and integrating diverse perspectives (Janssens
& Steyaert, 2019). Women studying diversity and gender inequality will have a different
perception of the problem at hand, compared to men. Therefore, performing a practicebased theory of diversity is the performative nature of these “predictors,” which aim to
uncover how inclusive human resource departments, company cultures, and diversity
68
�practices coincide to produce an enhanced, equal climate for all employees (Janssens &
Steyaert, 2019). The main benefit of executing a practice-based theory of diversity is to
eliminate the influence of personal perception and understand the genuine underlying
impacts of climate-producing practices.
Gender Discrepancies
Gender-based expectations of inferiority insinuate an underperformance on many
important tasks, including decision-making and leadership roles. Studies reveal that, when
being considered for male-typed (i.e., male-dominated, believed-to-be-for-men) jobs,
female candidates are evaluated more negatively and recommended for employment less
often by study participants, compared with matched male candidates (Stamarkski & Son
Hing, 2015).
Men are characterized as more agentic than women, taking charge and being in
control, and women are characterized as more communal than men, being attuned to
others and building relationships (Hentschel Et. al., 2019).
The embedding of gender stereotyping from a young age affects the human evaluation
of the roles and responsibilities of both men and women. Stereotyping has proven to have
stronger implications for women. For instance, women are conditioned since their
childhood that unless they demonstrate masculine characteristics, they are less likely to
carry out leadership-like roles in organizations and less likely to be successful in work
events (Chakraborty & Chatterjee, 2021). However, a meta-analysis of experimental
studies reveals that when women act in a stereotypically masculine fashion within
leadership positions, they receive lower performance evaluations than matched men
(Stamarkski & Son Hing, 2015).
Workplace Discrimination
Theory of Gender Inequality
Gender equality is the concept that all women and men have equal conditions,
treatment, and opportunities for realizing their full potential, human rights, and dignity, as
well as for contributing to economic, social, cultural, and political developments
(UNICEF, 2017). While equality does not signify that women and men are identical in
every aspect, the concept conveys that each gender should be offered the same rights,
opportunities, along with the responsibilities. Therefore, every individual has the chance to
develop their abilities and form decisions without the limitations set by gender stereotypes
(UNICEF, 2017). More prominently, gender discrimination is the act of unequal or
disadvantageous treatment of an individual or group of persons based on gender, such as
sexual harassment.
69
�Gender Bias
Gender bias is the tendency to favor one gender over another. By definition, a concept
is a form of unconscious bias, also referred to as implicit bias, which occurs when one
individual unconsciously attributes certain attitudes and stereotypes to a different person
or a group of people (Reiners, 2021). These behaviors impact how individuals understand
and interact with each other (Reiners, 2021).
Gender bias is mainly apparent throughout professional settings, such as a corporate
work environment. A corporation demonstrates gender bias across various aspects of the
operations, including recruiting strategies, decisions of hiring managers, job descriptions,
interview questions, career advancements, compensations, mentoring programs, benefits,
parental status, and sexual harassment (Reiners, 2021).
Hiring managers act as critical components for the demonstration of gender bias in the
workplace during the recruiting process by who is chosen for interviews, the types of
interview questions that are asked to candidates, and their overall hiring decisions.
Throughout the recruiting process, gender bias is liable, to begin with where and how
companies select the potential candidates. For instance, following her college graduation,
Erin McKelvey did not receive any responses from employers. However, when she
changed her name from Erin (a feminine name) to Mack (a more masculine name) on her
resume, she received a 70% response rate (Gaetano, 2016).
Language is known to have gendered associations, such as confidence, decisiveness,
strength, and outspokenness, which are found to attract male candidates and deter female
candidates from a specific position (Reiners, 2021).
A study performed by the Harvard Library found that when candidates were
separately reviewed by individual hiring managers, 51% of managers were influenced by
the applicant’s gender and selected the under-performing candidate (Bohnet Et al., 2012).
Additionally, during interviews, hiring managers tend to ask more targeted questions
about a female candidate’s leadership abilities and unconsciously prefer more masculine
leadership styles (Reiners, 2021). The entirety of the recruitment process leads to the
inevitable continuation of gender bias in the workplace, following hiring the desired
candidates.
Impact on Productivity
Companies within any industry share a similar goal of maximizing their productivity,
remaining competitive, achieving their mission, and earning revenue. Diversity within a
firm drives innovation and leads to an increase in the corporation’s overall productivity.
Specifically, gender diversity among leadership roles has been proven and linked to higher
profitability (Bohnet Et al., 2012).
70
�However, gender bias is still a dominant force that limits women from promotional
opportunities; therefore, lessening the diversity throughout the numerous levels of
positions within a corporation.
One measurement of an organization’s productivity is derived from its quarterly,
semi-annually, as well as/ or annual performance reviews. In analyzing men’s and
women’s written performance reviews, a study discovered that women were more likely to
receive vague feedback that did not offer specific details of what they had done well and
what they could do to advance (Mackenzie Et al., 2019). Results have proved that women
were more likely to be told, for example, to “do more work in person” with minimal to no
explanation regarding how to overcome the issue or the goal of change. This demonstrates
performance review bias, which occurs when employers, managers, and colleagues review
an employee of one gender differently from another (Reiners, 2021). Generalized
evaluations are ambiguous; therefore, bias is more prevalent.
As many studies have shown, without structure, people are more likely to rely on
gender, race, and other stereotypes when making decisions; rather than, thoughtfully
constructing assessments using agreed-upon processes and criteria that are consistently
applied across all employees (Castilla, 2008).
Limited feedback depletes an individual's opportunity for growth, as they will not be
able to acknowledge their strengths and grow upon their weaknesses. The disparity
between promotional opportunities between men and women begins with entry-level roles,
where men are 30% more likely than women to be promoted to management roles (Waller,
2016). Though the numbers are growing slowly, women hold less than a quarter of senior
leadership positions and less than one-fifth of C-suite roles (Waller, 2016). A solution to
this aspect of gender bias, which would also benefit the company by increasing its
productivity, is to offer women chances to meet with senior executives daily, attempt
challenging projects, and gain exposure to tasks that are not in their day-to-day jobs. Some
big businesses have rolled out executive-shadow programs for women, to help give them
more access to top leadership and visibility within the company (Waller, 2016). As of June
1, 2019, 33 of the companies on the ranking of highest-grossing firms were led by female
CEOs for the first time (Zillman, 2019).
Workplace Opportunities
One of the biggest gender gaps is in the area of income. In a study of over 2000
managers, women were compensated less than men were, even after controlling for
several human capital factors (Stamarski & Hing, 2015). One-in-four working women
(25%) say they have earned less than a man who was doing the same job; one-in-twenty
working men (5%) say they have earned less than a female peer (Parker & Funk, 2017).
71
�Additionally, between men and women, the gender pay gap ranges from 3% to 51% and
on average sits at 17% (International Labor Organization, 2022).
It is important to consider the two measurements of the gender pay gap: adjusted and
unadjusted. The unadjusted gender pay gap solely factors in the average salary of men and
women. Whereas, the adjusted gender pay gap takes into account factors, including
differences in education, occupations chosen, skills, hours worked, and job experience.
With the adjusted gender pay gap, women make about 95 cents to every $1 that men make
(Chamberlain Et al., 2017). When considering the gender pay gap, it is critical to account
that more women are segregated to lower-level jobs in low-paying industries and are
unable to obtain upper-level roles due to biases. These disparities in opportunities prevent
women from excelling in their career and inhibits their ability to make the same amount as
men (Reiners, 2021). At every stage of their careers, women face barriers that place them
at a disadvantage for career opportunities, mentorships, promotions, and pay raises.
There is a clear discrepancy between the promotional opportunities granted to men
versus women in the workplace that is expressed through statistical data. In most
companies, according to the McKinsey and Lean In study, women, and men are
represented roughly equally at the entry-level, and they lobby for promotions at the same
rate (Waller, 2016). Women comprise 56.1% of the U.S. civil labor force; however, only
21% have a seat in the C-suite (Reiners, 2022). Women are less likely to obtain those
promotions, as they also receive fewer challenging “stretch” assignments, less training,
and fewer development opportunities than men. Therefore, it is not surprising that for
every 100 men promoted to manager, only 85 women get promoted (Reiners, 2022).
Recognition regarding the minimum number of women in corporate governance
appears to be widespread, with several countries having introduced or considering
introducing various forms of affirmative action (Labelle Et. al., 2015) As of 2019, just
26.5% of executive/ senior management positions at S&P 500 companies were held by
women (Shaw & Milli, 2021). The lack of clear and objective metrics on gender diversity
causes organizations to hesitate to increase women’s representation at the highest levels.
Only 11% of top earners were women at S&P 500 companies, as were a mere 5.2% of
chief executives in these companies (Shaw & Milli, 2021). However, compelling firms to
appoint less experienced women in a short time frame to solely demonstrate that the
company has a diverse senior management group will lead to fewer women with sufficient
senior management‐level business experience to sit as directors.
Human Resource Implementation
The glass ceiling is a metaphor for the evident, yet intangible hierarchical impediment
that prevents women and minorities from achieving elevated professional success
72
�(Reiners, 2021). Multiple factors, which have been discussed, such as psychological
implications, gender roles, and bias, along with sexual harassment have contributed to the
development of the glass ceiling and common gender discrepancies in the workplace.
Exposure to the reality of the metaphorical glass ceiling is the foundation for progress
toward gender equality (Reiners, 2022). 60% of male managers state that they are
uncomfortable mentoring, socializing, or working one-on-one with female employees
(Reiners, 2021). Recognizing the reasons why men are uncomfortable offers the
opportunity for transparency in discussions regarding the various forms of gender
inequality in the workplace. 36% of men believe it would negatively impact their image if
they worked one-on-one, traveled with, or had dinner with female colleagues (Reiner,
2021). Men should be able to treat and work alongside a woman within a professional,
business environment without enduring a sense of discomfort. Honest conversations can
be complex and uncomfortable. However, when knowledge and resources are shared, it
will become a prevalent topic among colleagues that will alter how the individuals view as
well as understand the concepts involved (Reiners, 2022).
Since 2002, the Leadership Excellence Acceleration Program, or LEAP, has gathered
high-performing women whom managers have identified as promotion-ready (Waller,
2016). The program continues to offer approximately 400 women per year to participate in
the 12-month virtual course. The women meet online monthly to hear guest speakers and
receive homework and action assignments, such as making on-camera presentations. The
goal of the course is that the women are to have expanded their networks and increased
their urge to take risks, to earn promotions against male candidates. Netflix has taken the
initiative to increase diversity through employment and promotional opportunities.
Women now make up 51.7% of Netflix’s global workforce expressing a 3% increase in
female employment from 2020 (Myers, 2022). Of the 22 leaders across the company’s
senior leadership team, ten are women, which equals 45% of the team.
Companies need to provide additional training for managers and executives, as these
are the individuals that are in regards to the diversity standards and goals the company is
striving to achieve. The process starts by assessing how diverse the company is and
identifying which demographics are noticeably absent from the corporation (Reiners,
2022). Understanding this information will form a standard for the conditions that a
company is currently operating under and will assist in determining the following steps for
improving diversity and diminishing the glass ceiling within a company. Blind
applications reduce unconscious bias when hiring and promoting employees. (Miller,
2016). Additional efforts, to lessen the magnitude of the inequalities occurring based on
gender bias within workplaces, include, conducting blind screenings, implementing bias
and stereotype training, setting diversity hiring as well as promoting goals.
73
�III. Hypotheses
H1: Women are discriminated against more in the workplace than men.
H2: Women receive lower wages than men receive.
H3: Women receive less promotional opportunities than men receive.
IV. Method
Subjects
People
Women and men that hold entry-level through senior executive positions within the
United States that work for Fortune 500 companies, to compare gender bias in the
workplace through human resource processes, promotional opportunities, and wage
disparities.
Companies
Companies that will be examined are corporations that are on the list as Fortune 500
companies.
Places
The companies and their employees that are located within the United States of
America.
Measures
Variable 1: Gender
This variable acts as the basis for comparing the inequalities, bias, and
stereotypes between men and women. This variable affects additional variables such as
wages and promotional opportunities.
Variable 2: Perceptions of Women
The predisposed perceptions of women influences disparities that women encounter in
the workplace, including less interviews, lower wages, and limited promotional
opportunities compared to men.
Variable 3: Wages
Comparing wages between men and women that hold the same level position
within Fortune 500 companies will support the hypothesis that men earn more than
women.
74
�Variable 4: Promotional Opportunities
The comparison of the rate of promotional opportunities that are offered to men
versus women demonstrates the gender bias within the workplace based on gender
stereotypes.
Procedure
Procedure To Locate Journal Articles and Data
The data has been collected by using the following database, Business Source
Premier, since February of 2022. I filtered my results by peer-reviewed journal articles.
While navigating through the Business Source Premier, I utilized the search terms:
women, women in business, gender stereotypes, gender inequality, management,
promotions, diversity, equity, and inclusion. Additionally, I gathered sources from Google
and Google Alerts with similar search terms. The results from Google’s search engine that
were relevant for my research were the U.S Census Department, U.S Labor Department,
Harvard Business Review, Pew Research Center, etc.
From the articles above, I analyzed the relationship between the female and male
genders, along with their stereotypical attributes and how each impacts their interviewing
processes, salaries, and promotional opportunities.
I have chosen the sources with a ten-year time span, to recognize any improvements
in lessening the disparities between how men and women are treated differently in the
workforce. The articles that I have chosen are beneficial for comparing the data and
viewing the information from different perspectives. Specifically, human resource context,
employees, and senior directors within a firm. Additionally, I will be able to gauge the
specific connections between gender stereotypes and my chosen variables.
Statistical Methods to Present and Analyze the Data
Following a further analysis of the presented data, I will develop tables and line charts
that will clearly represent the correlations and regressions among the variables I have
chosen.
V. Results
Variable 1 & Variable 2: Gender and Discrimination
Table 1 shows eight types of discriminations in the workplace. The table also
expresses the percentage of women, compared to men that have experienced each form of
workplace discrimination.
75
�Variable 1 & Variable 3: Gender and Women’s Wages versus Men’s Wages
Table 2 represents, by age, the average weekly earnings of female and male
employees that hold a full-time wage or salary position during 2020.
Table 1: Components of Study
Gender
(G)
Variables
Workplace
Discrimination Wages
(WD)
(W)
Promotional
Opportunities
(PO)
Hypotheses &
Variable
Relationships
Statistical
Hypothesis
Tests
correlation;
G=WD
H1
G
WD
regression; line
charts
correlation;
H2
G
W
G=W
regression; line
charts
correlation;
H3
G
PO
G=PO
regression; line
charts
Adapted from: Rudestam, K.E. & Newton, R.R. (1992). Surviving Your Dissertation. Newbury Park,
California: Sage Publications, Inc. page 138.
Table 2: Hypothesis, Instruments, and Statistical Analysis
Variables
Data
Gender (G)
Workplace
Discrimination
(WD)
Instrument /
Survey
Earnings of Age
Group
Author / Publisher
U.S. Bureau of
Labor
Gender Based
Workplace
Discrimination
Survey
Pew Research
Center
Type of data
Quantitative
Range of scores
Description
Wages
(W)
Promotional
Opportunities
(PO)
Earnings of Age
Group
Who Gets
Promoted
Survey
U.S. Bureau of
Labor
The Wall
Street Journal
Qualitative
Quantitative
Quantitative
Description &
Percentage
$USD
Percentage
Adapted from: Rudestam, K.E. & Newton, R.R. (1992). Surviving Your Dissertation. Newbury Park,
California: Sage Publications, Inc. page 140.
76
�Variable 1 & Variable 4: Gender and Women’s Promotional Opportunities versus Men’s
Promotional Opportunities
Table 3 displays five levels of leadership within a corporation. Table 3 shows the
percentage of men and women that hold positions within each level of leadership category.
Table 3: Percentage of Women versus Men that have Experienced Types of
Workplace Discrimination
Source: Pew Research Center
Table 4: Median Weekly Earnings of Women and Men who are Full-time Wage and
Salary Workers, by Age, 2020 Annual Averages
Source: Pew Research Center
77
�Table 5: Percentage of Promotions offered to Women versus Men
Source: The Wall Street Journal
VI. Discussion
H1: Women are discriminated against more in the workplace than men.
The results in Figure 1 indicate that female employees are more likely to experience
discrimination in the workplace, compared to male coworkers. While male employees
have claimed to encounter discrimination in their workplace, the data clearly displays that
for each form of discrimination a higher percentage of women, compared to men have
encountered the unequal treatment during their career. Specifically, 23% of female
employees compared to 6% of male employees, a 17% difference between genders, have
noted to being treated as incompetent.
Figure 1: Percentage of Women versus Men that have Experienced Types of Workplace
Discrimination (Source: Pew Research Center)
78
�H2: Women Receive Lower Wages than Men Receive.
Figure 2 reveals the data that on average women are not paid equal to men, when
comparing full-time salaries. The breakdown of the weekly median pay for both genders
demonstrates the consistent wage gap between women and men from ages 24 to 65 and
beyond. Men on average earn anywhere from 6% to 23% more than women.
Figure 2: Median Weekly Earnings of Women and Men who are Full-time Wage and
Salary Workers, by Age, 2020 Annual Averages (Source: U.S. Bureau of Labor)
H3: Women receive less promotional opportunities than men receive.
Figure 3 represents the unequal opportunity for women to be promoted, compared to
men among five levels of leadership. The data expresses that between each level of
leadership a higher percentage of men hold each leadership position than women. This gap
grows larger as the level of leadership becomes higher, depicting that women are not
promoted as much as men within companies.
VII. Conclusions
General Conclusions
This report has explained the impact of gender stereotypes and gender bias on how
women are treated in the workplace compared to men. The research has proposed the idea
based on society’s stereotypes of women and men, along with the glass ceiling theory, that
women are not granted equal opportunities for success in Fortune 500 companies. This
study has identified multiple forms of gender discrimination that women encounter in the
workplace versus men, including less interview opportunities, minimal potential for a
79
�promotion and rising in their level of leadership, and a wage gap. The human resource
department within Fortune 500 companies do not offer women an equal chance when
interviewing for a position as well as when competing for a promotion. Women are paid
less than men when holding positions within the same level of leadership in a Fortune 500
company. Therefore, women are not granted equal opportunities to succeed, compared to
men in the corporate workplace, due to gender bias that leads to gender discrimination.
Figure 3: Percentage of Promotions offered to Women versus Men (Source: The Wall
Street Journal)
Implications for Practice
Fortune 500 companies need to be more conscious of how gender stereotypes
influence the discrimination that women encounter within the workplace, compared to
men. To experience any form of change, the company needs to prioritize implementing
diversity, equity, and inclusion (DEI) efforts into their company’s culture. As stated within
the thesis, the foundation of reducing any form of discrimination begins with the
company’s human resource department. Recruiters should be more aware of gender bias
when recruiting positions, to create an equal opportunity for the job regardless of the
candidate’s gender. Furthermore, companies should offer mandatory training sessions to
increase awareness of the forms of gender discriminations within the workplace and
strategies to diminish each type.
80
�Implications for Research
Researchers should analyze various DEI implementation initiatives to determine
which strategy is most effective in lessening gender discrimination within the workplace.
In recent years, Fortune 500 companies have begun to prioritize diversity, equity, and
inclusion; however, there is still evident progress that needs to be made regarding gender
bias in the workplace based on the research conducted throughout this paper. Therefore,
further analyzing the success rate of multiple Fortune 500 companies’ approaches, such as
Netflix will be beneficial in promoting and progressing toward complete gender equality.
Specifically, by lessening gender discrimination in the aspects of the workplace
highlighted within this paper.
VIII. References
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�Hentschel, T., Heilman, M. E., & Peus, C. V. (2019). The multiple dimensions of gender
stereotypes: A current look at men’s and women’s characterizations of others and
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performance evaluations are biased, and how to fix them. Harvard Business Review.
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Myers, V. (2022, February 10). Our progress on inclusion: 2021 update. About Netflix.
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discrimination on the job. Pew Research Center. Retrieved February 18, 2022, from
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Reiners, B. (2021, March 1). What is gender bias in the workplace? Built In. Retrieved
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83
�84
���Increasing Vaccination Rates in the
Jerusalem Ultra-Orthodox Community
Kayla Hay (Nursing), Reilly Patterson (Nursing), and Allyssa Turner (Nursing) 1
In Israel's capital city of Jerusalem exists one of the world's largest populations
for those who practice Haredi, or ultra-Orthodox, Judaism. This denomination of the
Jewish religion lives in both social and physical separation from the rest of their city,
self-isolating themselves in different neighborhoods as they adhere to their own cultural
practices. With this insulation the Haredi are left ignorant of and unable to access all of
the resources other Jerusalemites enjoy. One of the most prevalent deficits is seen in the
immunization rates of the ultra-Orthodox population, leaving this population especially
vulnerable to preventable disease outbreaks. The vaccination rates for this group remain
lower than the nation and city average, as a result their neighborhoods are more impacted
by epidemics (Stein-Zamir, 2019). This leads to the question: how can vaccination rates
in this community be increased? Our program, Have Faith in a Safe Community,
provides interventions made specifically for this group to take into account what
challenges are present in relation to their unique lifestyle. Improvements must be made in
communication and trust between the ultra-Orthodox population and healthcare
providers. There also needs to be more available resources, especially educational
materials on the topic in their preferred language. As religion is at the core of their way of
life, any stride in increasing vaccinations must be made in conjunction with ultra,
Orthodox religious leaders, communicating with them the importance of disease
prevention to then share with the community.
Community Assessment and Analysis
The ultra-Orthodox are a growing population in the Jerusalem community with a
culture that makes it distinctly different from even other Jewish faiths in their strict
adherence to religious tradition. The customs of this subgroup are governed by the
Halacha, a collection of laws from the Torah that dictates how all aspects of life should
be conducted (Gabbay, 2017). In accordance with this scripture, the ultra-Orthodox
typically marry at a young age and have large families with an average of 7 children per
1
Written under the direction of professors Josephine Marcantonio and Tinamarie Petrizzo-Hughes
in partial fulfillment of the Senior and Honors Programs requirements.
87
�family, making more than 40% of their population under 14 years old (Stein-Zamir,
2019). This also means rapid growth of this population, in 1996 only 21% of
Jerusalemites were ultra-Orthodox, but as of 2019 they had risen to 35% of the
population (Choshen, 1998; Stein-Zamir, 2019). Community is integral to this lifestyle as
they have frequent large gatherings although they rarely interact with those outside of
their neighborhoods, even other Haredi groups. Between their insulation and faith, the
ultra-Orthodox tend to disregard the authority of governing bodies, instead referring to
rabbis for instruction for matters in and outside of religion (Stein-Zamir, 2008).
This population lives in relative poverty; overcrowded in low-income homes
resulting from low participation in the general Jerusalem workforce. Across the various
neighborhoods the Haredi inhabit 98% and are in low-ranking socio-economic clusters
with 66% of the population classified as low-income households (Korach, 2021). This is
reflected in the overall city wealth, as has been noted since the 1990s, causing Jerusalem
to have a lower average income than other major cities in Israel (Choshen, 1998).
However, a unique feature of the ultra-Orthodox is the gender difference in employment
as more women have income earning jobs than men do (Stein-Zamir, 2019).
In addition to being the primary wage earner women are also the child care
providers. As executioners of ensuring wellness in large families it is difficult to keep
children up to date on necessary check-ups (Stein-Zamir, 2019). Between inconsistent
healthcare visits and the insular culture, it can be difficult to get a precise picture of the
community’s health. As of 2011 only 65% of ultra-Orthodox children ages 0-5 are fully
vaccinated, making this population susceptible to preventable epidemics (Muhsen, 2012).
This was seen in the 2003 and 2004 measles outbreaks in Haredi neighborhoods, in
which 47% of patients were under 5 years old; of those infected 87% in the first wave
then 96% in the second wave were under-vaccinated (Stein-Zamir, 2008). While Israel’s
national immunization rate for measles, mumps, and rubella was 97% in 2018, the ultraOrthodox in Jerusalem had only a 76% vaccination rate which led to yet another measles
outbreak (Stein-Zamir, 2019). Due to the population density, these diseases spread very
quickly and affect a large amount of people.
While Israel has a fairly comprehensive healthcare system it is difficult for the
ultra-Orthodox to fully benefit from these resources due to their social isolation. In
Jerusalem, vaccines are provided for free at maternal child clinics, however these are not
in areas convenient to this community (Stein-Zamir, 2019). This makes it difficult for
families to make it to appointments, especially when one mother has seven children to
coordinate and get care for. While Halacha law dictates the importance of maintaining
88
�health, the Haredi will turn to their rabbis rather than doctors for advice on doing so
(Muhsen, 2012). Yet in the modern era the most crucial gap in their resources is internet
access. Most ultra-Orthodox do not have a computer or any access to mass media, reliant
on print media and talk instead (Shtern, 2021). This leaves the population missing a
massive wealth of education making them extremely susceptible to misinformation.
The Haredi face unique challenges related to their cultural lifestyle, the forefront
of which is ineffective communication between themselves and Jerusalem at large. This
is especially apparent in the dissemination of information regarding the COVID-19
outbreak. Without internet, the ultra-Orthodox missed critical news as the virus became
an international concern, despite being such a major part of the population the need for
specific measures to communicate this message was an afterthought. Authorities were
inefficient in relaying information; coming too late with inadequate resources, thus the
community received most of its early knowledge by word of mouth (Schtern, 2021). This
issue goes beyond just this pandemic, it is also at the root of vaccination delay;
knowledge about the importance of immunization is insufficient. Half of ultra-Orthodox
mothers reported having never received information about childhood vaccines, much less
the necessary schedule of such (Stein-Zamir, 2017). Haredi take their cues from rabbis,
for information to be circulated and headed it must be endorsed by their religious leaders
(Muhsen, 2012). As religion is at the core of ultra-Orthodox culture the key to efficient
communication with this community is collaboration with the rabbis to work to meet the
needs of the people.
Problem in the Community
The major healthcare problem in this community is vaccine refusal. This is a
long-standing challenge that the Jerusalem community faces due to the strict religious
beliefs and limited resources accessible to the ultra-Orthodox. In Jerusalem’s ultraOrthodox population religion takes second place to nothing other than the aspect of life.
In the United States, a large portion of the population puts religion on the backburner, but
religious beliefs in Jerusalem are of the utmost importance to many citizens of the local
community. This religious way of thinking relates to every aspect of life in this
population, as we see even more clearly now with the current coronavirus pandemic
being no exception to them. In the past, this community has been harmed by preventable
diseases such as measles, rubella, influenza, among other common diseases (Stein-Zamir,
2008). The ultra-Orthodox community has strict beliefs that impact their way of thinking
and everyday lives; they do not participate in taking vaccines to fight off these potentially
deadly effects of preventable diseases. This is presenting a major issue for the community
89
�because low vaccination rates continue to ravish the land leaving it with no form of
protection (Kasstan, 2021).
In 2018, the measles presented Jerusalem with a very similar problem that the
coronavirus currently is in the community. In a statement from the CDC, “once measles
is in an under-vaccinated community, it becomes difficult to control the spread of the
disease” (Center for Disease Control, 2019). Although a large portion of the Jerusalem
community was vaccinated from the measles, most of the local ultra-Orthodox population
was not vaccinated due to refusal stemming from religious beliefs so that is where the
issue lied. Measles is a disease that is highly contagious whose symptoms can lead to a
telltale rash, along with many severe complications, and in the worst of cases death. Like
coronavirus, measles leaves people with compromised immune systems at the biggest
risk for a more significant reaction to the disease (Center for Disease Control, 2019). The
situation with measles that the ultra-Orthodox community went through in 2018, is
extraordinarily similar to the situation currently taking place with the pandemic. The
challenging part is that the issue with vaccines in Jerusalem is not only due to religion.
The ultra-Orthodox are vulnerable to misinformation due to the lack of educational health
resources and infiltration of organizations providing inaccurate and misleading
information about vaccines, creating a huge disadvantage for the Jerusalem community
(Shtern, 2021). It is actions such as these that are making it even more difficult to get this
community the protection needed to make sure that future epidemics do not duplicate the
situation that occurred with measles. Overall, not being vaccinated, no matter the reason,
is presenting a major problem for the people of the Jerusalem community. The fact of the
matter is that there is no line of defense for the ultra-Orthodox population, making it that
much more difficult to stop an extremely contagious virus. The dilemma of religious
belief and education of misinformation is severely putting the Jewish community at a
significant health risk.
Today, vaccinations have been a popular topic regarding the national pandemic
in Israel. It has been an ongoing battle to encourage people to receive the COVID-19
vaccine in efforts to escape the pandemic. Citizens have very strong beliefs against
vaccinations for numerous health or religious reasons, which is creating problems within
the community. In comparison to Jerusalem, Israel struggles to get high vaccination rates
because of the similar population groups. Specifically in Jerusalem, there are other
nationally based issues that have a similar landscape to the issue that is currently ongoing
with COVID-19 and vaccination rates in general. In 2018, the United States unveiled an
extraordinarily controversial embassy on a very religious land in Jerusalem. The reason
90
�that this action was so controversial nationally was not because of the presence of the
United States, but because of the land that the new embassy was sitting on. This religious
issue compares to the current situation going on with coronavirus; when it comes to
altering religious beliefs in Israel, especially within the ultra-Orthodox population,
compromise is extremely hard to come by whether it be holy land or receiving
vaccinations (Kasstan, 2021). Although this relates to strongly adhering to religious
beliefs, the situation differs because protecting holy land is not putting your personal
health at risk, like a vaccine is believed to be.
In the United States, there is a good portion of the population that is fully
vaccinated from the coronavirus. But there is still a good portion of the population that is
not vaccinated because they are simply uneducated about the vaccine or are fearful of the
unknown being injected into their bodies. This global hesitation is because people of
Jerusalem and the United States are both unsure what affects the vaccine will have on
their health not only in short term aspects, but in long term as well. This vaccine refusal
is a common global problem. The difference between the situation in the United States
and the situation in Jerusalem is that the United State’s main vaccination issue does not
stem from religion. On the contrary, in Jerusalem, the main issue when it comes to
vaccination is religion. “It is important to differentiate vaccine hesitancy from “vaccine
refusal,” which is ideological and corrosive.” (Trogen, 2021). Along with fear and
religious issues, this makes it that much more difficult to protect the ultra-Orthodox
population during a pandemic.
Although there are several reasons that the ultra-Orthodox population in
Jerusalem is unwilling to receive vaccines, that does not mean that nurses cannot have an
impact on changing the tides and hopefully start to change the minds of the citizens
towards a vaccinated future. Nurses have a unique opportunity to support vaccinations
because they are on the frontlines of these epidemics and have seen the grueling effects
that diseases can have on people. First, nurses need to make sure that they are educated
about vaccinations so they can spread correct, useful information for how the people of
Jerusalem can protect themselves from viruses. Being present and involved is not
enough; nurses need to go the extra mile and make sure they have the proper knowledge
about vaccinations and the ultra-Orthodox population. It is important that nurses educate
themselves on the culture they are working with to have effective communication and
avoid cultural bias. Second, not only can nurses educate about vaccinations and their
benefits, but they can also help people understand the truly horrifying effects that
infectious diseases can have on a person if they were to contract them. It would be more
91
�effective to hear nurses speak about how awful these diseases can truly be, because if you
are going to believe someone on the matter, it’d be a nurse. Lastly, if given the
opportunity, nurses should advocate for more educational programs about vaccination
clinics; learning about vaccines could become mandatory in the schooling system not
only in Jerusalem, but all around the world. Therefore, making it that much easier to
protect the community from the pandemic. Nurses could go into schools to speak to
children and their parents about why vaccines would be in their best interest. Preventable
diseases have taken the lives of so many of the Jerusalem community. It is time to make a
change and nurses can lead the way.
Proposed Solution/Program
While there are many challenges that nurses face among getting communities
vaccinated, there are also many solutions to this problem. Our proposal is to increase the
vaccination rates among the ultra-Orthodox Jewish population in Jerusalem. To do this
we have created a program that encompasses specific, attainable, and measurable goals
that will help to increase the vaccination rates. This program is called: Have Faith in a
Safe Community. This program will target ultra-Orthodox Jewish communities who do
not get vaccinations for themselves, or for their children. The health goal is for more
ultra-Orthodox Jewish people to be vaccinated. We can achieve this through respectful
and culturally sensitive avenues. The main goal of this program is to increase awareness
of the risks that come with not getting vaccinated, and to educate on the safety and
benefits of vaccinations. Awareness and education are essential to increasing vaccine
rates among the ultra-Orthodox Jewish population.
One of the most important parts of our program is finding and building trust. If
the community does not trust us, then the information will not be received. You cannot
build trust, if you do not respect their culture and religion. Culture is a huge driving force
in the outcome of vaccine rates. This is why it is so important to acknowledge diversities
and respect the ultra-Orthodox Jewish religion, so that we can create breakthroughs in
education and health care. Leininger’s Culture Care Theory is the influential framework
for our proposal, stating that, “nurses cannot separate worldviews, social structure
factors, and cultural beliefs or practices (lay/folk/generic and professional) from health,
wellness, illness, or care when working with cultures because these factors are closely
linked and interrelated” (McFarland, 2018, p.541). This theory will guide us to create and
implement solutions that accommodate the ultra-Orthodox religion. We will stress the
importance of respecting and understanding the ultra-Orthodox Jewish culture, while
navigating ways to implement education and support towards vaccines.
92
�Leininger reminds us that, “the central purpose of the theory is to discover and
explain diverse and universal culturally based care factors influencing the health, wellbeing, illness, or death of individuals or groups. The purpose and goal of the theory is to
use research findings to provide culturally congruent, safe, and meaningful care to clients
of diverse or similar cultures'' (Leininger, 2002, p.189). Our proposal encompasses
culturally based care through the use of our program, that focuses on providing simple,
yet effective solutions to the lack of vaccinations while still using solutions congruent
and sensitive to the ultra-Orthodox Jewish population. By using Leininger’s theory, we
are confident we will be able to provide solutions in our program that respect the Jewish
culture, while also providing the education and care needed to keep these communities
safe.
Have Faith in a Safe Community has innovative activities that will set nurses
and the community of Jerusalem up for success. The three program activities are (1)
involving healthcare providers, (2) creating signage, and (3) educating the rabbis of the
community on the safety and health benefits of vaccinations. The activities in this
program will help to achieve the goal of increasing vaccination rates among the ultraOrthodox.
Our program will be effective in educating this population through interpersonal
communication and direct information. We will aim to involve healthcare providers in
our effort to inform the community about the importance of vaccinations, since they have
already built a strong rapport with the Jewish community. Through healthcare providers,
like pediatricians, we will be able to provide accurate information in a more trusted and
effective way. (Tokish, 2020)
Pediatricians are essential to spreading responsible and trusted information to
the ultra-Orthodox families, especially they are more likely to educate parents on the
importance of vaccinating their children. Healthcare providers will be vital in spreading
knowledge and awareness to the ultra-Orthodox population, and we nurses must be sure
to maintain interpersonal communication in order to ensure that the information is being
received.
An important element of this program is signage and pamphlets. This is a timeeffective way to spread information to a large number of people (Maynard, 1999). By
posting signs and handing out pamphlets, we will be able to reach and educate more
people. Yiddish is the primary language of the ultra-Orthodox, so it is essential that any
signage and pamphlets are written in their language (Stein-Zamir, 2008). It is important
that these handouts and signs are translated to Yiddish. We will do this for two reasons.
93
�The first is that translating to Yiddish will help the culture receive information better, and
the second is to show that we are respecting their culture by using their language. This
will also help us to build a rapport with the ultra-Orthodox. The more the community sees
that we respect their religion, the more they will be willing to listen to what we have to
say. Signage is also an important way to combat the ultra-Orthodox population's lack of
internet use (Shtern, 2021).
Educating the rabbis on the importance of vaccines will play a big role in
spreading information. The population puts a lot of their faith and trust in the rabbis, so if
they encourage the use of vaccines, then the ultra-Orthodox are more likely to get
immunized. It is important to teach the effectiveness of vaccines and the safety of them.
A lot of the unwillingness to vaccinate is due to fears that vaccines are not safe. Our goal
is to educate the rabbis on the safety of vaccines and the risks of not being vaccinated.
This way, the rabbis will be able to spread awareness and information, which will be
much better received among the community (Stein-Zamir, 2008). As mentioned
previously, the Haredi will turn to their rabbis rather than doctors for advice on doing so
(Muhsen, 2012).
By combining these activities, this program has the potential to be very
successful. The most essential part of this program is to make sure to provide congruent
care that is both informative and culturally sensitive. The information will better educate
the community so that they will be more apt to getting vaccinated. This would not be
possible without the respect and acknowledgement of their cultural differences. By
respecting their religion, we are gaining their trust and building a rapport. This is crucial
to meeting our health goal: increasing the number of vaccinated Haredi in Jerusalem.
We have provided learning objectives for our program to help guide our
implementation of the activities, and to better measure the effectiveness. The first
learning objective is that the community will understand what a vaccine is and how it
works. This can be measured through a survey or questionnaire. It is essential that we get
the information out to soon-to-be and new parents. The more educated parents are on
what the vaccine is, and how it works, the more likely they will be to trust the vaccine
and be less concerned with the safety (Muhsen, 2012). This can be attained through
educational pamphlets given out at hospitals and places of worship. It is also important to
encourage pediatricians and other healthcare professionals to educate their patients on the
safety of vaccines. Secondly, the community will be well informed on the importance of
childhood vaccines, and the effects of disease on the community. This will be measured
by the increasing rates of vaccines. It will be attained through the use of rabbis and
94
�pediatricians. The more aware the community is about the risk factors of not getting
vaccinated, the more likely they are to be vaccinated. This is because people want to
protect their loved ones and the community. This will ensure that more children will be
vaccinated due to the increase in education to parents. Lastly, the community will feel
that their culture is being respected, while understanding the need to vaccinate their
children in order to protect their entire community. This is essential to the success of our
program. We will make sure to survey how the community feels about our activities and
if they are culturally appropriate. A way to do this is to also ask the Rabbi’s how to be
culturally sensitive. This way we are meeting the needs of the community by providing
harmonious care of both culture and science.
Conclusion
The goal of Have Faith in a Safe Community is to marry the significance of
science with the importance of culture. By educating the ultra-Orthodox Jewish
population in Jerusalem, we will be able to better protect this community from
preventable diseases and viruses. The drive to protect your loved ones and community is
what will bring about change. It is clear that the community of Jerusalem has had a long
standing problem involving low vaccination rates, which has led to the prevalence of
many preventable diseases. With the new COVID pandemic, the need for vaccines is of
utmost importance. We hope that our program will help to bring safety to the community
and protect the lives of its citizens.
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Gabbay, Ezra, Matthew W. McCarthy, & Joseph J. Fins. (2017). The care of the UltraOrthodox Jewish Patient. Journal of Religion and Health, 56(2), 545–560.
Kasstan, Ben. “‘If a Rabbi Did Say 'You Have to Vaccinate,' We Wouldn't’: Unveiling the
Secular Logics of Religious Exemption and Opposition to Vaccination.” Social Science &
Medicine, Pergamon, 21 May 2021. https://www.sciencedirect.com/science/
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�article/pii/S0277953621003841?via%3Dihub.
Korach, M., & Choshen, M. (2021). Jerusalem: Facts and trends 2021. Jerusalem Institute for
Policy Research. https://jerusaleminstitute.org.il/en/publications/
jerusalem-facts-and-trends-2021/
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nursing Knowledge and Practices. Journal of Transcultural Nursing, 13(3), 189–192.
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McFarland, M. R., & Wehbe-Alamah, H. B. (2019). Leininger’s Theory of Culture Care
Diversity and Universality: An Overview with a Historical Retrospective and a View Toward
the Future. Journal of Transcultural Nursing, 30(6), 540–557.
Muhsen, K., Abed El-Hai, R., Amit-Aharon, A., Nehama, H., Gondia, M., Davidovitch, N.,
Goren, S., & Cohen, D. (2012). Risk factors of underutilization of childhood immunizations in
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(2019). Community-Oriented Epidemic Preparedness and Response to the Jerusalem 2018–
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Stein-Zamir, G. Zentner, N. Abramson, H. Shoob, Y. Aboudy, L. Shulman, & E. Mendelson.
(2008). Measles Outbreaks Affecting Children in Jewish Ultra-Orthodox Communities in
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96
�The Creation of a Monster: An Analysis of
Emotional Perception in Pre-Modern Literature
Kevin Roach (Biopsychology and English) 1
The complex set of feelings and affects that we call emotions have thrived
alongside humans for many years. We express this complexity in a plethora of art forms
through which we attempt to encapsulate what we feel. However, in earlier time periods,
emotions are depicted as externalized and out of one’s control, leading to personifications
of emotions. In the Medieval period these are often allegorical, named for what they are
(“Happiness”, “Anger”, “Despair”). With that, there are frequent embodiments, like
Cupid, the god of Love, who are used to provide explanatory content for emotional states:
Cupid shoots his arrows, and love happens. Within such pre-modern depictions, emotions
are a part of an external system, intertwining physical and mental health, leaving little
room for an individual to stop and understand how they feel. More modernly, emotions
are perceived as a separation of mind and psyche, allowing an individual to truly step
back and conceptualize their feelings. That being said, when contrasting pre-modern
perceptions of emotions, externalizing and personifying made the emotions more
malleable, allowing them to be understood by the audience. However, this was at the cost
of one's own emotional perception, leaving them unaware of how to internalize and feel
the emotions being invoked. This paper analyzes the emotional perception through premodern literature, and how these emotions are exhibited through characters within
stories. From magical green knights to emotions personified, the emotional perception of
the premodern world was drastically clouded by these mythical tales and battles, rather
than allowing an individual to conceptualize and feel their emotions.
In the early 1400’s, stories of pious and honorable knights battling vicious
monsters, or mythical creatures, were very popular, allowing individuals to conceptualize
epic quests and battles. However, underneath the religious fervor and honor, emotion is
disguised as a character, monster, or higher power. Albrecht Classen states that “In recent
theoretical discussions monsters have been identified as markers of alterity and
otherness.” (522) In Medieval literature, monsters serve more purpose than an obstacle in
an adventure; they become a manifestation of “otherness”. Classen goes on to explain
1
Written under the direction of Dr. Emily Barth for EN211: British Literature Survey.
97
�that monsters or mythical creatures serve as “A representation of the alien other within
the self, although it operates on the outside” (523). With this alienation and othering of
the self, monsters serve as an externalization, or manifestation, of the “alien other”
which, according to Classen, is the “force the protagonist [uses,] … to come to terms with
the beast in the own person in order to extricate the self from the beastly nature (sin/
evil/etc.) in all of us”(523). The alien other that Classen highlights is what the protagonist
must fight, not the monster itself. It is not a great leap to suggest that the monster might
be a manifestation of the conflicting emotions an individual feels. As the protagonist
projects their negative emotion, which has been difficult to internally assimilate, resulting
with the noble knight, or hero, slaying the beast, signifying their victory not only in the
story's plot, but of their alien self. In their essence, monsters and mythical creatures in
early literature serve as an externalization of emotions, which can be seen in early
literature like Sir Gawain and the Green Knight, and The Faerie Queene.
In Sir Gawain and the Green Knight, readers enter an extravagant hall, where
Christmas Eve and the New Year are being celebrated. This celebration includes noble
knights, honorable ladies, and other great people; King Arthur is also in the mix. As their
party continues, the Green Knight enters with a demanding presence, so bold that all are
in awe of his terrifying stature. He intrigues the knights and ladies as he fills the space in
the hall:
“For scarce was the noise not a while ceased, and the first course in the
court duly served, there hales in at the hall door a dreadful man, the
most in the world’s mould of measure high, from the nape to the waist
so swart and so thick, and his loins and his limbs so long and so great
half giant on earth I think now that he was.” (Gawain 17)
The Green Knight, with his incredible height and build, is seen as “dreadful.” Continuing
to emphasize his size, the author establishes that the onlookers see the Green Knight as
inhuman, calling him “half giant.” This statement expresses that the Green Knight is a
creature, not belonging in the hall with the men and women, but rather than scaring them;
the Green Knight leaves his audience in awe. The anonymous writer tells the reader that
“All studied that steed, and stalked him near, with all the wonder of the world at what he
might do. For marvels had they seen but such never before; and so, of phantom and fairie
the folk there it deemed.” (Gawain 22). In likening him to these other creatures, the
attendees encounter the Green Knight as an other: they first conflate the intimidating
figure with his horse (as they study “that steed” but wonder “what he might do,” the
pronoun leaping forward to refer to the Green Knight). Having dehumanized him,
98
�bestialized him, the knights and ladies then label The Green Knight as a mythical
creature, that of “Phantom and fairie the folk” (Gawain 22). However, the Green Knight
is clearly not an animal; nor does he embody evil or evil manifestation of the self. Rather,
he acts as a judge of character. Upon walking in, the Green Knight questions:
“ ‘What, is this Arthur’s house,’ quoth the horseman then,‘that all the
rumour runs of, through realms so many? Where now your superiority
and your conquests , your grinding down and your anger, your great
words? Now is the revel and the renown of the Round Table overthrown
with the word of a wanderer’s speech, for all duck down in dread
without dint of a blow!’" (Gawain 25)
With this statement, the Green Knight questions the validity and truth of the Lords and
Knight, causing them to be angered and upset. He infuriates them to protect their honor,
so much so that the protagonist Gawain proves his boldness and beheads the Green
Knight. Gawain’s action is in many ways ignited by emotions: the game that the Green
Knight proposes to the court entails a blow for a blow, whatever done to him, is repeated
to the contender a year later; there is no requirement that this blow be fatal. Gawain’s
drastic and dramatic strike occurs in response to the Green Knight’s suggestion that the
court cowers in fear, causing Gawain to think he can simply kill the thing that disturbs
them, in other words, their alien selves or consciousness that questions the validity of
their honor and virtue. That being said, the Green Knight serves a greater representation
of self and consciousness. The extent of the Green Knight’s power is further established
with the phrase, “That all the rumour runs of, through realms so many,”, suggesting the
Green Knight is able to see all in not just one place, but is able to observe and critique
through many areas and realms, similar to a higher power, or one’s own consciousness. A
year later, as Gawain journeys toward the Green Knight, he first finds his way to an
enchanted castle in the woods, where he meets a Lord and Lady who offer him many
material objects that test his piety and honor.
In the house of Lord and Lady Bertilak, Gawain is presented with another sort of
game. He is, Lord Bertilak tells him, quite close to the chapel where he will meet with the
Green Knight. He should rest in the castle for some time. While Gawain is there, Lord
Bertilak will go hunting every day, and will give Gawain whatever he catches; in return,
Gawain will give Bertilak whatever he might obtain in the house during the day. Lady
Bertilak immediately begins an attempt at seducing Gawain. The first day, she appears in
his bedroom. Gawain resists her advances, leaving with only one kiss - which he gives to
Lord Bertilak. The “game” proceeds like this until the last day, when it becomes clear
99
�that Gawain will not be won over by the Lady. She offers him something else instead: an
enchanted green sash that will preserve his life. Gawain ties this sash around his waist
and conceals it from Bertilak. Gawain ultimately is exposed: he does not have any of the
honorable qualities that he is supposed to have as a knight. To further demonstrate this, at
the end of the story, as Gawain kneels before the Green Knight and flinches, afraid of his
own impending beheading, the Green Knight again questions the honor and value of
Gawain, and knights in general. The Green Knight states:
" ‘You are not Gawain,’ quoth the man, ‘held so great, that was never
afraid of the host by hill or by vale, for now you flinch for fear ere you feel
harm. Such cowardice of that knight have I never heard." (Gawain 91)
After seeing Gawain shrink in fear, the Green Knight holds him accountable and asks
Gawain why he has so much fear if stories claim he is bold and brave. After all, Gawain
knew exactly what punishment he would be given, having initially struck the Green
Knight himself (this was the game). The Green Knights' interactions and boldness, not
only with Gawain, but with the other knights, serves to show the Green Knight as a
critical voice that holds others accountable to their piety and honor. Within the Medieval
world there was a wide acceptance of externalized and outside forces that played a key
role in everyday life. After discussing the role of magic in Sir Gawain and the Green
Knight, Kimberley Burton states, “The Medieval mind accepted that unseen forces were
constantly present and governed by some set of principles— whether or not mankind
fully understood or experienced their parameters” (7). Within medieval writing, having
an overseeing powerful character is common. That being said, the Green Knight’s
presence and purpose can also be interpreted as Gawain’s conscience, his own anxiety
over his morals and actions.
Gawain loses himself when he expresses fear and hesitation as the Green
Knight prepares to cut off his head: “You are not Gawain,” the Green Knight tells him.
The lie and fear tied up in the green sash, and the visible fear in Gawain’s face, become a
commentary on identity, on what makes a knight a knight. Although he survives, Gawain
carries his guilt back to the court, effectively returning to the beginning of the poem,
suggesting that all knights share in his dishonor and lack of piety. Unable to kill his fear,
Gawain fails to embody the ideal, chivalric image of knighthood; at the same time, he
becomes a more human character for his faults.
Throughout this story, it is clear that the emotional worry and guilt were not
conceptualized as abstractions within Gawain, but rather, externalized as the Green
Knight. In imaginative literature, the complex emotions that challenge an individual, like
100
�Gawain, tend to be separated from the protagonist through literary techniques such as
personification. This is all in hopes of expressing a dramatic dilemma, exhibiting the
relationship between emotions and oneself. Mary Flannery explains that “personification
represents emotions as something brought into being by the body as well as the mind,”
and “by giving emotions a face, personification participates in and furthers embodied
emotional practice" (2-3). This expresses the product of complex emotions in literature
and an individual's means of expressing said emotions, as well as how these emotions are
often projected via personification. Through personifying Gawain’s guilt, the Green
Knight manifests as a judge, collecting and holding Gawain’s worries and guilts as one
figure. As Monique Scheer explains, “we have emotions and we manifest emotions”
(195). Scheer’s statement expresses how normal it is for one to project their own
emotions, in order to see and grapple with them as much as possible, from a first-person
perspective. Through this projection and externalization in premodern literature, one’s
selfhood consists of the mind and body, which are held together in a relationship where
one exists because of the other, again, creating dramatic dilemmas for the reader’s
enjoyment. However, even as the audience reads the struggle as a confrontation between
two characters, the text also manifests an engagement between a protagonist and their
guilts and worries. For the sake of character and ego, Gawain’s guilt and consciousness
are extended into the Green Knight, so that he can attempt to reclaim those aspects of
himself through battle. As time goes on, more manifestations and external projections of
internal emotional conflicts can be seen in early modern works like Edmund Spenser’s
The Faerie Queene, where readers see embodiments of both positive attributes and
negative emotions.
In The Faerie Queene, Book I Canto I, readers are following the pious and noble
Redcrosse Knight, the embodiment and protector of all things holy, who is tested through
his battles with monstrous creatures. Early in the story, Redcrosse comes upon a monster
named Errour, a nocturnal snake-like monster, who vomits pages of paper, and has
offspring that feed off of her. Errour, in this story, is the manifestation and embodiment
of error. The Redcrosse Knight’s meeting with this particular monster comes after several
missteps of his own: Redcrosse and his companions enter the Wandering Wood during a
sudden rainstorm to seek shelter, and do not seem to notice that the foliage is so thick it
“heavens light did hide” (I.i.7). They are “with pleasure forward led,” and quickly
become distracted; “Led with delight, they thus beguile the way” (I.i.8, 9). By the time
the travelers - Redcrosse, Una, and a dwarf - are thoroughly lost and about to stumble
into Errour’s den, Una gives a belated warning: “Oft fire is without smoke, / And perill
101
�without show: therefore your hardy stroke/ Sir knight with-hold, till further trial made”
(I.i.12). The Redcrosse Knight, though, is young, and eager for adventure. He rushes in:
But full of fire and greedy hardiment,
The youthfull knight could not for ought be staide,
But forth vnto the darksome hole he went,
And looked in: his glistring armor made
A litle glooming light, much like a shade,
By which he saw the vgly monster plaine,
Halfe like a serpent horribly displaide,
But th’other halfe did womans shape retaine,
Most lothsom, filthie, foule, and full of vile disdaine. (I.i.14)
Errour’s purpose is to represent the human action and emotion of error, and what it can
do to people. Errour’s activity and Redcrosse’s struggles show an individual's battle with
committing error, and how dangerous it is. During their battle, as Redcrosse is caught in
Errour’s tail, the narrator comments, “God helpe the man so wrapt in Errours endlesse
traine" (I.i.18). This statement is a direct message to readers, informing them not to
succumb to error, even as the poem further manifests error as the allegorical Errour. As
the fight progresses, and Redcrosse is winning, Redcrosse strangles the monster, and she
ends up spewing out papers and books (I.i.20). This serves as political commentary at the
time, pushing Errour’s meaning further. Errour and Redcrosse’s fight ultimately becomes
a religious battle between faith and error, emphasizing how difficult the battle is. Thomas
Dughi states that “The narrative thus clearly establishes the futility of trying to overcome
Errour (to achieve saving faith) through even the most strenuous effort of human will”
(26). This interaction and battle are performances of faith. The embodiment of not only
error, but faith, shows how still, in the late sixteenth century, individuals are expressing
their emotions and morals through personifications and projections, rather than writing
about internal experiences of personal emotional encounters; people are still externalizing
their feelings. This, in part, has to do with the extent to which emotions are understood to
be bodily experiences, which is described by Gail Kern Paster, but perhaps there is real
psychological utility to externalizing emotions and turning them into monsters or foes to
be conquered (Paster 4-7). These negative emotions are often shown as being slain or
conquered, in part due to the religious or social stigma of the time period. Externalizing
and embodying emotions in order to battle them allows the protagonists of these stories to
conceptualize the emotion in a very tangible way.
102
�With this tangibility, readers encounter a tale of a brave protagonist in an epic
battle against a monstrous other, while simultaneously an emotional struggle takes place.
What an individual sees as a monster exhibits their psyche, due to our projection of what
we feel, as seen in the stories above. The word monster has been established to articulate
something scary, foreign, or even familiar to an individual, creating some sort of
discomfort. However, in Latin, the word “monstrum” is given the definition “unnatural
thing or event regarded as omen, sign or portent.” Further tracing the etymology reveals
that the word monster derives from the word “mŏnĕor,” defined as “to warn” (Olivetti). It
is clear that the monsters we create are meant to be warnings or omens from our psyches,
which must be understood and seen; in other words, our emotions are asking to be seen
and understood for what they are. Rather than being masked behind a vile creature in an
obscure forest, or a Green Knight, for the sake of control, our emotions stand alone and
demand us to look at them.
Works Cited
Burton, Kimberely. “Putting the Magic Back into Medieval Romance: A Select
Examination of 14th-Century Texts.” University of Louisville, Bell & Howell
Information and Learning Company, 2000, pp. 1–6.
Classen, Albrecht. "The Monster Outside and within: Medieval Literary Reflections on
Ethical Epistemology. From Beowulf to Marie De France, the Nibelungenlied, and
Thüring von Ringoltingen's Melusine." Neohelicon, vol. 40, no. 2, 2013, pp. 521-542.
Dughi, Thomas A. "Redcrosse's" Springing Well" of Scriptural Faith." Studies in English
Literature, 1500-1900 37.1 (1997): 21-38.
Flannery, M. C. “Personification and Embodied Emotional Practice in Middle English
Literature." Literature Compass, vol. 13, 2016, pp. 351– 361.
Kline, Anthony. Sir Gawain and the Green Knight. Poetry in Translation, 2007.
Olivetti, Enrico . “Online Latin Dictionary - Latin - English.” Olivetti Media
Communication, https://www.online-latin-dictionary.com/latin-englishdictionary.php?parola=monstrum.
103
�Paster, Gail Kern. Humoring the Body: Emotions and the Shakespearean Stage.
University of Chicago Press, 2004.
Scheer, Monique. "Are emotions a kind of practice (and is that what makes them have a
history)? A Bourdieuian approach to understanding emotion." History and theory 51.2
(2012): pp. 193-220.
Spenser, Edmund, and Alexander Balloch Grosart. “The First Booke of the Faerie
Qveene. Contayning the Legende of the Knight of the Red Crosse, or of Holinese.” The
Complete Works in Verse and Prose of Edmund Spenser, Printed for Private Circulation
Only, Manchester, 1882.
104
�The ‘Classy’ Way to a Man’s Heart
Maïa Vitoratos (Health Sciences) 1
Advertisement, in general, represents a complex and constant conversation
about race, class, gender, and modernity. Specifically, food advertisements can be used to
understand how Americans view gender roles within society. Food advertisements date as
far back as the 1880s and have become an excellent tool for analyzing the past. 2 Taking a
feminist approach that considers the imagery and text that particular advertisements
present, this paper will attempt to unravel the gendered messages that food
advertisements relayed to the American population during the 1950s. This paper aims to
analyze the following statement: food advertisements in the 1950s in America promoted
gendered societal conditions and aspirations that still carry influential meaning in
American food advertisements today.
Before diving into detail about how food advertisements reduce women, it is
important to understand the evolution of food advertisements. In her book “The Food
Industry: Lifeline of America,” Lilian E. Edds summarizes the evolution of food and
beverage advertising into three categories: fragmentation, unification, and segmentation. 3
Fragmentation refers to a period before 1880 where food supplies were almost
exclusively local. 4 Packaged food and beverage goods often could not survive long-term
transport or storage, so most brands, no matter how large, were limited to a small regional
market. Advertising, if done at all, was done through one-off painted murals in visible
public spaces or through locally circulated publications like gazettes. 5 Following
industrial advancements, packaged food businesses boomed. Products like canned foods
were becoming mass manufactured then safely distributed across the country. Edds
suggests that the ability to share the same products without regard for region defines the
beginning of the unification period. 6 Figure 1 below is a Campbells soup advertisement
Written under the direction of Dr. Alison Smith for HI345: Global Food History.
Hampe, Edward C., Merle Wittenberg, and Lillian Edds. Book. In The Food Industry:
Lifeline of America, 54. Cornell University, 1980.
3
Edds, “In The Food Industry: Lifeline of America,” 12.
4
Edds, “In The Food Industry: Lifeline of America,” 68.
5
Cummings, Richard O., and Edward C. Hampe. Agricultural History 40, no. 3 (1966):
229–30.
6
Cummings, Richard O., and Edward C. Hampe. “Agricultural History 40, no. 3,” 229.
1
2
105
�for vegetable soup published in 1920. 7 The advertisement is clearly showing the
ingredients within the can of soup. The price of the soup is written on the advertisement,
as well as a description of the nutritional value of the soup.
Image 1: Campbells Soup Advertisement for Vegetable Soup, 1920. 8
The Campbell's soup advertisement is pretty simple, with larger drawings and
minimal writing. There are lots of colors, and consumers are drawn to the product's
image. However, during the 1950s, major brands such as Heinz, Pillsbury, and
Campbell's Soup rode to prominence during what Edd's calls the unification period. 9
Brand iconography like the calligraphic Morton Salt's umbrella girl was born around this
time. The period that will be analyzed in detail in this paper will be the period of time
that Edds refers to as the segmentation period. This marked the realization that competing
products had to differentiate themselves by appealing to different market segments with
different values. 10 The so-called segmentation period began around 1950, with the rise of
large advertisement agencies. 11
Campbell's Soup. “Campbell's Condensed Vegetable Soup,” 1920.
Campbell's Soup. “Campbell's Condensed Vegetable Soup,” 1920.
9
Cummings, Richard O., and Edward C. Hampe. “Agricultural History 40, no. 3,” 229.
10
Edds, “In The Food Industry: Lifeline of America,” 89.
11
Cummings, Richard O., and Edward C. Hampe. “Agricultural History 40, no. 3,” 229.
7
8
106
�The 1950s represented a significant transition period for the American food
system as it moved from local food to industrialized food. As industrialization spread
throughout the country, so did the desire for modernity. “The 1950s was a time of great
innovation in food products. It was a decade driven by the demand for convenience, and
many of the modern products we use today are food innovations of the 1950s.” 12 This
concept is evident looking at food advertisements of the time. As the food industry
changed, the definition and use of “food” began to change; this new understanding of
“food” needed to be explained to Americans. This resulted in the creation of a civilization
that placed meaning in seemingly modern food. “During the 1950s, middle-class
Americans were exemplary of a civilized people who recognize canned foods as a better,
more nutritious, more modern option.” 13 Preparing food became advertised as both
inconvenient and time-consuming. Efficiency was seen as a modern concept, and
industrialized food was efficient.
Modern, progressive food became scientifically produced. Similarly, Americans
were in a period of time where they were promoting “modern” women to purchase
scientifically approved and manufactured products. “Modern science had ushered in an
era of homemaking where commercially canned foods could be trusted matter-of-factly.”
14
Advertisements were filled with wording and imagery to persuade consumers of
modernity and progression. The advertisements did not necessarily highlight the product
but the lifestyle the product could offer.
Food advertising attempted to persuade Americans that progress was possible
when turning to food products. For instance, progress was applied to a pineapple by
transforming it into something better. Image 2 is an advertisement made in 1953
promoting canned Dole's Pineapple. 15 "Advertising also stimulated the popular conviction
that what was new was desirable." 16 By sprucing up the idea of a pineapple, consumers
were amazed; they wanted to try this new fruit, although it was very similar to a simple
pineapple. This canned pineapple was revolutionary and seemed to be better than regular
“Food Innovations of the 1950's: Gunther Toody's.” Gunther Toody's | An American
Classic, April 12, 2014. https://gunthertoodys.com/food-innovations-1950s/.
13
Whitfield, Kristi Renee. “Canning Foods and Selling Modernity: The Canned Food
Industry and Consumer Culture, 1898-1945.” LSU Digital-commons, 2012. 121.
14
Whitfield, Kristi Renee. “Canning Foods and Selling Modernity: The Canned Food
Industry and Consumer Culture, 1898-1945.”157.
15
Dole. “Hawaiian Sliced Pineapple,” 1953.
16
Marchand, Roland. “Advertising the American Dream: Making Way for Modernity,
1920- 1940.” Berkeley, CA: University of California Press. (1985) 9.
12
107
�fruit. The advertisement that Dole created sold a Hawaiian dream. In the example below,
Dole allowed Americans to eat 'Hawaiian Pineapple' anywhere in America, how modern.
There is a photograph of children playing in the ocean waves on a sunny day. This
advertisement does not just sell canned pineapple; it sells the Hawaiian dream.
Image 2: Dole’s Advertisement for Hawaiian Sliced Pineapple,1953. 17
Advertisements similar to Dole’s ad became more popular within the 1950s. The
number of industrialized food companies rose after World War II, and consumers of
17
Dole. “Hawaiian Sliced Pineapple,” 1953.
108
�advertisements were bombarded with different types of products constantly. 18 One of the
main targets of most of the food advertisements was women. 19
In an article titled, "A Postmodern Feminist Analysis of Food Advertisements
from Women's Magazines during the 1950s, 1960s," Alysha Bergeson discusses that
"Food advertisements do not simply sell food; they sell ideas, beliefs, and definitions
about women and gender." 20 What Bergeson is trying to explain is that food
advertisements were selling a product and attempting to sell Americans a specific
lifestyle. Mainly the lifestyle in which the stay-at-home mother cooks and cleans all day,
and their product helps her. During the 1950s and 1960s, food advertisements were
heavily targeted at women. They attempted to manipulate women and American society
into believing that women could not cook, should not cook, and that it would never be
perfect if they did cook. Advertisements targeted women by attempting to degrade their
abilities to please their husbands, nourish their families, and maintain good health.
"Advertisements also attacked a woman’s ability to create good, wholesome
food for their families in the rushed, modern society they lived in.
Advertisements reduced a woman’s worth to whether the peas came out just as
juicy as the canned version, her marital status and ability to keep her husband
happy, and whether she had embraced her fate of motherhood yet." 21
Bergeson says it excellently, women could do nothing perfectly. Food advertisements
were trying to promote their product as helpful when they were trying to quash women’s
true abilities. As previously stated, food advertisements during the 1950s promoted a
lifestyle to many Americans. "Many scholarly articles that focus on food advertisements
analyze their effects on children- how children are impacted by how food industries
18
Story, Mary, and Simone French. “Food Advertising and Marketing Directed at
Children and Adolescents in the US.” The international journal of behavioral nutrition
and physical activity. BioMed Central, February 10, 2004.
https://www.ncbi.nlm.nih.gov/pmc/articles/PMC416565/.
19
Story, Mary, and Simone French. “Food Advertising and Marketing Directed at
Children and Adolescents in the US.” The international journal of behavioral nutrition
and physical activity. BioMed Central, February 10, 2004.
https://www.ncbi.nlm.nih.gov/pmc/articles/PMC416565/.
20
Bergeson, Alysha. “Advertised identity: A postmodern feminist analysis of food
advertisements from women's magazines during the 1950s, 1960s, and 2000s.”
ScholarWorks. (1970, January 1). 1.
21
Bergeson, Alysha. “Advertised identity: A postmodern feminist analysis of food
advertisements from women's magazines during the 1950s, 1960s, and 2000s.” 4.
109
�attempt to create lifetime consumers out of children. By introducing brand names,
slogans, and mascots to children, food companies hope to generate loyalty to and
preference for their food products that will last throughout their lives." 22 Food
advertisements heavily influenced children; however, these food advertisements had even
more meaning to a woman.
“Women needed a champion. Here were millions of them staying at home alone,
doing a job with children, cooking, cleaning on minimal budgets- the whole
depressing mess of it. They needed someone to remind them they had value.
Betty Crocker became a figure of dignity who treated homemakers with
respect.” 23
Laura Shapiro thoroughly analyzes the relationship between women and food
during the time period of the 1950s-1960s, also writing on the influence that food
advertisements had on this relationship. The particular passage above is quoted from her
article titled, "And here she is...your Betty Crocker". Shapiro explains that Betty Crocker
was represented to women as a hero. She was supposed to be the relatable woman that
could save meals. However, the article goes into detail about how she was not the
homemaker saver that she was claimed to be. Betty Crocker was created in 1921; the
name and face of Betty Crocker has appeared in American grocery store aisles, pantries,
and cookbooks for over 90 years. 24 "The Betty Crocker formed bonds between customers
and brands at a time when convenience cuisine was at its infancy but primed to grow
quickly." 25
Betty Crocker tried to convince women that cooking was not only a task that
women oversaw but a task that showed their value as a woman. A combination of fantasy
and reality, Betty Crocker was an instructor of modern cuisine who offered tips, recipes,
and packaged products to assist homemakers in achieving success in the kitchen. “Betty
22
Bergeson, Alysha. “Advertised identity: A postmodern feminist analysis of food
advertisements from women's magazines during the 1950s, 1960s, and 2000s.” 16.
23
Shapiro, Laura. “And here she is ... your Betty Crocker!” The American Scholar, 73(2),
(2004). 88.
24
Contois, Emily. “Curating the History of American Convenience Cuisine.” Emily
Contois, July 11, 2017. https://emilycontois.com/2012/10/04/curating-the-history-ofamerican-convenience-cuisine/.
25
Contois, Emily. “Curating the History of American Convenience Cuisine.” Emily
Contois, July 11, 2017. https://emilycontois.com/2012/10/04/curating-the-history-ofamerican-convenience-cuisine/.
110
�Crocker imparted advice in a way that values a housewife’s efforts, respected her
intellect, and instilled confidence.” 26 This message that not only Betty Crocker but other
food advertisements of this time period displayed is put into question when reviewing
Katherine Parkin's work. Her book, "Food is Love" 27 details how food advertisements
force women into the kitchen. They promote cooking as a female task. She questions the
advertisements' messages stating that making food for a family shows motherly love. 28
Instead, Parkin's refers to cooking as unfairly forced work upon women. Food
advertisements promote the concept that the purpose of a woman is to show love through
cooking and buying whatever product the specific ad offers. The following advertisement
below was an advertisement for Reddi-Wip in 1950 demonstrating this exact concept. 29
Image 3: Reddi-wip Advertisement, 1950. 30
Contois, Emily. “Curating the History of American Convenience Cuisine.” Emily
Contois, July 11, 2017. https://emilycontois.com/2012/10/04/curating-the-history-ofamerican-convenience-cuisine/.
27
Parkins, Katherine. “Food Is Love: Food Advertising and Gender Roles in Modern
America.” Pennsylvania: University of Pennsylvania Press, 2006. 54.
28
Parkins, Katherine. “Food Is Love: Food Advertising and Gender Roles in Modern
America.” 33.
29
Reddi-wip. “How To Hold a Husband,” 1950.
30
Reddi-wip. “How To Hold a Husband,” 1950.
26
111
�Messages such as the above, "How to Hold A Husband," were prominently
displayed in food advertisements in the 1950s. Women's societal purpose was to find a
husband and then keep their husband by pleasing him. Food advertisements attempted to
make women feel like taking care of their husbands was not an easy task. Reddi-Wip
advertises a simple solution to creating a happy husband by buying their product.
The woman in the advertisement is drawn as short, with both her hair and
makeup done. She is holding a cup of Reddi-Wip while receiving a kiss from her
husband. The writing under the advertisement says, "your dessert magic secret that helps
to hold a husband." 31 This advertisement promotes the sexist stereotype that a woman's
most essential and often only purpose was to find a man to marry. The advertisement in
image 3 suggests that the man in the picture is kissing her because he enjoys the ReddiWip. Not only is Reddi-Wip trying to show married women that their product will make
their husbands happy, but it is also showing unmarried women that they do not match
what society expects of them if they are single.
During the 1950s, women were not only being told through advertisements that
they needed to be married but that they needed to be the perfect mother. “Mothers in
advertising from the 20s through the 80s were shown as taking pride in the way they were
bringing up their children.” 32 The advertisements in the 1950s placed mothers in a world
of expectations. “Mothers in advertising in the 20s and the 50s were depicted as being
knowledgeable about the care they offered their children; the brand being advertised
playing a supportive role.” 33 The expectations a mother should meet that were set up by
advertisements are followed by a guarantee that claims that their product will help
women live up to gendered societal requirements. The trendy message of being a perfect
mother can be seen in the Campbell’s Soup advertisement published in 1953. 34
Reddi-wip. “How To Hold A Husband,” 1950.
Commuri, Suraj, Ahmet Ekici, and Patricia Kennedy. “>Historical Review of
Advertising Targeting Mothers: Content Analysis under Sociological Imagination of Ads
in 1920s, 1950s, and 1980s: ACR.” ACR North American Advances, January 1, 1970.
https://www.acrwebsite.org/volumes/8572/volumes/v29/NA-29.
33
Commuri, Suraj, Ahmet Ekici, and Patricia Kennedy. “>Historical Review of
Advertising Targeting Mothers: Content Analysis under Sociological Imagination of Ads
in 1920s, 1950s, and 1980s: ACR.”
34
Campbell's Soup. “Soup for Lunch,” 1953.
31
32
112
�The advertisement shown in image 4 by Campbells Soup in the 1950s explains
that their canned soup will help a mother make her family happy. The picture shows a
woman grocery shopping with presumably her young daughter. Both are smiling with a
grocery cart full of Campbell’s Soup. The young woman is dressed in what seems to be
business casual clothing, with her hair and makeup both entirely done—a switch from
Campbell’s advertising in the 1920s, which primarily focused on the soup product.
Campbell’s is advertising to mothers that Campbell’s Soup will help feed a
family and maintain the image of a perfect mother.
“In developing consumer culture which began to grow during and after the
industrial revolution, women were identified as the primary consumers of
household goods and services. Homemakers have been the target of Campbell’s
Red & White advertising since its inception, and this focus is reflected both in
the content and the placement of the advertising.” 35
Image 4: Campbell’s Soup, 1953. 36
Smithsonian Institution. “The Campbell Soup Advertising Collection: Collection.”
SOVA, 2015. https://sova.si.edu/record/NMAH.AC.0367.
36
Campbell's Soup. “Soup for Lunch,” 1953.
35
113
�Campbells Soup and other brands during this time period saw women as primary
consumers of home products. Not only did these brands target female consumers, but
they conformed to a gendered society and presented that expectation to women. They
always expected women to look 'presentable.' This is relevant in the Reddi Wip and
Campbell's soup advertisement and a prominent depiction of women during the 1950s.
"The advertisements of the 1950s tended to direct all products associated with behavior
through advertisements." 37
During the 1950s, food advertisements sent varying messages to women. Another
statement that came along with the concept of convenience foods was that women could
not cook anything that would taste as good as the scientifically created food. This concept
angered many women who enjoyed cooking. The advertisement below was published in
1950. It is a Pillsbury cake mix advertisement emphasizing the idea that this cake could be
made quickly and taste amazing. 38 The advertisement tried to persuade bakers that this
cake mix would save time and taste better than a homemade cake.
Image 5: Pillsbury Advertisement, 1950. 39
Kennedy, Kimi. “Women in Advertising.” Omeka RSS, 2014.
https://americancentury.omeka.wlu.edu/ exhibits/show/reinforcement-of-gender-roles/advertising-in-the-1950s/leisure-advertisements.
38
Pillsbury Cake Mixes. “Why Not You?” 1950.
39
Pillsbury Cake Mixes. “Why Not You?” 1950.
37
114
�Cakes communicate potent symbolic meaning by expressing love, requiring
effort and skill, and demonstrating feminine mastery. A challenge for many homemakers
to execute, cake mixes prove a prime example of early convenience food. As this
advertisement shows, a woman’s baking ability was also read as subtext for her ability to
please her man and fulfill her feminine duties inside the kitchen and out. Women of the
time struggled with advertisements like the Pillsbury advertisement (image 5) because
most did not want to be removed from the kitchen. “This advertisement approach did not
thrill housewives, as cake mixes effectively engineered out the culinary labor that women
felt was their moral, social, and emotional responsibility.” 40 There seemed to be a stigma
of laziness around using a box cake mix. In fact, “Ernest Dichter posited the “egg
theory”- that allowing women to add eggs to the mix would ensure that they felt they had
more fully fulfilled their cooking responsibilities.” 41 Some women were more than happy
to just add eggs to a cake mix; in fact, women decided to profit from this new wave of
commercial food by trying to change the narrative of the situation.
Poppy Cannon, the author of “The Can-Opener Cookbook,” 42 published in 1952,
created an entire cookbook based on convenience foods. Instead of guilting women and
making them feel lazy for using convenience foods, she encouraged them and provided
recipes that would incorporate the canned food. Cannon wanted to change the narrative
that using convenience food was a “...badge of shame, a hallmark of the lazy lady and the
careless wife,” 43 by advertising her book to modern women. Some women loved this idea
and were also in favor of using convenience foods to simplify their lives.
Following the same notion of choosing precooked food for a family, the ad
below was one of several advertisements run by Bakers of America. It explained that
purchased bread was the best bread, with the slogan “Eat more BREAD… your best food
buy.” 44
Contois, Emily. “Curating the History of American Convenience Cuisine.” Emily
Contois, July 11, 2017. https://emilycontois.com/2012/10/04/curating-the-history-ofamerican-convenience-cuisine/.
41
Contois, Emily. “Curating the History of American Convenience Cuisine.” Emily
Contois, July 11, 2017. https://emilycontois.com/2012/10/04/curating-the-history-ofamerican-convenience-cuisine/.
42
Cannon, Poppy. “The Can-Openers Cookbook.” New York: Thomas Y. Crowell
Company,1952.
43
Cannon, Poppy. “The Can-Openers Cookbook.” New York: Thomas Y. Crowell
Company,1952. I.
44
Bakers of America. “The World's Busiest Engine Run Best on BREAD.” 1966.
40
115
�The advertisement (image 6) shows pictures of a small child playing,
presumably playing thanks to the Bakers of American bread he was eating. The ad
suggests simple ingredients and promises a healthy product. This advertisement and
many others yet again tell women what to do. Bakers of America and Pillsbury tell
women to buy their products and discourage them from making their own by pressuring
them into believing that a mother's job is to serve their family the best possible product.
"With a closer look, one can see that many cookbooks directly contradicted their own
message about a woman's role. Both advertising and cookbooks in the 1950s recognized
that cooking was a boring and unpleasant task that women were held up to." 45 Of the
several other advertising messages women were served, this one chooses to tell women
that they do not need to cook, even if it is recognized as an assigned duty.
Image 6: Bakers of America Advertisement, 1956. 46
What advertisements were being targeted toward men during this time period?
Image 7 is one of the few advertisements from the 1950s with a man at the front and
center. Obviously, it is not a man in the kitchen. Instead, it is Harland Sanders with a tray
Neuhaus, Jassamyn. “Gender and 1950s.” Cook Booking, 1999.
http://hdmzweb.hu.mtu.edu/cookingbooks/?page_id=871.
46
Bakers of America. “The World's Busiest Engine Run Best on BREAD.” 1966.
45
116
�of fast food. 47 The below advertisement is not of a young man with large muscles and a
full head of hair catching attention for his looks, but an older man in a suit selling
chicken.
Kentucky Fried Chicken's message above indicates that women who do not want
to cook should buy their chicken. With a male figure front and center, this advertisement
can be interpreted in numerous ways. In the advertisement, the man, Harland Sanders, is
dressed in a suit, looking very professional with a tray of prepared chicken. He seems
happy to be saving a potential wife with the burden of cooking. The advertisement can be
perceived as the notion that a solution to a woman's problems is a
Image 7: Kentucky Fried Chicken Advertisement, 1954. 48
man. Not only is this advertisement continuing to suggest that it is a woman's job to cook
but implying that it is not a man's job to cook. It does not advertise a man cooking, but
that a man can buy premade food. The article "Exploring Gender Roles in Vintage
Advertising" 49 discusses the strict gender roles that advertisements feed to audiences.
Kentucky Fried Chicken. “Wife-savers.” (1954).
Kentucky Fried Chicken. “Wife-savers.” (1954).
49
Bondfield, May. “Exploring gender roles in vintage advertising.” NFSA. (2020,
August 6)
47
48
117
�“The other noteworthy similarity among ads was gender stereotyping. In the
1950s, gender roles were very clearly defined. The men went into the world to
make a living and were either sought-after, eligible bachelors or they were the
family breadwinner and head of the household. Women filled the roles of
housewife, mother and homemaker, or they were single but always on the
lookout for a good husband.” 50 (Bondfield, 1)
Bondfield explains that men were always in charge. They were never advertised
a specific product, but a particular type of woman, girlfriend, or wife was constantly
advertised to male consumers.
Is earning the key to a man’s heart achieved by cooking? After analyzing many
food advertisements, it would seem as though this statement could be regarded as correct.
Food advertisements in the 1950-1960s targeted women and attempted to tell them who
they could be, should be, and who they needed to be within society. Advertisements for
simple food products showed more than just the product, but a fairytale lifestyle attached
to the price tag. Advertising will always manipulate gender stereotypes if it sells a
product. Food advertisements still harbor American gendered societal requirements and
desires and still carry a heavy, influential gendered anchor established around the 1950s.
Bibliography
Bakers of America. “The World's Busiest Engine Run Best on BREAD.” 1966.
Bergeson, Alysha. “Advertised identity: A postmodern feminist analysis of food
advertisements from women's magazines during the 1950s, 1960s, and 2000s.” Scholar
Works. Retrieved April 5, 2022, from https://scholarworks.calstate.edu/concern/
theses/3n2041596. (1970, January 1).
Bondfield, May. “Exploring gender roles in vintage advertising.” NFSA. Retrieved April
1, 2022, from https://www.nfsa.gov.au/latest/exploring-gender-roles-vintage-advertising.
(2020, August 6)
Campbell's Soup. “Campbell's Condensed Vegetable Soup,” 1920.
Bondfield, May. “Exploring gender roles in vintage advertising.” NFSA. (2020,
August 6)
50
118
�Campbell's Soup. “Soup for Lunch,” 1953.
Cannon, Poppy. “The Can-Openers Cookbook.” New York: Thomas Y. Crowell
Company, 1952.
Commuri, Suraj, Ahmet Ekici, and Patricia Kennedy. “>Historical Review of Advertising
Targeting Mothers: Content Analysis under Sociological Imagination of Ads in 1920s,
1950s, and 1980s: ACR.” ACR North American Advances, January 1, 1970.
https://www.acrwebsite.org/volumes/8572/volumes/v29/NA-29.
Contois, Emily. “Curating the History of American Convenience Cuisine.” Emily
Contois, July 11, 2017. https://emilycontois.com/2012/10/04/curating-the-history-ofamerican-convenience-cuisine/.
Cummings, Richard O., and Edward C. Hampe. “Agricultural History 40, no. 3” (1966):
229–30. http://www.jstor.org/stable/3740708.
Dole's Pineapple. “The Hawaiian Dream.” (1953).
Hampe, Edward C., Merle Wittenberg, and Lillian Edds. Book. “In The Food Industry:
Lifeline of America.” Cornell University, 1980.
Kennedy, Kimi. “Women in Advertising.” Omeka RSS, 2014.
https://americancentury.omeka.wlu.edu/exhibits/show/reinforcement-of-gender-roles/advertising-in-the-1950s/leisure-advertisements.
Kentucky Fried Chicken. “Wife-savers.” (1954).
Marchand, Roland. “Advertising the American Dream: Making Way for Modernity,
1920- 1940.” Berkeley, CA: University of California Press. (1985).
Neuhaus, Jassamyn. “Gender and 1950s.” Cook Booking, 1999.
http://hdmzweb.hu.mtu.edu/cookingbooks/?page_id=871.
Parkins, Katherine. “Food Is Love: Food Advertising and Gender Roles in Modern
America.” Pennsylvania: University of Pennsylvania Press, 2006.
119
�Pillsbury Cake Mix. “Why not you?” (1950).
Reddi Wip. “How to Hold A Husband.” (1950).
Shapiro, Laura. “And here she is ... your Betty Crocker!” The American Scholar, 73(2),
87–99. http://www.jstor.org/stable/41222327. (2004).
Smithsonian Institution. “The Campbell Soup Advertising Collection: Collection.”
SOVA, 2015. https://sova.si.edu/record/NMAH.AC.0367.
Story, Mary, and Simone French. “Food Advertising and Marketing Directed at Children
and Adolescents in the US.” The international journal of behavioral nutrition and
physical activity. BioMed Central, February 10, 2004.
https://www.ncbi.nlm.nih.gov/pmc/articles/PMC416565/.
Whitfield, Kristi Renee. “Canning Foods and Selling Modernity: the Canned Food
Industry and Consumer Culture, 1898-1945.” LSU Digital-commons, 2012. 121.
120
�The Renaissance, the Vatican, and the Music of Palestrina
Bridget Quinn (Vocal Performance) 1
The Renaissance was a period of change, or rebirth, beginning in the 1300s and
ending in the 1600s. It affected the political, economic, social, and cultural systems that
existed at the time in Europe. Many saw the Middle Ages, from which they were
emerging, as a period of disorder. There was a desire to return to a time of great thinking
and learning that had existed in ancient Greece and Rome. This movement was especially
focused on the way in which people viewed themselves and their world, with less focus
on the afterlife and more focus on the here and now. There was greater emphasis on what
each individual was capable of and what skills and talents one could possess. Even today,
we classify someone as being a Renaissance man (or woman) if they are talented or
skilled in a variety of areas.
The beginning of the Renaissance was focused in Italy and it spread north to the
rest of Europe by the time it reached its peak in 1500. As this time period saw a renewed
interest in ancient Rome and its culture, it is not surprising this would have been the
birthplace of the Renaissance. Italy had been the center of the Roman Empire and
although it had fallen in the fifth century, A.D. remnants of its heyday remained and
could be seen and learned from. Examples include the Forum, the Colosseum, and the
Pantheon which are still standing and provide an insight into the past. Italy’s cities had
fared well during the Middle Ages, maintaining many aspects of the glory of Rome.
Genoa, Florence, Milan, Venice, Rome, and Naples were all thriving manufacturing and
trade centers. There was a wealthy and politically powerful merchant population that
held sway over their cities, with the Medicis emerging as one of the most powerful family
dynasties of the time. It was these patrons’ interests and money that steered the
Renaissance’s beginnings and financed it as it grew.
Equally important was the role of the Vatican and the Pope. Following the fall
of the Roman Empire, the Church emerged, over the course of a thousand years, as a
powerful and long-lasting organization that came to be in control of many aspects of
daily life. As such, they dictated how the curia - a term originally denoting certain
divisions of Romans but now representative of any Roamn citizen - thought and saw the
Written under the direction of Dr. Thomas Juneau. This paper was inspired by the
author’s recent trip to Rome with the Wagner College Choir.
1
121
�world. Throughout the Middle Ages, the goal of universities was to emphasize and
reinforce classic ideas and thinking. However, as the 1300s progressed, there was a shift
in thinking with the emergence of the humanist movement. This movement appeared at
the time of the Renaissance and believed that education should stimulate an individual’s
creative powers. It moved away from religious studies and towards more worldly topics.
Humanists looked to the scholarly texts of Greece and Rome and focused on the topics of
grammar, rhetoric, history, and poetry. They believed that they could synthesize the
knowledge of these texts with their own experiences. This shift had far reaching
implications and brought about changes in all aspects of life, including art and music.
It was during this shifting of artistic forms that change came about in both the
visual and musical arts. Music was an important part of life for the curia and the religious
and artistic communities during the Renaissance, with the most important music being
composed for the church. This music was polyphonic; it had two or more melody lines,
with each line having equal importance to the piece. The madrigal, motet, and the mass of
the Renaissance were all examples of this style of composition. The motet was the
leading religious song style of the Renaissance, sung by four or five voice parts. This
would have continued as the major form of religious music, but the church was faced
with a threat to their power that caused them to reassess all aspects of worship.
The Reformation saw the unity of the Catholic Church tested and questioned by
those that thought the Church corrupt and in need of restructure. What emerged was a
different view of Christian faith, called Protestantism, led by Martin Luther. One
component of the Reformation was the shift in sacred music towards simpler hymns
called chorales than the complex polyphony of the Catholic Church. These were often
sung in German, instead of Latin, and would be sung by the entire congregation as
opposed to a select few.
The Reformation brought about a reaction on the part of the Catholic Church,
called the Counter-Reformation, to affirm the beliefs and practices of the Church. Pope
Marcellus II, who succeeded Pope Julius III in 1555, was a member of the Council of
Trent which convened in an effort to address all the challenges the Reformation posed.
The Council of Trent made a number of recommendations, including a leaning towards
sombre but dignified sacred music and clearly understood and heard words. 2 They did not
want as great an emphasis on secular music that was being used in the services nor did
2
Arkenberg, Rebecca. "Music in the Renaissance." In Heilbrunn Timeline of Art History. New
York: The Metropolitan Museum of Art, 2000–.
http://www.metmuseum.org/toah/hd/renm/hd_renm.htm (October 2002)
122
�they want the text to be neglected. The Council put forth a statement, in Canon 8,
detailing what liturgical music should be. It states that:
“Everything should be regulated so that the Masses, whether they be celebrated
with the plain voice or in song, with everything clearly and quickly executed,
may reach the ears of the hearers and quietly penetrate their hearts…In those
Masses where measured music and organ are micustomary, nothing profane
should be intermingled, but only hymns and divine praises. If something from
the divine service is sung with the organ while the service proceeds, let if first be
recited in a simple, clear voice…” 3
This led to an effort to move away from the polyphonic style that had existed in sacred
music for centuries. It was felt that the text - the very conveyance of the Lord’s message was not being understood by the curia and, therefore, the message was lost. In an effort
to bring about a change from polyphony and towards a clearer sound, Giovanni Pierluigi
da Palestrina (1525 - 1594) was asked to compose music in this new style.
Palestrina, maestro di cappella at the Cappella Giulia at Saint Peter’s in Rome,
was the iconic High Renaissance composer of Counter-Reformation sacred music, which
featured clear lines, a variety of textures, and a musically expressive reverence for its
sacred texts. 4 He was appointed by Pope Julius III, who had previously been the bishop
of Palestrina from whence Palestrina came and took his name. By 1550, he had
established himself as a reliable and talented composer of liturgical music. He did not
step away from the polyphony of the past but made it smoother and clearer in a more
expressive way, to be more in line with the sacred texts on which it was based. He
worked to maintain the pageantry and awe of the polyphonic music that the church had
used for some time, thus maintaining the impact these works would have on the public.
His strong grasp of how to balance clarity of lyric with lavish vocal sounds led to this
being termed the “Palestrina Style” or late Renaissance polyphony. His work became the
representative example of the stile antico, or ancient style, of music that was the standard
in church music of the time.
Palestrina was a prolific and well published composer. His 104 masses,
hundreds of motets, and various other religious music were disseminated all over Europe.
His work shows that he thought it was important to have “a close relationship between
3
Cianfano, Julianna. "Music in the Counter Reformation." Blogs.shu.edu. Accessed June 7, 2022.
http://blogs.shu.edu/ecww/project/music-in-the-counter-reformation/.
4
Arkenberg, Rebecca. "Music in the Renaissance."
123
�text and music, and a texture that is thin enough for the words to be heard.” 5 He is
credited with bringing independent, interlocking melody lines to his compositions, known
as counterpoint. He, along with Gregorio Allegri (1582 - 1652), Paolo Bellasio (1554 1594), and a few other Italian composers working for the church became known as the
Roman School. They garnered a reputation for bringing about a consistent style of music
for liturgies, one that was strongly influenced by the Franco-Netherlandish school of
music. With Rome maintaining its role as a cultural center all through the previous
centuries, it is understandable that composers of this style would have passed through
and, therefore, influenced the music of Roman composers. The two most influential
Netherlandish composers, Guillaume Du Fay and Josquin des Prez, both spent time in
Rome and it was during their time there that Palestrina was emerging as a musician on
note.
Palestrina’s most well-known work is his Missa Papae Marcelli (Pope
Marcellus Mass), believed to have been composed in 1562. It is a head-motif, or cyclic,
mass with a recurring melody (known as cantus firmus). This work is written as a sixvoice mass, with a Kyrie, Gloria, Credo, Sanctus/Benedictus, and a two-part Agnus Dei
(with the second one being designated Agnus II and having a seventh voice added). There
are parts for soprano, alto, tenor (in two parts), baritone, and bass. The work was
composed to allow the words to be understood as the voices move, for the most part, in a
stepwise fashion. Palestrina used a more homophonic approach for sections with longer
texts, such as the Sanctus and Agnus Dei movements. For the Gloria and Credo, with
shorter texts, polyphony was used. This was in response to Pope Marcellus’ desire to
have the words of the works clearer to the audience. Palestrina tends to use imitative
polyphony in this work, thus allowing the listener to hear the words sung by one voice
before the additional sections are added in intertwining patterns.
This mass was one of only six masses Palestrina composed that was not based
on any previously created motets, madrigals, or other work, although some have argued
that there is some similarity to a popular medieval song entitled L’homme armé. The
Kyrie, Sanctus, and Agnus Dei all include individual vocal lines that rise and fall on their
own yet blend with other voice lines. In the Kyrie, for example, each voice begins with a
repeated, held note followed by an upward leap and then descending steps, yet none of
5
Jessie Ann Owens, "Giovanni Pierluigi da Palestrina," in Composers at Work: The Craft of Musical
Composition 1450-1600 (New York: Oxford University Press, 1997), https://ezproxy.wagner.edu:2991/
eds/ebookviewer/ebook?sid=5ea293db-a530-4329-ba1d- f02896d187ba%40redis&ppid=pp_291&vid=
0&format=EB.
124
�the six parts rhythmically or thematically copies any other part. With the Benedictus,
there is a shift; only sopranos, altos, and tenors perform this section, so it comes off as
more delicate than the other sections, creating a bridge to the next section. In recognition
of what Pope Marcellus wanted - music that is easier to understand - the Gloria and
Credo each possess techniques Palestrina often used, making sections of voices
counterpoint each other. The use of harmony and rhythm in this work foreshadowed the
music of the Baroque period, with a movement away from modal harmonies to tonal
harmonies. It was well received by the Church and was sung at the Papal Coronation
Masses for hundreds of years, with the last being the 1963 coronation of Pope Paul VI;
the cessation of its performance coincides with Vatican II and its efforts to bring the
Catholic Church into the 20th century by moving away from works in Latin.
Although much of Palestrina’s musical career centered around Liturgical Mass
composition, he did compose other types of works as well, most especially motets and
madrigals. One of these motets, Alma Redemptoris Mater, was sung by Wagner’s Choir
on our recent Italy tour. This motet is traditionally sung at Advent and Christmastime as
it tells of the Blessed Mother, Mary. It has a peaceful, hushed feeling to it, which is
appropriate to the time of the liturgical calendar. It is a cappella and the structure of the
piece is based on the Gregorian chant form, with the tenors (or basses) singing the
opening word (“Alma”) and the choir answering back (“Redemptoris Mater”). There is a
small use of melisma for the sopranos and altos on the word “Mater”, drawing the
listener’s attention. Palestrina uses a bit of word painting at points in this work; an
example is heard on the words “succurre cadenti” (help the fallen ones), where there is a
decent of notes while the following word “surgere” (rise) has the parts jumping up in
note, in some cases as much as an octave. This shows how Palestrina linked his music to
the words, with movements and combinations created to emphasize the key moments in
the story. To sum up Palestrina’s style and intentions, we can turn to his own words,
found in the preface to his 1567 Second Book of Masses: “I have considered it my task, in
accordance with the views of most serious and most religious-minded men, to bend all
my knowledge, effort, and industry towards that which is the holiest and most divine of
all things in the Christian religion – that is, to adorn the holy sacrifice of the Mass in a
new manner.” 6
6
Bertoglio, Chiara. 2017. Reforming Music: Music and the Religious Reformations of the
Sixteenth Century. Berlin: De Gruyter. https://ezproxy.wagner.edu:2462/
login.aspx?direct=true&db=nlebk&AN=1477516&site=eds-live, 429.
125
�The Renaissance brought about changes in the way people saw themselves and
looked at the world around them. This shift in thinking affected all aspects of life, not the
least of which was the music that was being composed. Combined with this shift in
thinking about the arts was a re-evaluation of the tenets of Catholicism, leading to the
Reformation and Counter- Reformation which in turn led to a change in Liturgical music.
As a result of this time of re-assessment, Renaissance church music possessed three new
elements: polyphonic, rather than simply monodic style; more tonal music; and a
simplicity of polyphony which allowed the text, once again, to be discernable by the
congregation.
Bibliography
Arkenberg, Rebecca. "Music in the Renaissance." In Heilbrunn Timeline of Art History.
New York: The Metropolitan Museum of Art, 2000–.
http://www.metmuseum.org/toah/hd/renm/hd_renm.htm (October 2002)
Bensalhia, John. "The Renaissance - Part 6: Music." Italy Magazine, December 15, 2014.
Accessed June 5, 2022. https://www.italymagazine.com/featured-story/renaissance-part6-music.
Bertoglio, Chiara. 2017. Reforming Music : Music and the Religious Reformations of the
Sixteenth Century. Berlin: De Gruyter. https://ezproxy.wagner.edu:2462/
login.aspx?direct=true&db=nlebk&AN=1477516&site=eds-live.
Cianfano, Julianna. "Music in the Counter Reformation." Blogs.shu.edu. Accessed June
7, 2022. http://blogs.shu.edu/ecww/project/music-in-the-counter-reformation/.
International Music Score Library Project (IMSLP) / Petrucci Music Library, ed. "List of
Works by Giovanni Pierluigi da Palestrina." Imslp.org. Accessed June 5, 2022.
https://imslp.org/wiki/List_of_works_by_Giovanni_Pierluigi_da_Palestrina.
Jan L. de Jong. 2012. The Power and the Glorification : Papal Pretensions and the Art of
Propaganda in the Fifteenth and Sixteenth Centuries. University Park, Pa: Penn State
University Press. https://ezproxy.wagner.edu:2462/login.aspx?direct=true&db=
nlebk&AN=572592&site=eds-live.
126
�MasterClass Staff. "Renaissance Era Music Guide: A History of Renaissance Music."
Masterclass.com. Last modified December 3, 2020. Accessed June 4, 2022.
https://www.masterclass.com/articles/renaissance-music-guide#a-brief-history-ofrenaissance-music.
Owens, Jessie Ann. "Giovanni Pierluigi da Palestrina." In Composers at Work : The Craft
of Musical Composition 1450-1600, 291-309. New York: Oxford University Press, 1997.
Accessed June 3, 2022. https://ezproxy.wagner.edu:2991/eds/ebookviewer/ebook?sid=
5ea293db-a530-4329-ba1d-f02896d187ba%40redis&ppid=pp_291&vid=0&format=EB.
———. "Palestrina as Reader: Motets from the Song of Songs." In Hearing the Motet :
Essays on the Motet of the Middle Ages and Renaissance, by Dolores Pesce, 307-28. New
York: Oxford University Press, 1997. Accessed June 4, 2022.
https://ezproxy.wagner.edu:2986/eds/ebookviewer/ebook?sid=a3c8924e-a0eb-4a0f-a3c95c25bc83cc4f%40redis&ppid=pp_306&vid=0&format=EB.
Pritchard, Gretchen. "Masters of Renaissance Polyphony: Giovanni Pierluigi da
Palestrina." Nhoratorio.org. Last modified May 11, 2019. Accessed June 5, 2022.
https://www.nhoratorio.org/masters-of-renaissance-polyphony#:~:text=Composer%
20Spotlight%3A%20Palestrina,the%20counter%2DReformation%20Catholic%20Church.
Schwarm, B.. "Pope Marcellus Mass." Encyclopedia Britannica, February 25, 2019.
https://www.britannica.com/topic/Pope-Marcellus-Mass.
Wisse, Jacob. "The Reformation." In Heilbrunn Timeline of Art History. New York: The
Metropolitan Museum of Art, 2000–. http://www.metmuseum.org/ toah/hd/refo/
hd_refo.htm (October 2002).
127
��
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Volume 21, Number 1
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Section I: Eastern Colleges Science Conference (Papers and posters presented at the 76th Annual Eastern Colleges Science Conference held in New Rochelle, NY on April 2, 2022) -- 1 Abstracts -- 3 A Comparison of the Effects of Nitrate Concentration on Population Growth Dynamics of the Duckweed Lemna minor Grown in Distilled and Spring Water / Raven K. Pitt -- 3 Characterization of Novel Seed Endophytes in M. Sativa / Sarah Lott -- 4 Novel Mounting of Biological Tissue Samples for 3D Model Reconstruction using Tandem Scanning Electron Microscopy and Photogrammetry Software / Ian T. Massaro, Alice Mashensky, Ricardo L. Peguer, Andras Bimbo-Szuhai -- 4 GABAA Receptor Activation Reduces Social Behavior in Planarians / Kendal Lascar and Michael Pepe -- Section II: The Natural Sciences & Quantitative Analysis - Full Length Papers -- 9 A Comparison of the Effects of Phosphate Concentrations on Population Growth Dynamics of the Duckweed Lemna minor Grown in Distilled and Spring Water / Heather McLean -- Section III: The Social Sciences -Full Length Papers -- 49 The Barriers Impeding Women’s Existence in the Financial Industry / Mackenzie Vogler -- 67 Influence of Gender Stereotypes on Gender Inequality & Discrimination in the Workplace / Morgan Matrone -- Section IV: Critical Essays - Full Length Papers -- 87 Increasing Vaccination Rates in the Jerusalem Ultra-Orthodox Community / Kayla Hay, Reilly Patterson, and Allyssa Turner -- 97 The Creation of a Monster: An Analysis of Emotional Perception in Pre- Modern Literature / Kevin Roach -- 105 The ‘Classy’ Way to a Man’s Heart / Maïa Vitoratos -- 121 The Renaissance, the Vatican, and the Music of Palestrina / Bridget Quinn
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Fall 2022
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��EDITOR’S INTRODUCTION
The Wagner Forum for Undergraduate Research is an interdisciplinary journal which
provides an arena where students can publish their research. Papers are reviewed with
respect to their intellectual merit and scope of contribution to a given field. To enhance
readability the journal is subdivided into three sections entitled The Natural Sciences and
Quantitative Analysis, The Social Sciences, and Critical Essays. The first two of these
sections are limited to papers and abstracts dealing with scientific inquiries, business
research, clinical investigations and the use of mathematical/statistical modeling. The
third section is reserved for speculative papers based on the scholarly review and critical
examination of previous works.
Read on and enjoy!
Gregory J. Falabella, Ph.D.
Editor-in-Chief
Editorial Board
Dr. Annemarie Dowling-Castronovo, Nursing
Dr. Donald E. Stearns, Biological Sciences
Dr. Amy Eshleman, Psychology
Dr. Lori Weintrob, History
��Section I: The Natural Sciences &
Quantitative Analysis
Full Length Papers
3
Big Tech, Big Profits, and an Addiction to a Black Mirror
Christina Ottrando
21 Investing in Greece Good or Bad Idea?
Konstantinos Syrmas
Section II: The Social Sciences
Full Length Papers
43 Cardiovascular Disease on the North Shore of Staten Island in Low
Income Families: Solving the Problem Starts with “A Heart
HealthyYou”
Christina Foote, Kristen Evangelist, and Cassie Paradise
Section III: Critical Essays
Full Length Papers
57 “The Shining City Upon the Hill:” Christian Zionism and the Politics
of Woodrow Wilson & Harry S. Truman
Maggie Winton
86 The Pantsuit as a Symbol of Advancement for Women in the
Entertainment, Business, and Political Spheres
Savannah Yates
108 Care and Compassion Override Violence and Genocide: The Work of
Female Physicians and Nurses
Michael Hubert
����Big Tech, Big Profits, and an Addiction to a Black Mirror
Christina Ottrando (Business Administration)1
This paper illuminates a plausible theory suggesting that different types of social media and
social media networking companies (i.e., Instagram, Facebook, Twitter) are deliberately
addicting users to their products for immense financial gain. In particular, it argues that
social media companies are continuing on the path of immense financial growth and show
no signs of slowing down. This paper uses relevant case studies, filings from the U.S.
Securities and Exchange Commission, and graphs to emphasize the hypothesized theory.
I. Introduction
Starting in 2003, MySpace became popularized as it was the first recognizable
social media site with over 100 million active users. MySpace was originally founded with
the intent of sharing music and concert dates. However, it soon became a social media
sensation as the once simple site turned complex as users were able to create profiles, post
photos and videos, and add friends.
In September of 2006, the era of MySpace came to an end as Facebook opened
its free website to anyone over the age of 13 to connect with friends, “like” pictures,
music, videos, and articles, share their own relationship status’s, thoughts and opinions,
plan events, and establish a timeline. Fast-forward to today, Facebook has over 2.7 billion
monthly active users (and counting) with a net worth of $872.13 billion (Facebook, 2021)
and is no longer the only networking site that helps us share our lives. Other sites such as
Twitter and Instagram have also made it easy to connect with family and friends on a realtime basis. However, social media can be very influential in both positive and negative
ways.
In the current paper, I further explore the social media websites of Facebook,
Instagram, and Twitter. I focus on the research and development of these companies and
emphasize how they are profiting off of their users. I first begin this paper with a detailed
description of social media, Facebook, Instagram, and Twitter and, second, explain the
addiction to social media as it exists in the world today. Third, I examine the side effects
of social media as it has been proven to cause depression and anxiety based on a survey
1
Written under the direction of Dr. Shani Carter in partial fulfillment of the Senior Program
requirements.
3
�made by Kingdom's Royal Society for Public Health. This paper is concluded with a
financial analysis of Facebook and Twitter, along with how they are profiting off of
everyone, including you.
II. Literature Review
Introduction to Social Media
Social media are forms of electronic communication (such as websites for social
networking and microblogging) through which users create online communities to share
information, ideas, personal messages, and other content, such as videos (MerriamWebster, 2021). Social Media plays a crucial role in connecting people and developing
relationships, not only with key influencers and journalists covering your company's
sector, but also provides a great opportunity to establish customer service by gathering
input, answering questions and listening to their feedback. Platforms such as Facebook,
Instagram, Twitter, and others have made it possible for individuals to access information
at the click of a button. About 3.5 billion people out of 7.7 billion to be exact
(PewResearchCenter, 2019).
Social Media Companies
Instagram is a free photo and video sharing app available on iPhone and Android.
People can upload photos or videos and share them with their followers or with a select
group of friends. They can also view, comment, and like posts shared by their friends on
Instagram. Anyone 13 and older can create an account by registering an email address and
selecting a username (Instagram, 2021). In 2010, at the age of 27, Kevin Systrom began
building what today is Instagram. Within a year, 500,000 people a week were signing up
for the app's photo-sharing network. (Forbes, 2012). Fast Forward 11 years, and over one
billion people are currently using the app which is now worth roughly $101 billion
(Bloomberg, 2021).
Facebook is a social networking site that makes it easy for you to connect and
share with family and friends online. Originally designed for college students, Facebook
was created in 2004 by Mark Zuckerberg while he was attending Harvard University.
However, by 2006, anyone over the age of 13 with a valid email address could join
Facebook. Today, Facebook is one of the world's largest social networks, with more than
2.7 billion users worldwide and worth over $872.13 billion (GCFGlobal, 2021; NASDAQ,
2021). Facebook bought Instagram for $1 billion in 2012, a shocking sum at that time for a
company with 13 employees. Instagram today has over one billion users and contributes
over $20 billion to Facebook's annual revenue (CNBC, 2020).
4
�Twitter is a 'microblogging' system that allows you to send and receive short
posts called tweets. Tweets can be up to 140 characters long and can include links to
relevant websites and resources. You can create your own tweets, or you can retweet
information that has been tweeted by others. Retweeting means that information can be
shared quickly and efficiently with a large number of people (UKRI, 2021). The snappy
nature of tweets means that Twitter is widely used by smartphone users who don’t want to
read long content items on-screen. Twitter currently has 353 million users and has a
market cap of $53.48 billion.
Social Media “Addiction”
The word “addiction” brings to mind alcohol and drugs. Yet, over the past 21
years of my life, I have witnessed a new type of addiction emerge: addiction to social
media. A quote from The Social Dilemma, “There are only two industries that call their
customers “users”: illegal drugs and software,” sends shivers down my spine. “Internet
addiction is known to have the same pattern as individuals with drug addiction and
alcoholism which in pathology has a negative impact on the lives of individual pathology”
(Kavaklı, M., & İnan, E.,2020). We’ve simply created a world where online connection
has become primary. Especially for younger generations. And yet, in that world, anytime
two people connect, it needs to be manipulated by a sneaky third person behind a screen.
So, we’ve created an entire global generation of people who were raised within a context
with the very meaning of communication, the very meaning of culture, is manipulation.
(The Social Dilemma, 2021).
As we move away from having a tools-based technology environment to an
addiction- and manipulation-based technology environment, the hours spent looking at the
screen just continue to get longer. According to the eMarketing Organization, on average,
global internet users are spending roughly 2 hours and 44 minutes on social media sites
every day (2020). This statistic is strictly time spent on social media and does not include
the time spent staring at the screen when using facetime, texting, taking photos, etc.
Individuals from age 16 to 29 are spending the most time on social media platforms at 3
hours daily while the average United States aged adult was spending anywhere from 1 to 2
hours each day. In essence, this means that the average individual will spend over 6 years
of their life on social media (Pew Research, 2021).
In 2012, Harvard University conducted a series of experiments that involved
hooking up volunteers to a magnetic resonance imaging machine (MRI) and found that
regions of the brain associated with the reward center were strongly engaged when
individuals talked about themselves. And when people got to share their thoughts with
family or friends there was an even larger amount of energy in the reward center of the
5
�brain. In contrast, when these subjects were told that they could not talk about themselves,
there was little to no activity in the reward part of the brain. This can act as evidence as to
why people are constantly revealing so much personal information on social media
platforms such as Facebook and Twitter and enjoy the attention.
These social media websites are not unaware of the harm they are doing to
society as they have purposely sought out ways to make their product more addicting. Just
like tobacco companies eventually added sugar and menthol to cigarettes so you could
hold the smoke in your lungs longer, Facebook added photo tagging and likes, and
Instagram added stories and actionable insights to keep your fingers scrolling.
During an interview with CBSN, former Facebook executive Tim Kendell, told
CBS News that “it all boils down to the social media giant's advertising-based business
model, in which the objective is to get more people to pay attention to your product and to
pay attention longer each and every day” (CBS News, 2020). In summary, these
advertising-based business models are combined with Artificial Intelligence (AI)
technology that is constantly evolving and constantly searching for new ways to get us to
look at the screen. Whether this is a notification for a new friend joining Facebook, or an
old memory on your timeline, these algorithms have their own goals and own way of
pursing them.
Their data shines light on the idea that social media usage is connected with
serious mental health issues and tech giants such as Facebook, Instagram and Twitter have
done nothing to address the issue or take any accountability.
Social Media Effects of Mental Health
Social media has a reinforcing nature. Using it activates the brain’s reward center
by releasing dopamine, a “feel-good chemical” linked to pleasurable activities such as sex,
food, and social interaction. The platforms are designed to be addictive and are associated
with anxiety, depression, and even suicide.
Depression causes feelings of sadness and/or a loss of interest in activities you
once enjoyed. It can lead to a variety of emotional and physical problems and can decrease
your ability to function at work and at home. Anxiety feels different depending on the
person experiencing it. Feelings can range from butterflies in your stomach to a racing
heart. You might feel out of control, like there’s a disconnect between your mind and body
(Healthline, 2018).
Based on a survey of 1500 people ages 14 to 24 made by Kingdom's Royal
Society for Public Health, the result on the negative impact of uncontrolled Instagram
usage shows that Instagram is the worst social networking site which causes a decrease in
6
�the quality of sleep, bullying, FoMo (fear of missing out), low self-esteem, as well as an
increase of anxiety and depression (Kavaklı, M., & İnan, E.,2020).
The anxiety and depression feelings are coming from a “compare and despair”
attitude set by the unrealistic expectations of the app. Although it is natural human instinct
to compare yourself to others and constantly evaluate yourself, these applications are
heightening that ability with the touch of a button to do so. Instagram’s algorithm puts the
most popular posts at the top of your feed, most of which are posts by celebrities and
influencers such as Kim Kardashian, Kylie Jenner, and Bella Hadid. Then you have young
children and adults constantly seeing these photos and videos that were edited, filtered and
morphed for hours thinking this is what a normal body should look like presenting a false
representation of life.
The chart below presents the negative psychological effects that social media
usage has on our mental health leading to depression and anxiety.
Figure 1: Negative Effects of Social Media on Your Mental Health
In 2019, Instagram had to introduce a new set of rules regarding the promotion of
diet products and cosmetic surgery after a BBC news report declared that eating disorder
content on Instagram was out of control after noticing children were sending graphic
images of weight loss and advice on how to make eating disorders more extreme. In an
online survey conducted by the United States National Library of Medicine National
Institute of Health, 680 social media users were assessed using their social media usage,
eating behaviors, and orthorexia nervosa symptoms, an eating disorder that involves an
7
�unhealthy obsession. “Orthorexia symptoms are associated with healthy lifestyle choices
such as eating more fruit and vegetables, eating fewer white cereals, shopping in health
food stores, exercise, and reduced alcohol consumption. But orthorexia nervosa is also
associated with significant dietary restrictions, malnutrition, and social isolation” (United
States National Library of Medicine National Institute of Health, 2017).
The results of this experiment directly correlated higher Instagram usage with a
greater tendency toward orthorexia nervosa and unhealthy eating habits. This result can be
due to the fact that #fitinspiritation tagged photos on Instagram tend to show images of
thin and toned bodies with objectifying elements. These findings highlight the
implications that social media are causing for the psychological well-being of many
individuals.
Financial Analysis of Social Media Companies
As the economy contracts and many companies struggle to survive, the biggest
tech companies are amassing wealth and influence in ways unseen in decades.
On May 18th, 2012, Facebook Inc. (FB) shares hit the public market trading on
the Nasdaq Exchange (NASDAQ) with an initial public offering price of $38 per share
(Yahoo). Becoming a public company is the process of taking a private company public
and issuing stock to investors who would like to invest in the company. The offering of
stock is “the foremost important channel of new capital flow to young companies”
(Gregoriou). A shareholder is a person, company, or institution that owns at least one
share of a company's stock, which is known as equity. The company’s most important goal
is to maximize shareholder wealth which stems from dividends and price appreciation. To
make these two things happen the Chief Executive Officer (CEO) must develop long term
strategies, implement the right processes and create a plan to see what the company needs
to do on a day-to-day basis. If a company follows this process to the end, it should lead to
the maximization of shareholder wealth. Companies such as Facebook contribute their
success to their day-to-day operations and their financial statements which show they are
able to maximize shareholder wealth.
Facebook is one of the five largest publicly traded companies in America and
rose 37 percent in the first seven months this year, while all the other stocks in the S&P
500 fell a combined 6 percent, according to Credit Suisse (Eavis, P., & Lohr, S., 2020).
“The performance of social media stocks is not associated with macro-level sentiment, but
rather with firm-level attention paid by potential investors” (Chiou, W.-J. P., Knewtson, H.
S., & Nofsinger, J. R., 2019). And currently, Facebook's stock is worth $306.21 and shows
no sign of slowing down.
8
�During the first three months of 2021 Facebook’s revenue rose to $26.17 billion,
a 48% increase from the end of 2020. Net income has also increased by almost 100%
rising to $9.5 billion. And basic earnings per share (EPS) increased from $1.72 to $3.34.
Facebook’s total assets, total liabilities, and total equity have also seen a consistent incline
from the beginning of 2020 to today, according to the U.S. Securities and Exchange
Commission (SEC).
Facebook’s day-to-day success is based on their ability to effectively implement
the ten strategic decision areas of operations management (OM) seen in the table below.
Table 1: Facebooks Ten Decision Areas of Operations Management
The Ten Decision Areas of
Operations Management
1. Design of Goods and Services
2.
Quality Management
How Facebook Achieves the Ten Decision Areas of
Operations Management
•
Continuous innovation of new products and
abilities.
•
Implement suitable human resource
policies.
•
Address issues based on user experience
•
Collect customer feedback daily.
•
High quality servers.
•
Uses code ownership to make sure each
developer is personally responsible for
the quality of their own work.
3.
Process and Capacity Design
•
Online AI technologies facilitate efficient
dissemination of data among work teams in
the company’s facilities.
4.
Location Strategy
•
Keeps its headquarters near the best talent
pools and markets such as Silicone Valley
in California known for cloud computing
technology.
•
Overseas offices are put in place for easy
access to the cheap labor market.
•
Employees are empowered to take control
of their workspaces.
•
Employees are allowed to bring in artists,
designers, and friends to design the office
space and walk around.
•
Cultural artifacts are used all around the
building to inspire designers.
5.
Layout Design and Strategy.
9
�•
No cabins or cubicles.
•
Cafes, ice-cream shops, banks, and
restaurants are placed all along Facebook’s
campus.
•
Free lunch and snacks at its offices
6.
Job Design and Human
Resources
•
Facebook, uses interns, new graduates, PhD,
and early-in-career hires to shape the future
of the company.
7.
Supply Chain Management
•
The company’s headquarters are centered
flooded with endless access to equipment
supply, the labor market, energy, and top of
the line environmental operational
conditions.
8.
Inventory Management
•
Uses just-in time (JIT) inventory system
which is a management strategy that has a
company receive goods as close as possible
to when they are actually needed, similar to
Amazon’s delivery system.
9.
Scheduling
•
Flexible scheduling to ensure employees
comfortability.
Four months of paid time off for new
mothers and fathers
A wellness allowance to finance gym
membership or other healthy activities
An extensive healthcare plan for each
employee.
•
•
•
10. Maintenance
•
Takes advantage of the environment around
its offices to keep costs low. For example,
the Sweden data center capitalizes on the
country’s cold climate to minimize
maintenance cost of the building.
Thompson, Andrew (2022). 10 Critical Decisions of Operations Management. 10 Critical
Decisions of Operations Management | Kettering University Online.
https://online.kettering.edu/news/2016/09/21/10-critical-decisions-operationsmanagement.
On November 7th, 2013, Twitter Inc. (TWTR) shares hit the public market
trading on the NASDAQ with an initial public offering price of $44.90 per share (Yahoo).
10
�For Twitter, millions of users who have been quarantined in their houses due to COVID19 have caused a spike in the social media company's traffic and user sign up. However,
due to the shutdown of many businesses, Twitter’s mainstream of revenue coming from
selling advertisements has seen a decline (Twitter, 2020). Despite this, Twitter still
managed to pull a powerful price move to beat earning expectations in Q1 2020 ending
March, delivering adjusted earnings per share (EPS) of $0.11 compared to a consensus
estimate of $0.10. In addition, Twitter's stock price is currently worth $67.00 despite its
ups and downs in the past year (NASDAQ, 2021). Twitters successful day-to-day
operations is also based on their ability to effectively implement the ten strategic decision
areas of operations management seen in the table below.
Table 2: Twitter’s Ten Decision Areas of Operations Management
The Ten Decision Areas of
Operations Management
1. Design of Goods
and Services
2. Quality
Management
How Twitter Achieves the Ten Decision Areas of
Operations Management
•
Continuous innovation of new products and abilities.
•
Models its company off of creativity, empathy and
global business.
3.
Process and
Capacity Design
•
AI technology determine what tweet
recommendations to suggest on users' timelines.
4.
Location Strategy
•
Employees work from home permanently as it
increases productivity and provides a better work-life
balance.
5.
Layout Design and
Strategy.
Job Design and
Human Resources
•
Employees work from home permanently.
•
Does not target specific companies or competitors
from which to hire people.
•
Does not conform its hiring to individuals who have
certain types of degrees from a specific list of
colleges and universities
6.
•
Focus on specific skill sets and talents.
•
Ensures a positive candidate experience.
7.
Supply Chain
Management
•
Cloud-based services connect everyone in the supply
chain, providing a more strategic approach for
inventory deployment and improvement.
8.
Inventory
Management
Scheduling
•
Collect their own data.
•
Working from home allows for flexible work hours.
9.
11
�10. Maintenance
•
Twitter's plans to work from home indefinitely cut
costs for both the employees and company.
Thompson, Andrew (2022). 10 Critical Decisions of Operations Management. 10 Critical
Decisions of Operations Management | Kettering University Online.
https://online.kettering.edu/news/2016/09/21/10-critical-decisions-operationsmanagement.
Profiting Off Our Addiction
The primary way social media companies like Facebook and Twitter make
money is through selling advertising. The concept of selling advertising while offering a
free service is not new. This means that every time you log onto a social media platform,
and click, look at, or like anything, AI technology collects this data which is then sold to
other companies without our permission. For example, almost all of Twitter's revenue about 85% of it - comes from advertising on its site (Tse, T. C. M., 2018). However, social
media companies have jumped from selling advertising to selling our personal
information. “Based on the theoretical perspective presented using CPM, four main
constructs for measuring users ‘concern for information privacy on social media platforms
are introduced, including 1) unauthorized access and secondary used of personal
information—information access, 2) information collection—collection, and 3) erroneous
storage and representation of personal information—errors” (Bennet, A. 2014).
III. Hypothesis
H1: Social media companies are deliberately addicting users to their products.
H2: Social media companies are continuing on the path of immense financial gain.
IV. Method
Subjects
Subjects include some of the roughly 3.96 billion individuals who use social
media, which accounts for roughly half of the global population (Digital Marketing, 2020).
Subjects
Social Media Companies
Facebook, Twitter, and Instagram
Cost of Operations
Research, Development, Marketing and Sales
12
�Measures
Variables will include the time users spent on Facebook, Instagram, and Twitter
(Coombe, Curtis & Orlowski, 2021). Variables will also include the cost of Facebook,
Instagram, and Twitter research and development, and marketing and sales departments,
and profit from the date of the companies’ founding to 2021. Data will be gathered from
each company's annual report filed under the U.S. Securities and Exchange Commission
(SEC).
Analysis will examine changes in the cost of operations, profit, and the time users
spent on Facebook, Instagram, and Twitter. Analysis will examine whether Facebook,
Instagram, and Twitter endorse, research, and create addictive behavior. Analysis will
determine whether individuals are spending more time on Facebook, Instagram, and
Twitter, leading to each company’s upward profitability trend. Data will also be gathered
on the number of individuals currently signed up in that year.
Table 3: Components of Study
Variables
Data
Instrument
Social Media
Company
Suicide Rate
Time Spent by
Individuals
Cost of Operations
(Research and
Development, and
Marketing and
Sales)
Facebook, Instagram,
and Twitter
Centers for
Disease and
Control
Prevention
Statistica
Company
Data
Securities and
Exchange
Commission
Filings
Securities
and
Exchange
Commission
Filings
Statista
Database
company
Securities and
Exchange
Commission
Filings
Securities
and
Exchange
Commission
Filings
Quantitative
Quantitative
Quantitative
Qualitative
Number of
Deaths
Average
Hours Spent
Annual Revenue
Profit
Data Source
Facebook, Instagram,
and Twitter
Centers for
Disease and
Control
Prevention
Type of data
gathered
Qualitative
Company Name
Types of scores
produced
Annual
Growth Rate
Adapted from: Rudestam, K.E. & Newton, R.R. (1992). Surviving Your Dissertation. Newbury Park, California:
Sage Publications, Inc. page 140.
13
�Table 4: Hypothesis, Instruments, and Statistical Analysis
Hypothesis
Social
Media
Company
Time
Spent by
Individuals
Instrument
Cost of Operations
(Research and
Development, and
Marketing and
Sales)
Annual
Growth
Rate
Hypotheses
Variable
Relationship
s
Statistical Test
H1: Social
media
companies
Social
Time
Correlation;
are
Media
Spent by
Cost of Operations
regression; line
deliberately
Company
Individuals
Cost =>
charts
addicting
Profit
Time
users to their
products.
H2: Social
media
Social
companies
Media
are
Time spent
Correlation;
Company
continuing on
by
Cost of Operations
regression; line
Social
the path of
individuals
charts
Media
Cost =?
immense
Company
Profit
Time=>
financial
Profit
gain.
Adapted from: Rudestam, K.E. & Newton, R.R. (1992). Surviving Your Dissertation. Newbury Park, California:
Sage Publications, Inc. page 140.
Procedure
In conducting this study, I did extensive research on these three social media
companies while analyzing their financial filings under the U.S. Securities and Exchange
Commission (SEC). I also found peer reviewed articles and case studies that provide
evidence when showing the negative side effects of social media on mental health and the
continuous increase of social media companies profitability.
Data was collected by using the following databases, Business Source Premier as
well as EBSCO Discovery Service. From there I used the search terms, Facebook finances,
Instagram finances, Twitter finances, U.S. Securities and Exchange Commission in their
connection to addictive behaviors, suicide, depression, anxiety, and eating disorders such
as orthorexia nervosa symptoms. Other sites used were The Wall Street Journal, Forbes,
Fox News, ABC, CNN, Yahoo Finance and the New York Times. These articles provided
knowledge on the respective company.
14
�From the above articles and documentaries, I analyzed the addictiveness of social
media and how it was continuously impacting our mental health in more than one negative
way throughout the years leading up to today. From there, I analyzed a study done by the
Centers for Disease Control and Prevention on U.S. Suicide Rates in Pre-Teen Girls
from1999 to 2017. Furthermore, I was able to perform a financial analyzation of the
Annual Revenue of Twitter and Facebook from 2009 to 2020 and present the issue that
they are continuing on a path of financial growth with few signs of slowing down. And
lastly, I created a line graph that represents the number of social media users against the
suicide death rate of individuals from 15-19 years of age.
V. Results
Figure 2: Annual Revenue of Twitter and Facebook, 2009 to 2020. Source: U.S. Securities
and Exchange Commission.
This chart presents the persistent growth of Facebook’s and Twitter’s annual revenue from
2009 to 2020. Figure 3 shows a gradual increase in the suicide rates of Pre-Teen Girls
from ages 10–14 and 15-19. Lastly, figure 4 presents the comparison in the number of
social media users against the suicide death rate of individuals from 15-19 years of age.
15
�Figure 3: U.S. Suicide Rates in Pre-Teen Girls, 1999 to 2017. Source: Centers for Disease
Control and Prevention.
Figure 4: Number of Social Media Users on the Rise with Suicide Rates. Source: Centers
for Disease and Control Prevention, 2018 and Pew Research Center, 2021.
VI. Discussion
The results of Figure 3 indicate that suicide rates have soared over 150% in the
United States in Pre-Teen Girls from 1999 to 2017. The largest spike in this data can be
16
�seen after the year 2009 when social media was available on all devices. In 2008, the
suicide rate of preteen girls from 15-19 was 32 individuals and 5 for preteen girls ages 1014. These numbers are heavily increased and some almost doubled as 2016 saw rates of 53
(Ages 15-19) and 2017 53 (Ages 10-14).
Different types of social media and social media networking companies in Figure
2 (i.e., Instagram, Facebook, Twitter) are seeing persistent growth in their annual revenue
as they are thriving financially off of the social media addiction created. Facebook and
Twitter have both gone from making $1 billion in a year to roughly over $90 billion.
The thesis results in figure 4 also show a correlation as more and more
individuals are suffering from depression leading to suicide, companies like Facebook and
Twitter are thriving financially off of the addiction. This is where I want to draw the
connecting line between social media addiction, negative mental health effects, and social
media companies’ profits.
VII. Conclusion
This study explained the different types of social media and social media
networking companies (i.e., Instagram, Facebook, Twitter) and uncovered the success
behind them as it relates to their day-to-day operations, and shareholder wealth using the
ten strategic decision areas of operational management. It proposed the idea that social
media usage is linked to negative mental health effects. In addition, it showed the
persistent growth of Facebook’s and Twitter’s annual revenue over time. Lastly, it
discovered the link between the number of suicides in young adults and the number of
users signed up for social media networking sites. Moreover, this study sheds light on the
true nature of social media companies as they are deliberately addicting users to their
products for financial success.
VIII. References
About Facebook. (2021). https://about.facebook.com/.
About Instagram's Official Site. Instagram. (2021). https://about.instagram.com/.
Bennet, A (2014). Social Media: Global Perspectives, Applications and Benefits and
Dangers. Nova Science Publishers, Inc.
Chiou, W.J.P., Knewston, H.S., & Nofsinger, J.R. (2019). Paying Attention to Social
Media Stocks. International Review of Economics and Finance, 59, 106-119.
https://exproxy.wagner.edu:2310/10.1016/j.ired.2018.08.009
17
�Company Filings. (2019, June 30). Financial Statements. Retrieved from
https://www.sec.gov/cgi-bin/viewer?action=view&cik=1428439&accession_number=
0001564590-19-042335&xbrl_type=v
CVA, K. (2017). Https://www.medwinpublishers.com/jobd/jobd16000139.pdf. Journal of
Orthopedics & Bone Disorders,1(7). doi:10.23880/jobd-16000139
Eavis, P., & Lohr, S. (2020, August 19). Big tech's domination of business reaches new
heights. Retrieved March 16, 2021, from https://www.nytimes.com/2020/08/19/
technology/big-tech-business-domination.html
Flores, J. (2020, October 4). Ex-Facebook executive says company made its product as
addictive as cigarettes. CBS News. https://www.cbsnews.com/news/facebook-addictiveas-cigarettes-former-executive-says
Gregoriou, G. N. (2006). Initial public offerings. [electronic resource] : an international
perspective. Butterworth-Heinemann. Retrieved from http://search.ebscohost.com/
login.aspx? direct=true&db=cat03980a&AN=ebr.EBC2703229&site=eds-live
Kavaklı, M., & İnan, E. (2020). Psychometric properties and correlates of the Turkish
version of INSTAGRAM ADDICTION Scale (IAS). Klinik Psikoloji Dergisi, (0), 1.
McDavid, Jodi (2020) "The Social Dilemma," Journal of Religion & Film: Vol. 24: Iss. 1,
Article 22.
National Institutes of Health. (2017). National Library of Medicine - National Institutes of
Health. U.S. National Library of Medicine. https://www.nlm.nih.gov/.
Pew Research Center. (2021, April 26). Demographics of Social Media Users and
Adoption in the United States. Pew Research Center: Internet, Science & Tech.
https://www.pewresearch.org/internet/fact-sheet/social-media/.
Thao, D.P., Thuy, P.T.T., & Anh, P.T (2020). Sustainability of Financial Performance of a
Social Media Giant – a Case Study. Journal of Security & Sustainability Issues, 10(2),
683.
Thompson, Andrew (2022). 10 Critical Decisions of Operations Management. 10 Critical
Decisions of Operations Management | Kettering University Online.
18
�Turner, P. G., & Lefevre, C. E. (2017, June). Instagram use is linked to increased
symptoms of orthorexia nervosa. Eating and weight disorders: EWD.
https://www.ncbi.nlm.nih.gov/pmc/articles/PMC5440477/.
Twitter. (n.d.). About Twitter | Our company and priorities. Twitter.
https://about.twitter.com/.
Yahoo! (n.d.). Yahoo Finance - Stock Market Live, Quotes, Business & Finance News.
Yahoo! Finance. https://finance.yahoo.com/.
2016, admin 21 S., admin, 21 S. 2016 by, 2021, admin 28 A., 2021, admin 15 A., 2021,
admin 6 A., & 2021, admin 19 M. (n.d.). 10 Critical Decisions of Operations
Management. 10 Critical Decisions of Operations Management | Kettering University
Online. https://online.kettering.edu/news/2016/09/21/10-critical-decisions-operationsmanagement.
19
��Investing in Greece Good or Bad Idea?
Konstantinos Syrmas (Business Administration)1
This research paper will be discussing topics about the Greek economy and its
improvement over the years from the 2007-2008 financial crisis into today in 2021. I will
be writing about the importance of FDI (Foreign Direct Investments) to the Greek economy,
analyzing GDP, inflation rates in the country, unemployment rates, and imports/exports.
The purpose of this essay is to prove the points I will be making in my three hypotheses and
also come to the conclusion of if it is worth it or not investing in the Greek economy. I will
present analytical data and the history of Greece’s economy after the 2007-2008 crisis until
now looking to see if the Greek economy has improved itself after that period of time and
if it’s ready to handle more investments flowing into the country.
I. Introduction
In my research paper I will be analyzing different sections of the Greek economy
after the 2007 crisis up to current day 2021. I will get my audience to understand why
after all, it would be a good idea to invest or not in Greece. I will analyze the 2007-2008
Greek economic crisis and other previous similar economic crises that have happened
around the world in the past. I will include charts and data tables that will show the
progress of the Greek economy during the years mentioned before by analyzing
information on Gross Domestic Product, inflation rates, unemployment rates, imports and
exports in Greece from 2007 to 2021 predictions. I will be writing about different sections
of the Greek economy with the biggest investments over the years, such as the shipping
industry and the tourism industry, from which the Greek economy has been strongly
supported. I will be talking about the importance of FDI (Foreign Direct Investments) in
Greece over the years, and also the impact of the Greek financial debt to the Greek
economy. In this paper I will also be supporting my three hypotheses and will address how
Greece is steadily making its economy stronger and better for new and current investors.
The main purpose of my paper is to make my audience understand how Greece would be a
great country for future investments and I will achieve that by presenting data and
information on the economic growth of the Greek economy over the years. Trustworthy
investment sections of the Greek economy show how Greece is steadily coming out of
1
Written under the direction of Dr. Shani Carter in partial fulfillment of the Senior Program
requirements.
21
�financial debts and boosting up their economy and financial system. This research has a
high importance to me as I am a Greek citizen and would like to depict and analyze if the
Greek economy is doing better after the 2007 financial crisis hit and if it would be a good
idea for me as a graduate international student to work and invest in my country in the
future or to stay in the United States and find a work position here.
II. Literature Review
Economic crisis in Greece 2007
An economic crisis started in Thailand in 1997 after an astonishing three decades
of growth in East Asian countries. Income had risen; poverty had decreased; and health
status had improved. Many of the East Asian countries’ economies had outperformed the
economy of the United States given that some of the East Asian countries had not
experienced a recession year for over 30 years (Meier & Stiglitz, 2016). Due to
international pressures, including pressure from the United States’ Treasury Department,
East Asian countries liberated their capital and financial markets by the 1990s.This
financial market liberation triggered a short-term capital flooding by various countries
over the long-term investments.
In the 1980’s, a financial crisis occurred in Latin America when many people lost
their monetary policies, leading to continuous inflation (Meier & Stiglitz, 2016). The
International Monetary Fund intervened to help provide aid and required strict financial
guidelines (i.e., requiring balanced budgets). The 1929 stock market crash in the United
States led to the Great Depression, which was the most severe economic crisis
(Haralambie). It was initiated in the U.S.A then preceded for nine years of economic
development promoted money supply in circulation by the Central Bank of America
Federal Reserve (Haralambie, 2016). Following the creation of financial and monetary
guidelines for stocks, many people invested in the stock market, something that led to a
steady stock increase in the stock markets until September 1992, when there was a
significant market crash (Goldberg, 2012). The United States then restricted the imports
through various protectionist policies, leading to the intensification of the economic crisis
in Europe.
The Credit Crisis of 1772 originated from London then expanded to other parts of
Europe. In the 1760s, the British empire had acquired much wealth through its trade and
colonial ruling over the countries they colonized. This led to an atmosphere of overoptimism and a rapid credit expansion duration by several British banks (Sheridan, 2015).
It came to an unexpected end in June 1772 when Alexander, a member of the British
Banking house, fled to France to escape the debt payments. The news then spread
everywhere, triggering British Bank partners' instant withdrawal demands, for they felt
their savings were no longer safe in the bank as per the Alexander experience. This leads
22
�to an economic crisis because the massive withdrawals from the British banks affected the
economic growth of the country by providing insufficient investments and bank savings to
develop economically.
The financial crisis of 2007-2008 triggered the great recession, which caused
economic and financial turmoil globally (Cecchetti, 2018). The financial crisis was due to
the collapse of the mortgage-financing market and the collapse of Lehman Brothers',
which was one of the primary investment banks in the world; this breakdown then also led
to the collapse of various financial and business institutions (Cecchetti, 2018). It took
almost a decade for the government to bring the economic activities back to normalcy,
doing away with several job opportunities and billions of dollars, hence promoting the
economic crisis.
The above economic crises affected the Greek economic crisis. Several adverse
aspects in business and financial institutions trigger the economic turmoil in many
countries worldwide. Almost all states countrywide are experiencing an economic crisis.
Still, the difference comes with the level whereby countries like Greece are positively
impacted, unlike the United States, which is less affected by the economic crisis. The
Greek economic crisis began in 2007 as part of the world economic crisis (Visvizi 2012).
The Greek economic crisis worried the European Economic Community because it
seemed like the Greek crisis could impact the value and volatility of the euro. Due to
Greece’s exposure to marginal assets at that period, Greece seemed to have a positive
growth in the years 2007 and 2008 and also seemed unaffected from the rest of the world.
In May 2010, Greece requested financial assistance (110 billion euros) from the
International Monetary Fund and the European Union. Greece requested additional
assistance in 2011 (Visvizi, 2012). Greece’s need for economic assistance packages
worried the European Economic Community which realized that Greece was unable to
support itself.
Greek Economy After the 2007 Crisis
To Greece, the debt crisis in 2007-08 is a problem that paralyzed its economy for
a long time. One of the eminent effects of the crisis is unemployment. FDI is among the
pertinent factors that helped the country address the situation. Therefore, an evaluation of
how the foreign investments helped the country address the various adverse effects of the
debt crisis is critical.
Greece joined the European Union (EU) in 1981 to protect democracy in the
country. The country had suffered a great deal of political instability, and the EU felt
responsible for improving the country’s democracy and the rule of law. However, this
move was made without considering the economic ramifications of adding such an
unstable country to an economic block made up of well-developed countries recount that
23
�this failure to observe a vital aspect of an economic partnership was repeated in 1981,
1999, and 2001, when Greece became a full member of the EU (Ioannides and Pissarides
2015).
It was clear that the country was not in any position to compete in the new
market block. The fall in demand for local goods led to a sharp decline in employment, as
Ioannides and Pissarides (2015) indicate. There was a rise in the number of unemployed
people and, therefore, contributed negatively to the national economy.
To address the problem, the EU supported the country to have more time to repay
the loans to sustain its economic operations. The debt kept increasing between 2008 and
2018. However, in 2010, Greece learned of the negative ramification of joining the EU
(Belkin & Jackson, 2015). The country wanted a way out, but it would be harsh to the
people in the country. However, this alert by the government was answered by even more
debt to the country. It is important to note that these loans come from various European
authorities and private investors worldwide.
It is also important to note that in 2009, the country indicated a budget deficit of
12.9%. This is more than the average 3% in many European countries (Oldani & Savona,
2010). This rate raised the alarm among many potential debtors, and the country’s credit
rating was greatly affected. This report’s negative result is that it raised the interest rate of
any future loans granted to the country.
This situation was later confirmed when the country indicated that it might
default on the loans it was sufficing at the time. The situation was quickly graduating from
bad to worse. The debt situation was becoming an overwhelming burden to the country,
and the government came to the point of uncertainty (Mah et al. 2014). The debt had
grown from 112.9% in 2008 to 179.6% by 2013 (Mah et al., 2014).
Impact of the Debt Crisis on the Country
The first impact of the debt is the considerable interest that amounts after years of
serving the loans. The government often took more loans to service the interest of the old
loan. As Michelis (2011) indicates, this is only a short-term solution since the new loan
will have to be paid. This cycle would mean that the country would remain in a loan crisis.
This situation was a problem to the land that ideally needed to reduce its loan
progressively.
Another problem that Greece grappled with is imposed austerity measures. These
measures have come to harm the country on several fronts. The first problem is that many
families felt the impact of reduced spending in the form of reduced pension. The country
experienced a 22% less GDP due to restrained government spending (Mantalos, 2015).
Many families in Greece rely on pension plans, and they account for a considerable
24
�fraction of government spending. Therefore, these families were left with little to nothing
to rely on for their economic welfare.
There was less money in circulation since many projects undertaken by the
government were brought to a halt. The reduced expenditure led to reduced cash in
circulation of the economy. Unemployment rates increased by 21% due to the shrunken
economic activities, more people ended up jobless since government projects were
stopped (Mantalos 2015).
The country’s debt crisis has seen the country face trying political times. The
government has cut the pension available to many families and increased the taxes levied
on essential goods. This move has angered many people who feel that the government
should be excused from paying some of the debt by the EU lenders. Michelis (2011)
points out that debt haircuts can effectively save Greece from the current debt burden. The
crisis has been used as an essential pointer to the discussions among leaders.
FDI in Greece
Foreign Direct Investment (FDI) is an essential driver of the economic
development of any country. In collaboration with other economic factors, FDI helps
nations develop and improve the welfare of their citizens. Additionally, FDI helps nations
overcome some of the vital challenges it may face as it attempts to overcome an economic
crisis that recently hit them. The global financial crisis in 2007-08 is an example of a crisis
that economically affected many nations (Ozturk & Sozdemir, 2015).
Foreign Direct Investment (FDI) was a promising alternative IMF and EU
bailouts for Greece, whose spending rate was significantly reduced. There were positive
results from FDI, however, there are some concerns associated with FDI.
Positive Impact of FDI
Greece can benefit from FDI because foreign investors can alleviate government
budget shortfalls. Greece can benefit from the foreign resources injected into the economy
as the country struggles to regain economic stability, and more people will be saved from
poverty. FDI adds to the tax revenue. However, Greece must be careful not to overwhelm
investors with too high taxes, (Baltas, Tsionas & Baltas, 2018).
Greek residents benefit from FDI through employment. Greece is suffering from
the austerity measures, so there are fewer government projects in progress, which led to a
significant reduction in employment. Specifically, for every 3% decrease in investment, a
1% increase in unemployment is reported. The austerity measures caused high
unemployment. Therefore, FDI will provide new job opportunities and reduce
unemployment (Karfakis, Katrakilidis, and Tsanana 2014).
Sales of locally produced goods will also help Greece achieve a balance between
the exports and imports (Pegkas & Tsamadias, 2016). Foreign investors will sell their
25
�products. Greece, and foreign (i.e., non-EU) high technology goods are better positioned
to compete with Europe’s goods. Therefore, the government can have some locally
produced goods that meet the regional market quality and prices. This benefit will have a
long-term value to the country, primarily as it seeks to realize economic stability to match
the developed countries in the region.
Another vital benefit of FDI for Greece is the advanced technological skills and
workforce that foreign investors bring. Usually, local people learn more skills and
techniques from foreigners (Pegkas & Tsamadias, 2016). Technology and the new skills
bring vital benefits to the country, including improved work efficiency and better-quality
products. These benefits are crucial benefits to the country, as it attempts to match fellow
European countries’ standards.
Major Concerns Associated with FDI
One disadvantage of FDI is that it may exploit the local resources and market.
Most private investors in foreign countries seek means of tapping the unexploited
resources and demand. This situation means that foreigners benefit from the local
resources more than the local people and the local government, which could eventually
worsen the country’s economic situation. (Monastiriotis, 2011).
Occasionally, local businesses are jeopardized by the operation of foreign
investors because local entities often have fewer resources, and lower quality products. As
a result, foreign investors can negatively affect the local firms trying to grow and improve
their quality of products. Therefore, the foreign entities can jeopardize the local firms’
future (Eimers, Nouwens, and Toorman, 2005). The government must intervene and find
innovative methods to protect the local firms while attracting foreign investors.
Occasionally, foreigners do reinvest profit into the local economy. However, if
foreigners have a parent company in another country, their operations within Greece
would be limited to only exploiting the available commercial opportunities, and profit
goes back to their parent company. Greece could experience the same problem if
companies are not interested in having extensive operations within Greece and instead
take their earnings back to the developed countries (Vlachos & Bitzenis 2018). Greece
stands to lose many more resources and revenue if the foreign investors take all the
country’s profit.
Investments Made Over the Years in Different Sections of the Economy
For anyone who likes risky investments, Greece is the most convenient place for
investing. The most convenient way to invest in Greece is through The Exchange Traded
26
�Fund (ETF) such as GREK2. In this chapter, we will focus on some of the significant
investments that have been in Greece to prove that it is fit for investing.
Tourism
Greece is one of the most renowned major tourist attractions and destinations in
Europe since the 1960s. From the research results, it should be clear that Greece's tourism
industry is one of the sectors that has positively contributed to the country's economic
growth. Although, Greek tourism as well as the shipping sector of the economy got huge
losses in the greek crisis years after 2007 but found its way to get back to the top
contributor of the economy (Visvizi, 2012) . This fact has influenced large masses of
people to invest in this sector. For instance, the effects of tourism on Greece's gross
domestic product are estimated to be 20.6 percent (Buhalis & Deimezi, 2016). It is a clear
indication that one out of five euros spent in Greece came from the tourism and travel
industry. It is making it one of the most invested industries in the nation.
As a result, this sector has promoted the economy of Greece. If the country laid
even more emphasis on its Tourism sector, it would be sure to experience more
development and increase its economic growth rate. Some other benefits of the tourism
industry in Greece are that it has provided a good number of employment opportunities to
both the citizens of Greece and those of foreign countries. Therefore, this provides citizens
with an additional source of income, especially during the summer months, adding to the
well-being of Greek households. However, some challenges are known to hinder tourism
by lowering the number of tourists in the country. Among these challenges is climate.
Climate plays a big role in the Greek tourism because tourists always want a nice place
with nice weather to go to for their vacation, especially in the summer. If the climate is not
perfect for vacation (if there is rain and cold), this could be a big issue for the tourists and
they would rethink their decision of going to Greece for their vacation, but this is
something that the climate in Greece has never let happen in the summer months.
Therefore, it is right to say that the tourism industry is one of Greece's sectors that has
historically performed exceptionally well and, hence, is always a positive weight in the
efforts of raising the GDP of Greece (Buhalis & Deimezi, 2016). Also, it would be even
more effective if more people opted to invest in the field.
Shipping
Shipping has always been one of Greece's most important sectors of the economy
and possibly the most profitable one. Greece is a nautical country and shipping is
considered to be its oldest form of occupation. The shipping sector of the Greek economy
“GREK tracks a market-cap-weighted index of about 15 Greek firms” (GREK ETF
Report)
2
27
�took a big hit after the 2007 crisis (Visvizi, 2012). Therefore, the results obtained from the
research should indicate that shipping is Greece's most fundamental industry. In 2018, the
shipping industry in Greece was worth $ 21.9 billion (Kapros & Panou, 2017). As a result,
many people have opted to venture into the shipping industry, making it one of Greece's
most invested fields.
The Greek shipping industry is strongly internalized, and it holds 18% of the
world market in that sector, which is very high for a small country like Greece (GIG,
2020). The shipping industry has therefore provided many job opportunities to many
people enabling them to earn their income, and as a result, they are better able to rely on
themselves. However, some challenges are known to affect the effectiveness of the
shipping industry's performance. Some of these challenges include security risks shipping services are prone to insecurities such as pirating whereby certain terrorist groups
may kidnap them - and weather since many times the ships and their crew have to endure
very bad weather conditions.
UN Related Topic Selection
During my research at the United Nations website, I found some very interesting
facts about unemployment globally under their subject 8 “Decent work and economic
growth”. IMF predicts a worse global recession than the one in 2009 due to Covid 19 and
that the damage in the economy will be huge in the years 2020 to 2021 globally (UN,
2020). Unemployment rate hit 5.6 percent in 2017 globally which was better than the
unemployment rate of 6.4 percent in 2000 (UN, 2020). On Greece’s side, the
unemployment rate was much higher in the rate of 9.6 percent in 2009 and reached its
peak in 2013 with 27.5 percent but it seems to be declining in the prediction rates of 2020
and 2021, 16.4 and 16.6 percent, but again these prediction rates might change at the end
when they come out because of the COVID-19 global pandemic, financial and economic
damage (IMF, 2021). UN set target goals for the next years as well as Greece and every
other country in the world for the upcoming years. Their goal is to achieve full and more
productive employment for both men and women by 2030, but not limited to economic
productivity increasement and higher GDP (UN, 2020).
III. Hypotheses
H1: The 2007-2009 recession caused Greece's debt to increase.
H2(a): The 2007-2009 recession caused Greece's unemployment rate to increase.
H2(b): The 2007-2009 recession caused Greece’s unemployment to be higher than
unemployment in other countries.
H3: The 2007-2009 recession caused Greece’s inflation to increase.
28
�IV. Method
Subjects
The subject of the thesis is Greece. Industries examined include tourism and
shipping.
Measures
The variables measure aspects of the Greek economy. The thesis will examine the
economic crisis of 2007 in Greece, the impact on the economy, Gross Domestic Product,
public and private debt, the unemployment rate, and inflation, debt, and foreign direct
investment (FDI).
Table1: Components of Study
Table 1: Components of Study
Data
GDP
Instrume
nt
Greece’s
GDP over
the years
Visvizi(201
2),
Ioannides,
y., &
Pissarides,
c. (2015),
Karfakis, c.,
Katrakilidis,
c., &
Tsanana, e.
(2014),
Pegkas, P.,
&
Tsamadias,
C. (2016)
Inflation
Inflation in
Greece after
the 2007
crisis
Variables
Unemployment
Greece’s
unemployment
rates after the
2007 crisis
Karfakis, c.,
Katrakilidis, c.,
& Tsanana, e.
(2014),
Mantalos, P.
(2015).
Greek crisis
General information
on the Greek
financial crisis in
2007
FDI
Michelis, L. (2011).
Mantalos, P. (2015),
Oldani, C., &
Savona, P. (2010),
Ioannides, y., &
Pissarides, c. (2015),
Karfakis, c.,
Katrakilidis, c., &
Tsanana, e. (2014),
Baltas, N.,
Tsionas, M.
G., & Baltas,
K. (2018),
Eimers, N.,
Nouwens, J.,
& Toorman,
J. (2005),
Monastiriotis
, V. (2011).
Importance
of FDI in
Greece
Data
Source
Data sources
Type of
data
Quantitative
Quantitative
Quantitative
Quantitative
Qualitative
gathered
Adapted from: Rudestam, K.E. & Newton, R.R. (1992). Surviving Your Dissertation. Newbury Park,
California: Sage Publications, Inc. page 140.
Debt
Greek
Financial
debt
Quantitative
Procedure
Literature Review
The research depends on statistical data sampled by many articles, websites and
books found during this research. Lastly, data collection aims at reflecting the reality of
29
�ordinary life and also analyzing the combination of Greece’s economy with the
sociological elements.
Database: Business Source Premier, Google Scholar, Articles and books from the Wagner
College Library, JSTOR, EBSCOhost
Search Terms:2007 Greek crisis, inflation in Greece, unemployment in Greece, Shipping
in Greece, Tourism in Greece, Greek financial debt, Greece after the crisis, Greek GDP,
FDI in Greece.
Table 2: Hypothesis, instruments, and Statistical Analysis
Hypothesis
H1: The 2007-2009
recession caused
Greece's debt to
increase.
H2(a): The 20072009 recession
caused Greece's
unemployment rate
to increase.
H2(b): The 20072009 recession
caused Greece’s
unemployment to be
higher than
unemployment in
other countries.
GDP
Inflation
Instrument
Unemployment
GDP
after the
crisis
Greece’s
unemployment
rates
FDI
FDI after
the 2007
crisis and
its
importance
Greek crisis
Greek debt
over the
years after
the 2007
crisis
Statistical
Analysis
Graph for
GDP
Graph for
unemployme
nt
Greece’s
unemployment
rates compared
to other countries
H3: The 2007-2009
Inflation rates
recession caused
after the 2007
Greece’s inflation to
financial
Graph for
increase.
crisis
inflation
Adapted from: Rudestam, K.E. & Newton, R.R. (1992). Surviving Your Dissertation. Newbury Park, California: Sage
Publications, Inc. page 138.
V. Results
Gross Domestic Product
The onset crisis that has been experienced by Greece has played a significant role
in the decline in trade that is evident in the region and this has subsequently affected the
gross domestic product (GDP) of the country. Between 2007 and 2008, Greece had a
steady GDP which showed potential for a steady economic growth, however, this slowly
declined after 2008 and the only increase in the GDP was witnessed in the years 2018 and
2019 and declined thereafter. Table 3 and Figure 1 contain data on Greece’s Gross
30
�Domestic Product from 2007 to 2021. During this time, GDP declined from 240.04 billion
Euros to 174.80 billion Euros, a decline of 27.2%.
Table 3: Greece’s Gross Domestic Product (IMF, 2021)
Year
Gross Domestic Product
Euros
% change
2007
240.04
2008
239.23
-0.3%
2009
228.95
-4.3%
2010
216.28
-5.5%
2011
194.33
-10.1%
2012
180.56
-7.1%
2013
175.61
-2.7%
2014
176.84
0.7%
2015
176.11
-0.4%
2016
175.25
-0.5%
2017
177.49
1.3%
2018
180.26
1.6%
2019
183.61
1.9%
2020
168.46
-8.3%
2021
174.80
3.8%
Figure 1: Greece’s Gross Domestic Product (IMF, 2021)
31
�Inflation Rate
The inflation rate in Greece has witnessed a downward trend in terms of its
inflation rate and this has been attributed by various factors. Some of these factors are
inclusive of the higher food prices, increased oil price, and a higher rate of domestic
consumption taxes. Between 2001 and 2009, the competitiveness of the Greek economy
declined by 20 percent when measured using the consumer price, while the unit labor
resulted in a decline of 25 percent. Table 4 and Figure 2 detail the past, current, and
projected Greek inflation rates from 2007 to 2021. During this time, GDP increased from
106.4% to 120.13%, an increase of 13.2%. The rate increased from 2007 to 2011, then
remained steady.
Table 4: Greece’s Inflation (IMF, 2021)
% change
Year
Inflation
2007
106.4
2008
110.9
4.2%
2009
112.4
1.4%
2010
117.7
4.7%
2011
121.4
3.1%
2012
122.6
1.0%
2013
121.6
-0.9%
2014
119.9
-1.4%
2015
118.6
-1.1%
2016
118.6
0.0%
2017
119.9
1.1%
2018
120.9
0.8%
2019
121.5
0.5%
2020
119.9
-1.3%
2021
120.1
0.2%
Unemployment Rate
Table 5 and Figure 3 contain data on Greece’s Unemployment rate from 2007 to 2021.
During this time, GDP increased from 8.4% 16.58%, an increase of 97%. The rate
increased from 2007 to 2013, then declined. From Figure 3 we can also see that
unemployment reached its peak in 2013 and after that it started to steadily come down.
The Greek labor market is directly linked to the structure of the economic system and the
32
�improvements made within the public sector based on the activities conducted by the
private sector which leads to increased tax rates for both indirect and direct taxation. The
unemployment rate in Greece has been outlined in Table 5 and further translated in Figure
3 where the projections for 2020 and 2021 have been included.
Figure 2: Greece’s Inflation (IMF, 2021)
Table 5: Greece’s Unemployment Rate (IMF, 2021)
Year
Unemployment Rate
(%)
2007
8.4
2008
7.8
-7.7%
2009
9.6
23.9%
2010
12.7
32.6%
2011
17.9
40.2%
2012
24.4
36.9%
2013
27.5
12.5%
2014
26.5
-3.6%
2015
24.9
-6.0%
2016
23.6
-5.4%
2017
21.5
-8.9%
2018
19.3
-10.0%
2019
17.3
-10.2%
2020
16.4
-5.4%
2021
16.6
1.1%
33
% change
�Figure 3: Greece’s Unemployment Rate (IMF, 2021)
In table 6 I have included important information about Greece’s exports over the
years 2014 to 2020 (in millions of $) and their percentage change. As you can see exports
had a small increased until 2019 in comparison to the exports in 2014.
Table 6: Greece’s Exports (WTO, 2021)
Year
Exports in Millions
$
2014
35960
2015
28554
-20.6%
2016
28151
-1.4%
2017
32627
15.9%
2018
39502
21.1%
2019
37907
-4.0%
2020
35094
-7.4%
% change
In table 7 I have included important information about Greece’s imports over the
years 2014 to 2020 (in millions of $) and their percentage change. As you can see in the
graph, imports had a small increase in 2019 in comparison with the imports in the year
2014.
34
�Table 7: Greece’s Imports (WTO, 2021)
Year
Imports in
Millions $
2014
61983
2015
46786
2016
46809
0.0%
2017
53495
14.3%
2018
63877
19.4%
2019
62510
-2.1%
2020
55513
-11.2%
% change
-24.5%
VI. Discussion
Gross Domestic Product
During the financial crisis, Greece experienced a decline in trade that
subsequently affected Greece’s gross domestic product (GDP). Between 2007 and 2008,
Greece had a steady GDP which showed potential for a steady economic growth, however,
GDP slowly declined after 2008, and the only increase in the GDP was in 2018 and 2019,
and GDP declined thereafter. The GDP in 2009 was reported to have a -4.3 percent
change, however, this significantly contracted to a staggering low rate change of 0.7
percent in the year 2014. In 2019 it seems that the GDP percentage rate changed by 1.9
percent, however in 2020 the percentage changed by -8.3 percent and it is projected to
change again in 2021 by 3.8 percent.
During this period, Greece’s imports and exports had almost the same
percentage changes in the years 2014 to 2020. Although, as we can see at Tables 6 and 7
Greece has definitely improved the import and export in terms of millions of dollars per
year from 2014 to 2021.
Some decline occurred in hourly productivity, and productivity in Greece
declined more than productivity declined in other European countries. This productivity
decrease indicates Greece is performing poorly when compared to other European
countries. The main contributors towards the Greece GDP include tourism services,
shipping services (two sections of the economy that discussed about in my literature
review), food and beverages, industrial products, petroleum, and chemical products where
its key export markets are mainly the European countries (i.e., Italy, Germany, Bulgaria,
Cyrus, and the United Kingdom), Turkey, and the United States of America. Greek GDP
in 2020 was recorded at a -8.3 percent change which was a decrease from the 2019 GDP
35
�rate of 1.9 percent. It is, however, predicted that this GDP will contract to 3.8 percent
change at the end of the fourth quarter of 2021. Table 3 and figure 1 highlight the Greek
GDP rates from 2007 and further portrays the predicted rate that accounts for the year
2021.
Inflation Rate
The inflation rate in Greece increased due to various factors (i.e., higher food
prices; increased oil prices; and a higher rate of domestic consumption taxes which
resulted from the deficit experienced from the 1990s until 2009 where the inflation rate
subsided from a rate of 4.2 percent to 1.4 percent in the year 2009). Greece’s membership
in the Eurozone allows Greece to receive loans with lower interest rates because bankers
and investors perceived that the Euro currency effaced the differences that existed between
Greece and European countries prior to the introduction of the Euro.
Furthermore, this provided increased capital inflows, however, these capital
inflows have influenced the inflation experienced in Greece reports that between 2001 and
2009, the competitiveness of the Greek economy declined by 20 percent when measured
using the consumer price, while the unit labor resulted in a decline of 25 percent. Prior to
2009, Greece developed and implemented a monetary policy that aimed to fight against
inflation which led to a transition from a high inflation rate to a moderate one which was
at 11 percent.
Unemployment Rate
Since its membership into joining the European countries in 1981, the Greek
labor force has been ranked as the leader in terms of the working hours per year across the
European countries. From 2007 until 2013 the unemployment rate in Greece increased
significantly but then started to decline again after 2013.
Also, from Table 5 we can see that 2008 was the year with the lowest
unemployment rate (7,75%) but then it started to increase and as of 2021, has not yet
reached that low of a rate. From the Figure 3 we can also see that unemployment reached
its peak in 2013 and after that it started to steadily come down.
The Greek labor market is directly linked to the structure of the economic system
and the improvements made within the public sector based on the activities conducted by
the private sector which leads to increased tax rates for both indirect and direct taxation.
The unemployment rate in Greece has been outlined in Table 5 and further translated in
Figure 3 where the projections for 2020 and 2021 have been included.
36
�VII. Conclusion
Greece has encountered a vast economic slump since it joined the EU. The
problem resulted from the unmatched economic might of the rest of the EU nations that
Greece could not compete with. As a result, the country has amassed a considerable debt
and defaulted on loans. To solve the problem, the government has worked closely with the
EU member countries to regulate its economic operations, make efficient investment
decisions, repay the debt and even monitor its overall financial performance. Various
policies imposed against Greece have seen the country struggle with the debt and regain
its economic power. FDI is an alternative that has been commended as an ideal way of
helping the country regain some economic strength. The investments from foreigners have
helped the country in fundamental ways, but they still leave specific financial gaps.
Therefore, despite the resources injected into the economy, the government has much to
do to ensure that the country gets back on track towards prosperity.
From various investment projects introduced in Greece, such as tourism and
shipping, the government has seen a transformation in the growth of its economy. Some
significant investments that have been launched in Greece are in the field of medicine,
tourism, and shipping. These sectors, mainly tourism and shipping, could be referred to as
the main Greek sectors because they are the backbone of its economy. Besides, Greece is
also advancing in other fields such as food and tobacco processing, textiles, chemicals
mining, petroleum, and metal products. Therefore, it is right to say that if many citizens
and dual citizens took it as their responsibility to invest, even more, the Greek economy
would transform for good, and Greece would turn to be one of the wealthiest countries in
the world. For instance, as table 5 shows, unemployment rates went down almost 10
percent from the years 2013, where unemployment reached its peak in Greece, till today,
2021, with a prediction of 16.6 percent unemployment by the end of the year. Those
investment sectors that I mentioned above definitely opened up more job positions during
the past years for Greek citizens to work causing unemployment to go down.
In recent years, the economy of Greece has shown clear signs of recovery and
improvement. For instance, the GDP growth in Greece in the year 2020 was around 183
billion euros and focusing on the new tax bill and reformation program that has been
introduced to the country by the new government, the GDP is expected to grow to 2%
before the end of next year if COVID-19 doesn’t slow down even more of the global
economy. All this been said and analyzed, I came to a conclusion that Greece would be a
good idea for someone to invest, due to the country’s economic growth and rehab. After
the 2007-2008 financial crisis Greece seems to begin to be standing on its feet again and
more and more people are trusting the Greek economy for future and current investments.
37
�VIII. References
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40
���Cardiovascular Disease on the North Shore of Staten
Island in Low Income Families: Solving the
Problem Starts with “A Heart Healthy You”
Christina Foote (Nursing), Kristen Evangelist (Nursing), and Cassie Paradise (Nursing) 1
Cardiovascular disease is a problem faced worldwide among various groups. Cardiovascular
disease is an umbrella term for several conditions that affect the circulatory system
throughout the lifespan. The focus of this research is to investigate contributing factors that
increase the risk of plaque that builds up and impedes blood flow in the arteries, which can
lead to cardiovascular disease. Without intervention the prevalence of disease complications
increases, thus decreasing quality of life (American Heart Association, 2020). Cardiovascular
disease is particularly high in Staten Island Community District 1, specifically in low-income
families. How will participation in community gardens along with education and health
promotion improve cardiovascular health in lower income populations? The proposed
solution is to encourage engagement in local community gardens and to educate about the
importance of a heart healthy diet, exercise and smoking cessation. Studies support the use of
community gardens to provide access to fresh fruits and vegetables while fostering
relationships. The evidence has shown that an effective exercise regimen, a nutritious diet,
and smoking cessation prevent cardiovascular disease. Education and health promotion will
be achieved through the innovative health program, A Heart Healthy You.
Introduction
Cardiovascular disease (CVD) is a problem faced worldwide among various
groups. The prevalence of CVD is particularly high in Staten Island Community District 1.
Low-income families residing in this community are the target population. How will
participation in community gardens along with education and health promotion improve
cardiovascular health in lower income populations? A lack of resources for proper
nutrition, exercise and healthcare are contributing to the high mortality rate in this
community. Northwell Health uses a mapping of Prevention Quality Indicators (PQIs)
quintiles as a data analysis to identify pockets of diminished health in the communities
they serve. In their 2019 Community Health Needs Assessment of Richmond County,
Northwell Health assigned these quintiles based on their comparative rates of disease per
1
Written under the direction of Prof. Tinamarie Petrizzo-Hughes in partial fulfillment of
the Senior Program requirements.
43
�100,000 population, and thus are used to assess the relative health of different zip codes.
Circulatory PQIs had the highest rates in Port Richmond, St. George, and Stapleton–
compared to the rest of Staten Island (Northwell Health Community Health Needs
Assessments, 2019). In 2001, CVD was the leading cause of death in Staten Island
Community District 1, followed by cancer and other comorbidities like diabetes and
chronic lung disease (Karpati et al., 2003). Although it has dropped from the top spot,
CVD remains a leading cause of death (Hinterland et al., 2018). Wagner College is
included in the District 1 community – what better way to make a difference than to start
close to home? The proposed solution is to encourage the use of community gardens and
teach the importance of a heart healthy diet and exercise programs as well as smoking
cessation.
Community Assessment and Analysis
Staten Island Community District 1, the “North Shore'' of Staten Island,
comprises: Mariner’s Harbor; Port Richmond; Westerleigh; West Brighton; New
Brighton; Saint George; Stapleton; Grymes Hill; Park Hill; and Rosebank. The current
population of Staten Island Community District 1 is 181,484 (Hinterland et al., 2018).
There are six public libraries on the North Shore, one in each neighborhood with the
exception of Grymes Hill-Park Hill. About 15% of land use on the North Shore is
dedicated to open space and recreation, with Cloves Lark Park in Westerleigh and Silver
Lake Park in West Brighton being the largest of these community assets. Outside of these
parks, there is a multitude of playgrounds located throughout the district. However, it
appears that residents in certain areas do not have a park within walking distance; most
notably in a large area covering the southern parts of Mariner’s Harbor, Port Richmond,
and Westerleigh (Mehrotra et al., 2018).
The Citizens’ Committee for Children (CCC) reported that throughout the North
Shore of Staten Island, sidewalks are only on one side of the street, and are often broken
and lifted from tree roots. Along with the unsafe walkways, the crime rates in Staten
Island District 1 also pose a threat. The 120 precinct covers the eastern part of the North
Shore. CCC reported the violent felony rate of the 120 Precinct from 2014-2016 was
nearly equivalent to the citywide level, and nearly twice the rate for Staten Island as a
whole.
In 1990, the total population of Staten Island Community District 1 was
137,978. From 1990 to 2000, the population increased by 17.6% to a total population of
162,273 (U.S. Census Bureau, 2004). From 2000 to 2010, the population increased by
8.1% to a total population of 175,756 (U.S. Census Bureau, 2011). As of 2018, the total
population is 181,484 (Hinterland et al., 2018). This data shows an increasing trend, so it
44
�can be assumed that the population of Community District 1 will continue to increase. In
1990, the foreign-born population of District 1 was 12.5%, and in 2000 it was 19.2%
(U.S. Census Bureau, 2004). As of 2018, the forein-born population is 24.3% (Hinterland
et al., 2018). This data indicates that this community’s foreign-born population is also
trending upward. The North Shore of Staten Island is one of only ten community districts
in New York City (NYC) where no racial/ethnic group represents more than 40% of the
population. Demographics vary considerably within the North Shore by neighborhood. In
Westerleigh and West Brighton, the majority of the population is white. In the remaining
neighborhoods, the majority of the population is black or Latino, including over 70% of
residents in Grymes Hill-Park Hill (Mehrotra et al., 2018).
On the North Shore of Staten Island, 12% of adults are without health insurance
and 10% of adults have reported going without needed medical care within the past 12
months. In the 2018 Community Health Profile on Staten Island Community District 1, it
is listed that 9% of adults have been diagnosed with diabetes and 26% of adults have
been diagnosed with hypertension. This health profile also includes information on the
top causes of premature death in this community, in those prior to age 65. The second
ranked issue is heart disease which contributed to 45.5% of the premature deaths
recorded in this article (Hinterland et al., 2018). The rate of obesity on the North Shore is
the tenth highest out of fifty-nine community districts. It has been reported that 33% of
adults in Community District 1 are obese (Mehrotra et al., 2018). There are 10 large
grocery stores located throughout the North Shore, equivalent to about one grocery store
for every 17,400 residents. Much of the North Shore is not within walking distance of a
grocery store (Mehrotra et al., 2018). Within this community there are 28 bodegas for
every one supermarket. “Bodegas are less likely to have healthy food options than
supermarkets.” (Hinterland et al., 2018, p. 10). There is one hospital—the Richmond
University Medical Center—located on the North Shore in West Brighton. In addition to
the hospital, there are 13 clinics, two diagnostic and treatment centers, and three schoolbased health centers on the North Shore. Each neighborhood has at least one clinic with
the exception of Grymes Hill-Park Hill (Mehrotra et al., 2018).
The current economic environment of the community is not favorable.
Approximately one out of five residents on the North Shore (21%) lives in poverty. There
are substantial differences in poverty rates between neighborhoods on the North Shore.
For example, 30% of Grymes Hill-Park Hill residents live in poverty, compared to fewer
than 10% of residents in Westerleigh. The North Shore’s median household income is
nearly $62,500. Median household income varies considerably within the North Shore by
neighborhood. For example, the median household income in Westerleigh is nearly
45
�$79,500, more than $35,000 higher than in Grymes Hill-Park Hill, where the median
household income is just over $44,000 (Mehrotra et al., 2018). Similarly, to its current
economic environment, the overall present health of the community is also unfavorable.
City Harvest, a NYC nonprofit, has launched the Healthy Neighborhoods
program on the North Shore. The Healthy Neighborhoods program takes a long-term
approach to hunger relief by: providing free fresh fruits and vegetables through their
Mobile Markets in Stapleton and Mariners Harbor; nutrition education on healthy
cooking and eating skills; and increasing access to affordable and fresh food on the North
Shore. Through community partnerships like the Staten Island Neighborhood Food
Initiative and Grow To Give, City Harvest brings together passionate residents, retailers,
and local organizations to have a voice in the decision making process that shapes the
local food system. In addition to healthy eating, construction in Cloves Lake Park in
Sunnyside has recently been completed, where $1.9 million has provided a 5k running
trail which includes markers to help runners/walkers navigate (Mehrotra et al., 2018).
Currently, there are several community gardens throughout District 1 (GreenThumb). By
encouraging the utilization of these gardens, the community can gain further insight to
healthy eating and exercise.
Problem in the Community
CVD is the leading cause of death in the United States, one in four deaths in the
country can be attributed to one of the several conditions labeled as CVD (American
Heart Association, 2020). CVD can be attributed to a multitude of factors including, but
not limited to; a congenital defect, obesity, smoking, poor diet, insufficient exercise,
hypercholesterolemia, hypertension, diabetes, etc. (American Heart Association, 2015).
CVD occurs when plaque builds in the arteries (American Heart Association, 2020). Over
time the arteries will narrow and reduce blood flow to the heart, potentially leading to a
myocardial infarction.
CVD is the leading cause of death and a major cause of disability in adults
worldwide (Mensah & Brown, 2007). “These diseases are common and occur in infants,
children, and adults of both sexes, and they affect people of all races and ethnicities.”
(Mensah & Brown, 2007, p. 38). The lifetime risk for someone 40 years old is 50% in
men and 32% in women. Advanced age is the most powerful risk factor for CVD.
However, it is seen that 62% of adults living with CVD are below the age of 65. CVD is
the leading cause of admissions or discharges from acute hospital visits and nursing
homes. “CVD is the most-costly disease in the United States.” (Mensah & Brown, 2007,
p. 41). The estimated cost of care and lost productivity in the United States from CVD
exceeds $400 billion.
46
�A correlation between the limited options for a healthy diet can be seen in the
rate of childhood obesity (Hinterland et al., 2018). It is similar to the citywide rate being
that one out of five children in grades K through 8 in this community are obese. Based on
this data collected in 2018, 16% of the population are smokers and 27% of the population
report having one or more 12-ounce sugary drinks per day. Consumption of these drinks
can increase the risk of type 2 diabetes, CVD, cavities, weight gain, and obesity.
Despite the United States being the world’s wealthiest nation, the population
living in low-income cities in the United States are constantly met with challenges
involving their health maintenance (Baptiste, 2018). Nearly half of the African American
population in the United States has some form of CVD, 46% among men and 48% among
women. People living in low-income urban areas or living in poverty have a higher
likelihood of suffering from a CVD with a poor outcome due to lack of access to health
care, poor housing conditions and housing instability. “… health outcomes are affected
by postal codes.” (Baptiste, 2018, p. 3441). This is supported in this article where they
specifically referenced the population in Baltimore City, Maryland (Baptiste, 2018).
CVD is the leading cause of death in Baltimore City, Maryland. It is shown that this area
has several low-income neighborhoods where the primary demographic is African
Americans and there are notable disparities in these neighborhoods. These disparities
include; an inability to walk outside due to high crime rates, lack of resources for
recreation, and lack of access to affordably priced fruits and vegetables. The author states
that Baltimore City is a prime example of where you live being a key factor in your
health outcomes because it has been statistically supported that Baltimore City’s
mortality rates due to CVD are highest when compared to the entirety of the state of
Maryland.
CVD is the number one cause of mortality globally accounting for 31% of
deaths worldwide (Aminde et al., 2018). Over 4/5 of premature deaths before age 70
from noncommunicable disease occurs in low-income and middle-income countries.
There is data supporting the increase in the mortality rates of CVD (Jagannatham et al.,
2019). The highest age-standardized CVD mortality rates since 1990 shows that more
than 725 per 100,000 deaths were seen in Bulgarian and Estonian men and Afghani
women. It is also observed that the highest mortality rates of CVD are observed in men
and women who live in low- and middle- income countries in Europe such as
Afghanistan and Ukraine versus those of high-income countries such as Switzerland and
France. In comparing western and eastern countries, urban Shanghai, China had a
delayed shift from infectious diseases and perinatal diseases as the main cause of
mortality to chronic diseases (Zhang et al., 2020). However, as of late, the population in
47
�Shanghai, China is showing comparable rates of mortality due to chronic diseases such as
CVD with that of western countries. Research was conducted on the permanent residents
of the Yangpu district, one of the 16 districts in Shanghai, with a total of 41,879,864
person-years were analyzed and the data shows that out of those analyzed, 101,822 were
from CVD deaths. Of the data collected, CVD mortality is higher in men than in women
in this study.
The life expectancy in Staten Island Community District 1 is 2.2 years shorter
than NYC overall (Hinterland et al., 2018). As previously stated, the lack of resources
for proper nutrition, exercise and healthcare are increasing the mortality rate in this
community. Coronary heart disease hospitalization rates in Staten Island were above both
the New York State (NYS) average and the New York State Prevention Agenda
Objectives (NYSPAO), but congestive heart failure hospitalization rates were below the
NYS average and the NYSPAO (Northwell Health Richmond County CHNA, 2019).
Currently, Covid-19, is causing dramatic shifts in daily life for those affected
and those unaffected by chronic illness. There is evidence supporting that CVD is aiding
in the progression and poor prognosis of patients who contract Covid-19 (Li et al., 2020).
CVD is the most common comorbidity in patients with Covid-19 and they are at a higher
risk of becoming critically ill and/or possibly dying. They conducted a study utilizing
both patients who had CVD and those who did not, they also excluded those with other
comorbidities to decrease the chance of it influencing the results of their studies. Their
studies have shown that the participants who had CVD were older, had a poorer appetite
than those without CVD, experienced more nausea and vomiting, there were more severe
cases, and the mortality rate was higher.
Proposed Solution
In today’s society where a sedentary lifestyle is commonplace, it can be difficult
for individuals to become motivated to get up, get out, and live a healthy lifestyle. The
evidence supports exercise as an important factor in lowering the risk of developing
CVD. Ho, et al. (2012) conducted a study involving twelve people at random with
different medical ailments. Various health parameters were tested such as; a fasting
measure of a lipid panel, blood glucose level, and even insulin changes in the body. They
also tested changes in body weight, fat mass, and dietary intake. Each group was
randomly assigned into a control group, only aerobic exercise, only resistance training, or
a combination of aerobic and resistance training. The results revealed a decrease in the
risk for developing CVD with the combination group which included aerobic and
resistance training exercise programs in overweight and obese participants. The results
were compared to the control group who participated in no exercise at all. That group saw
48
�no changes. The study supports that “from our observations, combination exercise gave
greater benefits for weight loss, fat loss and cardio-respiratory fitness than aerobic and
resistance training modalities. Therefore, combination exercise training should be
recommended for overweight and obese adults in National Physical Activity Guidelines.”
(Ho et al., 2012, p. 1).
Another considerable modifiable risk factor for CVD is smoking. An article
published by the Journal of the American College of Cardiology authored by Rigotti and
McDermott emphasizes the role tobacco plays in CVD. The article explains, “Cigarette
smokers had a substantially increased risk of developing all 3 CVDs examined. The
pattern of increased risk was consistent for both the duration and the intensity (e.g.,
cigarettes per day) of smoking.” (Rigotti & McDermott, 2019, p. 508). Evidence supports
that smoking causes vasoconstriction, which increases blood pressure, resulting in
increased risk of developing CVD. Furthermore, the journal includes smoking cessation
as an essential component in the reduction of CVD. “Stopping smoking was associated
with reduced risk of cardiovascular events within 5 years of cessation, and the association
fell to a never smokers’ level of risk within several decades.” (Rigotti & McDermott,
2019, p. 508) This is a significant finding. Education is a key factor in reducing this
modifiable risk factor.
The lack of access to healthy, nutritious foods is another contributing factor. The
health benefits of having access to nutritious meals may be challenging. There is
evidence to support healthy foods aid in decreasing the risk for CVD. However, what if a
person does not have access to nutritious foods? The American Heart Association (2017)
recommends people, “Eat a variety of fresh, frozen and canned vegetables and fruits
without high-calorie sauces or added salt and sugars. Replace high-calorie foods with
fruits and vegetables.” Doretha Orem created the Self-Care Deficit Nursing Theory,
which provides the framework for the proposed solution. It is known that self-care is a
vital aspect of maintaining overall health and wellbeing; people typically want to do this
for themselves. Orem’s theory defined nursing as “the act of assisting others in the
provision and management of self-care to maintain or improve human functioning at the
home level of effectiveness.” (Gonzalo, 2021). This relates to how people care for
themselves to prevent CVD through self-care methods. One of the goals of nursing is to
help people within the community to meet their own self-care goals and therapeutic selfcare demands through the use of adequate exercise, heart healthy nutritious meals, and
smoking cessation. This theory frames our solution, as the risk for CVD can be lessened
through self-care and education on preventative methods. It is supported that regular
exercise, such as walking, can decrease the manifestations of CVD.
49
�The innovative health program for the proposed solution is A Heart Healthy
You. The aforementioned gardens within this community will be utilized to support this
initiative. GreenThumb, through NYC Parks Department, is the largest community
garden program in the nation (GreenThumb). This organization provides a liaison that
works with community members to maintain local gardens. While tending to the local
gardens, health professionals as well as aspiring student nurses and health science majors
can partner with the available community resources to promote a healthy diet, exercise
and smoking cessation. Pamphlets will be available with a sample heart healthy diet
along with recipes, smoking cessation information, and exercise tips. Participants can
track their daily intake and exercise plans on the pamphlet for review with health science
and pre-nursing students, mentored by health professional faculty, to encourage success
for the participants. Within the community garden, there will be postings of a suggested
weekly schedule. For example, “Meatless Monday” with an emphasis on vegetables
replacing meat, “Turn up Tuesday” centers around an aerobic day, “Wake Up
Wednesday” starts with a morning resistance workout, “Therapeutic Thursday” leads to a
nature walk and an active rest day, “Fit Friday” begins with a weekly weigh in.
The surplus of fresh fruits and vegetables harvested from local community
gardens can be donated to bodegas and the community Mobile Market for distribution to
those in need. An article by Litt, et al. (2011) supports that a prevalent modifiable risk
factor is the consumption of fruits and vegetables which has been shown to maintain a
heart healthy diet. Through supporting evidence, a community garden will provide the
ingredients necessary for a heart healthy lifestyle while promoting a sense of community
pride as the gardens are maintained. Families can work together to tend to the garden
when their availability allows. Participants with physical limitations can be
accommodated with less strenuous tasks within the garden. The article by Litt, et al.
(2011, p. 1466) goes on to say that “by allowing residents to actively engage in natural
and social processes in an ongoing basis, the garden can promote a tactic and more
holistic understanding of food-related behaviors among its members and others affected
by such neighboring places”.
The overall community health goal for Staten Island’s District 1 is to work with
current opportunities to decrease the risk of developing CVD or to manage existing
manifestations of CVD. Wagner College’s learning communities provide students with
experiential learning (Wagner College). There are three levels, freshman, intermediate,
and senior. Microbiology and nutrition are requirements for nursing and health sciences.
These two courses are housed within the intermediate learning community (ILC) and
currently there is no off campus experiential learning for these courses. A relationship
50
�between Wagner College students and District 1 community gardens can be mutually
beneficial as the students can work with the community to help promote, maintain, and
restore heart healthy living and District 1 engages students in the necessary experiential
learning component.
The learning objectives for this innovative program will be laid out as follows:
●
●
Demonstrate an understanding of heart health terminology.
●
Teach-back specific lifestyle modifications and heart healthy plans via
demonstration and verbal rationales for implementing these changes.
Participate in a local community garden to grow fresh foods, engage in
exercise and take pride in their efforts to maintain the health of themselves
and their neighbors.
There is a noteworthy association among CVD and the lack of adequate
exercise, improper diet, and smoking. Studies have shown through supported evidence
that there is a relationship between utilizing an adequate and effective exercise regimen,
eating nutritious meals, and smoking cessation for preventing CVD. Our goal is to help
Staten Island Community District 1 to focus on giving people the tools needed to
understand prevention and health promotion to reduce their risk of acquiring CVD.
References
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Resource Allocation, 16.
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Recommendations. Heart. Retrieved November 21, 2020, from https://www.heart.org/en/ healthyliving/healthy-eating/eat-smart/nutrition-basics/aha-diet-and-lifestyle-recommendations
American Heart Association. (2017) What Is Cardiovascular Disease? Heart,
www.heart.org/en/health-topics/consumer-healthcare/what-is-cardiovascular-disease.
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GreenThumb. NYC Parks GreenThumb. (n.d.).
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Hinterland, K., Naidoo, M., King, L., Lewin, V., Myerson, G., Noumbissi, B.,
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Wang, L., Zhao, L., Fan, H., Luo, S., & Hu, D. (2020). Cardiovascular disease potentially
contributes to the progression and poor prognosis of COVID-19. Nutrition, Metabolism
& Cardiovascular Diseases, 30(7), 1061–1067. https://ezproxy.wagner.edu:2310/
10.1016/j.numecd.2020.04.013
Litt, J. S., Soobader, M. J., Turbin, M. S., Hale, J. W., Buchenau, M., & Marshall, J. A.
(2011). The Influence of Social Involvement, Neighborhood Aesthetics, and Community
Garden Participation on Fruit and Vegetable Consumption. American Journal of Public
Health, 101(8), 1466–1473. https://doi.org/10.2105/ajph.2010.300111
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�Mehrotra, A., Kimiagar, B., Drobnjak, M., & Halkitis, S. (2018, September). The North
Shore of Staten Island: Community Driven Solutions to Improve Child and Family WellBeing. Retrieved 2020, from https://www.cccnewyork.org/wp-content/uploads/2018/09/
North-Shore-Report.pdf
Mensah G.A., & Brown D.W. (2007). An overview of cardiovascular disease burden in
the United States. Health Affairs, 26(1), 38–48. https://ezproxy.wagner.edu:2310/
10.1377/hlthaff.26.1.38
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files/d7/Northwell%20Health%20Richmond%20County%20CHNA%202016%20(2).pdf
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Disease. Journal of the American College of Cardiology, 74(4), 508–511.
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54
���“The Shining City Upon the Hill:” Christian Zionism and
the Politics of Woodrow Wilson & Harry S. Truman
Maggie Winton (History) 1
Since the Republican primaries in 2015, it has become commonplace for
American evangelicals to compare President Donald J. Trump to the Biblical King Cyrus.
In the Bible, the Persian emperor is appointed by God to fulfill his divine will, freeing the
Jewish people held captive in Babylon and rebuilding the holy city of Jerusalem. 2 Just as
Cyrus was anointed by God to accomplish his divine will on Earth, so do American
evangelicals perceive President Trump to be similarly anointed by God to, as prominent
evangelical speaker and author Lance Wallnau stated, “restore the crumbling walls that
separate us from cultural collapse.” 3 President Trump himself is not influenced by
Christian Zionism, and therefore it is easy to attribute this association of him with a
Biblical king to a small but vocal group of fundamentalist evangelical Christians who
support him. However, the reality is that this connection of American politics to Biblical
destiny is indicative of a more pervasive and widespread belief system. 4 This belief
system is known today as Christian Zionism.
Just as evangelicals currently see President Trump as the man divinely instituted
to the presidency to “restore the crumbling walls that separate us from cultural collapse,”
so did certain evangelical Protestant presidents perceive their role to be one of fulfilling
God’s plan for humanity. Such is the case with President Woodrow Wilson and President
Harry Truman in the aftermaths of the two World Wars. Each of these presidents,
influenced by their own beliefs in Christian Zionism, perceived their duty as president to
be one of divine appointment, that they had been chosen by God to restore his chosen
people to the Holy Land and propel the world into the new millennium. Within their
addresses and speeches to the American public, their personal writings, and the first-hand
1
Written under the direction of Dr. Alison Smith in partial fulfillment of the Senior and Honors
Programs requirements.
2
Isaiah 45:1, 13.
3
Katherine Stewart, “Why Trump Reigns as King Cyrus,” New York Times, Dec. 31, 2018,
accessed Oct. 26, 2020, https://www.nytimes.com/2018/12/31/opinion/trump-evangelicals-cyrusking.html.
4
Peter J. Miano, “Mainstream Christian Zionism,” in Prophetic Voices on Middle East Peace: A
Jewish, Christian, and Humanist Primer on Colonialism, Zionism, and Nationalism in the Middle
East, ed.Thomas E. Phillips, Peter J. Miano, Jason Mitchell, 163-186 (Claremont, CA: Claremont
Press, 2016), 165.
57
�accounts from those who worked closely with them, Wilson and Truman displayed their
Christian Zionist beliefs, connecting their personal religious views to their political duties
as President of the United States. Christian Zionism, with its theological foundation of
dispensationalism and its connection to American manifest destiny, served as a driving
force in the policy decisions of President Woodrow Wilson and President Harry Truman
immediately following the two World Wars.
Since its introduction to America in the mid-nineteenth century, Christian
Zionism has created a situation in which politics and religion intersect and collide in
complicated ways. The theological foundation of Christian Zionism has permeated
American religious, cultural, and political life in numerous ways, from integrating into
America’s existing evangelical Protestant tradition to supporting the belief in America’s
divinely granted manifest destiny. By the twentieth century, Christian Zionism became so
ingrained in American political life that it even affected America’s highest positions of
leadership, creating circumstances in which policy decisions were directly influenced and
driven by the personal religious beliefs of political leaders. In fact, the emphasis on
interweaving theology and politics allows for religiously devout individuals occupying
the highest political offices in the United States, including the presidency, to use their
position as political leaders to further their religious agenda.
Christian Zionism, because of its heavy focus on Biblical literalism and
fundamentalism, is generally associated with Christians from the “Christian right.” These
Christian Zionists are the easiest to identify because they are often the most vocal and
most visible in displaying their opinions. 5 However, for scholars like Peter J. Miano and
Rosemary Radford Reuther, associating Christian Zionism exclusively with
fundamentalist and conservative Christians is dangerous as it ignores the fact that the
majority of Christian Zionists belong to mainstream branches of Christianity. 6 As Miano
points out, Christianity as a religious tradition, whether mainstream or not, both directly
and indirectly engages in promoting the Zionist narrative in some capacity. 7
Similarly, there is a propensity to dismiss those who believe in Biblical
literalism or Fundamentalist Christianity as unintelligent and uneducated. This is
certainly true in the case of Harry S. Truman. As Gary Scott Smith points out, scholars
often cite Truman’s religious rhetoric and biblically influenced approach to public policy
5
Miano, “Mainstream Christian Zionism,” 171.
Miano, “Mainstream Christian Zionism,” 164; Rosemary Radford Reuther, “Christian Zionism
and Mainline Western Christian Churches,” in Comprehending Christian Zionism: Perspectives in
Comparison, ed. Gӧran Gunner and Robert O. Smith, 179-190 (Minneapolis, MN: Fortress Press,
2014), 179.
7
Miano, “Mainstream Christian Zionism,” 172.
6
58
�as crude, misguided, and simplistic. 8 That and his vulgar mouth and brash nature got him
branded as an unintelligent religious fanatic. 9 In reality, Truman was an incredibly wellread and intelligent man. Scholars like Paul C. Merkley discuss how he regularly read a
wide range of newly published books from academic historians, including biographies,
narrative histories, and American political and military histories. 10 Truman’s
interpretation of the Bible might have been a fundamentalist one, but he genuinely
believed that it was the correct interpretation based on his extensive study and reading on
the topic and this interpretation served as the foundation for his policies and decisions as
president. 11 Christian Zionism likewise spans across the United States and is not limited
to one particular region of the country. Wilson and Truman were from Virginia and
Missouri, respectively, and it is easy to dismiss the Christian Zionism as a belief
exclusive to the South or Midwest even though it is found in mainstream Christian
denominations nationwide.
Recognizing these three points ‒ that Christian Zionism is not exclusively
associated with the “Christian right,” that adherence to Biblical literalism and
Fundamentalist Christianity does not inherently mean one is unintelligent or uneducated,
and that their respective statuses as non-East Coast political outsiders influenced Wilson
and Truman to take actions to help restore the Jewish people to the Holy Land ‒ is
imperative for understanding the influence Christian Zionism has had in American
politics. Both Woodrow Wilson and Harry S. Truman were members of mainstream
Protestant Christian denominations, and they were both intelligent, well-read men. And
yet, they both strongly believed in the Christian Zionist cause and perpetuated it
throughout their respective tenures as President of the United States. Clearly, Christian
Zionism is more than just a political movement belonging to a specific sector of the
“Christian right.” It is something that encompasses mainstream American Protestant
theological beliefs, American patriotism and national pride, and American national
politics, influencing those in even the highest of governmental offices.
Christian Zionism, simply defined, is the belief held by Christians that the return
of the Jewish people to the Holy Land is in accordance with Biblical prophecy. 12
Whereas Jewish Zionists called for the restoration of the Jewish people in the Holy Land
8
Gary Scott Smith, Religion in the Oval Office: The Religious Lives of American Presidents
(Oxford, England: Oxford University Press, 2015), 230.
9
Smith, Religion in the Oval Office, 229.
10
Paul C. Merkley, The Politics of Christian Zionism, 1891-1948 (London, England: Routledge,
1998), 165.
11
Smith, Religion in the Oval Office, 229.
12
John J. Mearsheimer and Stephen M. Walt, The Israel Lobby and US Foreign Policy (New York,
NY: Farrar, Straus, and Giroux, 2007), 107.
59
�and the establishment of a Jewish homeland for nationalistic and political reasons,
Christian Zionists are more religiously motivated. They see the establishment of a Jewish
homeland as a necessary step in God’s plan for the salvation of humanity, one which will
fulfill Biblical prophecy and allow Jesus Christ to return to Earth and save the true
believers. 13
While Christian advocacy for the restoration of the Jewish people to the Holy
Land was an established theological belief system, it gained political traction with the rise
of Jewish nationalism. In the mid-nineteenth century, Jews in Europe began assimilating
and adapting to the dominant cultures of their countries in an attempt to fight
antisemetism. 14 However, towards the end of the century, a new wave of antisemitism
swept over Europe and Jews began to call into question their assimilationist sentiments
and tactics. 15 The late nineteenth century saw the rise of various nationalist movements,
from ethnic nationalism to cultural nationalism, and for the European Jews facing conflict
in their home countries, their Jewish identity became the foundation for their own form of
nationalism. 16 With the publication of Der Judenstaat, a pamphlet written in 1896 by a
Jewish Austro-Hungarian journalist named Theodor Herzl, the modern Zionist movement
was born. 17 In Der Judenstaat, Herzl argues that, for the safety of the Jewish people and
to prevent worsening antisemitism, an independent Jewish state must be created. For the
global Jewish community, the rise of Zionism signaled a desire to mobilize and fight
against anti-Jewish sentiments. However, for Christian Zionists, the rise of Zionism was a
sign from God that the time for fulfilling his theological timeline had come.
The theological foundation of Christian Zionism, known as dispensationalism, is
steeped in Biblical literalism, prophetic interpretation, and belief in the apocalypse. It is a
form of premillennial futurism, an end-times view of Christianity that unflinchingly
interprets portions of certain books, specifically the Books of Ezekiel, Daniel, and
Revelation, as the events scheduled to take place before Christ’s return. 18 It states that all
of history can be divided into dispensations; according to C.I. Schofield, a prominent
American dispensationalist and author of the popular Scofield Reference Bible, a
dispensation is “a period of time during which man is tested in respect of obedience to
13
Miano, “Mainstream Christian Zionism,”164.
Weber, On the Road to Armageddon, 97.
15
Weber, On the Road to Armageddon, 97.
16
Weber, On the Road to Armageddon, 97.
17
Paul C. Merkley, “Zionists and Christian Restorationists,” Proceedings of the World Congress of
Jewish Studies 3 (1993): 94.
18
Weber, On the Road to Armageddon, 20.
14
60
�some specific revelation of the will of God.” 19 During each dispensation, God shares a
specific revelation of divine will or a distinctive administrative principle, and humanity is
responsible for following that will or principle. 20 Christian Zionists believe that God
reveals his plan for humanity subtly; God expects that humanity will recognize the signs
He is presenting to them and will act upon them to fulfill His will. 21
To dispensationalists, the Bible is meant to be interpreted literally, particularly
in regards to its prophetic revelations. 22 Dispensationalists view the Old and New
Testament prophecies in which Jesus’ return is foretold as literal indications as to what
must happen in order to catalyze his Second Coming. 23 The Bible, therefore, serves as a
text “progressive revelation” wherein people can understand the flow and development of
God’s ways in the world over time through studying it. 24 The strongest focus of
dispensationalists in regards to fulfilling Biblical prophecy is the return of the Jewish
people to the Holy Land. Dispensationalists believe that the Jewish people are God’s
chosen people, and through his solemn covenants with them, God attempted to enact his
godly plan for his earthly people. 25 The Jewish people, therefore become integral figures
in fulfilling Biblical prophecy, as their sacred covenants with God signal their status as
his chosen people and their return to the Holy Land is necessary in order to catalyze Jesus
Christ's return to Earth.
Understanding the theology of dispensationalism is important to understanding
the complex relationship between the dispensationalist religious theology and the
political elements of the Christian Zionist movement. Dispensationalism is the religious
foundation for Christian Zionism, and Christian Zionism is the political vehicle that
contextualizes the religious doctrine within current socio-political circumstances. 26 To
dispensationalists, the mobilization of Jewish people through the Zionist movement was
one of God’s signs signaling what he expected humanity to accomplish in this
dispensation, and Christian Zionism became the political vehicle through which
dispensationalists could accomplish this divine mission. Thus, politics became
reconstituted as a form of religious practice, allowing dispensationalists to spread their
19
C.I. Scofield, ed., The Scofield Reference Bible (New York: Oxford University Press, 1909), 5.
Weber, On the Road to Armageddon, 20.
21
Sean Durbin, “Walking in the Mantle of Esther: "Political" Action as "Religious" Practice,” in
Comprehending Christian Zionism: Perspectives in Comparison, ed. Gӧran Gunner and Robert O.
Smith, 85-124 (Minneapolis, MN: Fortress Press, 2014), 93.
22
Weber, On the Road to Armageddon, 21.
23
Mearsheimer and Walt, The Israel Lobby, 132.
24
Weber, On the Road to Armageddon, 20.
25
Weber, On the Road to Armageddon, 21, 96.
26
Durbin, “Walking in the Mantle of Esther,” 93.
20
61
�beliefs and accomplish God’s will through political activism and action, and Wilson and
Truman both exemplify this. 27
Woodrow Wilson’s personal religious beliefs strongly influenced his politics
during his tenure as President of the United States. He was brought up in a strong
Presbyterian household, and was descended from a long line of scholars and Presbyterian
preachers. 28 Wilson’s father, a Presbyterian minister, believed in the power of education,
raising his children in a pious and bookish home with an emphasis on the learning of
theology, moral philosophy, literature, and the sciences. 29 Thus, Wilson became
powerfully devoted to religion beginning at a young age, reading the Bible every day and
being active in his church. 30 It is this devotion to religion and strong educational
background in theology, philosophy, and literature that helped drive Wilson’s dedication
to the Christian Zionist movement. According to Dr. Cary T. Grayson, Wilson’s close
friend, political advisor, and personal physician, Wilson’s religious convictions directly
influenced how he governed as President of the United States. In a statement written the
day Wilson died in 1924, Grayson stated that:
Wilson did not parade his religion. He lived it…[He] conceived the Christian
Life as a process and development of character in accordance with the teachings
of Christ...he understood personal religion as a matter of the heart but tempered
by reflection and judgement and fixed purpose...The bulk of Mr. Wilson’s
Christianity was in practice -- not talk. 31
Wilson’s actions as president and the decisions he made, for both domestic and foreign
policy, were affected by his personal religious beliefs, as he saw political action to be a
truer form of Christianity than just practicing the religion in a church.
As president, Wilson relied on God’s power and guidance, as well as his belief
in the Bible as the word of God. In a 1918 letter responding to Thomas F. Logan, a
constituent expressing fear after progressives and Democrats lost their political seats in
the midterm election, Wilson wrote that,
I am of course disturbed by the result of Tuesday’s elections, because they
create obstacles to the settlement of many difficult questions which throng so on
27
Durbin, “Walking in the Mantle of Esther,” 110.
Lawrence Davidson, “Christian Zionism as a Representation of American Manifest Destiny,”
Critique: Critical Middle Eastern Studies 14, no. 2 (2005): 163; Merkley, Politics of Christian
Zionism, 79.
29
Merkley, Politics of Christian Zionism, 79.
30
Merkley, Politics of Christian Zionism, 79.
31
Cary T. Grayson, “The Religion of Woodrow Wilson,” February 3, 1924, 13, 16, 20,
http://presidentwilson.org/items/show/22351.
28
62
�every side, but I have an implicit faith in Divine Providence and I am sure that
by one means of another the great thing we have to do will work itself out. 32
He believed that, despite all that happened, God had a plan for humanity and God would
guide him as President of the United States. For Wilson, political action was directly tied
to religious devotion, and the Bible served as a manual of divine revelation upon which
he could base his political policies.
Wilson likewise saw a direct correlation between religious faith and public
morality. He perceived history to be a story of progress that leads to the betterment of
society. 33 During World War I, one such way Wilson promoted this mentality was
through his food rationing program. In his 1917 press release encouraging American
citizens to ration their food to send to Europe, Wilson directly tied this act of public
morality with religious actions like sacrifice and devotion, stating:
Our country...is blessed with an abundance of foodstuffs...To provide an
adequate supply of food for both our own soldiers on the other side of the seas
and for the civil populations and the armies of the Allies is one of our first and
foremost obligations...The solution of our food problems, therefore, is dependent
upon the individual service of every man, woman and child in the United
States...We cannot accomplish our objects in this great way without sacrifice
and devotion, and no direction can that sacrifice and devotion be shown more
than by each home and public eating place in the country pledging its support to
the Food Administration and complying with its requests. 34
According to Wilson, because of its covenant-like relationship with God and the
blessings He regularly bestows upon the nation, America is meant to fulfill its divinely
ordained destiny through political action that promotes public morality and social
justice. 35
Like Wilson, Harry S. Truman’s personal religious beliefs strongly influenced
his politics during his tenure as President of the United States. As a child, Truman was
raised in a deeply religious family that based their familial guidelines directly on Biblical
scripture. 36 Like Wilson, Truman was educated beginning at an early age, and much of
his educational upbringing revolved around his Baptist faith. He regularly recounted how
32
Woodrow Wilson, Letter to Thomas F. Logan, November 8, 1918,
http://presidentwilson.org/items/show/27605.
33
Cara Lee Burnidge, A Peaceful Conquest: Woodrow Wilson, Religion, and the New World Order
(Chicago, IL: University of Chicago Press, 2016), 2.
34
Woodrow Wilson, “Food Administration,” Press Statement, October 27, 1917,
http://presidentwilson.org/items/show/34084.
35
Burnidge, A Peaceful Conquest, 2.
36
Smith, Religion in the Oval Office, 229.
63
�that, by the age of fifteen, he had read the Bible in its entirety twelve times, that he
“never cared much for fairy stories or Mother Goose” because the “stories in the
Bible...were to [him] about real people, and [he] felt [he] knew some of them better than
actual people [he] knew.” 37 For Truman, the Bible was a source of strength, inspiration,
and historical record. 38 Through his religious upbringing and reverence for the Bible, he
formed most of his ideas about the world early on and believed that the stories in the
Bible were meant to serve as records of the past and prophetic revelations about the
future. 39 These religious convictions followed him throughout his life, even when he
became President of the United States after Franklin D. Roosevelt died on April 12, 1945.
Truman attributed much of his success in life and politics to God’s power and will,
stating,
Luck always seems to be with me in games of change and in politics. No one
was ever luckier than I’ve been since becoming the Chief Executive and
Commander in Chief. Things have gone so well that I can’t understand it -except to attribute it to God. He guides me, I think. 40
Truman saw his life as being guided by God’s divine will, particularly in regard to his
political career as a Missouri State Senator, the Vice President of the United States under
Roosevelt, and the President of the United States.
Like Wilson, Truman saw a direct link between religious faith and public
morality, and he strongly believed that Christians should live their faith through tangible
action based on religious values and scripture. 41 He believed that Exodus 20 (the Ten
Commandments) and Matthew 5-7 (the Sermon on the Mount), were the best system of
philosophy to adhere to as well as the most fundamentally sound moral code for public
servants to base their policies on. 42 In his radio address during the 1949 nationwide,
interfaith campaign, “Religion in American Life,” Truman proclaimed that America must
follow its religious convictions as a nation because:
[The] faith that inspires us to work for a world in which life will be more
worthwhile -- a world of tolerance, unselfishness, and brotherhood -- a world
that lives according to the precepts of the Sermon on the Mount...every problem
in the world today could be solved if men would only live by the principles of
37
Merle Miller, Plain Speaking: An Oral Biography of Harry S. Truman (New York: Berkeley,
1974), 31.
38
Smith, Religion in the Oval Office, 234.
39
Smith, Religion in the Oval Office, 234.
40
R.H. Ferrell, ed., Off the Record: The Private Papers of Harry S. Truman (New York, NY:
Harper and Row, 1980), 37-38.
41
Merkley, Politics of Christian Zionism, 160; Smith, Religion in the Oval Office, 232.
42
Smith, Religion in the Oval Office, 234.
64
�the ancient prophets and the Sermon on the Mount…Religious faith and
religious work must be our reliance as we strive to fulfill our destiny in the
world. 43
According to Truman, political decisions should be based on the transcendent moral
standards written in Biblical scripture. 44 For Truman, America’s Christian heritage
should be reflected in its politics, serving as the moral standard not only for citizens of
the United States but citizens of the world.
Christian Zionism’s history in America reflects this belief held by both Wilson
and Truman that America’s Christian heritage and religious values should be displayed in
public political action. Moreover, it is an excellent example of how interconnected
religion and politics are within America. While the belief that the restoration of the
Jewish people to the Holy Land was necessary for the salvation of humanity had existed
in America since the Puritans arrived in the seventeenth century, dispensationalism as a
theological belief system was officially introduced to America in the 1870s when John
Nelson Darby, its creator, visited America just after the Civil War. 45 Throughout the late
nineteenth century, Darby visited America multiple times in hopes of sharing his
dispensationalist teachings and gaining support for his Biblical theological framework. 46
However, initially, American reception to dispensationalism was negative. Many,
particularly those in elite religious circles, saw it as a serious departure from traditional
Biblical scholarship and historic interpretations of the Bible. 47 James H. Snowden, a
priest and opponent of dispensationalism, voiced some of the issues American priests and
religious scholars saw with dispensationalist theology, stating,
[Premillenarianism] violates the principle of historic interpretation by tearing
passages out of their context and imposing on them meanings that they do not
bear in their original connection...Premillenarians give a literal interpretation to
all the Old Testament prophecies of the coming messianic kingdom, though this
requires them to believe that the whole world (“all flesh”) shall go up to
Jerusalem every week in the millennium…[It] is extremely selective in its
43
Harry Truman, "Radio Address as Part of the Program 'Religion in American Life,'" October 30,
1949, https://www.presidency.ucsb.edu/documents/radio-address-part-the-program-religionamerican-life.
44
Smith, Religion in the Oval Office, 148.
45
Reuther, “Christian Zionism and Mainline Western Churches,” 183; Weber, On the Road to
Armageddon, 26.
46
Weber, On the Road to Armageddon, 26.
47
Weber, On the Road to Armageddon 27.
65
�treatment of Scripture. It picks out the passages that suit its theory and passes
over what does not fit in with it. 48
Despite these grievances with dispensationalism, it quickly became a prominent
theological belief system in America, due in part to the socio-political circumstances
surrounding its development in the United States.
Immediately following the Civil War, America’s religious institutions faced a
period of conflict, realignment, reorganization, and aimlessness. The Civil War and its
aftermath had shaken people’s faith in religion, just as it had shaken people’s faith in
America’s democratic system. 49 The rise of urban living, massive influx of immigration
from “ethnic” non-Protestant European countries like Italy and Ireland, and the country’s
rapid industrialization likewise threatened America’s established evangelical Protestant
Christian tradition, as did the introduction of concepts like the theory of evolution,
comparative religion, and the higher criticism of the Bible. 50 In short, America’s
evangelical Protestant communities were facing a crisis: should they attempt to redefine
their belief systems in terms that are more compatible with the modern ways of thinking,
or should they continue on with their faith as it’s been traditionally preached and
practiced? Liberal evangelical Protestants chose to modernize, affirming the uniqueness
of Jesus and the special nature of the Bible as a source of divine revelation while still
allowing for scientific and academic scrutiny. 51
For conservative evangelical Protestants, however, this modernization of faith
stripped the spiritual power of Christ’s message. Interpreting the Bible in a novel way to
encompass modern issues like scientific inquiry and scholarly criticism to conservative
evangelical Protestants rendered the Bible itself useless: if God’s word as written in the
Bible was incompatible with modern life, then the implication is that God is fallible and
capable of making mistakes. 52 The literal interpretation the Bible and its meaning was of
the utmost importance to establishing the supremacy of the Bible as God’s word, and thus
conservative evangelical Protestants saw their conflict with their liberal counterparts as a
mission sent to them by God, one in which their task was to battle against the heretics
attempting to alter God’s mission. 53 To win this battle, mainstream conservative
evangelical Protestants formed a trans-denominational coalition, one which included the
48
James H. Snowden, "Summary of Objections to Premillenarianism," Biblical World 53 (1919):
166
49
Weber, On the Road to Armageddon, 30.
50
Weber, On the Road to Armageddon, 30.
51
Weber, On the Road to Armageddon, 31.
52
Weber, On the Road to Armageddon 31.
53
Weber, On the Road to Armageddon, 31.
66
�previously ostracized dispensationalists. 54 Dispensationalists quickly became a dominant
force in the leadership of this coalition, because their theology affirmed everything the
mainstream conservative evangelical Protestants wished to affirm: the authority of the
Bible and its centering in Christ, the absolute necessity of one’s personal conversion to
Christ, importance of the Holy Spirit in the life of the church and the individual believer,
the justification by faith alone, and the final separation of all people for eternal life or
damnation. 55 According to William Bell Riley, a Baptist preacher known as “The Grand
Old Man of Fundamentalism,” dispensationalism became “the sufficient if not solitary
antidote to the present apostasy.” 56 As a result, dispensationalist theology, specifically its
focus on Biblical literalism and prophetic interpretation, began to insert itself into the
dominant mainstream Christian denominations.
The concept of American manifest destiny emerged in the nineteenth century as
America began establishing itself as an imperial power, both at home and abroad. John L.
O’Sullivan, editor of The United States Magazine and Democratic Review, is often the
person credited with coming up with defining the term in his 1839 piece “The great
nation of futurity.” According to O’Sullivan, “America is destined for better
deeds…destined to manifest to mankind the excellence of divine principles; to establish
on earth the noblest temple ever dedicated to the worship of the Most High -- the Sacred
and the True.” 57 America is “the nation of progress, of individual freedom, of universal
enfranchisement” and it is its destiny as a nation to “establish on earth the moral dignity
and salvation of man -- the immutable truth and beneficence of God” through its imperial
endeavors. 58 This concept of American manifest destiny influenced the United States’
political and cultural lives, but it also heavily influenced its religious life. America’s
belief in its own divinely ordained destiny is a major factor why dispensationalism, and
later Christian Zionism, became so infused in American evangelical Protestant culture.
Christian Zionists support Jewish restoration to the Holy Land almost by any means
necessary, using parallel ideas of American patriotism and triumph as the framework
with which to justify America’s support of the Jewish homeland. 59 Just as America
54
Weber, On the Road to Armageddon, 31.
Weber, On the Road to Armageddon, 32.
56
William Bell Riley, The Evolution of the Kingdom (New York: Charles C. Cook, 1913), 5.
57
John L. O’Sullivan, “The great nation of futurity,” The United States Democratic Review 6, no.
23 (1839): 427.
58
O’Sullivan, “The great nation of futurity,” 429-430.
59
Mae Elise Cannon, “Mischief Making in Palestine: American Protestant Christian Attitudes
toward the Holy Land, 1917-1949,” in Comprehending Christian Zionism: Perspectives in
Comparison, edited by Gӧran Gunner and Robert O. Smith, 231-255 (Minneapolis, MN: Fortress
Press, 2014), 236.
55
67
�believed their political destiny was divinely granted, so did they believe their religious
destiny was divinely granted. Both Woodrow Wilson and Harry S. Truman believed that
America’s political manifest destiny was divinely ordained by God, and they regularly
used religious rhetoric to express this belief.
Wilson’s personal religious beliefs deeply influenced how he viewed America
and its national destiny. Even before he was president, Wilson believed that America was
divinely blessed by God to be the purveyor of his will on Earth. In 1911 at the
aforementioned celebration for the English translation of the Bible in Denver, Wilson
stated,
America is not ahead of other nations of the world because she is rich. Nothing
makes America great except her thoughts, except her ideals, except her
acceptance of those standards of judgement which are written large upon these
pages of revelation. America has all along claimed the distinction of setting this
example to the civilized world...America was born a Christian nation. America
was born to exemplify that devotion to the elements of righteousness which are
derived from the revelations of Holy Scripture. 60
Wilson’s belief in America’s divinely ordained political destiny was only heightened
during World War I. America’s success in helping its European allies defeat their
enemies was, according to Wilson, indicative of God’s special relationship with America.
In a press statement declaring a day of prayer in May of 1918, Wilson discussed that
God’s “blessings on our arms” will bring about a “speedy restoration of an honorable
man and lasting peace to the nations of the earth.” 61 Similar sentiments are seen in
Wilson’s press statement in November 1919 proclaiming a day of thanksgiving. Wilson
states that:
The Season of the year has again arrived when the people of the United States
are accustomed to unite in giving thanks to Almighty God for the blessings
which He has conferred upon our country during the twelve months that have
passed. A year ago our people poured out their hearts in praise and thanksgiving
that through divine aid the right was victorious and peace had come to nations
which had so courageously struggled in defense of human liberty and
60
Wilson, “The Bible and Progress,” Denver, CO, May 7, 1911, 5, 7,
http://frontiers.loc.gov/service/gdc/scd0001/2012/20120129002bi/20120129002bi.pdf.
61
Woodrow Wilson, “Day of Prayer Declared,” Press Statement, May 11, 1918,
http://presidentwilson.org/items/show/34288.
68
�justice...These great blessings...should arouse us to a fuller sense of our duty to
ourselves and to mankind. 62
To Wilson, American exceptionalism both prior to and after the war was the result of
Providence, the creation of God’s design to fulfill God’s will. 63 He saw democracy as a
form of government that is based on God’s order and that reflects a social gospel that
must be spread domestically and internationally. 64
Wilson perceived the end of World War I to be America’s opportunity to build
its empire, exerting its influence internationally by supporting rebuilding nations and
offering spiritual guidance. 65 In his 1920 State of the Union speech, Wilson expresses
this, proclaiming,
I found my thought dominated by an immortal sentence of Abraham Lincoln’s -“Let us have faith that right makes might, and in that faith let us dare to do our
duty as we understand it”...I believe that I express the wish and purpose of every
thoughtful American when I say that this sentence marks for us in the plainest
manner the part we should play alike in the arrangement of our domestic affairs
and in our exercise of influence upon the affairs of the world…[t]his is the
mission upon which Democracy came into the world...This is the time of all
others when Democracy should prove its purity and its spiritual power to
prevail. It is surely the manifest destiny of the United States to lead in the
attempt to make this spirit prevail. 66
Not only was America’s help necessary for helping the world to move on from the
aftermaths of the Great War, but it was preordained according to its God-given political
destiny that America and American ideals such as democracy would prevail.
Truman likewise believed the United States had a divinely ordained destiny, to
serve as the creator of a free world and the protector of democracy. 67 To Truman,
American democracy was a spiritual force that rested in God and Christian moral
principles, and the American creed is directly derived from the word of God. 68 During his
62
Woodrow Wilson, “Thanksgiving Day Proclaimed,” Press Statement, November 5, 1919,
http://presidentwilson.org/items/show/34322.
63
Burnidge, A Peaceful Conquest, 2.
64
Burnidge, A Peaceful Conquest, 3.
65
Burnidge, A Peaceful Conquest, 1.
66
Woodrow Wilson, 8th State of the Union Message, December 7, 1920,
https://teachingamericanhistory.org/library/document/state-of-the-union-address-109/.
67
Davidson, “Christian Zionism as a Representation of American Manifest Destiny,” 163;
Merkley, Politics of Christian Zionism, 161.
68
Smith, Religion in the Oval Office, 241.
69
�address for the aforementioned 1949 “Religion in American Life campaign, Truman
stated that,
The United States has been a deeply religious Nation from its earliest
beginnings...Building on this foundation of faith, the United States has grown
from a small country in the wilderness to a position of great strength and great
responsibility among the family of nations. 69
This responsibility of the United States is gifted by God, just as God gifted
responsibilities and obligations to the Biblical Israelites in his sacred covenants with
them. 70 And just like Biblical Israel, America must follow God’s will and mission in
order to fulfill their divine destiny. Truman further expands on the divinely ordained
responsibility and destiny of the United States in a speech given during a church
cornerstone laying in Washington D.C. in April of 1951:
Considering all the advantages that God has given us as a nation and all the
mercies that He has shown to us from our very beginnings, we ought to ask
ourselves whether we today are worthy of all that He has done for us. We ought
to ask ourselves whether we, as a people, are doing our part; whether we are
carrying out our moral obligations. I do not think that anyone can study the
history of this Nation of ours -- study it deeply and earnestly -- without
becoming convinced that divine providence has played a great part in it. I have
the feeling that God has created us and brought us to our present position of
power and strength for some great purpose. And up to now we have been
shirking it. Now we are assuming it, and now we must carry it through. 71
Thus, the fulfillment of God’s plan for humanity on Earth is directly tied to America’s
God-given political destiny.
Truman additionally called upon the established identification of the United
States with Biblical Israel to further support his claims of America’s divinely ordained
destiny. In September of 1951 in his address to the Washington Pilgrimage of American
Churchmen in Washington D.C., he stated that,
We cannot be satisfied with things as they are. We must always be striving to
live up to our beliefs and to make things better in accordance with the divine
commandments. The people of Israel, you will remember, did not, because of
their covenant with God, have an easier time than other nations. Their standards
69
Harry S. Truman, "Radio Address as Part of the Program 'Religion in American Life.'"
Smith, Religion in the Oval Office, 240.
71
Harry Truman, “Address at the Cornerstone Laying of the New York Avenue Presbyterian
Church,” Washington, D.C., April 3, 1951, https://www.trumanlibrary.gov/library/publicpapers/68/address-cornerstone-laying-new-york-avenue-presbyterian-church.
70
70
�were higher than those of other nations and the judgement upon them and their
shortcomings was more terrible. A religious heritage, such as ours, is not a
comfortable thing to live with. It does not mean that we are more virtuous than
other people. Instead, it means that we have less excuse for doing the wrong
thing -- because we are taught right from wrong. 72
To Truman, America like Biblical Israel has a special covenant with God, and this
relationship meant America was not only blessed by God but the nation also has a moral
imperative to follow God’s will and spread his teachings. 73 In particular, Truman stressed
this moral imperative in regards to America’s spreading of democratic values, which he
saw as a blessing from God, internationally through its foreign policy. In 1952, at a
celebration for the cornerstone laying of the Westminster Presbyterian Church in
Alexandria, Virginia, Truman spoke to this:
Democracy is first and foremost a spiritual force. It is built upon a spiritual basis
-- and on a belief in God and an observance of moral principles...In foreign
affairs...the churches should hold up the standard and point the way. The only
hope of mankind for enduring peace lies in the realm of the spiritual. The
teachings of the Christian faith recognize the worth of every human soul before
Almighty God...We must try to find ways to carry these spiritual concepts into
the field of world relations...we are all our brothers’ keepers. 74
Truman believed that the United States was destined by God to bring world peace
because of its democratic values based on its Christian heritage. 75
For American Christian Zionists, no singular event signaled the time to fulfill
their national destiny and God’s will like World War I. The United States officially
entered the war in April of 1917, and Americans saw their entrance as a major turning
point in the war. More specifically, however, American Christian Zionists saw the
subsequent victories in the Middle East after their entrance to the war as indicative of
America’s divine political destiny in fulfilling God’s will. Only six months after America
entered the war, British forces invaded Palestine, which caused the Ottomans to surrender
72
Harry S. Truman, “Address to the Washington Pilgrimage of American Churchmen,”
Washington D.C., September 28, 1951, https://www.presidency.ucsb.edu/documents/address-thewashington-pilgrimage-american-churchmen.
73
Smith, Religion in the Oval Office, 240.
74
Harry S. Truman, “Remarks in Alexandria, VA., at the Cornerstone Laying of the Westminster
Presbyterian Church,” Alexandria, VA, November 23, 1952,
https://www.presidency.ucsb.edu/documents/remarks-alexandria-va-the-cornerstone-laying-thewestminster-presbyterian-church.
75
Smith, Religion in the Oval Office, 151.
71
�the holy city of Jerusalem to the British. 76 With the Biblical land of milk and honey and
the “shining city upon the hill” finally returned to a Christian empire after centuries under
control of the Muslims, the goal of restoring the Jewish people to the Holy Land finally
seemed achievable. 77 Furthermore, with the issuance of the Balfour Declaration in
November of 1917, the British Empire officially proclaimed their dedication to creating a
Jewish homeland in Palestine, that “His Majesty’s Government view with favour the
establishment in Palestine of a national home for the Jewish people, and will use their
best endeavours to facilitate the achievement of this object.” 78
To American Christian Zionists, particularly those in the US government, this
declaration was a major step in the right direction. Speaker of the House Champ Clark, in
an official statement on Christmas Eve in 1917 just a month or so after the issuance of the
Balfour Declaration, stated that,
So far as war operations are concerned, the one thing that pleases most people
most is the capture of Jerusalem, “The Holy City.” That rejoices the hearts of
Jews and Christians. Whatever else results from this bloody and titanic struggle,
Jerusalem will never again be dominated by the Turks. After these hundreds of
years the dream of Peter the Hermit, Richard Coeur de Lion and their fellow
crusaders is an accomplished fact; and good people everywhere rejoice with
exceeding great joy. 79
The fall of the Ottoman Empire coinciding with the Balfour Declaration was a sign for
American Christian Zionists that their time to restore the Biblical prophetic timeline. 80
With Palestine and Jerusalem finally back in control of a Christian nation and with
America proving itself a major global power, there seemed to be nothing stopping
America from using its divinely-granted political superiority to restore the Jewish people
to the Holy Land. Such was the opinion of many prominent politicians influenced by
Christian Zionism, including President Woodrow Wilson.
Specifically, in regards to the restoration of the Jewish people to the Holy Land,
Wilson saw everything happening at the end of World War I, from the fall of the
76
Weber, On the Road to Armageddon, 109.
Lawrence Davidson, “The Past as Prelude: Zionism and the Betrayal of American Democratic
Principles, 1917-1948,” Journal of Palestine Studies 31, no. 3 (2002): 21.
78
Arthur Balfour, Foreign Secretary Arthur Balfour to Lord Rothschild, November 2, 1917,
https://avalon.law.yale.edu/20th_century/balfour.asp.
79
“Christmas Greetings from Officials; Wilson Looks Forward to Peace; Jerusalem Joy to Speaker
Clark: “what is Life without Liberty?” Asks Daniels -- Pan-American Sentiment from Naon -Selectives’ Best Gift to Country is Prompt Response to Questionnaire, Says Crowder.” The
Washington Post, Dec. 24, 1917, 4.
80
Weber, On the Road to Armageddon, 111.
77
72
�Ottoman Empire in Holy Land to the Balfour Declaration to America’s ability to turn the
tide of the war, as a sign that the time for America to fulfill God’s divine will had finally
come. However, the Holy Land was still under control of European imperial powers,
specifically Britain and France, under the mandate system. 81 This prevented the United
States from directly helping the Jewish people return to Jerusalem, as allowing the Jewish
people to create their own nation-state ran somewhat counter to the British and French
mandate system, which essentially was another form of European imperialism. 82 Wilson,
dedicated to his mission to, as his close advisor Rabbi Stephen Wise recounted in his
autobiography, “help restore the Holy Land to its people…” decided to work with the
European powers instead of fight against them. 83
To Wilson, the most efficient way to ensure the Jewish people would be restored
to the Holy Land was to ensure that larger, more powerful nations could not interfere
with the affairs of the Jewish state. Wilson recognized that the conflict of World War I
was caused, at least in part, by larger empires interfering with the wellbeing of small
nations and ethnic groups. When the war began in 1914, Wilson confided in his friend
Dr. Greyson that he believed, “patriotism must no longer be a cloak for depredations on
smaller nations...that between the nations there must be a solemn league and covenant
pledging all to the protection of the just rights of each and every one.” 84 The only way for
the Jewish people to successfully be restored to the Holy Land and bring about Christ’s
return was for them to be independent and establish themselves as an autonomous nationstate through self-determination. However, Wilson additionally recognized that because
of Britain and France’s influence in the region and America’s still-burgeoning influence
as a global power, he would not be able to single handedly restore the Jewish people. 85
Wilson’s compromise to give America the opportunity to fulfill its divinely
ordained destiny and help restore the Jews while still allowing European empires to keep
their mandates was to create the League of Nations. In his 1919 speech explaining and
defending the League of Nations, commonly referred to as the “Pueblo Speech” for it was
given in Pueblo, Colorado, Wilson outlined exactly what the League hoped to accomplish
in terms of allowing groups like the Jewish people to establish themselves. He stated,
[These treaties] are based upon the purpose to see that every government dealt
with in this great settlement is put in the hands of the people and taken out of the
hands of coteries and of sovereigns who had no right to rule over the people. It
81
Davidson, “The Past as Prelude,” 23.
Davidson, “The Past as Prelude,” 23.
83
Stephen Wise, Challenging Years (New York, NY: Putnam, 1949), 186-187.
84
Grayson, “The Religion of Woodrow Wilson,” 25-26.
85
Davidson, “The Past as Prelude,” 24.
82
73
�is a people’s treaty, that accomplishes by a great sweep of practical justice the
liberation of men who never could have liberated themselves, and the power of
the most powerful nations has been devoted not to their aggrandizement but to
the liberation of people whom they could have put under their control if they had
chosen to do so...That is the fundamental principle of this great settlement. 86
Powerful nations like Britain, France, and America, thus, could use their influence to not
rule smaller nations or ethnic groups, but to help them realize their full potential as
governing bodies. For the Jewish people, this meant the support from the British under
the Balfour Declaration could finally be acted upon through Wilson’s creation of the
League of Nations. The League was built upon American ideals and democratic values,
declares Wilson later in the speech:
[T]he principle that America has always fought for, namely, the equality of selfgoverning peoples...Let us accept what America has always fought for, and
accept it with pride that America showed the way and made the proposal. I do
not mean that America made the proposal in this particular instance; I mean that
the principle was an American principle, proposed by America. 87
It was through this intergovernmental organization, since Wilson based the League of
Nations’ principles upon American ideals and convinced the other world powers to agree
to its stipulations and join, that he hoped to help restore the Jewish people to the
homeland. The various treaty agreements every nation must adhere to are even referred to
as “covenants,” furthering Wilson’s plan for fulfilling America’s divine destiny by tying
the relationship between large and small nations a covenantal one. 88
Unfortunately for Wilson and his Christian Zionist aims, his plan to have
America lead the world in the League of Nations and restore the Jewish people to the
Holy Land failed. He presented the treaty to the Senate on July 10, 1919 in an address to
the chamber; the Foreign Relations Committee then held public hearings from July 31 to
September 12. 89 The Senate began to consider the treaty on September 16, but by
November 15 they voted to invoke cloture and cut off the debate. The Senate eventually
voted on the treaty to join the League of Nations on March 19, 1920, falling short of the
necessary two-thirds majority to win by just seven votes; thus, Wilson could not join the
organization he himself created to establish America as a global power and help restore
86
Woodrow Wilson, “The Pueblo Speech,” Pueblo, CO, September 25, 1919,
https://voicesofdemocracy.umd.edu/wilson-the-pueblo-speech-speech-text/.
87
Wilson, “The Pueblo Speech.”
88
Wilson, “The Pueblo Speech.”
89
Davidson, “The Past as Prelude,” 23-24.
74
�the Jewish people to the Holy Land. 90 Additionally, Wilson suffered a stroke in October
of 1919, effectively incapacitating him and preventing him from doing many of his
presidential duties, including continuing to fight for the League of Nations. Dr. Grayson,
his friend, close advisor, and personal physician discussed the toll working on the League
of Nations took on Wilson in the statement he wrote the day Wilson died in 1924, stating,
As his physician I did all I could to persuade him to spare himself...but the sense
of duty was stronger in him than the sense of self-preservation...During the
struggle over the League of Nations and while he was a bed-ridden invalid, his
fighting instinct remained as strong as ever, and he struggled to have his way,
which he was convinced was the right way. He was still the fighting Christian.
He believed that God would overrule all things for good. 91
Wilson, between his illness, his presidential term coming to an end, and the United
States’ decision to not join the League of Nations, was unable to accomplish his Christian
Zionist aims as president.
While America as a nation was dedicated to the Christian Zionist movement
during the Wilson Administration, that support faltered once Wilson left office in 1921,
gradually decreasing throughout the 1920s and early 1930s. 92 This occurred for a number
of reasons. First, the political scene after Wilson left office changed dramatically. The
three presidents after Wilson, Warren G. Harding, Calvin Coolidge, and Herbert Hoover,
all pursued “unilateral internationalism” foreign policies; they refused to participate in
the League of Nations or any other collaborative responsibility and specifically designed
their foreign policies to focus on international economic opportunities for the United
States. 93 With Wilson out of office, the Christian Zionists had lost their most powerful
political supporter and it became difficult to justify America’s involvement in helping to
restore the Jewish people to the Holy Land when America wasn’t involved in
international politics or the League of Nations. 94 Second, a new wave of antisemitism
occurred in the 1920s due to the rise of the Ku Klux Klan, the association of Jews with
ethnic nationalism movements like the Bolshevik Revolution in Russia, and the
perpetuation of antisemitic stereotypes in major newspaper publications throughout the
United States. This new wave of antisemitism caused the more liberal evangelical
Protestants who originally embraced Wilson’s Christian Zionist policies and the Jewish
90
Merkley, Politics of Christian Zionism, 98.
Grayson, “The Religion of Woodrow Wilson,” 27-28.
92
Merkley, Politics of Christian Zionism, 98, 114.
93
Merkley, Politics of Christian Zionism, 98.
94
Merkley, Politics of Christian Zionism, 114.
91
75
�Zionist movement to revoke their support. 95 Third, in addition to the new wave of
antisemitism, in the 1920s there was a corresponding rise in Christian fundamentalism
and Biblical literalism. Since Christian Fundamentalists still viewed the restoration of the
Jewish people to the Holy Land as integral to fulfilling Biblical prophecy regardless of
any widespread antisemitism, this meant that the only Christians still speaking zealously
about establishing a Jewish homeland were increasingly fringe conservative Christians
with relatively little political power. 96 These three aspects together contributed to the
faltering support of Americans to the Christian Zionist movement.
Just as World War I signaled a major turning point for Christian Zionism, so too
was World War II a generation later. The failure of the League of Nations to keep
international peace and America proving once again that it was a powerful global entity
only fortified the belief American Christian Zionists had of their own national superiority
over other nations, particularly Britain and France. 97 With the Holy Land once again in
chaos after the war due to the fights in the Middle Eastern theater against fascist Italy, the
United States believed that an independent Jewish state would provide some much
needed stability in the region by allowing the Jewish people to return to the region gifted
to them by God. 98 But perhaps the most compelling reason for the Christian Zionists to
once again begin petitioning for the restoration of the Jews was the Holocaust. With the
slaughter of six million Jews, it became imperative for the Christian Zionists to help the
Jewish people establish their own independent nation so the end-times prophecy in the
Book of Revelation could be fulfilled before any more harm came to God’s chosen
people. 99
Compared to Wilson, Truman was much more vocal about his religious opinions
and beliefs, particularly in regard to his interest in restoring the Jewish people to the Holy
Land. In Merle Miller’s interviews with President Truman, from which an oral biography
was published in 1974, Truman reflected,
One of [my appointments]...was with Rabbi Wise. I saw him late that morning,
and I was looking forward to it because I knew he wanted to talk about
Palestine, and that is one part of the world that has always interested me, partly
because of its Biblical background, of course...it wasn’t just the Biblical part
about Palestine that interested me. The whole history of that area of the world is
95
Merkley, Politics of Christian Zionism, 114.
Merkley, Politics of Christian Zionism, 114.
97
Merkley, Politics of Christian Zionism, 98.
98
Reuther, “Christian Zionism and Mainline Western Christian Churches,” 184-185.
99
Mearsheimer and Walt, The Israel Lobby, 107; Reuther, “Christian Zionism and Mainline
Western Christian Churches,” 185.
96
76
�just about the most complicated and most interesting of any area anywhere, and
I have always made a careful study of it. 100
Truman was not only religiously interested in subjects dealing with Palestine, the Middle
East, and the Holy Land, but he was also incredibly educated in the history and politics of
the region as well as Biblical scholarship and study. 101 He believed this combination of
religious interest and historical, political, and philosophical education made him an
expert. 102 Not only did he believe himself an expert, but he believed himself to be a
modern incarnation of Cyrus, the Persian king who freed the Jews from Babylon. 103 In
November 1953 on a visit to the Jewish Theological Seminary in New York City, when
introduced to the crowd as the man who “helped create the State of Israel,” Truman
replied: “What do you mean, ‘helped to create?’ I am Cyrus.” 104 To Truman, he was
called by God to restore the Jewish people to the Holy Land through his position as
President of the United States.
Truman, long before he became president, had his mind made up about using his
platform as an American politician to help restore the Jewish people to the Holy Land.
During his time as a Missouri Senator from 1934 to 1945, Truman was a member of the
American Palestine Committee, along with two-thirds of the American Senate. 105 The
precursor to the American Christian Palestine Committee, this committee was a political
lobby group founded to influence American foreign policy towards the establishment of a
Jewish national home in Palestine. 106 In an address to Congress in 1939, Truman publicly
denounced Britain for going back on the promise it made in the Balfour Declaration to
help create an independent Jewish state in Palestine. He stated that, “[t]he British
government has used its diplomatic umbrella again, this time on Palestine. It has made a
scrap of paper out of Lord Balfour’s promise to the Jews. It has just added another to the
long list of surrenders to Axis powers.” 107 Additionally, though President Franklin
Roosevelt made the decision not to establish an independent Jewish state until after an
100
Miller, Plain Speaking, 30-31, 32.
Davidson, “Christian Zionism as a Representation of American Manifest Destiny,” 163.
102
Davidson, “Christian Zionism as a Representation of American Manifest Destiny,” 163.
103
Merkley, Politics of Christian Zionism, 166.
104
Paul C. Merkley, American Presidents, Religion, and Israel: The Heirs of Cyrus (Westport, CT:
Praeger Publishers, 2004), vii.
105
Merkley, Politics of Christian Zionism, 156.
106
Merkley, Politics of Christian Zionism, 156.
107
Harry S. Truman, Congressional Record, 76 Cong., 1st sess., 1939, Vol. 84, pt. 13, Appendix,
2231.
101
77
�Allied victory occurred, Truman continued his vocal and outspoken support for Christian
Zionism after he became Vice President in 1945. 108
Regarding his Christian Zionist actions as president, Truman fortunately had the
benefit of historical hindsight. Truman saw Wilson as a Cyrus-figure, an inspiration and
presidential predecessor in terms of implementing Christian Zionist policies towards
restoring the Jewish people to the Holy Land. 109 However, while Truman took inspiration
from Wilson’s actions as President of the United States, he recognized that ultimately
Wilson failed to achieve his Christian Zionist objective during his presidency. 110 He
expressed this sentiment in a speech he gave in June of 1949 at the dedication of the
World War Memorial Park in Little Rock, Arkansas:
We entered the First World War to restore peace and to preserve human
freedom; but when that war was finished, we turned aside from the task we had
begun. We turned our backs upon the League of Nations...We ignored the
economic problems of the world...We let our domestic affairs fall into the hands
of selfish interests. We failed to join with others to take the steps which might
have prevented a second world war...This time we are fully aware of the
mistakes that were made in the past. We are on guard against the indifference
and isolationism which can only lead to the tragedy of war...We have assumed
the responsibility which I believe God intended this great Republic to assume. 111
Thoroughly convinced that Wilson’s failure indicated that he was the true American
Cyrus, Truman was determined to do everything he could to ensure that he restored the
Jewish people to the Holy Land by avoiding Wilson’s mistakes.
The plan for partitioning Palestine was passed by the United Nations General
Assembly on November 29, 1947 and six months later, on May 14, 1948, Israel’s
provisional government declared the creation of the State of Israel. 112 That same day,
President Truman officially recognized the State of Israel, stating in a press release:
This Government has been informed that a Jewish state has been proclaimed in
Palestine, and recognition has been requested by the provisional Government
108
Merkley, Politics of Christian Zionism, 157.
Merkley, Politics of Christian Zionism, 166.
110
Merkley, American Presidents, Religion, and Israel, viii.
111
Harry S. Truman, “Address in Little Rock at the Dedication of the World War Memorial Park,”
Little Rock, AR, June 11, 1949, https://www.trumanlibrary.gov/library/public-papers/120/addresslittle-rock-dedication-world-war-memorial-park.
112
Cannon, “Mischief Making in Palestine,” 233.
109
78
�thereof. The United States recognizes the provisional government as the de facto
authority of the new State of Israel. 113
Prior to this statement of recognition, Truman was warned by members of the State
Department that the United States should stay neutral. 114 In fact, the State Department
had been trying to convince Truman that America should stay as neutral as possible since
he became president after Franklin Roosevelt’s death in April of 1945. Within the first
three weeks of his presidency, Truman was contacted by Secretary of State Edward
Stettinius and the Under Secretary of State Joseph Grew, both of whom implored the new
president to not take drastic action in Palestine with regards to establishing a Jewish
state. 115
Truman resented that other American government bureaucrats, whom he
regularly referred to as the “striped pants boys,” did not seem to recognize the importance
of restoring the Jewish people to the Holy Land. 116 To Truman, America aiding in the
restoration of the Jewish people encompassed America’s political manifest destiny in
bringing about world peace, its obligation as a Christian nation to follow God’s will, and
fulfilled Biblical prophecy. 117 While his advisors and other government officials might
have claimed to be experts in United States-Palestine foreign policy issues, Truman
believed that his knowledge of the Bible and his religious beliefs was more legitimate. 118
In his interviews with Merle Miller and in his own memoir, Truman expressed this
frustration. To Miller, while reflecting on a conversation he had with Rabbi Wise about
his dedication to establishing a Jewish state, he proclaimed:
[A]s far as I was concerned, the United States would do all that it could to help
the Jews set up a homeland. I didn’t tell him that I’d already had a
communication from some of the “striped pants” boys warning me...in effect
telling me to watch my step, that I didn’t really understand what was going on
over there and that I ought to leave it to the experts. 119
113
Harry S. Truman, “Recognition of Israel,” Press Release, May 14, 1948,
https://www.trumanlibrary.gov/library/research-files/draft-recognition-israel.
114
Davidson, “The Past as Prelude,” 33.
115
Edward Stettinius, Letter to President Harry S. Truman, April 18, 1945,
https://www.trumanlibrary.gov/library/research-files/edward-stettinius-harry-s-truman; Joseph
Grew, Memorandum to President Harry S. Truman, May 1, 1945, 2,
https://www.trumanlibrary.gov/library/research-files/joseph-grew-harry-struman?documentid=NA&pagenumber=2.
116
Merkley, Politics of Christian Zionism, 167.
117
Smith, Religion in the Oval Office, 152.
118
Davidson, “The Past as Prelude,” 33.
119
Miller, Plain Speaking, 33.
79
�In his own memoir, Truman discusses that he “familiarized [himself] with the history of
the question of a Jewish homeland and the position of the British and the Arabs.” 120 He
even admitted to reading the “views and attitudes assumed by the ‘striped pants boys’ in
the State Department.” 121 But ultimately, his religious convictions proved stronger than
the advice and expertise from the State Department and other officials. Truman genuinely
believed that restoring the Jewish people to the Holy Land was the crusade he was
destined to lead as President of the United States, and he was willing to ignore the advice
of his advisors and other government officials in order to make it happen.
For both Woodrow Wilson and Harry S. Truman, their Christian faith and belief
in Christian Zionism informed their understanding of politics and America’s role as a
global power in the aftermath of international conflict. They saw America as the nation
manifestly destined to lead the world into peace and prosperity after the chaos of the two
World Wars, and it was their duty as the most powerful men in the United States to help
make that happen. However, the historical contexts in which Wilson and Truman found
themselves during their respective tenures as President of the United States greatly
affected their ability to achieve their goals. For Wilson in the aftermath of the “Great
War,” the first major global conflict on a massive scale, he thought the best way for
America to lead the world into peace and prosperity would be through the League of
Nations. Unfortunately for Wilson, he overestimated his own government’s desire to
become involved in international affairs and its desire to listen to a president nearing the
end of his second term. Moreover, Wilson’s own failing health at the end of his
presidency prevented him from advocating and lobbying more heavily for the League of
Nations, and when he left office, the American government reverted to its pre-war selfisolationist tendencies.
For Truman, the socio-political circumstances after World War II were in his
favor, thus allowing him to achieve his Christian Zionist goals as President of the United
States. The aftermath of World War II saw the world in an incredibly different place than
at the end of World War I, one in which European colonial powers were effectively
disbanded and the mass genocide of Holocaust proved the necessity of a secure homeland
for the Jewish people. Moreover, with the benefit of historical hindsight, Truman could
follow the example of Wilson’s precedent while altering his behavior to avoid making the
same mistakes Wilson made as president. Truman saw the difficulty Wilson had with
getting the entirety of the American government to support his desire to help the Jewish
people, so he decided to take matters into his own hands without asking for support in the
120
121
Harry S. Truman, Memoirs (Garden City, NY: Double Day, 1955-1956), vol. I, 84.
Truman, Memoirs, 1:84.
80
�first place. Truman believed that he became president through the grace of God and to
second-guess his position of power by referring to advisors, cabinet members, the Senate,
or the State Department is to second-guess God’s will.
Woodrow Wilson and Harry S. Truman were able to use their position as
President of the United States to perpetuate their Christian Zionist agenda, but they were
by no means the only ones in Washington D.C., or the entire nation for that matter, who
believed America’s political destiny was tied to the fulfillment of Biblical prophecy. Nor
has such a connection between American politics and Biblical prophecy ceased to exist
since they left office. Even today, in seemingly far less dire circumstances than helping to
rebuild the world after a massive global conflict, this connection of American politics to
Biblical destiny remains. Invocations of religious rhetoric to establish, justify, and defend
America’s national political destiny are used with some regularity, as evidenced by the
propensity of American evangelicals to refer to President Trump as King Cyrus. And
even today, such intertwining of religion and politics is not exclusive to a small, fringe
group of Christian conservatives. According to the Pew Research Center, in the 2020
presidential election 78% of white evangelical Protestants, who make up nearly 25% of
the vote nationwide, voted for President Trump and continue to elevate him to the status
of a Biblical ruler. 122 There is a sustained connection between American politics and
Biblical prophecy, and such a connection continues to influence American life even
today.
Bibliography
Primary Sources:
Balfour, Arthur. Foreign Secretary Arthur Balfour to Lord Rothschild. November 2,
1917. https://avalon.law.yale.edu/20th_century/balfour.asp.
“Christmas Greetings from Officials; Wilson Looks Forward to Peace; Jerusalem Joy to
Speaker Clark: “what is Life without Liberty?” Asks Daniels -- Pan-American Sentiment
from Naon -- Selectives’ Best Gift to Country is Prompt Response to Questionnaire, Says
Crowder.” The Washington Post, Dec. 24, 1917.
122
Gregory A. Smith, “White Christians continue to favor Trump over Biden, but support has
slipped,” Pew Research Center, Oct. 13, 2020, accessed Nov. 28, 2020,
https://www.pewresearch.org/fact-tank/2020/10/13/white-christians-continue-to-favor-trump-overbiden-but-support-has-slipped/.
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�Grayson, Cary T. “The Religion of Woodrow Wilson.” February 3, 1924.
http://presidentwilson.org/items/show/22351.
Grew, Joseph. Memorandum to President Harry S. Truman. May 1, 1945.
https://www.trumanlibrary.gov/library/research-files/joseph-grew-harry-struman?documentid=NA&pagenumber=2.
Miller, Merle. Plain Speaking: An Oral Biography of Harry S. Truman. New York, NY:
Berkeley, 1974.
O’Sullivan, John L. “The great nation of futurity.” The United States Democratic Review
6, no. 23 (1839): 426-430.
Riley, William Bell. The Evolution of the Kingdom. New York, NY: Charles C. Cook,
1913.
Scofield, Cyrus I. The Scofield Reference Bible. New York, NY: Oxford University
Press, 1909.
Snowden, James H. "Summary of Objections to Premillenarianism." Biblical World 53
(1919): 165-173.
Stettinius, Edward. Letter to President Harry S. Truman. April 18, 1945.
https://www.trumanlibrary.gov/library/research-files/edward-stettinius-harry-s-truman.
Truman, Harry S. “Address at the Cornerstone Laying of the New York Avenue
Presbyterian Church.” Washington, D.C., April 3, 1951.
https://www.trumanlibrary.gov/library/public-papers/68/address-cornerstone-laying-newyork-avenue-presbyterian-church.
Truman, Harry S. “Address in Little Rock at the Dedication of the World War Memorial
Park.” Little Rock, AR. June 11, 1949. https://www.trumanlibrary.gov/library/publicpapers/120/address-little-rock-dedication-world-war-memorial-park.
Truman, Harry S. “Address to the Washington Pilgrimage of American Churchmen.”
Washington, D.C. September 28, 1951.
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�Truman, Harry S. Congressional Record. 76th Congress, 1st Session, 1939. Volume 84,
Part 13. Appendix.
Truman, Harry S. Memoirs. 2 vols. Garden City, NY: Double Day, 1955-1956.
Truman, Harry S. Off the Record: The Private Papers of Harry S. Truman, edited by
R.H. Ferrell. New York, NY: Harper and Row, 1980.
Truman, Harry S. “Radio Address as Part of the Program ‘Religion in American Life.’”
October 30, 1949. https://www.presidency.ucsb.edu/documents/radio-address-part-theprogram-religion-american-life.
Truman, Harry S. “Recognition of Israel.” Press Release. May 14, 1948.
https://www.trumanlibrary.gov/library/research-files/draft-recognition-israel.
Truman, Harry S. “Remarks in Alexandria, VA at the Cornerstone Laying of the
Westminster Presbyterian Church.” Alexandria, VA. November 23, 1952.
https://www.presidency.ucsb.edu/documents/remarks-alexandria-va-the-cornerstonelaying-the-westminster-presbyterian-church.
Wilson, Woodrow. “Day of Prayer Declared.” Press Statement. May 11, 1918.
http://presidentwilson.org/items/show/34288.
Wilson, Woodrow. “Food Administration.” Press Statement. October 27, 1917.
http://presidentwilson.org/items/show/34084.
Wilson, Woodrow. Letter to Thomas F. Logan. November 8, 1918.
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Wilson, Woodrow. “State of the Union Message.” December 7, 1920.
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Wilson, Woodrow. “Thanksgiving Day Proclaimed.” Press Statement. November 5,
1919. http://presidentwilson.org/items/show/34322.
Wilson, Woodrow. “The Bible and Progress.” Denver, CO. May 7, 1911.
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�Wilson, Woodrow. “The Pueblo Speech.” Pueblo, CO. September 25, 1919.
https://voicesofdemocracy.umd.edu/wilson-the-pueblo-speech-speech-text/.
Wise, Stephen. Challenging Years: The Autobiography of Stephen Wise. New York, NY:
Putnam, 1949.
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Burnidge, Cara Lee. A Peaceful Conquest: Woodrow Wilson, Religion, and the New
World Order. Chicago, IL: University of Chicago Press, 2016.
Cannon, Mae Elise. “Mischief Making in Palestine: American Protestant Christian
Attitudes toward the Holy Land, 1917-1949.” In Comprehending Christian Zionism:
Perspectives in Comparison, edited by Gӧran Gunner and Robert O. Smith, 231-255.
Minneapolis, MN: Fortress Press, 2014.
Davidson, Lawrence. “Christian Zionism as a Representation of American Manifest
Destiny.” Critique: Critical Middle Eastern Studies 14, no. 2 (2005): 157-169.
Davidson, Lawrence. “The Past as Prelude: Zionism and the Betrayal of American
Democratic Principles, 1917-1948.” Journal of Palestine Studies 31, no. 3 (2002): 21-35.
Durbin, Sean. “Walking in the Mantle of Esther: "Political" Action as "Religious"
Practice.” In Comprehending Christian Zionism: Perspectives in Comparison, edited by
Gӧran Gunner and Robert O. Smith, 85-124. Minneapolis, MN: Fortress Press, 2014.
Mearsheimer, John J., and Stephen M. Walt. The Israel Lobby and US Foreign Policy.
New York, NY: Farrar, Straus, and Giroux, 2007.
Merkley, Paul C. American Presidents, Religion, and Israel: The Heirs of Cyrus.
Westport, CT: Praeger Publishers, 2004.
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Merkley Paul C. “Zionists and Christian Restorationists.” Proceedings of the World
Congress of Jewish Studies 3 (1993): 93-100.
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�Miano, Peter J. “Mainstream Christian Zionism,” In Prophetic Voices on Middle East
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Nationalism in the Middle East, edited by Thomas E. Phillips, Peter J. Miano, Jason
Mitchell, 163-186. Claremont, CA: Claremont Press, 2016.
Reuther, Rosemary Radford. “Christian Zionism and Mainline Western Christian
Churches.” In Comprehending Christian Zionism: Perspectives in Comparison, edited by
Gӧran Gunner and Robert O. Smith, 179-190. Minneapolis, MN: Fortress Press, 2014.
Smith, Gary Scott. Religion in the Oval Office: The Religious Lives of American
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Weber, Timothy P. On the Road to Armageddon: How Evangelicals Became Israel's Best
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85
�The Pantsuit as a Symbol of Advancement for Women
in the Entertainment, Business, and Political Spheres
Savannah Yates (Theatre/Speech and History) 1
Women’s fashion in the past century has undergone radical changes from
women abandoning corsets to burning their bras. However, many underestimate the
significance and struggle for women to wear pants. The pantsuit, in particular, has
become a symbol of women’s progress in business, academia, politics, and entertainment.
The adoption of suits, a traditionally male garment, into women’s fashion has made it
possible for women to advance in career fields traditionally dominated by men. The
pantsuit has been controversial since it simultaneously imitates the male silhouette to gain
women access to male spaces while representing female power as women claim the
pantsuit as a symbol of femininity. A pantsuit, or trouser suit outside the U.S., is most
often defined as a suit consisting of a matching jacket and pants worn by women. The
fact that a suit is called a pantsuit only when worn by women, despite being the same
ensemble for a man, already suggests a gendered connotation to the word pantsuit and
indicates resistance and discomfort with women wearing pants. 2 The history of women
wearing pants stems even from ancient times and greatly differs in Western and Eastern
cultures.
Since the Middle Ages, pants had become a Western symbol for masculinity.
Pants were worn by men to do work that was gendered male like politics, war, and
manual labor. Skirts became a symbol of femininity and for domestic work. However, in
other non-Western cultures, this was not the case and women’s dress often included some
type of trousers for the work required or the environment lived in. 3 In the Western,
predominantly Christian world, women wearing pants was seen as something forbidden
in the Bible. Deuteronomy 22:5 states, “a woman must not wear a man’s clothing and a
man must not wear a woman’s clothing; because whoever does so is an abomination of
1
Written under the direction of Dr. Felicia Ruff in partial fulfillment of the Senior
Program requirements.
2
Mary Edwards. “Gender, Shame, and the Pantsuit.” Hypatia 33, no. 3 (August 2018), 9.
3
Martina Bitunjac. “Women Must Not Dress as Men: A Brief History of Female
Trousers.” In Fashion through History. Costumes, Symbols, Communication. Volume 2.
Edited by Giovanna Motta and Antonello Biagini. (Cambridge Scholars Publishing,
2017), 458.
86
�the Lord, your God.” 4 Therefore, the right to wear pants became a religious issue for
women (even though Biblical men’s dress differed greatly from Western male pants) and
consequently the subversive wearing of traditionally male clothes made a rebellious
statement. Wearing male clothes was scandalous for two seemingly opposite reasons. The
first being that, imitating men, by wearing traditionally male clothes, subverted the
gender roles and expectations for being a woman, which reduced femininity. The second
being that the different fit of pants on a female’s lower half was sensational and increased
sex appeal. Both reactions, as contradictory as they may be, are present throughout the
history of the pantsuit and women wearing pants in general.
The history of the pantsuit begins with the invention of bloomers, the first
“pants” acceptable for Western women to wear. Before this, women crossdressing as
men was reported on occasion in the eighteenth and nineteenth centuries so women could
operate in literary or intellectual circles, but was rare in the accepted mainstream, with
most women conforming to beliefs about traditional differences in gender, where women
should not be educated. 5 Women were second class citizens, they couldn’t vote, hold
office, or work the same hours as men. 6 In the mid-nineteenth century Amelia Bloomer, a
feminist, suffragette, and editor of the first newspaper for women, The Lily, presented her
new invention to the public in the magazine. She was committed to dress reform for
women, inspired by the work of Elizabeth Cady Stanton. 7 Women’s undergarments were
heavy and tight corsets were restrictive. 8 The Bloomers, named after herself, were anklelength trousers to be worn under the dress, inspired by the pants women in the Ottoman
Empire wore. 9 (Figure 1) Women could still have a feminine silhouette in society but the
bloomers underneath enabled them to have greater physical mobility and to work outside
the home, mostly in factories. 10 Amelia Bloomer wore her invention from 1851 to1859,
when she stopped due to ridicule from men and conservative women. 11
4
Martina Bitunjac. “Women Must Not Dress as Men: A Brief History of Female
Trousers.” 460.
5
Martina Bitunjac. “Women Must Not Dress as Men: A Brief History of Female
Trousers.” 461.
6
Erica Euse. “The Revolutionary History of the Pantsuit.” VICE. VICE Media Group,
March 21, 2016.
7
Tyler William Johnson. "Empowerment Through Clothing? The Hosenanzug, Women,
and Political Power." (Master's Thesis, University of Tennessee, 2018), 16.
8
Bitunjac. “Women Must Not Dress as Men: A Brief History of Female Trousers.” 460.
9
Bitunjac. “Women Must Not Dress as Men: A Brief History of Female Trousers.” 460.
10
Tyler William Johnson. "Empowerment Through Clothing? The Hosenanzug, Women,
and Political Power." 17.
11
Bitunjac. “Women Must Not Dress as Men: A Brief History of Female Trousers.” 460.
87
�Fig 1. Amelia Bloomer 1849. Source: FIT
In the wake of World War I, women’s roles, and subsequently the fashion
required for them, changed. The male workforce was being deployed and women needed
more practical clothes for their new positions as nurses, mailwomen, and factory
workers. 12 In addition to work, women were getting involved in new sports, like
bicycling, gymnastics, and tennis where they needed lighter and more movable clothes.
“The introduction of pants in women’s clothing mirrored the admission of women into
the world of work and sport.” 13 These new developments in women’s employment and
recreation gave them the agency to push for the women’s right to vote, granted in 1920. 14
Fashion designers responded by starting to make suits with wide trousers. 15 However,
one of the biggest designers in the industry resisted a full transition to menswear inspired
trouser suits. In 1923, Coco Chanel created her signature skirt suit, inspired by a
menswear silhouette with a knee length skirt and coordinating wool button down jacket. 16
(Figure 2) Chanel’s suit is a lasting icon in American fashion, particularly the pink
12
Bitunjac. “Women Must Not Dress as Men: A Brief History of Female Trousers.” 463.
Maria Cristina Marchetti. “Power Dressing: Women and Power.” In Fashion through
History. Costumes, Symbols, Communication. Volume 2. Edited by Giovanna Motta and
Antonello Biagini. (Cambridge Scholars Publishing, 2017), 498.
14
Erica Euse. “The Revolutionary History of the Pantsuit.”
15
Bitunjac. “Women Must Not Dress as Men: A Brief History of Female Trousers.” 460.
16
Euse. “The Revolutionary History of the Pantsuit.”
13
88
�Chanel suit worn by Jackie Kennedy when President Kennedy was assassinated. 17
(Figure 3) The skirt suit remained a women’s fashion staple until the 1990s, even as the
pantsuit grew in popularity simultaneously.
Fig 2: Actress Ina Claire Modeling
Fig 3: Jacqueline Kennedy Onassis and President
A Chanel Suit in An Advertisement
John F. Kennedy on November 22, 1963. Source:
Circa 1924. Source: CR Fashion Book, CR Fashion Book, Art Rickerby, Getty Images.
Edward Steichen, Getty Images.
“By 1930, 24.3% of American women were employed, mostly in domestic
service or lower paying clerical work.” 18 Fashion began to respond by developing
womenswear for the working woman. French designer Marcel Rochas is usually credited
with being the first to pair pants with women’s suits in 1932, although this is disputed by
fashion historians. 19 His original ensemble paired gray wool trousers with a matching
jacket that included exaggerated shoulder pads. The addition of the shoulder pad into the
pantsuit further masculinized the silhouette and began a trend that would last until the
1980s. This exaggeration of the silhouette continued with the designs of Italian designer
17
Veronica De Sanctis. “From the Kennedys to the Obamas: Style and Politics of
American Presidential Couples.” In Fashion through History. Costumes, Symbols,
Communication. Volume 2. Edited by Giovanna Motta and Antonello Biagini.
(Cambridge Scholars Publishing, 2017), 320.
18
Euse. “The Revolutionary History of the Pantsuit.”
19
Euse. “The Revolutionary History of the Pantsuit.”
89
�and Chanel rival, Elsa Schiaparelli. The designer was inspired by the surrealist art
movement which features the “trompe l'oeil” or “trick of the eye” which contributed to
Schiaparelli experimenting with the female silhouette. 20 As part of her 1939 fall/winter
collection, she designed a menswear inspired wool pantsuit which included single pleat
cuffed slacks and a speckled brown wool jacket with large buttons. 21 (Figure 4)
“According to the Metropolitan Museum of Art, where the outfit has been on display,
during the time of its debut ‘only the most unconventional designer would offer a
straightforward pantsuit, and only a fearless woman would wear it.’" 22 Although stylish
clients and celebrities were beginning to adopt the high fashion trends of their patron
designers, pantsuits were still a taboo in mainstream society, and in some areas still a
punishable offense.
Fig 4: Pantsuits from House of Schiaparelli Winter Collection 1939-40. Source: MET
Museum of Art
Like the war before it, World War II further increased women’s opportunities for
employment and advancement in society. Able-bodied men were being sent to both the
European and Pacific theaters of the war and the workforce back home needed women to
fill the void for the war effort. From 1940-1945 women in the workforce increased from
20
Sophie Shaw. “The History of Shoulder Pads.” CR Fashion Book. Hearst Magazine
Media Inc., January 1, 2019.
21
Euse. “The Revolutionary History of the Pantsuit.”
22
Euse. “The Revolutionary History of the Pantsuit.”
90
�27% to 47%. 23 Many women abandoned their skirts to become blue-collar workers in
factories. (Figure 5) Women’s Levis jeans had been introduced in 1935 and many found it
easier to wear pants on the job. 24 In England, women even wore their husband’s clothing
because of rationing. 25 Working and wearing pants became an act of patriotism as one
company offered a “woman-all” jumpsuit for “the patriotic woman eager to do her bit in
the kitchen or garden.” 26 However, if women were in traditional roles of teaching or public
service, a skirt or dress was still expected. 27 The style of women’s fashion overall looked
much more militaristic and shoulder pads remained in style to create a male silhouette that
women used to assume their new working roles. 28 As the war ended and men returned
home, women were pushed back into their traditional roles as feminine wives and mothers.
Martina Bitunjac, modern historian, argues that the nationalist and fascist ideology
surrounding the war supported two contrasting messages: “women now worked in
factories and in auxiliary jobs in the army; while on the other, in accordance with more
conservative thinking, they went back to their privileged role as wives and mothers.” 29
Fig 5: Gender on the Home Front. Source: National WWII Museum, National Archives
23
Euse. “The Revolutionary History of the Pantsuit.”
Euse. “The Revolutionary History of the Pantsuit.”
25
Johnson. "Empowerment Through Clothing? The Hosenanzug, Women, and Political
Power." 21.
26
Daniel James Cole and Nancy Deihl. The History of Modern Fashion From 1850.
(London: Laurence King Publishing, 2015), 124.
27
Johnson. "Empowerment Through Clothing?" 21.
28
Sophie Shaw. “The History of Shoulder Pads.”
29
Bitunjac. “Women Must Not Dress As Men: A Brief History of Female Trousers.” 464.
24
91
�The 1950s represented a return to traditional gender roles and fashion reflected
this return to femininity by abandoning the Victory Suit and shoulder pads in favor of ALine silhouettes and sweeping skirts. 30 The 1960s were ready to change all of that yet
again, introducing revolutionary change for women in their lives and fashion. Secondwave feminism fought for women’s rights and made strides with the passing of Title VII
of the Civil Rights Act, which made it illegal for employers to discriminate against
women. 31 Hippie counterculture also influenced gender roles by advocating for pacifism
and sexual freedom. 32 In 1966, Yves Saint Laurent introduced Le Smoking Suit,
considered to be the first tuxedo designed for women.(Figure 6) The suit consisted of “a
dinner jacket, trousers with satin stripes down the side, a white shirt, a black bowtie, and
a cummerbund. The powerful look pioneered what the fashion world thought of women
in pantsuits and the idea of androgynous dress.” 33 The 1960s signified radical changes for
women and finally women wearing pants was accepted in the mainstream. 34
Fig 6: YSL’s Le Smoking Suit, 1967. Source: CR Fashion Book, Reg Lancaster, Getty
Images.
30
Sophie Shaw. “The History of Shoulder Pads.”
Euse. “The Revolutionary History of the Pantsuit.”
32
Bitunjac. “Women Must Not Dress As Men: A Brief History of Female Trousers.” 464.
33
Euse. “The Revolutionary History of the Pantsuit.”
34
Bitunjac. “Women Must Not Dress As Men: A Brief History of Female Trousers.” 464.
31
92
�By the 1970s pants had become so popular for women that in 1972 the U.S.
government had to allow girls wearing pants to public schools under Title IX policy. 35
Women also continued entering the workforce and the pantsuit became the uniform of
choice. From 1972 to 1985, women in the workforce increased to 49% and women in
management jobs increased from 20% to 36%. 36 The 1980s signaled a boom in the
popularity of the pantsuit. From 1980 to 1987, annual sales of the women’s pantsuit rose
by almost 6 million units. 37 The trend of power dressing can be credited with this
dramatic increase. Designers like Saint Laurent and Giorgio Armani presented the new
wardrobe for the business woman. 38 Armani introduced his power suit in 1982, after his
sister convinced him to make something powerful for women. 39 “Power suits updated
pantsuits with broad shoulder pads, bigger lapels, and sharper cuts that emulated a man's
silhouette. (Figure 7) These big shouldered jackets and pants disguised a woman's figure
and took the focus off her gender, creating a feeling of authority as the traditional sex
roles continued to blur.” 40 Shoulder pads were once again in style to create a male
silhouette so women could enter male spaces and rise to positions of authority or higher
education. “The female silhouette was rendered powerful by being rendered more
masculine.” 41 Women in business, women on Wall Street and women in film and
television were often seen wearing power suits. Women of the Reagan Era were
reclaiming the pantsuit as a symbol of female power, not just a mere imitation of the male
suit.
In the 1990s, Armani redesigned his power suit to have a slimmer silhouette
without shoulder pads. 42 The end of the power suit signals a shift towards the traditional
women’s business clothing we see today. In a Forbes Magazine interview, Ivanka Trump
mentions that the pantsuit is now obsolete because “we’re more comfortable expressing
our femininity as opposed to assimilating, even in the most corporate of environments.” 43
Trump interprets the pantsuit as an expression of masculinity which I would argue is not
the full meaning of the modern pantsuit. The world has not gotten more comfortable
expressing femininity, since it has always been comfortable with traditional expressions
35
Euse. “The Revolutionary History of the Pantsuit.”
Euse. “The Revolutionary History of the Pantsuit.”
37
Euse. “The Revolutionary History of the Pantsuit.”
38
Bitunjac. “Women Must Not Dress as Men: A Brief History of Female Trousers.” 464.
39
Johnson. "Empowerment Through Clothing?" 27.
40
Euse. “The Revolutionary History of the Pantsuit.”
41
Johnson. "Empowerment Through Clothing?" 28.
42
Johnson. "Empowerment Through Clothing?" 28.
43
Johnson. "Empowerment Through Clothing?" 3.
36
93
�Fig 7: A model wears an Emporio Armani suit at a Paris fashion show, 1989.
Source: Ted Blackbrow/Associated Newspapers
of this, but the world has gotten more comfortable with what femininity can include. It
can now include the power suit, jeans, pant suits, and more. What began as assimilation
in male-dominated fields can now be redefined as a uniquely female fashion item and
symbol. I would also argue that Ivanka is incorrect in saying the pantsuit is obsolete, as it
is still a staple in women’s fashion, particularly in politics, and is often seen in her own
wardrobe and fashion line. Historian Tyler William Johnson asserts that the question of
whether the pantsuit performs masculinity or recodes femininity is still open in a complex
debate. 44 The catch-22 of needing to present women in power as masculine in order to be
taken seriously while also being ridiculed for imitating men is ever present in multiple
fields. Scholar Mary Edwards argues this is because the feminine body always has the
potential to be sexualized, and therefore clothing, especially in professional settings,
matters infinitely more on women. 45 The interplay between sexualization and
masculinization is a significant double standard and the pantsuit has been controversial in
both ways throughout its history. I will explore the pantsuit in the realms of
entertainment, business, and politics and analyze its controversy and benefits for women.
44
45
Johnson. "Empowerment Through Clothing?" 11.
Mary Edwards. “Gender, Shame, and the Pantsuit.” 2.
94
�Women in entertainment wearing pantsuits are some of the earliest and most
influential examples in pop culture. Two movie stars of the Golden Age of Hollywood in
particular subverted the accepted gender norms of the time and brought the symbol of
pants and pantsuits to the forefront of American fashion debates. Marlene Dietrich, a
German star famous for Germany’s first sound film, The Blue Angel, was coming onto
the American scene. 46 Dietrich starred in her first American film, Morocco, in 1930.
(Figure 8) The movie premiered just before the institution of the Hays Code, a system of
Hollywood censorship against sensitive topics such as sexuality, homosexuality, and
interracial relations. 47 Dietrich played the role of Amy Jolly, a cabaret singer, and was
costumed in a tuxedo, top hat and bow tie. In the film she kisses a woman on the mouth,
which was the first homosexual kiss in the history of cinema. 48 This marked the
beginning of sexualizing menswear and its association with perceived transgressive
sexuality. By adventuring into androgyny, Dietrich blurred the lines of gender and sexual
expectations of the time. Dietrich also subverted the norm in her personal life. She was
public about her independence, fluid sexuality, relationships with women, and dressing in
menswear off screen. 49 Marlene Dietrich was an important figure to expose the movie
going public to a woman in a tuxedo but also her portrayal fueled the stereotype of
pantsuits imitating men or them symbolizing homosexuality. This first mainstream
Fig 8: Marlene Dietrich in Morocco (1930). Source: The Criterion Collection
46
Bitunjac. “Women Must Not Dress as Men: A Brief History of Female Trousers.” 463.
Hilary Weaver. “Famous Women Have Been Defying Gender Norms and Rocking
Menswear for Years.” Vanity Fair. Condé Nast, June 22, 2017.
48
Bitunjac. “Women Must Not Dress as Men: A Brief History of Female Trousers.” 463.
49
Bitunjac. “Women Must Not Dress as Men: A Brief History of Female Trousers.” 464.
47
95
�feature of a woman in a pantsuit was revolutionary in sparking a public debate about
archaic anti-pants laws for women. Another Hollywood actress, Katharine Hepburn,
would continue this conversation with her unique style.
Katharine Hepburn was a unique woman, and even more unique to be in the
public eye subverting so many of the female norms that had been established for women,
and particularly celebrity women, to follow. She defiantly dressed in menswear for her
film roles as well as in her daily life before World War II had opened an opportunity for
women to expand their practical fashion options. (Figure 9) In the 1935 film Sylvia
Scarlett she played a woman who dresses like a man. 50 When working at RKO Pictures,
Hepburn would wear jeans to set and they would be confiscated from her dressing room
while she was filming. Instead of changing into a skirt, Katherine would return to set in
her underwear and refuse to dress in protest until her jeans were returned. 51 Trousers for
women was a debate in Hollywood and different stars seemingly took sides. In 1933,
Movie Classic magazine published an article called “Will It Be Trousers For Women?”
that named Katharine Hepburn and Marlene Dietrich, among other stars like Fay Wray
Fig 9: The Most Daring Thing About Katharine Hepburn? Her Pants.
Source: Vanity Fair, Alfred Eisenstaedt/The Life Picture Collection/Getty Images
50
Hilary Weaver. “Famous Women Have Been Defying Gender Norms and Rocking
Menswear for Years.”
51
Marcie Bianco and Merryn Johns. “The Most Daring Thing About Katharine Hepburn?
Her Pants.” Vanity Fair. Condé Nast, May 12, 2016.
96
�and Greta Garbo as supporting the side of women wearing pants. 52 Her androgynous style
was very rare in public life, considering women in the 1930s could still be arrested for
wearing pants on the charge of “masquerading as men,” since it was considered
crossdressing. 53 Fashion reporters Marcie Bianco and Merryn Johns credit these negative
attitudes towards women dressing in traditional menswear to the publishing of Freud’s
theories on “femininity, female masculinity, and female perversion, whereby the desire to
don pants for Freud was conveniently reduced (like most things for women) to penis
envy—and a sure sign of lesbianism.” 54 Freud’s theories reinforced the assumption that
women wearing pants and pantsuits could only be a desire to imitate men or an indication
that they were homosexuals. Clothing equated to an expression of male or female gender
with no nuance or in between.
Another movie star of the 1970s and 1980s brought menswear for women into
the mainstream. Diane Keaton starred as the title role in Woody Allen’s Annie Hall in
1977. 55 (Figure 10) At the dawn of the power dressing era, women were inspired to wear
high waisted pants, hats, neckties, and button downs like Keaton donned in her roles and
on red carpets. Annie Hall’s quirky character subverted the norm and was based on Diane
Keaton herself, since Allen wrote the film based on their past relationship. Keaton even
wore her own clothes for the film. This style was emulated in other collaborations with
Allen and Keaton’s other movie roles. This helped paved the way for normalizing
menswear for women, particularly in film. In a review of the 1993 film In the Line of
Fire, Reviewer Loni Smith McKown asserts “More and more women are wearing pants
in the workplace. And why not? This is the '90s, and it's about time that ancient
workplace dress codes were pushed aside.” 56 The pantsuit appearing in films over time,
from Marlene Dietrich in Morocco to the working professionals in In the Line of Fire
show the popularization and mainstream acceptance of the pantsuit, even if its subliminal
meaning is still interpreted as male imitation or subversive sexuality. The early exposure
of the pantsuit by Dietrich, Hepburn and Keaton made the pantsuit a revolutionary
garment and progressive conversation that made it possible for regular women to advance
in male-dominated career fields.
52
Marcie Bianco and Merryn Johns. “The Most Daring Thing About Katharine Hepburn?
Her Pants.”
53
Bianco and Johns. “The Most Daring Thing About Katharine Hepburn? Her Pants.”
54
Bianco and Johns. “The Most Daring Thing About Katharine Hepburn? Her Pants.”
55
Leah Rodriguez. “Praise Diane Keaton's Glorious Menswear Style.” The Cut. Vox
Media, December 24, 2014.
56
Loni Smith Mckown. "Pantsuits Reflect Women's Attitudes." Indianapolis Star, Sep
09, 1993.
97
�Fig 10: Still of Diane Keaton in Annie Hall. Source: United Artists.
Business, finance, and academia were (and in some ways still are) the most
impenetrable of the male-dominated fields. The pantsuit provided women with a way to
integrate into these professions by simultaneously using the male silhouette as a
camouflage and a bold feminine statement to advance in their fields. Fashion reporter
Sophie Shaw considers the pantsuit a way to “simultaneously fit in and assert their
power.” 57 This double meaning for the pantsuit complicates reactions to it. The corporate
world struggles to decide if it wants women to assimilate to male dress as a standard of
professionalism or if it maintains a gendered dress code since it prizes female sexuality as
a method of hierarchy in male-dominated environments. Since women were permitted to
work in professional environments, they have been subjected to corporate dress codes.
The pantsuit especially has been deemed an outfit that both helps and hinders women
advance in business and has been highly regulated in corporate dress code. John T.
Malloy’s The Woman’s Dress for Success Book, published in 1977 states, “In most
business offices, the pantsuit is often a failure outfit… If you have to deal with men, even
as subordinates, you are putting on trouble… If you want to be a liberated woman, burn
your polyester pantsuit, not your bra. The polyester pantsuit will keep you in corporate
serfdom, while your bra can help you up as well as hold you up." 58 The reference to bras
57
58
Sophie Shaw. “The History of Shoulder Pads.”
Euse. “The Revolutionary History of the Pantsuit.”
98
�being more helpful than pantsuits in advancing women seems to hearken back to the bra
burning movements of the 1960s. I would argue Malloy’s statement ignores the fact that
these movements helped increase women’s rights and opportunities. Women’s fashion as
symbols of female empowerment is not one or the other. Both pieces of clothing have
arguably made a difference in the lives of women.
Malloy is also notable for coining the term “power dressing” in the 1975
handbook, Dress for Success. 59 This seems contradictory to his personal views on the
pantsuit but the book concedes the pantsuit’s corporate appropriateness. His dress code
states that “a dark (navy blue or gray) suit, consisting of trousers, and a jacket over a
white shirt— representing a safe option for both men and women. For women, any
reference to the erotic dimension— necklines, spiked heels, slits, but also light fabrics—
should be eliminated.” 60 The female dress code, defined by men like Malloy, set the
standard for corporate dress even today. Edwards asserts other power dressing manuals
encouraged “the skirted-suit for the career woman, as a costume that protects her from
seeming shamefully out of place in the workplace by sending the right message: I am a
Business Woman, not an imitation man; but while we are working please treat me simply
as a colleague.” 61 The trend of power dressing attempted to give women a sense of
femininity in their suits while claiming positions in male dominated spaces. As I
mentioned earlier, Ivanka Trump would agree femininity is an important element of
female professional fashion. The corporate and professional spheres remain places where
gender needs to be constantly projected through fashion, to create an unspoken hierarchy.
While it is hard to analyze the motives behind men encouraging women away
from menswear, it could be assumed that men felt threatened by women in power and by
denying them access to the same uniform, they could keep women below them in
positions of power. Male established corporate dress codes created a catch-22 for women
where you must wear a suit to be taken seriously but then would be ridiculed for
emulating men by wearing the required menswear inspired pantsuits. 62 Edwards argues
that the issue lies with the constant potential for sexualization of the female body in male
spaces and the pantsuit gives women the opportunity to “manage or at least limit the
potential sexuality of their bodies.” 63 They argue the pantsuit, more than the skirt suit, has
59
Maria Cristina Marchetti. “Power Dressing: Women and Power.” 490.
Maria Cristina Marchetti. “Power Dressing: Women and Power.” 490.
61
Mary Edwards. “Gender, Shame, and the Pantsuit.” 4.
62
Euse. “The Revolutionary History of the Pantsuit.”
63
Mary Edwards. “Gender, Shame, and the Pantsuit.” 4.
60
99
�the potential to make the female body invisible and neutral, like men’s. 64 While this isn’t
always the goal, the pantsuit’s purpose begins as a tool for advancement before it can
become a uniquely feminine symbol of power. The debate continues in business and
other fields if women wearing menswear inspired pantsuits helps them create a new
female powered world or just operate in a man’s world.
Politics is another sphere where the pantsuit has been controversial but
undoubtedly helped women advance and make a statement. Before female politicians, the
First Lady had the power to be a fashion icon and no one is more notable than Jackie
Kennedy. The public started paying attention to what women in politics wore and what it
could potentially symbolize. Although Jackie Kennedy was iconic for her hats and
brightly colored skirt suits, it was Pat Nixon who was the first to wear pants on the cover
of a national magazine, signaling a major change in women’s fashion and attitudes. 65
After that, pants were not common in the wardrobes of successive First Ladies Betty
Ford, Rosalynn Carter, Nancy Reagan, or Barbara Bush, who favored dresses in varying
degrees of extravagance. However, the next first Lady changed all of that.
1993 was a big year for the pantsuit. Senator Barbara Mikulski (D-MD) was
striving to change the “men’s club” atmosphere of the Senate and that started with
breaking the government dress code of skirts for women. 66 Mikulski wanted to be
comfortable and asked for permission from a male senator who just nodded. She recounts
the experience saying, “I'm most comfortable wearing slacks. Well, for a woman to come
on the floor of the Senate in trousers was viewed as a seismographic event...the day I
walked on the Senate floor in slacks, I became the first woman ever to do so. You would
have thought that I was walking on the moon." 67 After the decade of power dressing, it
seems unimaginable that 1993 would be the first year a woman would wear pants in
Congress. Bill Clinton was also inaugurated in 1993 which began his first lady, Hillary
Clinton’s reign as the queen of the pantsuit. Hillary Clinton was the first First Lady to
wear a pantsuit in an official White House Portrait. 68 (Figure 11) Fashion reporter Erica
Euse argues that the correlation between being the only First Lady with such a portrait
and the only First Lady to run for president is no coincidence and signifies her power. 69
64
Mary Edwards. “Gender, Shame, and the Pantsuit.” 5.
Veronica De Sanctis. “From the Kennedys to the Obamas: Style and Politics of
American Presidential Couples.” 321.
66
Euse. “The Revolutionary History of the Pantsuit.”
67
Euse. “The Revolutionary History of the Pantsuit.”
68
Mary Edwards. “Gender, Shame, and the Pantsuit.” 7.
69
Euse. “The Revolutionary History of the Pantsuit.”
65
100
�Clinton uses the pantsuit to symbolize that she is an equal player who occupies her own
space within the male-dominated political world. With such a prominent figure
Fig 11: Official First Lady Portrait of Hillary Clinton. Source: White House Collection.
representing radical changes in women’s fashion, it further normalized the pantsuit in
professional and public life. It also came with its criticisms and difficulties.
Often Clinton’s clothes were given more attention than her platform or her
words. Many critics used the pantsuit as reason “to shame her as an unfeminine, coldhearted, nasty woman.” 70 The connotation, even in the 1990s, that the pantsuit was a
masculine garment only, that invited assumptions about women’s sexuality and inner self
seems counter-productive after a decade where the power suit brought women success.
Yet, women were still being eviscerated for wearing it. Even style icon Tim Gunn
criticized Clinton for being “‘confused about her gender’ because of her ‘big, baggy,
menswear tailored pantsuits.’” 71 Due to its criticism by men, it became a symbol of
protest among female politicians and professionals. Johnson argues that “Clinton
revolutionized the pantsuit ‘into a powerful symbol of female power and feminism.’” 72 It
may not have been Clinton’s original intention to make the garment a revolutionary thing
for women but it certainly has become a symbol of progress. In an interview Clinton
explained why she wears the pantsuit. “First, it ‘makes me feel professional and ready to
70
Mary Edwards. “Gender, Shame, and the Pantsuit.” 7.
Euse. “The Revolutionary History of the Pantsuit.”
72
Johnson. "Empowerment Through Clothing?" 5.
71
101
�go’...Second, it gives ‘visual cues … different from the men but also familiar.’ Third, ‘a
uniform was also a distraction technique.’ And fourthly, ‘so you may as well wear what
works for you.’” 73 (Figure 12) Clinton explains that the pantsuit, besides just being a
comfortable and desirable outfit for women, grants women access to male-dominated
spaces so that they may create their own space within it. The pantsuit is a necessary form
of menswear mimicry where afterwards women may reclaim it as womenswear.
Fig 12: Hillary Clinton in a Rainbow of Pantsuits. Source: Instyle.
While the pantsuit is still accused of being masculine and imitative of men,
Clinton’s mainstream wearing of it inspires other women in politics to adopt it as a
uniquely feminine symbol. The goal became less about fitting in with men, and more
about men fitting in with women in pantsuits in politics. Before the 2016 Presidential
Election, a Facebook Group called “Pantsuit Nation” came to prominence. The Facebook
Group became a group to show support for Hillary Clinton and other female politicians
and a unifying place for women’s rights agendas. Creator Libby Chamberlain explains
how the group is “a homage to Clinton and her trademarked ‘pantsuit.’ … why the
pantsuit is not only an outfit, but it also is ‘more than any other campaign pin, slogan, or
logo, the pantsuit symbolizes this moment in history, and I wanted to wear that symbol’
73
Johnson. "Empowerment Through Clothing?" 41.
102
�defining the pantsuit as a symbol of optimism in the quest for gender equality.” 74 Other
female politicians have also adopted the pantsuit as a symbol of female power and
protest. Recent political statements made with the pantsuit also call into question the
politics of the pantsuit itself and if it is a partisan garment belonging to Democrats or
Republicans. For Donald Trump’s first State of the Union speech, Democratic members
of Congress wore “suffragette white” pantsuits to protest the Trump Administration
reversing women’s rights and progress, especially for women of color. 75 (Figure 13) The
pantsuit in the chosen color symbolizes the history of women’s fight to wear pants, and in
a broader sense, to wear whatever they choose. From suffragettes to Amelia Bloomer to
Hillary Clinton, the pantsuit remains a symbol of female protest and advancement.
Fig 13: Congresswomen dressed in “suffragette white” at the State of the Union Address
Source: Reuters / Jonathan Ernst.
However, the pantsuit is not only worn by Democrats. On the one year
anniversary of that State of the Union address, Melania Trump wore a white pantsuit.
(Figure 14) The New York Times argued that Mrs. Trump’s seemingly purposeful
wearing of this garment may have symbolism as a silent protest of her husband. The
pantsuit is “accepted as sartorial shorthand for both the suffragists and contemporary
74
75
Johnson. "Empowerment Through Clothing?" 5-6.
Johnson. "Empowerment Through Clothing?" 34.
103
�women’s empowerment and something of an anti-Trump uniform.” 76 Other media outlets
such as Fox News, disputed the fact that she even wore a white pantsuit at all. “[E]xcept
she didn't. Fake news. Didn't happen. Totally wrong. Melania wore a cream-colored
pantsuit to the speech, and a pricey one at that, made by Christian Dior. She did wear a
white Dolce & Gabbana blouse, but her Christian Louboutin pumps were tan. So, USA
Today, it clearly wasn't an ‘all-white outfit.” 77 They furthered their argument against
“suffragette white” by using gendered stereotypes about women, never referring back to
the symbolism of the color. “She wouldn’t be caught dead in white after Labor
Day...ladies, you know, ask your wives, if ‘eggshell’ is the same as white.” 78 Melania had
made tone deaf fashion decisions before, namely a jacket with the graphic “I Don’t Care”
when visiting children caged at the U.S./Mexico border. The defense of the color over the
garment itself is notable, and may indicate that wearing a pantsuit is not a clearly
Democrat statement, even if Melania’s step-daughter Ivanka says women should indicate
femininity in how they dress. Another notable comparison is how Clinton was criticized
as unmanly for her pantsuit while Melania is not facing similar criticism for the same
garment. Perhaps this reveals a double standard in how men from opposing parties
support and ally with different female political figures.
Fig 14: Melania in a White Pantsuit at the State of the Union 2018. Source: Instyle /
Olivier Douliery.
76
Johnson. "Empowerment Through Clothing?" 36.
Johnson. "Empowerment Through Clothing?" 35.
78
Johnson. "Empowerment Through Clothing?" 36.
77
104
�While the pantsuit is not a uniquely American costume in politics, it has become a unique
debate in the United States, contrasted with female politicians of the U.K. The first female
Prime Minister of the U.K. happened to oppose pants for women. As someone in a
revolutionary position of progress for women this is surprising but in the 1970s and 1980s
the idea of male imitation informed many opinions about the radical change in women’s
fashion. Margaret Thatcher took part in power dressing by imitating the broad shoulders of
a male silhouette in a shoulder padded skirt suit. 79 (Figure 15) Thatcher was assuming a
traditional male role and assumed the same visual cues mentioned by Clinton between
male expectations of the job and masking her femininity. Thatcher is still considered an
empowering female figure because of her functioning in a male space and knowing how to
dress to display power. Writer Amanda Platell writes of meeting with the Prime Minister
and expressing her opinion on trousers. “Never trousers, my dear. They rob a woman of
her authority.” As a conservative politician, it was wise for Thatcher to follow traditional
gender expectations of women wearing skirts. Johnson argues Thatcher purposefully did
this to take attention away from her dress. 80 If she was not doing anything revolutionary in
her dress, it would keep attention on her politics and job, which she cared more about than
being a fashion icon. The Queen is also a political figure who rarely wears pants and seems
to project a conservative femininity in her public outfits. Although it brings up a valid
argument that women should claim their own traditional style as power without imitating
men. I would argue the pantsuit grants women access to male spaces and it
unapologetically puts women visually on the same plane as men.
Fig 15: Margaret Thatcher, gestures outside 10 Downing Street May, 1989. Source: Elle.
79
80
Sophie Shaw. “The History of Shoulder Pads.”
Johnson. "Empowerment Through Clothing?" 33.
105
�Through the history of the pantsuit, one can see its multiple uses in the realms of
entertainment, business, and politics. The pantsuit at its core is a fight for equality by
whatever means necessary. Whether it's by imitating male silhouettes to gain access to
male spaces, or reclaiming it as a symbol of feminism and sex appeal, the pantsuit has
undoubtedly been a tool for women’s progress in the professional world. The pantsuit is a
piece of a larger debate over how much femininity women in power should display.
Women’s clothing is infinitely more scrutinized than men’s and can make or break a
career. Often what women wear overshadows what they do or say. The popularization of
androgynous style, including women wearing suits for business, politics, and even on the
red carpet has opened a conversation about what gender is and whether femininity
defines womanhood. Pantsuits being in trend have coincided with eras of progress for
women and their symbolism and power in this moment shows the advancement women
have been making in the past few decades. Campaigns for women’s equality, the
#MeToo movement, fighting for reproductive rights, equal pay, and equal opportunities
have been supported by the two-piece garment that opened up these conversations almost
a century ago; the pantsuit.
Bibliography
Arnold, Rebecca. Fashion: A Very Short Introduction. Very Short Introductions. Oxford:
OUP Oxford, 2009.
Bianco, Marcie, and Merryn Johns. “The Most Daring Thing About Katharine Hepburn?
Her Pants.” Vanity Fair. Condé Nast, May 12, 2016.
Bitunjac, Martina. “Women Must Not Dress As Men: A Brief History of Female
Trousers.” In Fashion through History. Costumes, Symbols, Communication. Volume 2.
Edited by Giovanna Motta and Antonello Biagini. 458-466. Cambridge Scholars
Publishing, 2017.
Cole, Daniel James, and Nancy Deihl. The History of Modern Fashion From 1850.
London: Laurence King Publishing, 2015.
De Sanctis, Veronica. “From the Kennedys to the Obamas: Style and Politics of
American Presidential Couples.” In Fashion through History. Costumes, Symbols,
Communication. Volume 2. Edited by Giovanna Motta and Antonello Biagini. 318-326.
Cambridge Scholars Publishing, 2017.
106
�Edwards, Mary. “Gender, Shame, and the Pantsuit.” Hypatia 33, no. 3 (August 2018):
571–77. (1-9) in Cardiff University database.
Euse, Erica. “The Revolutionary History of the Pantsuit.” VICE. VICE Media Group,
March 21, 2016.
Johnson, Tyler William, "Empowerment Through Clothing? The Hosenanzug, Women,
and Political Power. " Master's Thesis, University of Tennessee, 2018.
Marchetti, Maria Cristina. “Power Dressing: Women and Power.” In Fashion through
History. Costumes, Symbols, Communication. Volume 2. Edited by Giovanna Motta and
Antonello Biagini. 488-497. Cambridge Scholars Publishing, 2017.
Mckown, Loni Smith. "Pantsuits Reflect Women's Attitudes." Indianapolis Star, Sep 09,
1993.
Rodriguez, Leah. “Praise Diane Keaton's Glorious Menswear Style.” The Cut. Vox
Media, December 24, 2014.
Shaw, Sophie. “The History of Shoulder Pads.” CR Fashion Book. Hearst Magazine
Media Inc., January 1, 2019.
Weaver, Hilary. “Famous Women Have Been Defying Gender Norms and Rocking
Menswear for Years.” Vanity Fair. Condé Nast, June 22, 2017.
107
�Care and Compassion Override Violence and Genocide:
The Work of Female Physicians and Nurses
Michael Hubert (Physician Assistant)
1
Every day in hospitals all over the world, healthcare professionals seek to
provide the best possible care, treatment and comfort for patients suffering from a
plethora of ailments. The Hippocratic Oath binds doctors, physician assistants, and
nurses to the duties of their profession: treating the sick to one’s best ability, preventing
harm to patients, and teaching medicine to younger generations. Even amid the
starvation, disease, and filth in the ghettos and death camps of Nazi-occupied Europe,
acts of benevolence and selflessness brought comfort and medical aid to Jewish people.
The tireless work of Jewish physicians during the Holocaust, which involved treating
people suffering from the abhorrent and rapidly spreading diseases such as typhus and
tuberculosis and from starvation in ghettos and death camps, has often gone
unrecognized. Furthermore, these professionals often resisted Nazi attempts of
dehumanizing Jews by making “safe haven” hospitals and maintaining the comforting
doctor-patient relationship in the ghettos. In death camps such as Auschwitz-Birkenau,
Jewish doctors and medical professionals, especially women, played a significant role. A
prime example of a Holocaust heroine is Dr. Alina Brewda, a gynecologist in Block 10 of
Auschwitz who treated the side effects of the agonizing experiments that women were
put through against their will. By devising painless experiments and hiding ill patients
from Nazi soldiers, Dr. Brewda risked her well-being to protect Jewish life. Like Dr.
Brewda, Jewish physicians in death camps and other female medical personnel worked
fearlessly to protect and comfort Jews during the Holocaust.
Prior to the “Final Solution,” Jews were isolated from non-Jews by being placed
into segregated areas of major European cities in 1940-41. In these areas called
“Ghettos,” Jews were held in inhumane conditions until a final solution of extermination
was planned out. In these cramped and dirty ghettos, Jews were exposed to rapidly
spreading diseases such as typhus and tuberculosis and had meager amounts of food. An
estimated 500,000 Jews died from starvation and diseases in the more than 1,000 ghettos
scattered throughout Europe. These atrocious conditions gave rise to Jewish medical
1
This essay was written in Spring 2021 in HI334 Nazi Germany and the Holocaust. The
author would like to thank Prof. Lori Weintrob for her support of his research.
108
�resistance, as Jewish doctors and nurses treated Jews who were suffering from health
ailments as a result of living in ghettos. In the Vilna ghetto, Nazis gave very little regard
to the public health conditions.
People were forced into unfamiliar and poorly equipped homes crowded with
strangers. This extreme overcrowding immediately threatened health and
sanitation. It has been estimated that the population density increased by 7-10
times. As a result, the sewer systems which were barely adequate for the poorer
neighborhood before the war, most housing complexes had only outdoor privies
with two to four seats each, which were originally intended for a population only
one tenth the size of the ghetto. The water supply was also inadequateparticularly in the winter when the pipes froze in the unheated buildings. These
factors made personal hygiene exceedingly difficult to maintain. 2
Other health concerns were brought about by incompetent garbage removal and limited
burials leading to a buildup of excrement and dead bodies. The proximity of the Vilna
ghetto to labor camps also led to the outbreak of several diseases as labors came back
sick from the unsanitary working conditions. 3 As a result of these conditions, Jewish
doctors and medical professionals created a successful public health system which
resisted against Nazi plans of killing Jews by disease and starvation.
Jewish doctors continued fulfilling their goal of providing the best care possible
to the ill through the establishment of a hospital within the Vilna ghetto. Four doctors
made house calls and there was an array of different departments such as surgery,
gynecology, neurology, pediatrics, and radiology. Medical knowledge was passed down
to new generations as classes were taught in the hospital. Alexander Sedlis, a medical
student who worked as an orderly in the Vilna ghetto hospital, described the hospital as a
“safe haven” where people were protected from the dangers of the outside world. The
hospital became a social center for both the workers and patients where people could hide
from being transported along with providing treatment for the patients. He describes that
the daily routine was conducted in a way as if almost no war existed, as the doctors
performed normal operations and made their daily rounds while nurses sterilized
equipment and collected dirty laundry. 4 Dr. “Boba” Zalkindson was another well-known
figure in the Vilna ghetto hospital. A young and fearless doctor in the hospital, Boba
2
Mckenna Longacre, Solon Beinfeld, Sabine Hildebrandt, Leonard Glantz, and Michael
A. Grodin. “Public Health in the Vilna Ghetto as a Form of Jewish Resistance,” in
American Journal of Public Health, February 2015, pp.294-5.
3
Longacre, “Public Health in the Vilna Ghetto,” p.293.
4
Alexander Sedlis, “The Jewish Hospital in the Vilna Ghetto” in Jewish Medical
Resistance in the Holocaust edited by Michael Grodin, pp.142-143.
109
�risked death in the Gelbe Scheinen Atkion to treat patients. During the atkion or roundup
for deportation, those who had scheins or tickets were counted and checked while those
without them found hiding places. Despite pleas and cries to hide, Boba shouted, “I have
to see my patients, they cannot be left unattached” and made his rounds. Boba also taught
a plethora of different courses in the hospital to aspiring doctors. One of his most
interesting accounts is in catching flies and other insects to supplement diets and limit
starvation. 5. It is truly amazing that Jewish medical professionals were able to maintain a
safe and normal environment for patients contrasting from the horrors that were occurring
on the outside.
Jewish doctors had risked their own lives hiding Jewish patients from the
outside and even left the refuge of the hospital to scavenge for medical supplies. “Early
on doctors scoured the attics and the ruined or abandoned premises of the ghetto in search
of iodine, bandages, and other materials left by previous occupants.” 6 The widespread
diseases such as typhus and tuberculosis were effectively eliminated as the hospital
provided vaccinations to eliminate the spread of these diseases. 7 To display the success of
the healthcare system and hospital in the Vilna Ghetto, statistics displays a far lower
death rate than in other ghettos. The death rate in 1942 was calculated to be just under
thirty per thousand while the Warsaw ghetto had a death rate of 109 per thousand from
1940-1942 while the Lodz ghetto had a death rate of 133 per thousand from 1940-1944. 8
Two female Jewish physicians who took part in resistance in the ghettos was Dr.
Pesia Kisin and Dr. Adina Schweige Balidi are both known for their role in protecting
Jewish children. Dr. Pesia Kisin was a pediatrician in the Kaunas ghetto in Lithuania who
persisted in her efforts to Jewish children in the ghetto. While being at constant danger of
being caught, Kisin smuggled children out of the ghetto through local connections and
obtained fake identity cards for the children. 9 Another interesting act of resistance was
from Dr. Adina Schweige Balidi who endangered her life by handing out morphine to
Jewish children at the umschlagplatz. She felt that it was her duty to provide the children
a suffering-free death. 10 The success that Jewish doctors had achieved when faced with
unsanitary health conditions shows the strength and bravery that these medical
5
Sedlis, “The Jewish Hospital in the Vilna Ghetto,” pp.143-145.
Solon Beinfeld, “Healthcare in the Vilna Ghetto” in Jewish Medical Resistance in the
Holocaust, pp. 124-125.
7
Beinfeld, “Health Care in the Vilna Ghetto,” p.130.
8
Beinfeld, “Healthcare in the Vilna Ghetto,” p.132.
9
Noa Gidron, “Jewish Women Medical Practitioners Who Rescued Fellow Jews During
the Holocaust,” in Nashim, Spring 2020, p. 43.
10
Gidron, “Jewish Women Medical Practitioners,” p.44.
6
110
�professionals exhibit. The Jewish people of the ghettos faced dangers of starvation and
disease, but Jewish medical workers showed determination in providing the best care and
safest environment possible for their comrades unlike the Nazi doctors who worked to
calculate how these diseases can diminish the Jewish population. Along with maintaining
public health and preventing spread of diseases, doctors did everything in their power to
hide and protect their patients from the Nazis.
Although Jewish doctors did everything in their power to serve the Jewish
community in the ghettos, it was only inevitable that the Jews would be deported to
camps meant for arduous work to the death or immediate gassing. The death camps were
meant for sick Jews who were suffering from the various diseases in the ghettos or
suffering from starvation. These Jews would be sent to camps such as Chelmno,
Auschwitz-Birkenau, Sobibor, and Treblinka. Along with treating their patients to the
best of one's ability, Jewish doctors risked their lives to protect their patients from being
deported to these death camps. During the deportations, Nazis coerced Jewish doctors
into determining which Jews were fit to be sent to labor camps, while the others were
sent to death camps.
A Jewish doctor during the Holocaust, Esther F., described an act of resistance
she carried out to save lives. Esther kept two records for each patient, one that recorded
the patient's actual condition which was kept hidden, and a record that concealed the
degree of the patient's illness which was given to the Nazis. Esther described that “the
majority had tuberculosis and didn’t know if he (Nazi officer) should know it.” 11 This
deception which was performed by Jewish doctors throughout Europe saved many Jewish
lives from being sent to immediate death.
In the camps themselves, Jews were exposed to even worse conditions than they
experienced in the ghettos. Many suffered from tuberculosis, dysentery, typhus,
pneumonia, and a rapid spread of lice. These diseases arose from the extremely
unsanitary conditions in the camps. In an account from a passage in Robert Liftin's book,
“The Nazi Doctors: Medical Killing and the Psychology of Genocide,” a Jewish doctor
describes:
At a certain point, he and a few other prisoner doctors were overwhelmed with
moribund patients, with suffering people clamoring for relief. They did what
they could, dispensed the few aspirin they had, but made a point in the process
11
Mike Cummings, “Researcher Illuminates a Jewish Doctor's Holocaust Experiences.”
Yale News, May 21st 2019.
111
�of offering a few words of reassurance and hope. He found almost to his surprise
that “in the situation it really helped”. 12
Something as simple as providing patients with words of reassurance and hope is
considered as a form of resistance and providing assistance for patients. These
comforting words contradicted the goal of the Nazis which was to isolate Jews and put
them through the worst pain possible. A simple “it will be ok” can go a long way in
helping a suffering patient. These patients were suffering diseases with high fatality rates,
were malnourished and overworked, and were in constant danger of being sent to gas
chambers. By providing comfort to someone, you are showing that you are there for them
and that they are not alone in their suffering. Knowing that someone is with you in a dark
time of suffering will always help in any situation that you are in. Patients can also find
hope and comfort in a life after death where they will be free from the suffering they are
going through. Words are powerful and are a form of resistance to the Nazi attempts at
dehumanizing Jews.
Other circumstances in the camps which gave rise to a demand in medical
attention, were beatings of Jewish prisoners by Nazi guards and unethical experimenting
on women. Both Dr. Alina Brewda and Dr. Slavka Kleinova revealed the extent of the
unethical experiments performed on women that occurred within Block 10 of AuschwitzBirkenau. Dr. Alina Brewda was born in Warsaw in 1905 and specialized as a
gynecologist and obstetrician. She is described as a very successful doctor through her
skill and dedication in treating patients. She was captured in 1943 and sent to Majdenek
where she worked as a surgeon. She played a pivotal role in treating patients there and
was transferred to Auschwitz where she continued her work. 13 Dr. Slavka Kleinova who
was once known as Dorata Lorska was born in Kielce, Poland in 1913. Describe as kindhearted and diligent, Dorata moved to Czechoslovakia where she studied medicine. She
was engaged in politics as she moved to Spain by using a fake marriage which changed
her last name and was also a member of the Czechoslovakian communist party. After the
Spanish civil war, she moved to Paris which was invaded by Germany in 1940. Slavka
joined the Czech underground to help in French resistance but was eventually captured in
1943 by the gestapo and was sent to Auschwitz where she was assigned to Block 10. 14
Both Brewda and Kleinova along with other Jewish prisoner-doctors helped treat and
12
Michael Nevins, “Moral Dilemmas Faced by Jewish Doctors During the Holocaust.”
Jewish Virtual Library.
13
Tom Minney, “Dr. Alina Brewda is inspiring Holocaust Heroine (book review),”
January 27, 2016.
14
Stanislaw Klodzinski,” Medical review Auschwitz”, (Dr. Dorata Lorska, December 1st,
2020)
112
�protect these women. Block 10 was an infamous place where women were used as human
guinea pigs and subjected to a variety of gruesome medical experiments. Women were
injected with various chemicals which caused pain, fever, vomiting, and bloody
discharges. Experiments were also conducted with the goals of mass-sterilization to
prevent reproduction of the inferior races that were held within the camps. A technique
the Nazis used for sterilization was X-Ray irradiation which burns, fever, vomiting, and
internal hemorrhaging. Dr. Brewda, Dr. Kleinova, and many other Jewish doctors took
part in acts of resistance against these unethical experiments performed on the women in
Block 10.
After the chemical injections, the X-Ray sessions, and the operations, Alina
Brewda and Slavka Kleinova looked after the patients, who suffered from
vomiting, hemorrhages, and burns but they had only very limited supplies at
their disposal: for instance, paper bandages to dress the suppurating wounds. Dr.
Brewda stole some morphine from Clauberg’s rooms, but there was not enough.
Dr. Kleinova and she sat up all night with the girls but “Bella died later that
night” and Buena, another girl from Salonika “died two or three days later”. 15
The Jewish doctors not only treated the side-effects of these horrible experiments, but
they also tried to prevent them as a whole. The Jewish doctors devised experiments that
were harmless to the women, and they also prevented the very sick and ill from being
gassed. When soldiers would come and round up ill women for gassing, the doctors
would hide the women they knew would be taken. 16 The courageous work of Jewish
doctors prevented innocent Jews from being gassed and did everything they can to treat
the diseases, beatings, and experiments that took place in the camps. In a place where
death and darkness prevailed, Jewish doctors served as comforting figures of hope in the
camps.
Gisella Perl was Hungarian Jew and gynecologist who worked to save lives and
minimize the torment that she witnessed as a doctor in Auschwitz. Perl was one of five
doctors and four nurses to establish a hospital in the largest Nazi death camp. She
recalled that she was told to bring her instruments to the camp but hers was stolen on
arrival. 17 Some of her acts of rescue and resistance were bandaging bleeding wounds,
pulling out infected teeth, taping up broken ribs, and cleaning painful lacerations that
15
Claude Romney, “Jewish Medical Resistance in Block 10, Auschwitz” in Jewish
Medical Resistance in the Holocaust, 2014, p. 192.
16
Romney, “Jewish Medical Resistance in Block 10, Auschwitz,” pp.192-193.
17
Rachel Gross, “The Auschwitz Doctor Who Couldn't 'Do No Harm'.” BBC Future,
May 26th, 2020
113
�resulted from whipping at the hands of Nazi guards. At great risk to herself Dr. Perl
replaced her patient blood samples with her own vial of blood. This act of resistance
saved patients' lives because contagious diseases would be detected in the samples and
those who were ill were sent to the gas chambers. 18 The most infamous and heart
breaking of Dr. Perl's acts of resistance was performing secret abortions to save pregnant
women from being beaten and burnt alive. Despite varying opinions on the topic of
abortion, most people may reach common ground that abortion is morally permissible
when the mother's life is in danger. Perl viewed abortion as a necessity in this situation to
save the lives of pregnant women. Dr. Perl recalled that “It was up to me to save the life
of the mothers if there was no other way, than by destroying the lives of their unborn
children.” 19 Several Holocaust survivors look back and remember the actions of Dr. Perl
and how many Jewish people she impacted. “Without Dr. Perl’s medical knowledge and
willingness to risk her life by helping us, it would be impossible to know what would
have happened to me.” She is often described as “the doctor of the Jews” and is widely
respected for her heroic acts in Auschwitz. 20
Often the medical role of women partisans in the forests are overlooked. Haya
Alpert (1912-2006) was a combat nurse who was a part of the Belarussian partisan
battalion. After escaping a labor camp in Lida, Belarus in 1943, they all joined the
partisan group. Alpert served as medic who treated wounded partisans during gunfights. 21
Another partisan fighter was 14-year-old Zelma Steiner from Slovakia. Steiner served as
a paramedic and a patroller for the partisans and played a significant role in helping treat
and save her Jewish unit from German soldiers. Steiner ran back and forth between the
Jewish huts and the village bringing medicine and supplies to treat the wounded
partisans. She was a coordinator and leader of the efforts to evacuate and treat the Jewish
men at the huts. Zelma Steiner was martyr for her bravery and courage as she was
captured and executed. 22 Best known as a photographer, Faye Schulman was also a
valued nurse in the partisans. Schulman was born in Lenin, Poland in 1919. Schulman
was best known for her photographic abilities which was what spared her from the
liquidation of the Lenin ghetto. Schulman fled to the forest during a raid and joined the
Moltava Brigade where she served as a camp nurse despite having no medical
experience. Using her photographic ability, she was able to capture and document images
18
ibid.
ibid.
20
ibid.
21
Gidron, “Jewish Women Medical Practitioners,” p.51.
22
Gidron, “ Jewish Women Medical Practitioners,” p.52.
19
114
�of the Nazi crimes for proof of the atrocities that happened. 23 Jewish female medical
personnel display that courage and bravery have no boundaries as both men and women
collectively worked together to protect Jewish life during the Holocaust.
All Jewish medical professionals should be recognized as heroes in Nazi
resistance, as they continuously followed the principles of the Hippocratic oath providing
the best possible care to their patients despite the risk of persecution. Faced with horrible
conditions and possible death, Jewish doctors persevered to provide care and treatment in
both ghettos and death camps. By limiting the spread of diseases maintaining hospitals or
“safe havens” in ghettos and by mitigating effects of death camp experiments and
protecting patients from being gassed, Jewish doctors and medical professionals saved
Jewish lives. While Nazis used public health to exterminate the Jewish race, Jewish
doctors altered it to the best of their ability to provide hope and comfort for ill and
suffering Jews. The work of Jewish medical resistance during the Holocaust should be
circulated more today to provide the respect these heroines deserve.
Bibliography
Beinfeld, Solon, “Health Care in the Vilna Ghetto” in Jewish Medical Resistance in the
Holocaust, Edited by Michael A. Grodin, Berghahn Books, 2014.
Cummings, Mike. “Researcher Illuminates a Jewish Doctor's Holocaust Experiences.”
Yale News, May 21, 2019. https://news.yale.edu/2019/05/21/researcher-illuminatesjewish-doctors-holocaust-experiences
Gidron, Noa, ”Jewish Women Medical Practitioners who rescued fellow Jews during the
Holocaust,” Nashim: Special Issue, pp. 43-52. Accessed May 2, 2021.
https://www.jstor.org/ stable/10.2979/nashim.36.1.02
Grodin, Michael and Winick, Myron. Jewish Medical Resistance in the Holocaust. New
York, NY: Berghahn Books, 2014. Accessed May 2, 2021.
Gross, Rachel, “The Auschwitz Doctor Who Couldn't ‘Do No Harm’.” BBC Future.
BBC. Accessed May 2, 2021. https://www.bbc.com/future/article/20200526-dr-gisellaperl-the-auschwitz-doctor-who-saved-lives.
Jewish Partisan Educational Foundation. Partisans and Countries: Faye Schulman.
23
Jewish Partisan Educational Foundation: Partisans and Countries: Faye Schulman.
115
�Klodzinski, Stanislaus, “Dr. Dorata Lorska,” Medical Review Auschwitz, December 1st,
2020. https://www.mp.pl/auschwitz/journal/english/253561,dr-dorota-lorska
Longacre, McKenna, Beinfeld, Solon, Hildebrand, Sabine, Glantz, Leonard, and Grodin,
Michael. “Public Health in the Vilna Ghetto as a Form of Jewish Resistance.” American
Journal of Public Health. American Public Health Association, February 2015, pp.293301. https://www.ncbi.nlm.nih.gov/pubmed/25521892.
Minny, Tom, “Dr. Alina Brewda is inspiring Holocaust Heroine,” January 27th, 2016.
Nevins, Michael, “Moral Dilemmas Faced by Jewish Doctors During the Holocaust.”
Jewish Virtual Library. Accessed May 2, 2021. https://www.jewishvirtuallibrary.org/
moral-dilemmas-faced-by-jewish-doctors-during-the-holocaust.
Romney, Claude. “Jewish Medical Resistance in Block 10, Auschwitz” in Jewish
Medical Resistance in the Holocaust edited by Michael Grodin and Myron Winick.
Berghahn Books, 2014.
Sedlis, Alexander, “The Jewish Hospital in the Vilna Ghetto,” in Jewish Medical
Resistance in the Holocaust, edited by Michael Grodin and Myron Winick, Berghahn
Books, 2014.
116
�
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Volume 20, Number 2
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Section I: The Natural Sciences & Quantitative Analysis -- Full Length Papers -- 3 Big Tech, Big Profits, and an Addiction to a Black Mirror / Christina Ottrando -- 21 Investing in Greece Good or Bad Idea? / Konstantinos Syrmas -- Section II: The Social Sciences -- Full Length Papers -- 43 Cardiovascular Disease on the North Shore of Staten Island in Low Income Families: Solving the Problem Starts with “A Heart HealthyYou” / Christina Foote, Kristen Evangelist, and Cassie Paradise -- Section III: Critical Essays -- Full Length Papers -- 57 “The Shining City Upon the Hill:” Christian Zionism and the Politics of Woodrow Wilson & Harry S. Truman / Maggie Winton -- 86 The Pantsuit as a Symbol of Advancement for Women in the Entertainment, Business, and Political Spheres / Savannah Yates -- 108 Care and Compassion Override Violence and Genocide: The Work of Female Physicians and Nurses / Michael Hubert
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��EDITOR’S INTRODUCTION
This issue is special in that it marks the 20th anniversary of The Wagner Forum for
Undergraduate Research. An interdisciplinary journal, it showcases the scholarship and
intellectual pursuits being explored by students at Wagner College. Papers are reviewed
with respect to their intellectual merit and scope of contribution to a given field. To
enhance readability the journal is subdivided into three sections entitled The Natural
Sciences and Quantitative Analysis, The Social Sciences, and Critical Essays. The first
two of these sections are limited to papers and abstracts dealing with scientific inquiries,
business research, clinical investigations and the use of mathematical/statistical
modeling. The third section is reserved for speculative papers based on the scholarly
review and critical examination of previous works.
Read on and enjoy!
Gregory J. Falabella, Ph.D.
Editor-in-Chief
Editorial Board
Dr. Annemarie Dowling-Castronovo, Nursing
Dr. Donald E. Stearns, Biological Sciences
Dr. Amy Eshleman, Psychology
Dr. Lori Weintrob, History
��Section I: The Natural Sciences & Quantitative
Analysis
Full Length Papers
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Analysis of College Stress Metrics
Jessica Vincello
Section II: The Social Sciences
Full Length Papers
35 The COVID Housing Market Comparison
Brandon Hall
49 The Media’s Impact on Voter Indecision in the Aftermath of the 2016
U.S. Presidential Election
Melanie Takacs
Section III: Critical Essays
Full Length Papers
73 Finding Meaning in Silence: John Cage’s 4’33”
Madeline Lee
81 Nina Simone’s Curse on the Nation: “Mississippi Goddam”
Julia Searle
89 Nazi Newspapers and Radio Propaganda in Pre-War Germany and
Romania
Denisa-Catalina Stan
101 El poder necropolítico de los hombres en la literatura latinoamericana
Lucy Shaw
109 Alone on Christmas? No Can Do: The Troublesome Portrayals of
(Single) Women in Christmas Romantic Comedy Films
Genevieve Mishon
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����The COVID Housing Market Comparison
Brandon Hall (Business Administration) 1
This paper investigates the correlation between the Federal Funds rate, foreclosure
rate, and Housing Price Index of the United States from 2004 to 2020. It investigates
whether or not these variables align to show a connection between the 2008 housing
market and the 2020 housing market. As well as investigating growth in the market and if
the housing market can be understood well enough to provide an opportunity for
investment. This thesis offers insight into what caused the 2008 market crash and how the
current market is lining up; as well as a look into housing prices within real estate. This
research can be expanded and further investigated with the use of more macroeconomic
indicators, as well as a further investigation into different forms of real estate
profitability.
I. Introduction
With an ever-changing economic climate, knowing where a market is heading is a
challenge. While it is impossible to predict, researching factors that directly affect a
marketplace can provide indications of where a market is headed. The modern world is
facing a crisis unseen before, and while there have been housing market crashes in the
past, the volatility of the world at this time is unprecedented. Understanding the market
and its factors is integral to knowing if a safe investment can and should be made within
it. The insights learned within this paper will be useful for not only a homebuyer or seller,
but also a larger player within the market. A better understanding of both the current
market and the current world will only help an investor make the right choice
surrounding real estate.
II. Literature Review
Housing Market Crash 2008
An economic crisis creates stress, problems, and worry for anyone involved.
Individuals are faced with uncertainty regarding many issues, such as if they will have a
job, how their government will respond, and how they will pay their bills. All of these
1
Written under the direction of Dr. Shani Carter in partial fulfillment of the Senior Program
requirements.
35
�types of uncertainty indicate the levels of stress involved in living during an economic
crisis.
For the economy as a whole, many sectors contribute to the market downfall.
Some of the factors that contribute to poor economic conditions include the stock market,
employment, inflation, and many other macroeconomic indicators. In the past, in the
United States, economic crises were often accompanied by housing market difficulties.
No housing market downfall is more prominent than that of 2008. The 2008 housing
market crisis provided an enormous opportunity for profit, and is currently being
mirrored in a smaller way in the current COVID-19 pandemic-caused economic crisis.
While this pandemic is creating struggles for many people, it is also creating
opportunities for people who are willing to invest in the housing market, looking to make
a profit.
The housing market comprises the supply and demand of a particular location's
houses and the prices of the houses (Pettinger, 2018). Local markets are affected by the
national economy. The demand side of the market is affected by the country's economic
growth; its interest rates; its price and availability of houses; its market speculation; and
its mortgage-loan readiness (Pettinger, 2018). The supply side is influenced by fewer
factors, including the number of homes for sale, new building projects, and preexisting
homes for sale (Pettinger 2018). Figure 1 shows a hypothetical supply and demand
scenario for the housing market. In Figure 1, the equilibrium price is $300,000, which is
also known as the fair market price and which occurs where the quantity demanded meets
the quantity supplied (Pettinger, 2018). When one of these factors is out of place, the
pricing module gets ruptured. In the current market, the demand has been consistent, but
the supply seems to be dwindling (Olick, 2020). With the supply dropping, this means
that if demand stays the same, the price will increase. This supply decrease is estimated
to be a loss of 400,000 homes that would have been listed on the site “Realtor.com” since
the pandemic began (Olick, 2020). The reason behind this is simple: the unknown factor
of this pandemic is making people not only worry about safety, but future housing prices
as well. This demand and supply relationship drastically effects pricing, and money can
very easily be lost or gained because of this seemingly simple relationship.
Mortgage Rates
The housing market was once thought to be too well structured to fail, yet it did
just that back in 2008 due to the subprime mortgage crisis which lasted until 2010 (Duca,
2013). This crisis directly resulted in 3.1 million houses entering foreclosure in 2008;
which was one in every fifty-four homes within the United States (Christie, 2009). The
cause of this crisis was poorly structured loans and bonds that allowed individuals who
36
�Figure 1: Housing Market Supply and Demand Graph
could not afford to buy a house the ability to do so (Duca, 2013). Typically, purchasing a
home requires a down payment, steady income, and a high credit score (Duca, 2013).
During the early 2000s, however, lenders began issuing mortgages to borrowers with low
credit scores (Duca, 2013), and these loans typically had variable interest rates. Mortgage
rates are structured off of the Federal Funds Rate, which is set by the Federal Reserve in
an effort to allow for an open market (“Open Market Operations”, 2020). The Federal
Reserve has used a variety of rates, depending upon the economic standing within the
country, to either stimulate the economy and offer more loans, or slow economic activity
with a higher rate (“Open Market Operations”, 2020). In the case of the housing market, a
higher Federal Funds Rate means banks borrow money at an increased rate (“Open
Market Operations”, 2020). This will therefore increase the mortgage rate that is given to
an individual looking to purchase a house.
Private Mortgage-Backed Securities
The mortgages that banks offered in the subprime crisis were bundled together
and sold to private investors (Duca, 2013) as private mortgage-backed securities (PMBS).
These allowed for a higher number of first-time home-buyers than normal (Duca, 2013).
These mortgages were loaned out by institutions that would use PMBS as their funding
tool (“Mortgage-Backed Securities”, 2020). Essentially, a bank would give a bundle of
these mortgages to an investment bank or other financial institution (“Mortgage-Backed
Securities”, 2020). This institution would then use the funding they received from
investors to cover the costs of the mortgages they had financed (Brown, 2016). Investors
37
�would see the higher returns associated with these--because of the potentially risky
mortgages and because of the potential upside--and would decide to invest (Brown,
2016). The use of PMBS during this time allowed a homeowner with less than optimal
credit to obtain a mortgage. The reason was simple, a bank would now be able to supply
this individual with a loan because they felt confident that PMBS provided a low-risk
option for their investors who were willing to supply the money (Duca, 2013). While
PMBS seemed like a steady investment at first, it proved otherwise. During the years
preceding the 2008 crash, it is estimated that an additional three trillion dollars were
poured into the market because of the subprime mortgages (Wachter & Keys, 2018).
Once housing prices peaked, homeowners had two options. The first was to sell
their home for a higher price than they purchased it for. The second was to refinance
against a higher market price (Duca, 2013). As housing prices continued their ascent, so
did foreclosure rates. It is estimated that the foreclosure rate on a subprime mortgage is
five times as high as a normal borrower (Dimartino & Duca, 2007). As this began
occurring, the money that was supposed to be in the hands of the banks to pay its
investors was no longer present. These private sectors that were responsible for the
PMBS phenomenon no longer had the money to fund it, nor pay back their investors
(Duca, 2013). This caused a number of them to either close their doors for good or file
for bankruptcy because of their lack of both investors, and capital.
After the PMBS bonds began failing, the housing market dove deeper into the
depths of economics. As PMBS institutions began filing for bankruptcy, the additional
loans they had been offering were no longer present (Duca, 2013). This reversal on
demand had an important effect upon the market. With housing prices at an all-time high,
but demand beginning to decrease, several issues began surfacing. The first issue was
with the borrower; the price of a home often dropped so much that a purchaser’s home
would be extremely overvalued. This left the purchaser to either pay a high mortgage for
a home that is worth much less, or let the bank foreclose it (Duca, 2013). This increased
the severity of the already brewing crisis.
Supply and Demand in 2008
The next issue to examine within the market was that of both supply and
demand. The housing market went from not having enough supply, as well as an
overabundance of demand (because of PMBS), to having a lower demand and an
abundant supply (Lerner, 2008). This situation only got worse as buyers began to drop
out of the overpriced market. This left the sellers stuck with an overvalued home, and no
way to pay their mortgage (Lerner, 2008). Houses went from being extremely
overvalued, to being undervalued far below the price a homeowner paid for the property
38
�(Duca, 2013). This ultimately left the homeowner, bank, and investors with a loan that
was undervalued in comparison to the actual housing price. This fluctuation puts on full
display the importance of equilibrium between supply and demand in cases like the
housing market.
The subprime mortgage crisis taught Americans that borrowing money without
sufficient income to repay it back is risky and that packaging risk within risk does not
solve the problem. Just because a loan is offered doesn’t mean one should take it
(Wachter & Keys 2018). While the 2008 crisis taught many lessons, it may be possible
that another, smaller housing crisis is upon us due to the COVID pandemic.
COVID-19 Early Months
The year 2020 has changed many things within the world due to the COVID-19
pandemic which has been causing worry and fear globally. This is evident in the United
States as well as global economic markets. Within these markets COVID-19 has affected,
some of the damages are already on full display. For example, the initial effect of
COVID-19 upon the housing market was a decrease in sales due to the early lockdown
that caused businesses to temporarily close (Buhayar, 2020). While more information is
coming out each day, COVID-19 has had a profound impact on the world as a whole.
Within the current housing market, a decrease in sales has allowed for bidding
wars, within a market that lacked supply in the first place. The market had cooled initially
with the threat of the pandemic, with sales of existing homes falling 20% in April of 2020
(Buhayar, 2020). Construction of new homes also plunged because of the virus, which
only means getting new supply will be even harder (Buhayar, 2020). The spring market
took an early hit from COVID-19, dropping in March as well as early indications that it
would drop in April (Buhayar, 2020). This, as well as the country being on lockdown,
slowed the builder’s market (Buhayar, 2020). Without the normal rate of newly
introduced houses, the market was lacking on the supply side.
The creation of houses in the early COVID-19 months slowed, which in turn put
a kink in the supply chain for the remainder of the year. This kink was on full display in
housing prices in the early spring months (Buhayar, 2020). This has left many people
with a tough option: buying a potentially overpriced house, or staying out of the market
entirely. Many individuals, including first-time homebuyers, are rushing to purchase a
home before prices rise even more (Shiller, 2020). They are doing so in hopes that the
long-term effect of the market will not negatively affect their house price (Shiller, 2020).
These bidding wars between buyers show the volatility of the market. In the article,
Bidding Wars are Back in Housing Market Stung by Pandemic, the stories of multiple
COVID-19 home buyers are told. All of these stories are accompanied by an overpriced
39
�home, of which the buyer had to pay an above-market price to obtain the house because
of the lack of supply in the market (Buhayar, 2020). This lack of supply along with many
other factors has caused real home prices to rise 45% from February of 2012 to May of
2020 (Shiller, 2020). While there are different opinions to be made of the topic, knowing
when to buy or when not to is an extremely hard decision within the real estate market.
COVID-19 Recent Months
While the initial effect on the market was negative, as of recent months housing
prices seem to have rebounded. Within the second quarter of 2020 housing prices per
square foot rose at a faster rate than any three-month period leading up to the 2008
financial crisis (“Why, despite the coronavirus pandemic” 2020). The answers for this
can be found within how the country has dealt with the virus. Central banks around the
world have continued to slash rates, with a 30-year mortgage in the U.S. set at 2.9%
(“Why, despite the coronavirus pandemic”, 2020). This has allowed for people to manage
their money more effectively (“Why, despite the coronavirus pandemic”, 2020).
Off of these low interest rates, buyers are motivated to purchase a home. People
who are now working remotely because of the virus are especially motivated. They now
have the opportunity to live farther away from metropolitan areas, and have been using
the low-interest rates to capitalize on this (Stankiewicz, 2020). This increase in demand is
just one piece of the rising levels in the housing market. While there is no way to tell
what the future brings, it appears that COVID-19 may have been just a blip in the
housing market timeline.
III. Methods
Subjects
Participants for this study were the Federal Reserve, the Federal Housing
Finance Agency, the Federal Housing Finance Agency, as well as citizens across the
United States that are participants within the housing market. Information obtained for
this study was gathered from public resources.
Measures
To compare the 2008 housing crisis with the current COVID-19 pandemic, data
was gathered on foreclosure rates nationally from 2004-2019, the housing price index
grouped nationally from 2004-2019, and the national federal funds rate from 2004-2020.
Procedure
This paper utilizes both peer-reviewed articles, and modern-day news reports to
back this knowledge. The number of different indicators investigated allows for more of a
40
�precise conclusion. The databases EBSCOHost and business Source Premier were used to
locate journal articles, and Google was used to locate other information. The search terms
included: “COVID or Corona”; “Housing Market”; “2008 and Housing Market and
Crash”; “Real Estate Investment and U.S. or United States”; “Foreclosure or Foreclosure
Rates”; “Subprime Mortgage Crisis”; and “Coronavirus Timeline.” These terms yielded a
variety of peer-reviewed articles and news articles and the data necessary to examine the
hypotheses.
IV. Results
Investigating the Federal Funds Rate
Figure 2 contains data on the Federal Funds rate from 2004 to 2019. Showing date
preceding the and after the 2008 market crash. The Federal Funds rate was increased
from 1.76% in 2004 to 4.76% in 2007, and thereafter it was decreased again to .97% by
2008. (Table 1). It then hovered below 1.00% until 2017 where it rose to 1.15% (Table
1). Staying above 1.00% up until 2020 where the rate dropped back down to .90%. In the
two most recent years, 2019 and 2020, the federal funds rate has decreased (Figure 1).
Investigating Foreclosure Rate
Figure 2 also contains data on the Percent of Single-Family Foreclosed Loans from
2004-2019. The percentage of foreclosed homes in 2004 was 15.42%, it then rose each
year up until its height of 22.81% in 2008 (Table 1). The foreclosure rate then proceeded
to decline up until 2013 where it was 6.74%. (Table 1). After 2013 there was a brief
period where the rate increased to 11.26% in 2014 (Table 1). However, after this jump, it
began decreasing again, finishing 2019 at 2.48% (Table 1).
Investigating Housing Price Index
The last variable analyzed in both Figure 2 and Table 1 is Housing Price Index
(HPI). HPI data was used with a 2000 base in order to account for the gradual effect of
inflation. The value began in 2004 at 126.71 and increased up until 2007. In 2007, it
reached an initial high point at 151.6, only to drop down to 144.91 in 2008. During the
years after 2008, HPI decreased below the initial 2004 starting point. It reached a low of
119.34 in 2012, but has since rebounded. Climbing to its highest measure yet back in
2019 at 167.11.
Comparing Federal Funds Rate, Foreclosure Rates, and HPI
There are some strong relationships between the Federal Funds Rate, the
Foreclosure Rate, and House Prices. Prior to the 2008 economic crisis: foreclosures
41
�increased from 2004-2008, during this period the federal funds rate increased until 2006,
and the housing price index increased until 2007 (Table 1). This all changed when the
market crashed in 2008. Foreclosures began to decrease (Table 1), the federal funds rate
climbed no higher than 1% for eight years (Table 1), and there was a five-year drought on
housing prices (Table 1). While data is not out yet on how the current COVID housing
market is being affected, the ever-decreasing federal funds rate offers possible
conclusions. It appears that while there are some instances that the rate works alongside
foreclosures and housing price index to indicate a trend, there are also places where it
fails to do so. For the time period from 2008 to 2016 where the rate was always below
1% (Table 1); both foreclosures and HPI had varying results.
Figure 2: Percentage of single-family foreclosed loans per year. Source: FHA Single
Family Home Performance Trends (2019).
V. Discussion
H1: The current COVID-19 pandemic is creating housing issues of lesser but still similar
value to that of 2008; these issues like in 2008 provide an opportunity for profit by
individuals prepared to investigate the market.
H2: The 2008 housing crisis provided an opportunity for profit. This situation is being
replicated today with the COVID-19 pandemic.
42
�Year (taken in
October every year)
Federal Funds
Rate
Percent of SingleFamily Foreclosed loans
HPI
2004
1.76%
15.42%
126.71
2005
3.78%
16.99%
141.05
2006
5.25%
19.31%
150.13
2007
4.76%
22.68%
151.6
2008
0.97%
22.81%
144.91
2009
0.12%
15.21%
134.01
2010
0.19%
11.11%
127.18
2011
0.70%
9.38%
121.62
2012
0.16%
7.91%
119.34
2013
0.90%
6.74%
123.56
2014
0.90%
11.26%
131.14
2015
0.12%
9.77%
136.7
2016
0.40%
8.72%
143.98
2017
1.15%
8.21%
152.11
2018
2.19%
6.97%
161.02
2019
1.83%
2.48%
167.11
2020
0.90%
Table 1: Federal Funds Rate, % of Single-Family Foreclosed Loans, HPI. Sources: FHA
Single Family Home Performance Trends (2019), Effective Federal Funds Rate, (2020),
House Price Index (2020).
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�The Housing Market
During this investigation of the 2008 and 2020 housing markets, researchers have
identified certain variables that indicate trends. While there appeared to be no direct
correlation between these three variables (i.e., foreclosures, the Federal Funds, and HPI Housing Price Index); conclusions from the data can be drawn. The first half of the first
hypothesis about the correlation between the 2020 and the 2008 recession (H1: The
current COVID-19 pandemic is creating housing issues of lesser but still similar value to
that of 2008;) is not supported because of the lack of correlation of the Federal Funds
rate, foreclosure rates, as well as HPI in 2008 and 2020, but similarities between 2020
and 2008 can be drawn.
Foreclosures
During the first period of investigation from 2004 to 2008, the foreclosures rate
peaked in 2008, but was increasing from 2004 on up. During the next period of
investigation, 2008 to 2012, the foreclosure rate decreased each year, reaching 7.91% in
2012 as foreclosure rates dropped as the market tried to rebound from a horrific showing
in 2008. This was coupled with a substantial decrease in subprime mortgages because of
a lack of PMBS funding. The period of investigation from 2012 to 2019 showed that the
foreclosure rate was at its highest in 2014 at 11.26% but has since proceeded to drop,
falling at a steady pace until 2018, and then experiencing over a 4% drop in 2019.
Federal Funds
During the years of 2004 to 2008, the Federal Funds Rate was at its height in 2006,
and despite some decline, the rate was still much higher than it was in 2004. In the next
group of years from 2008 to 2012, the Federal Funds Rate remained below the 2008
value of 0.97% because the government was using this rate as a tool to cool off the crisis.
During the final years of investigation from 2012 to 2020 the Federal funds rate stayed
relatively low, with its height being in 2018 at 2.19%. The only other years from 20132020 that it is above 1% is 2017 at 1.15% and 2019 at 1.83%.
Housing Price Index
During the period from 2004 to 2008, the Housing Price Index peaked in 2007, but
still remained high during the crash of 2008. After this, from 2008 to 2012, the HPI
decreased from 144.91 in 2008 to 119.34 because homes were overvalued. Last from
2012-2019, the Housing Price (HPI) has seen a steady increase, with the 2013 period
starting at 123.56 and ending in 2019 at 167.11.
44
�Comparison
Foreclosures, the Federal Funds rate, and HPI - Housing Price Index, are correlated
between 2004, and 2008, with each variable increasing for several years prior to the 2008
recession. These three variables were positively correlated prior to the crash, which
allows for conclusions to be drawn. From 2008 to 2012, the three variables, foreclosures,
the Federal Funds rate, and HPI had a weaker correlation, and each of the variables
decreased. From 2012 to 2020, the correlation between the variables continued to
weaken. With the variables failing to line up in a way that could show a relationship
between them.
Future Investigations
Although the data for 2020 is not out yet, certain estimations can be made. While
initially, one would think the data would continue its downward descent towards a 0%
Federal Funds Rate, economic conditions could suggest otherwise. The current pandemic
has thrown many questions up into the air, and the status of the housing market is one of
them. While it remains strong still, the disruption to “normal” life would suggest an
economic disturbance.
As discussed in the literature review section, the Coronavirus and its implications
upon humanity are largely unknown. Yet one fact has surfaced, while it appears that
Americans are doing fine at the current moment, the country can only continue at this rate
for so long. Ultimately, shutting down an economy for a period of time, only to reopen at
an extremely slow pace will have its implications. I believe these issues could appear
further down the road and cause a disruption to the market.
COVID-19 has most definitely thrown a wrench in the growth of the market itself.
While housing prices will most likely remain higher because of the lack of supply of
homes, much is left unknown about the condition of the market. While it may experience
a drop it also may continue its upward trend, the only thing that is certain is this virus has
left the markets even more unpredictable. Although COVID-19 and its effects are too
fresh to know its exact implications, I believe one of two things to be true. First,
Americans were hit hard by the slowdown of the economy, and it is seen throughout the
housing market in each of the variables discussed above. After more housing supply
begins to surface as life returns to a more normal state, the housing prices may cool.
Second, with the hopes of a successful vaccine in the near future, this pandemic was a
mere blip in the market, and it will continue its upwards trend with prices continuing to
rise. Before the COVID-19 pandemic the economy was booming, once a solution to this
issue is presented, the only way for the market will be up.
45
�The data from foreclosures, the Federal Funds rate, and HPI didn’t show any direct
relationships that allowed for either hypothesis; the current COVID-19 pandemic is
creating housing issues of lesser but still similar value to that of 2008; or these issues like
in 2008 provide an opportunity for profit by individuals prepared to investigate the
market, to be confirmed. The first hypothesis that the market will drop in a similar
fashion to 2008 was not supported because of the lack of current data available. In years
to come, however, similar studies can be conducted in order to determine if the market
experienced effects similar to 2008 during the COVID-19 pandemic. The second
hypothesis that the current market will offer an opportunity for profit if invested in, also
cannot be verified for similar reasons. It appears that the market has not suffered at the
hands of COVID-19 as housing prices appear to be continuing to climb, however, the
uncertainty of this virus leaves the market in question. While there are many potential
investment strategies that could be adopted from the data presented, at this point doing so
would be a mere guess. While it is my feeling that the market could experience a dip
because of COVID, no data has indicated that yet. Therefore, I cannot accurately advise
on which segments would be profitable, or how to profit off of them.
VI. Conclusions
General Conclusions
This thesis was executed with the intention to further investigate and understand the
housing market. From 2004 to 2020, the market has shown many similarities while also
many differences. These similarities, however, were not enough to draw comparisons
from the 2008 housing market crisis to the current housing climate. While this is also the
case when looking into profitability within the market, a number of conclusions were able
to be drawn. These conclusions have allowed for new hypotheses to be formed. While
there is no current data available to back these claims up, only future investigations will
hold the truth about what our current housing market is experiencing.
The difference between the 2008 crisis as well as the current housing market allow
for new hypotheses to be investigated. The 2008 crisis was largely caused by subprime
mortgages that caused a massive number of foreclosures. The 2020 market has been
facing a global pandemic which one would think would all but shut down an economy.
However, people are still working, buying homes, and watching prices soar, with few
homes falling into foreclosure. This presents a new topic to investigate, how each
situation was handled differently, and how each situation ultimately led to its effect upon
the marketplace.
46
�Implications for Research: Use and Application
Future research should include more variables to draw conclusions from. For
example, adding in unemployment, GDP, and other macroeconomic indicators will help
to compare the economic environment to the housing market. Also, data from 2020 to
2024 should be investigated so that a clear picture of the Coronavirus’s effects on the
housing market can be drawn. Last, more indicators for profitability data should be used.
I think researchers should investigate the profitability of different forms of investment
within the real estate market.
Implications for Practice: Improving Profits
Practitioners should consider implementing a similar strategy used after 2008 of
offering low-interest rates when the market appears to be struggling. Practitioners should
also offer aid programs to prevent foreclosure. Foreclosures are the root of many
problems in the housing market, and preventing foreclosures will help keep both the HPI
and the market itself, climbing. Another key piece to any economic issue is cash flow. If
Americans are afraid to spend money then there will be less money in circulation, which
will have extremely negative effects on both the housing market, as well as the United
States economy as a whole. Focusing on keeping cash circulating will stimulate all parts
of the economy as well as the housing market.
VII. References
Brown, J. (2016, July 18). Why Investors Own Private Mortgage-Backed Securities.
Retrieved November 18, 2020, from https://money.usnews.com/investing/articles/201607-18/why-investors-own-private-mortgage-backed-securities
Buhayar, N., Gopal, P., & Gittelsohn, J. (2020.). Bidding Wars Are Back in Housing
Market Stung by Pandemic ... Retrieved October 13, 2020, from
https://www.bloomberg.com/ news/articles/2020-05-20/bidding-wars-are-back-even-inhousing-market-stung-by-pandemic
Duca, J. (2013). Subprime Mortgage Crisis. Retrieved October 13, 2020, from
https://www.federalreservehistory.org/essays/subprime_mortgage_crisis
Duca, J. V., & DiMartino, D. (2007, November). The Rise and Fall of Subprime
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48
�The Media’s Impact on Voter Indecision in the
Aftermath of the 2016 U.S. Presidential Election
Melanie Takacs (Government & Politics and English) 1
Note to Readers: This thesis was researched and completed by May 2020, well before
Election Day 2020. As such, the 2020 election may sometimes be referred to as “the
upcoming election.” While some updates have been made since this work’s original
completion, which are generally included as footnotes, there may still be other instances
in which events that have passed seem to be discussed in present or future tense. When
these cases occur, please be mindful of this note.
In this thesis, I explore the following question: What is the effect of the mass media’s
miscalculation of the 2016 U.S. presidential election on the rise in voter indecision in
2020? In so doing, I engage archival research, media sources, and conduct survey
research to analyze the rising percentage of voter indecision, as well as biases presented
by the media and the effect of such from 2016 onward. I attempt to isolate the effect of
mass media as a particularly strong causal trigger for voter indecision in both the 2016
and 2020 presidential races by briefly recognizing and discussing other possible causes of
indecision including polarization, candidate unfavorability, and reelection bias. For the
purposes of this thesis, the term media refers to the various outlets including, but not
limited to, news media, social media, broadcast television, the internet and the radio. On
some occasions, the discourse will isolate one particular media outlet for deliberation.
I. Introduction
In this thesis, I explore the following question: What is the effect of the mass
media’s miscalculation of the 2016 U.S. presidential election (and the public’s resulting
shock) on the rise in voter indecision in 2020? “Statistician and journalist Nate Silver
documented that nearly 13 percent of voters nationally claimed to be undecided even in
the week before the election, a rate about three times higher than in 2012” (Valentino,
112). Through archival research and the use of a survey, this thesis will analyze the rising
percentage of indecision in voting culture, especially in the wake of the 2016 election. In
addition, this thesis analyzes whether media outlets report the upcoming 2020 election
1
Written under the direction of Dr. Cyril Ghosh and Dr. Patricia Moynagh in partial
fulfillment of the Senior Program requirements.
49
�differently, as a result of their epic errors in 2016. There are a number of variables that
may cause the increase in voter indecision, such as candidate unfavorability, which
according to many was the cause of voter indecision in 2016. Yet, in this thesis, I
hypothesize that media bias and miscalculation are significant variables which may cause
a much greater increase in voter indecision than indecision caused by candidate
unfavorability, particularly in 2020.
It is important to point out some caveats here, before we proceed. The survey
conducted for this research is only about New Yorkers. Consequently, the results cannot
be generalized for the country as a whole. Rather than saying this research is about how
American voter indecision is affected by the media’s bias, it will focus modestly on how
New York voter indecision is affected by the media’s bias. If others replicate this survey
in other cities, they may come to the same conclusion, but this research is only about
New Yorkers.
II. Background
Evidence of Increased Voter Indecision
The mean level of undecided voters, as captured by national polls, was proven to
be at its highest in the 2016 presidential election -- out of all the elections between 2004
and 2016 (Bon et al, Polling Bias, 7). Between the ninety-day mark and approximately
the seventy-fifth day until the election, 2016 came second only to the 2008 election race
in terms of voter indecision. After roughly the seventy-fifth day until the election, the
2016 race had more undecided voters than all other presidential election races from 2004
onward. Both 2008 and 2016 saw a drastically higher amount of voter indecision (more
than 10%) than the other elections, which saw 5-7% of undecided voters. Election races
prior to 2004 were excluded from this analysis because data for those years is hard to
find. “State-level polling data for U.S. presidential elections where a majority of the polls
included an undecided voter category was not found for years prior to 2004” (Bon et al,
6). In order to support the theory that the media had an impact on this increased voter
indecision that is discussed at length later in this thesis, a brief background on the
media’s impact on political behavior must be included.
Media Impact on Political Behavior
The mass media has impacted the political behavior of Americans, including
New Yorkers, before. During World War II, “... many Americans pointed to the power of
the mass media… mass media technologies in and of themselves forced audiences to tune
their senses toward a single, powerful source… They became vulnerable to whatever
50
�charisma the source might possess” (Klinenberg, 85). This quote relates to American
fascists who rallied at Madison Square Garden in New York and supports how strong the
impact of the media on the political behavior of Americans, especially New Yorkers, can
be. Media propaganda had been relatively high during this period of history in New York
-- and the media remains an impactful source today. With the 2020 U.S. presidential
election approaching, the increasing spread of misinformation by the mass media may be
proven to have a strong impact on the current voting behavior of New Yorkers.
A Useful Analogy
The 2016 U.S. presidential election is analogous to the 2015 British general
election in that both came as a shock to most observers, both showing some of the most
inaccurate election polling:
In historical terms, the 2015 polls were some of the most inaccurate since election polling
first began in the UK in 1945… The primary cause of the polling miss in 2015 was
unrepresentative samples. The methods the pollsters used to collect samples of voters
systematically over-represented Labour supporters and under-represented Conservative
supporters… The other putative causes can have made, at most, only a small contribution
to the total error. There may have been a very modest ‘late swing’ to the Conservatives
between the final polls and Election Day, although this can have contributed – at most –
around one percentage point to the error on the Conservative lead (Sturgis et al, 4).
The inquiry into the 2015 British general election concluded that late-deciding voters
were not the major cause of the misprediction of the election results. Instead, a bias in the
polling, which was then disseminated by various media outlets, was the major cause of
the misprediction of the election results. This is interesting because it supports that biased
polling and biased media are the causal factors, while the voters are merely the victims of
this process. This is antithetical to the mainstream blame on late-deciding voters (in both
the 2016 U.S. presidential election and the 2015 British general election) for the greatly
unexpected election results.
In the 2016 U.S. presidential election, late-deciding or “shy Trump” voters were
not necessarily the causal factors of misprediction. Because undecided voters were a
diverse population of “Republicans and Democrats, young and old, the well-educated and
the less well educated, and whites and nonwhites,” they are likely not the causal factors
of the shocking election results (Cohn, 2017). Instead, biased polls and biased media may
have been the trigger, as state polls were especially proven to be inaccurate because of
their failure to weigh the polls by education. In the 2016 presidential election surveys,
key faults included “over-representation of college graduates (without appropriate
adjustment)...” (Bon et al, Polling Bias, 5; also see Durand, 3). It is likely that such
51
�inaccuracies cause voter indecision, rather than voter indecision causing the inaccuracies.
Though it is possible that the two may work reciprocally, this research is centered on how
such inaccuracies (particularly in the media) cause indecision.
Returning to the analogy, the political climate of Britain became much more
indecisive during the period following the biased polling of the 2015 general election, as
seen through Brexit. The U.S. may be experiencing a similar pattern, in which biased
polling and biased media in the 2016 U.S. presidential election caused both inaccuracy
and increased voter indecision. Although the discussion of the 2016 U.S. presidential
election as analogous to the 2015 British general election focuses largely on biased
polling rather than the bias of mass media, it is important because the mass media is a
major disseminator of news related to this kind of biased polling. If the mass media
showcases biased information without acknowledging that there is a bias, as it frequently
did in 2016, it itself is then misleading. The analogy is also significant because it further
supports that voters may be the victims of bias rather than the causes of bias.
III. Causes of Voter Indecision
A number of competing hypotheses might also be advanced. A brief excursion
into these competing causes of voter indecision that some studies have focused on
(including polarization, candidate unfavorability, and reelection bias) is relevant to this
thesis, as this thesis makes an effort to isolate the effect of mass media as a particularly
strong causal trigger for voter indecision both in 2016 and in 2020. 2
Polarization
A frequently cited cause of indecision, particularly in the 2016 U.S. presidential
election, is polarization. Indeed, polarization and indecision were both at a peak during
the 2016 election; however, that does not necessarily mean that the two are related and it
most certainly does not mean polarization had an impact on increased indecision. The
documentary 11/8/16 is one of the sources that focus on polarization in the 2016 election
and the accompanying voter uncertainty and shock. The film entailed fifty different
cameramen following fifty different real-life voters throughout their day, but not just any
day – election day.
In the film, Hana, a Kent State University student who was campaigning for
Hillary Clinton and was president of the College Democrats, stated “My greatest fear is
2
This section does not intend to deny any effect alternative variables may have on voter
indecision, but to make the argument that their effect is not as significant as that of mass
media bias.
52
�that I’m going to flip out on a student for telling me that they’re going to vote for Donald
Trump. It’s never been so personal.” While this quote is evidence that polarization was a
major problem during this time, it nevertheless does not support anything regarding
indecision, as Hana was a strong Clinton supporter with no indecisiveness regarding her
vote. Jesus, a community organizer and dreamer included in the documentary, stated “I
definitely think that this election brought out a lot of hate and racism,” also citing a
possible peak for polarization, but not supporting indecision, as he was also a strong
Clinton supporter with no doubts of his vote. When Vetress, a real estate broker and local
politician in Chicago, sat at a table discussing the election, a man at the table referred to
Trump as a “divisionist” (Argott). These statements made by American voters all cite
“flipping out” on voters of the other party, hate, racism, and division, reflecting the focus
on increased polarization as influential in the 2016 election, but not as influential to the
indecision of voters at the time.
Tom, a business owner of Franklin, Massachusetts, said, “There’s a lot more of
them than there is of me. It makes me feel like they’re going to win,” (Argott). This
statement can be interpreted as implying that the feeling of polarization (them versus me)
may lead to one doubting their vote, but, in reality, Tom was a strong Trump supporter
from beginning to end. The feeling of polarization never influenced Tom’s vote.
Additionally, Tom wore a “Make America Great Again” cap publicly throughout the
entire documentary, suggesting he was not a “shy Trump supporter” either.
Thus, the media’s effect on voter indecision might be discernibly isolated from
the effects of polarization. While polarization has been a focal point of the 2016 election,
the biased media’s effect on indecision should also be a focus, as media bias and
indecision were both relatively high during the 2016 election and may continue to
increase in relation to each other. In the background of 11/8/16, with less attention, there
is some representation given to “the kind of voters who did exist in 2016 – those fueled
by rightwing fake news, Breitbart talking points and conspiracy theories” (Gabbatt,
2017). Thus, it is evident that the effect of media biases on voters in the context of the
2016 election necessitates greater attention.
Candidate Unfavorability
Another frequently cited cause of voter indecision is candidate unfavorability.
According to at least one report, the 2016 U.S. presidential election “was unique in that a)
there was a relatively high number of undecided voters and b) the major party candidates
had high unfavorability ratings” (Bon et al, Psychology of Voter Indecision, 1). The
report then continues on to cite the high levels of candidate unfavorability as the cause of
increased indecision. Scholars, not limited to the authors of Psychology of Voter
53
�Indecision, have used psychological theories of decision making, including the decision
field and prospect theories, to explain the causal link between candidate unfavorability
and voter indecisiveness. In the context of the 2016 election, these scholars argued that:
“Psychologically speaking, choices between unfavorable options (e.g., finding the better
of two evils) take longer and result in more deliberation and indecisiveness than choices
between favorable options” (12-3). While it is undeniable that candidate unfavorability
may lead to higher levels of voter indecision, the mass media is largely responsible for a
candidate’s favorability and it is ultimately the media’s portrayal of candidates and the
presidential race that influences the voters. As the vast majority of voters do not know the
candidates personally, their perception of the candidates comes from second-hand
information -- the mass media.
For an example of how media outlets shape voters’ perceptions of candidates,
we look to the representation of Donald J. Trump in the 2016 presidential race. The mass
media disseminated the misinformation in Trump’s tweets, increasing the candidate’s
unfavorability ratings and voter uncertainty, as explained in a book assembled by the
sociologist Eric Klinenberg:
… Trump spit out bits of fiction and hyperbole. They piled up like tiny bricks,
slowly but surely walling off the landscape of reality. In its place, Trump hung
billboards depicting his own imagined magnificence. The mass media pointed to
Trump’s tweets, ridiculed their lies, lampooned their tone—and spread them far
and wide... And through Twitter, he [Trump] put himself at the center of the
storm (Klinenberg, 83).
Trump’s unfavorability started on social media, Twitter specifically, during the 2016
presidential race and was disseminated so widely by the mass media that voter indecision
increased. And the mass media’s dissemination of Trump’s tweets has continued
throughout 2020. On May 5, 2020, he ranted about a mere ad in a Twitter thread, calling
other members of his own political party, “a group of RINO Republicans,” “loser types”
and a “disgrace.” He went so far as to say “I don’t know what Kellyanne did to her
deranged loser of a husband, Moonface, but it must have been really bad.” These tweets
were then disseminated by CNN, The Washington Post, NBC, The Guardian, and several
other news media sources, which is likely to cause a continuation of unfavorability and
indecision regarding the candidate. 3 Evidently, while candidate unfavorability and voter
3
Fall 2020 update: The dissemination of Trump’s ill-favored tweets by mass media
sources may have been a contributing factor not only to his loss of the popular vote in
2016, but to his loss in 2020 as well. If so, it may be the case that his unfavorability
actually helped voters rule him out and come to a decision.
54
�indecision are related, as concluded in Biased Polls and the Psychology of Voter
Indecision, the former does not necessarily cause the latter.
Rather, it may be the mass media’s biased portrayal of the presidential race that
increases voter indecision, as supported further by Klinenberg’s research: “As
mainstream news media sensationalized and trivialized what was at stake in the elections,
social media amplified misinformation and propaganda. These media pathologies paved
the way for the triumph of a demagogue. While criticism of such problems has escalated
since the election…” (45). These lines suggest that the media is responsible for the
election results. Although sometimes the blame has been laid on late-revealing or “shy
Trumpers,” it appears that these voters are actually victims rather than the accused. If a
person was genuinely undecided and then came out for Trump, they were labeled shy
Trumpers. Meanwhile, the reality is that there were shy Trumpers and there were
undecided voters who decided to vote for Trump. These are distinctive categories, not to
be merged. It is not good enough that the media claims that all the people who declared
late that they supported Trump were “shy Trumpers.” It is an unfalsifiable claim. And, as
a result, not very useful.
Although there are media outlets that do not merely disseminate news, but
instead fact-check, this did not stop the rapid spread of misleading information
throughout the 2016 election. Additionally, since criticism of the media has escalated
since the election, it may be the case that voter indecision has escalated since the 2016
election as well -- as will be discussed in greater depth in later chapters. Candidate
unfavorability will be briefly revisited in the context of 2020, particularly in the section
on Joe Biden’s sexual assault allegations.
Reelection Bias
Reelection bias can be eliminated from the pool of alternative independent
variables that might be said to have caused voter indecision. According to Smidt:
There is no evidence to suggest a significant reelection bias. Compared
to other elections, there is an observed tendency for floating voter rates
to be 1.5-2 percentage points higher in elections without a candidate
who ran previously, but this difference is insignificant. Many
reelections also fail to exhibit greater stability, as both 1992 and 2004
were reelection campaigns with higher rates of floating voters. About
8.65% of Americans are floating voters when presidents run a second
time, compared to 10.69% otherwise, and 10.07% if 1968 is excluded,
when Johnson opted against running out of fear of losing (Smidt, 376).
55
�The fact that reelections have shown relatively same rates of indecision as regular
elections is important because it allows for variables such as the media’s bias and
miscalculation of the 2016 U.S. presidential election to be more reliable as the causal
factors of the increase in voter indecision.
This research will observe whether voter indecision has further increased since
2016 and determine, if there is an increase, whether the increase is related to the media’s
bias and miscalculation of the 2016 election.
IV. Media Miscalculations Since the 2016 Presidential Election
Before discussing the media miscalculations since the 2016 election, the media
miscalculations during the 2016 presidential election must be mentioned: “On the eve of
the [2016] election…three types of information widely discussed in the news media
pointed to a Clinton victory. All three turned out to be either misleading or wrong”
(Durand, 5). Among the three types of misleading or wrong types of information, which
Durand found to be widely discussed in the media, are “the patterns in early voting in key
states” that were “described in numerous, high-profile news stories as favorable for
Clinton, particularly in Florida and North Carolina” (Durand, 5). Yet, as Durand points
out, Trump won both states. Secondly, Durand notes that “several election forecasts from
highly trained academics and data journalists declared that Clinton’s likelihood of
winning was about 90 percent” (Durand, 5). Although one can argue that Clinton indeed
won the popular vote and that the forecasts had also recognized a 10% chance of Clinton
losing, the fact remains that the news media widely presented, at the very least,
misleading information, when it was not outright wrong. The purpose of Durand’s
findings for this research is not to indict the media or imply it had any control over
polling predictions, but instead to recognize the mass media’s role in the spread of
misleading information which in turn led to voter confusion and indecision.
That being said, while data journalists and pollsters may have recognized a 10%
chance of Clinton losing, the majority of news media suggested that Trump had no
chance of winning. According to The Guardian, “most news outlets had been taken by
surprise by Trump’s victory, had failed to see the rise of the electorate that would put him
in the White House, and had been led by the clickbait of his tweets” (Guardian US et al,
2020). Margaret Sullivan, a media columnist for The Washington Post, said “The Sunday
TV talk shows will bring on people like Kellyanne Conway, Trump’s White House
counsel, who is just an inveterate liar. By having her on, she is allowed to say things that
aren’t true and although she can be challenged it’s still a very strong message having her
on air,” and Tara Swisher, a tech journalist and founder of Recode, said “If you’re not
scared when Facebook’s Mark Zuckerberg says it’s okay for politicians to lie, especially
56
�in the context of a system that is so viral compared to any other media, you should be
afraid” (Guardian US et al, 2020). Those whose careers are devoted to the media are
admitting to the extreme pitfalls that the mass media is suffering from since the 2016
presidential race -- the wide spread of biased and misleading information is happening so
rapidly and virally that, unfortunately, it cannot be prevented by the reliable media outlets
which continue to fact-check. The word “virally” often has the connotation of social
media, but should not be considered as such here. Social media outlets are often criticized
as the most misleading. However, whether or not that may be the case is not of concern to
this research, especially as it has been proven that the media’s shortcomings are not
exclusive to social media. Rather, they have always existed, long before the rise of social
media. As discussed above, they were a feature of radio and print sources during World
War II. As will be discussed in the following section, this wide spread of misleading
information is creating a culture of skepticism in our political behaviors.
Iowa Caucuses
Since the 2016 election, the public has scrutinized the 2020 Iowa caucus. The
New York Times reported that “caucus results in Iowa may have been incorrectly reported
for decades” (Epstein, 2020). However, the questionability of the 2016 caucus was not
put under public scrutiny as it was in 2020, nor did any other caucus in history to-date
face such scrutiny, suggesting an increase in voter skepticism and that there is a more
keen eye on the media’s calculations since the shock of the 2016 election result. If the
Iowa caucuses have always produced inconsistencies, the logical explanation for them
suddenly facing increased public heat is that the 2016 presidential election results have
brought miscalculation into the spotlight and caused people to be more skeptical of
political polling calculations, as seen with Iowa. It must be recognized that the Iowa
caucuses are not the only instance of inaccurately reported polling, but rather a prime
example for this study. 4
For the purpose of this research, it had been reported that “The Associated Press
remains unable to declare a winner [for the 2020 Iowa democratic caucus] because it
believes the results may not be fully accurate and are still subject to potential revision”
4
Fall 2020 update: Whether or not the Iowa caucuses were the slippery slope giving way
to the voter fraud allegations of the Trump Administration may become the focus of other
studies elsewhere. While voter skepticism among Democrats concentrated largely on
Russian interference in 2016, voter skepticism among Republicans concentrated largely
on internal voter fraud allegations in 2020; either instance can be evidence of the
increased skepticism in voting culture.
57
�(Jaffe, 2020). The Associated Press (AP) is credited as a neutral news source by most
scholars. AP’s decision to withhold an analysis of the Iowa caucus and the major doubt
surrounding the caucus can either suggest that AP was merely maintaining its trademark
neutrality or that the media and the public are approaching the upcoming 2020 election
with increased skepticism. AP reported that “the chaos and inconsistencies in the
reporting of the results have raised widespread doubts and prompted sharp criticism of
the process by candidates and party leaders” (Jaffe, 2020).
While the 2020 Iowa caucus can be interpreted as a mere ill-fated event
exacerbating media miscalculation and voter skepticism, it also suggests that
miscalculations and doubts are still on a steep rise. But, it is not an isolated ill-fated event.
As aforementioned, the 2020 Iowa caucus relates to the 2016 Iowa caucus and likely the
previous “decades” of caucuses as well. In 2016, the caucus was equally questionable
according to many sources including the AP and The New York Times. The sudden scrutiny
of Iowa caucuses suggests that the media is being more scrutinizing of the polls it gathers
its information from and that voters have a more keen eye on such media calculations since
the shock of the 2016 election result. According to one report in The Guardian, “Key
figures from major US newspapers, news sites and TV [have] describe[d] their fears about
covering this year’s election” (Guardian US et al, 2020). This indicates a culture of
skepticism even in the media during the 2020 election cycle and widespread fears of
repeating the miscalculation of the last election. The Guardian and The Columbia
Journalism Review interviewed 30 top media figures and commentators and asked “how
ready they think we [news media outlets] are for the 2020 presidential election” (Guardian
US et al, 2020). Margaret Sullivan, a media columnist for The Washington Post, told the
interviewers “We’re willing to use the word ‘lie.’ We’ve come a ways in that sense, but I’m
still not particularly positive about how we’re going to deal with 2020” (Guardian US et al,
2020). If the media cozies up to its newfound comfortability with calling out lies rather than
merely disseminating them, the increase in voter indecision may be kept at bay.
Frontrunners Announced Later Than Usual
The increased skepticism since 2016 is further evident in how parties announced
their frontrunners for 2020 much later than usual, particularly the Democratic party.
According to Lauren Leatherby, a data journalist, and Paul Murray, a graphics developer,
the media can inhibit political party abilities: “... And media fragmentation mean parties
have lost some of their power to anoint a frontrunner,” among the “largest group of
candidates since at least 1980” (Leatherby, 2019). The fact that there were more
candidates running in 2020 than usual and yet there was no frontrunner for the Democrats
until much later in the race suggests an increased indecision in voting culture.
58
�Meanwhile, the media’s impact on the ability to announce a frontrunner for 2020
suggests that the media may be skewing the 2020 race just as much if not more so than it
did in 2016. This further inhibited the ability of voters to decide on a candidate, as there
were more candidates running and no leader among the pack.
Since the report by Leatherby and Murray was published, Elizabeth Warren and
many others had dropped from the race, allowing for a reduction in indecision.
Eventually, there were frontrunners. However, the facts remain that frontrunners were
determined much later than usual, further suggesting there may have been more
indecision in 2020 than previously.
The News Media’s Reporting of Joe Biden’s Alleged Sexual Assault
As Joe Biden became the presumptive Democratic nominee for president in the
2020 election, the way that mass media portrayed the candidate could have increased voter
indecision -- especially when considering the reporting of the sexual assault allegations
against Biden. Several news outlets had resisted reporting the allegations against Biden,
revealing their political bias. This political bias could have ultimately increased voter
indecision, particularly among Democratic voters, as information about the presumptive
Democratic nominee had become uncertain and obscured by the news media.
The Associated Press stated that it did not publish Tara Reade’s (the accuser) story
in April 2019, at the time of her initial allegations against Biden, because “reporters were
unable to corroborate her allegations, and aspects of her story contradicted other reporting”
(Villa and Alter, 2020). The Washington Post, which also did not publish her initial story,
said that Reade “did not mention the alleged assault or suggest there was more to the story”
(Villa and Alter, 2020). Time Magazine, which leans left, ended an article about the
allegation with Senator Kirsten Gillibrand’s quote: “Vice President Biden has vehemently
denied these allegations and I support Vice President Biden,” thus not-so-subtly suggesting
that the media outlet itself is favoring Biden (Villa and Alter, 2020). Instead of allowing the
readers to make conclusions based on their personal values, the news media is evidently
trying to instill its own values into its readers. This could create a conflict of interests in
which potential voters think “I feel this way, but the news is saying this other thing,”
making it more challenging to decide on a presidential candidate.
Having had some professional experience of my own in journalism, I can affirm
that news outlets almost always race to publish stories before other sources. Yet, we note
here that Reade’s allegations, which could have hurt the Democratic campaign for the
2020 election, were brushed under the carpet for over a year. The results of the 2020
election may support some success in this tactic. According to one study, “the top” online
news outlets, which gain more popular attention, are predominantly left or left-leaning
59
�categories, while right or right-leaning news outlets gain less recognition (see Figure 1). 5
Additionally, there are far fewer center or neutral news outlets, than there are left or right
outlets, that made “the top online news” study (see Figure 1). 6 If the majority of
mainstream news outlets have Democratic values (see Figure 1) it makes sense that they
were slower to report Tara Reade’s allegations against the Democratic nominee for
president. Reade’s allegations were indeed treated differently by the news media than the
allegations made by Christine Blasey Ford, who testified under oath that Brett
Kavanaugh -- a Supreme Court justice found by The Washington Post to have the most
conservative overall voting record on the D.C. Circuit Court of Appeals between 2003
and 2018 -- sexually assaulted her. This supports the theory of a double standard in the
news media, which Conservatives have been widely discussing.
The news media’s resistance to report the allegations against Biden also
suggests that the media may have attempted to prevent the Democratic nominee from
receiving higher unfavorability ratings. Meanwhile, sexual assault allegations were
guaranteed to increase candidate unfavorability as the reporting of such allegations was
unavoidable. However, the increase in candidate unfavorability would not necessarily
cause an increase in voter indecision. Candidate unfavorability could just as potentially
help voters make a decision by enabling them to eliminate the candidate from their voting
options. Instead, it is the reporting method of such allegations that can likely increase
voter indecision due to the obscure nature of the reporting itself, which leaves the public
not knowing what to believe. Although it is not unusual to not know whom to believe in
sexual assault allegations (as they suffer from the “he said, she said” syndrome), the
obscurities in the news media’s reporting of the allegations deepens the dilemma.
It is plausible that the news media’s switch from its usual and bold support of
the victim (as seen in the Kavanaugh allegations) to unusual and subtle support of the
accused (Biden) is a manipulation of the “he said, she said” syndrome, which in turn
5
Although the idea of a liberal news media is controversial and has been questioned by
scholars like Eric Alterman, New York culture could give way to an increased
dissemination of left-leaning news over the alternative. Additionally, it is important to
point out that while this study by AllSides may have some shortcomings, it is still worth
attention as a representation of the most likely intake of news by New Yorkers.
6
The lack of neutral or central news outlets could potentially be truer for the population
of New Yorkers (61.9%, as calculated in 2015-2019 according to the US Census) who do
not receive higher education; thus being at a possible disadvantage for finding the more
reputable and neutral news sources which are oftentimes drowned out by the large wave
of left-leaning news in the region.
60
�Figure 1. The leading online news media sources are predominantly left or left-leaning,
while there are far fewer centered news media sources than there are either left or right
sources, as supported by 2019 bias ratings measured by AllSides from “LibGuides:
Detecting Bias: Leanings of Magazines, Newspapers.” LibGuides at Lorain County
Community College, 29 Apr. 2020, https://libguides.lorainccc.edu/c.php?g=29395&
p=183699.
cultivates uncertainty. Since there is little to no hard evidence indicting one conviction
over the other in the “he said, she said” conundrum, the media is given the freedom to
choose a side based on its own bias and encourage others to take that side as well, which
was seen in Time Magazine’s article ending on Senator Kirsten Gillibrand’s quote: “... I
support Vice President Biden,” (Villa and Alter, 2020).
These ways of reporting on allegations in 2020 indicates that there is a
continuing bias in the news media, as they had, in the past, quickly covered allegations
against Conservatives, but are now slow to cover allegations against Democrats. This
slow reporting shows a stepback by the media, since its miscalculation of the 2016
election. It also exemplifies the increase in biased media, which can exacerbate voter
indecision by inducing greater uncertainties about the Democratic candidate. As potential
voters observe the numerous biases in the media, they are faced with a dilemma: if the
61
�information they are receiving is discernibly biased, how do they determine who to vote
for?
V. Indecision Among New Yorkers
To test my hypothesis that voter indecision continues in the 2020 election cycle,
I conducted some primary data collection among New York City residents. To ensure that
the respondents are representative of New York City voters, the survey asked respondents
if they will be eligible to vote in the 2020 primaries and if their permanent residence is
located in the five boroughs. Respondents were then asked to specify the borough of their
residence in addition to standard demographic questions. Then the survey transitioned
into Likert scale questions asking about the respondents’ perception of the media. For
each question in which the respondents were asked to select a choice reflecting their
perception of the media, neutral options were provided. Respondents would first select a
choice that they believe reflects the perception that the general public has of the media.
Then, they were asked to answer the question based on their own perception.
After nine demographic questions, the survey contained twenty questions
assessing either the respondents’ perception of the media, or their perception on voter
indecision in the context of the 2016 or upcoming 2020 election.
The survey was distributed through email and recipients were asked to
redistribute it to other New York City voters, thus using a snowball sampling technique.
The survey link was also forwarded through text messages, and on Instagram and
FaceBook accounts.
I will start with the demographic findings of the survey results and will then
look at the perception of the media held by the respondent pool of New York City voters,
as measured predominantly by Likert scale questions. As respondents were not forced to
submit an answer to a question, some questions have a different number of respondents
than other questions. The survey received a total of 88 respondents, but not all 88
respondents answered every question.
Demographics
The survey results reflect a mostly white, middle-class population residing in
Staten Island and contain a relatively even distribution between male and female -- with a
skew towards female (42.5% male to 57.5% female). As this survey uses the U.S. Census
Bureau’s categories for race and socioeconomic status, and the U.S. Census no longer
includes Hispanic as a category for race, it is likely that some Hispanics identified as
white, while other Hispanics may have selected “other.” According to the U.S. Census
Bureau’s “About Race” webpage last revised on April 21, 2020:
62
�The racial categories included in the census questionnaire generally reflect a social
definition of race recognized in this country and not an attempt to define race
biologically, anthropologically, or genetically. In addition, it is recognized that the
categories of the race item include racial and national origin or sociocultural groups.
People may choose to report more than one race to indicate their racial mixture, such as
“American Indian” and “White.” People who identify their origin as Hispanic, Latino, or
Spanish may be of any race (US Census Bureau, 2020).
The recent exclusion of Hispanic as a category of race has been widely attributed to fears
of deportation, as exacerbated by Trump’s administration. The fears may also be the
reason why the survey has the appearance of a mostly “white” respondent pool. It is
possible that many of these respondents are white Hispanic. It is also likely that some
participants from lower-middle classes or upper-middle classes responded as middle class
(Bird and Newport 2017, Mohan 2019, and Samuel 2016). These factors may explain
why the respondents appear to make up a mostly white, middle class population.
Additionally, there is an equal distribution between single and married respondents
(45.68% single and 45.68% married) with the remainder of respondents either divorced
or separated. (see Appendix A for figures representing the demographics of the pool of
respondents).
Respondents’ Perception of the Media
Forty-three percent of respondents found that the indecision of American voters
was increased in 2016 due to factors which may include media bias, compared to 28%
who disagreed. The remaining percentage of respondents were neutral. This indicates that
a substantial majority of New York voters recognize an increase in voter indecision.
These respondents also confirm (see Figures 2.1 and 2.2) the mass media’s significant
impact on voter behavior, which includes voter indecision.
Corroborating these findings, 10% of participants responded that they have not
decided who they will vote for in the upcoming 2020 election. This can support that voter
indecision has continued to increase since the 2016 U.S. presidential election, as one
study notes that historically speaking “about 8.65% of Americans are floating voters
when presidents run a second time” (Smidt, 376). Although the percentage of undecided
voters within the respondents appears to be down from 2016’s outstanding 13%, this can
be accounted for by the statistics supporting that voter indecision is typically a couple
percentage points lower when it is a reelection (376). While the 2020 reelection follows
the pattern of being only a couple percentage points lower than the non-reelection, it also
continues a pattern of increased voter indecision because the previous non-reelection had
atypically higher rates of indecision. While this level of reelection bias is consistent with
archival data, the voter indecision is inconsistently higher (376). If there is no increased
63
�Figure 2.1. New York voters overwhelmingly recognize mass media’s large impact on
voters. Not one participant answered that the media never impacts voting behavior.
Figure 2.2. New York voters continue to recognize mass media’s impact on voting
behavior, even when it comes to their own personal votes -- though there is an evident
resistance to admit how strong that impact may be.
64
�reelection bias to act as the cause of rising indecision, it is likely that the media’s bias and
miscalculation of the 2016 election is the cause.
This can be supported by the 81.69% of participants who responded that the
media will either definitely or probably influence votes in the upcoming 2020 election.
Only one person out of the 71 who responded to this question answered that the media
will have no influence -- though more responded that there would be no influence when it
came to the media’s influence on their own personal vote, resulting in a drop to 68.05%
of respondents acknowledging a media impact on their personal vote in the upcoming
2020 election.
The survey also indicates that the media is likely to repeat the mistakes made in
the 2016 election, as 52.11% responded that they either very strongly agreed, strongly
agreed, or agreed to the following: “The media is likely to miscalculate the upcoming
2020 presidential election results.” These findings support that voter indecision both
increased in 2016 and continues to increase; voter behavior, which includes voter
indecision, is strongly impacted by the media; and that the media is perceived by New
Yorker voters to be misleading. The Guardian published this common sentiment, stating
that “there are already signs that mistakes of the magnitude of 2016 may be repeated...”
(Guardian US, 2020).
VI. Analysis and Conclusion
Since the media has such a strong impact on voter behavior, it is likely that the
increase in voter indecision has been due to the media’s increased inability to present
reliable impartial news, as seen in the reporting of allegations against Joe Biden. As mass
media has continued to present biased information, voter indecision has continued to
increase since the 2016 U.S. presidential election, as supported by the 10% of survey
participants who responded that they were undecided as to who they will vote for in the
upcoming election. If voters cannot tell what the truth is about the candidates running for
office, they are evidently increasingly unable to decide on a candidate. The fact that Iowa
caucuses “have been incorrectly reported for decades,” but yet faced intense public
scrutiny for the first time in 2020, indicates that there is an increase in voter skepticism
and that there is a more keen eye on the media’s calculations since its miscalculation of
the 2016 election outcome (Epstein, 2020). The fact there were more candidates running
in 2020 than usual and yet there was no frontrunner for the Democrats until quite later in
the race also suggests an increased indecision in voting culture, which researchers have
attributed to the media (Leatherby, 2019).
65
�Polarization, candidate unfavorability, and reelection bias all have a role in voter
behavior, but, as I have argued in the preceding pages, those are not necessarily the
paramount causes of voter indecision. Rather, the mass media’s bias and miscalculation
in the 2016 election appears to be one of the primary causes of the increased voter
indecision in 2020. Voter indecision continues to increase in 2020 alongside the media’s
steady bias, which was perceived by New York voters and was evident in the media’s
hyperbolization and overemphasis on trivalities like Trump’s tweets; the resistance to
report the sexual assault allegations against Biden; and the late announcement of
frontrunners due to “media fragmentation” (Leatherby, 2019). While the reporting of and
sudden attention to inconsistencies in the 2020 Iowa caucus show that some media outlets
are trying to be more reliable than ever before (with more fact-checking and less mere
dissemination), there is still an influential wave of bias and misleading-information
dissemination that is yet to be overcome. This wave is raising the levels of voter
indecision and is creating a larger culture of skepticism around politics that goes beyond
voters and voting behavior. Indeed, it contributes to a wider disillusionment with politics
itself.
VII. Works Cited
Argott, Don, et al., directors. 11/8/16. 2017.
Bird, Robert, and Frank Newport. “What Determines How Americans Perceive Their
Social Class?” Gallup.com, 27 Feb. 2017, https://news.gallup.com/opinion/pollingmatters/204497/determines-americans-perceive-social-class.aspx.
Bon, Joshua J., Timothy Ballard, and Bernard Baffour. “Biased Polls and the Psychology
of Voter Indecision.” ResearchGate, March 2017, pp. 1-35. www.researchgate.net/
publication/ 315682626_Biased_polls_and_the_psychology_of_voter_indecisiveness.
Bon, Joshua J., Timothy Ballard, and Bernard Baffour. “Polling Bias and Undecided
Voter Allocations: US Presidential Elections, 2004–2016.” Journal of the Royal
Statistical Society Series A (Statistics in Society) Vol. 182, No. 2, 2019, pp. 467-493.
https://wagner.illiad.oclc.org/illiad//pdf/85815.pdf
Cohn, Nate. “A 2016 Review: Why Key State Polls Were Wrong About Trump.” The
New York Times, 31 May 2017, www.nytimes.com/2017/05/31/upshot/a-2016-reviewwhy-key-state-polls-were-wrong-about-trump.html.
Durand, Claire, et al. “An Evaluation of 2016 Election Polls in the U.S. Technical
Report.” American Association for Public Opinion Research, May 2017, pp. 1-104.
66
�Epstein, Reid J., et al. “How the Iowa Caucuses Became an Epic Fiasco for Democrats.”
The New York Times, 10 Feb. 2020, www.nytimes.com/2020/02/09/us/politics/iowademocratic-caucuses.html.
Gabbatt, Adam. “11/8/16: The Documentary That Asks Us to Relive the Day Trump
Shocked America.” The Guardian, 30 Oct. 2017, www.theguardian.com/film/
2017/oct/30/trump-election-documentary-film-11-8-16.
Guardian US, and The Columbia Journalism Review. “The Media Missed the Rise of
Trump in 2016. Are They Ready This Time?” The Guardian, 6 Jan. 2020,
www.theguardian.com/us-news/2020/jan/06/sleepwalking-into-2020-media-misseddonald-trump-rise-lessons-learned-2016.
Harrison, Chase H. “How to Frame and Explain the Survey Data in your Honors Thesis.”
Harvard University Program on Survey Research, 2008, pp. 1-8,
https://psr.iq.harvard.edu/files/psr/files/HowtoFrameandExplain_0.pdf.
Jaffe, Alexandra. “Sanders to Seek Partial Recanvass of Iowa Caucus Results.” AP
NEWS, Associated Press, 10 Feb. 2020,
apnews.com/58397815e08080c41ef1d04579c1707a.
Klinenberg, Eric, et al. Antidemocracy in America: Truth, Power, and the Republic at
Risk. Columbia University Press, 2019.
Leatherby, Lauren, and Paul Murray. “A Staggering Number of Candidates Are Running
for U.S. President.” Bloomberg.com, Bloomberg, 14 May 2019, www.bloomberg.com/
graphics/democratic-party-candidates-running-2020-election/.
Mohan, Pavithra. “This Is Why Everyone Thinks They Are Middle Class (Even If They
Aren't).” Fast Company, 25 Apr. 2019, www.fastcompany.com/90330573/who-isactually-middle-class.
Nilsen, Ella. “Less than one-third of Iowa and New Hampshire voters have settled on a
candidate.” Vox, 11 Jan. 2020, https://www.vox.com/policy-andpolitics/2020/1/11/21057416/iowa-and-new-hampshire-voters-undecided-2020-election.
Samuel, Lawrence R. “The Psychology of Being Middle Class.” Psychology Today,
Sussex Publishers, 6 Oct. 2016, www.psychologytoday.com/us/blog/psychologyyesterday/201610/the-psychology-being-middle-class.
Smidt, Corwin D. “Polarization and the Decline of the American Floating Voter.”
American Journal of Political Science Vol. 61, No. 2, 2017, pp. 365-381.
67
�Sturgis, P., et al. Report of the Inquiry into the 2015 British general election opinion
polls. London: Market Research Society and British Polling Council, 2016.
Valentino, Nicholas A., et al. “Polling and Prediction in the 2016 Presidential Election.”
Computer Published by the IEEE Computer Society, May 2017, pp. 110–115,
https://www.computer.org/csdl/magazine/co/2017/05/mco2017050110/13rRUB6SpVS.
Appendix A: Figures Representing the Demographics of the Pool of Respondents
Figure 3.1. The majority of respondents are from Staten Island, New York.
68
�Figure 3.2. More than half of the respondents are between the ages of 41 and 64.
Figure 3.3. Because the U.S. Census Bureau has recently stopped including the Hispanic
racial category and this survey uses the U.S. Census Bureau’s categories of race, more
respondents may appear to be from the White and Other racial backgrounds than there
actually are. Some Hispanics may have selected White as a race in the absence of a
Hispanic option.
69
�Figure 3.4. The majority of respondents have at least some college background. More
than half of them have a Bachelor’s Degree or higher.
Figure 3.5. There may appear to be a larger majority of middle-class respondents than is
the case, as most people identify as middle class, but may be from lower or upper middle
classes.
70
���Finding Meaning in Silence: John Cage’s 4’33”
Madeline Lee 1
John Cage, a twentieth-century composer, explored and innovated new methods of
making music. As an avant-garde composer, he experimented with instrumentation and
musical notation, pushing the boundaries of typical music in the 1900s. One of these
experimental pieces is his 1952 work titled 4’33”. Made up of three movements, this piece is
not composed of notes and pitches, like a traditional piece of music, but with silence. 4’33”
instructs the players not to play their instruments for the four minutes and thirty-three seconds
referenced in the composition’s title, letting the spontaneous sounds that occur in the
environment fill the silence. As a non-traditional composition, 4’33” has sparked debate since
its inception. This piece has not only been a topic of research and discussion for scholars of
music but has also been debated by philosophers. Many people have debated whether it is
music or not, evaluating the components of sound, duration, and the perception of the piece.
Through his writings on silence and music, John Cage also adds his opinion regarding the
musicality and perception of 4’33”.
From its debut, 4’33” was controversial. It was first performed by David Tudor on
August 29 1952, at Maverick Concert Hall, located in the Catskill Mountains in New York i.
Many people prematurely left the concert before the piece was over ii. The people who stayed
also questioned the piece. “The Story of 4’33”,” a radio program produced by National Public
Radio, recounts this performance, stating that “[t]here was an uproar. People thought 4'33" was
a joke or some kind of avant-garde nose-thumbing. During a post-concert discussion, as Cage
biographer David Revill notes, one local artist stood up and suggested, ‘Good people of
Woodstock, let's drive these people out of town.’” iii The initial reception of 4’33” was
partially based on confusion and partially on anger. The composition is still regarded with
these emotions. In a 2010 article, Alex Ross, a music critic for The New Yorker, writes:
Nearly six decades after the work came into the world, 4’33” is still dismissed as
“absolutely ridiculous,” “stupid,” “a gimmick,” and the “emperor's new clothes”—to
quote some sample putdowns that [Kyle Gann, a scholar studying Cage,] extracted
from an online comment board. Such judgments are especially common within
1
Written under the direction of Dr. David Schulenberg for RFT-LC5.
73
�classical music, where Cage, who died in 1992, remains an object of widespread
scorn. iv
The piece, for decades, has been the subject of criticism and confusion. In his 1961 book
Silence: Lectures and Writings, Cage addresses the criticism of 4’33” and his other
controversial works. He writes:
Question: I mean — But is this music? Answer: Ah! you like sounds after all when
they are made up of vowels and consonants. You are slow-witted, for you have
never brought your mind to the location of urgency. Do you need me or someone
else to hold you up? Why don't you realize as I do that nothing is accomplished
by writing, playing, or listening to music? Otherwise, deaf as a doornail, you will
never be able to hear anything, even what's well within earshot.
Question: But, seriously, if this is what music is, I could write it as well as you.
Answer: Have I said anything that would lead you to think I thought you were
stupid? v
Though he appears to respond to the critics’ questions, Cage does not actually provide a
concrete answer to whether 4’33” is music. He comments on the uselessness of playing,
writing, and listening to music, but does not give any reasons why his compositions are music
or not.
Scholars of philosophy and music have attempted to answer the question that Cage
did not: Is 4’33” music? To construct an effective argument, they must first define what music
is. One of the most basic elements of music, at least from a Western perspective, is the
inclusion of some sort of sound. The Grove Music article “Music” states that music is regarded
as “a series of sounds and a group of compositions, and musical activity as consisting mainly
of composition, expressed as the combining of sounds.” vi Sounds are essential for music.
Though 4’33” does not contain any notated sounds, it does use sound. In Silence: Lectures and
Writings, John Cage states: “[I]n this new music nothing takes place but sounds: those that are
notated and those that are not. Those that are not notated appear in the written music as
silences, opening the doors of the music to the sounds that happen to be in the environment.” vii
In Cage’s opinion, 4’33” actually contains a lot of sounds, because the silent nature of the
piece highlights the environmental sounds. In this way, 4’33” follows the definition of music
as “a series of sounds,” by allowing a space for these ambient noises, though they are not
directly notated in the composition.
Though 4’33” contains sounds, there is also a distinction between music and noise. In
his TEDx Talk, Julian Dodd, a professor of philosophy at the University of Manchester, asserts
that music must contain sounds that are produced by a performer who is following a
74
�composer’s instructions. He states that “if the sound is produced by a performer as a result of
her following the composer’s instructions, it’s part of the performance’s content. If it’s not
produced by that means, it’s mere noise.” viii Through this lens, 4’33” is not a musical
composition but simply a series of ambient sounds, because they are not the product of a
performer following a composer’s score. However, other types of music also use sounds
outside of the score. Improvisation is frequently heard in jazz music, among other types of
music. The Grove Music article, “Improvisation,” even asserts: “To some extent every
performance involves elements of improvisation.” ix Music that includes improvisation is still,
undeniably, music, although it is not a result of a performer following the score. This
contradicts Dodd’s argument that 4’33” is not music purely because the sounds it contains are
not a result of a performer heeding the composer’s instructions. It is worth noting, however,
that the sounds produced by jazz music and other types of improvisational music, are
intentionally made by the performers, whereas the sounds in 4’33” are not. This detracts from
the argument that 4’33” is music, because the function of the composer and the performers
differs from their function in improvisational music—in 4’33”, the performers simply let the
ambient noise happen, while, in other types of improvisational music, they are directly
responsible for creating it.
Sound is not the only element of music; duration is also one of its core tenets. The
Grove Music article “Time” states: “The essential medium for music and musical performance,
a non-spatial continuum of past, present and future in which music exists and is understood.
Music requires no material substance, nor can one circumscribe any set of sounds as inherently
musical (and others as inherently non-musical), but all music must occur in time.” x A
composition must have some sort of duration to be considered music. Cage writes that
“duration is the only characteristic of sound that is measurable in terms of silence, therefore
any valid structure involving sounds and silences should be based, not as occidentally
traditional, on frequency, but rightly on duration.” xi Whatever sounds it contains, 4’33” has a
duration. In an explanatory note connected with the piece, Cage writes: “the work may be
performed by any instrumentalist or combination of instrumentalists and last any length of
time.” xii Whether it is played in a noisy or a quiet environment, it will be played for some
amount of time, even if that duration is not specified.
Another important aspect of music is how it is perceived. 4’33” is meant to be
performed, and that should be taken into consideration when deciding whether or not it is
music. In his book No Such Thing as Silence: John Cage's 4'33", Kyle Gann discusses how the
performance aspect shapes the musical perception of 4’33”. Gann, a composer and professor of
music, writes:
75
�Certainly, through the conventional and well-understood acts of placing the title of a
composition on a program and arranging the audience in chairs facing a pianist, Cage
was framing the sounds that the audience heard in an experimental attempt to make
people perceive as art sounds that were not usually so perceived. One of the most
common effects of 4′33″—possibly the most important and widespread effect—was to
seduce people into considering as art phenomena that were normally not associated
with art. Perhaps even more, its effect was to drive home the point that the difference
between “art” and “non-art” is merely one of perception, and that we can control how
we organize our perceptions. xiii
Through the conventions of a musical performance—seating the audience in front of a
performer and putting the title of the piece into a program—Cage frames 4’33” as music.
According to Gann, framing the composition as music persuades the audience to think of it as
music. The performance contains all of the things associated with a musical performance, so it
must be one. Even if the sounds in 4’33” are spontaneous environmental noises, they are
framed as part of a musical performance, so they are perceived as music.
Whether 4’33” is or is not considered to be music is a discussion that may never be
resolved. Though it does contain sounds, has a duration, and is framed as music, there are still
scholars who do not think it fulfills the criteria for music. However, perhaps it does not even
matter whether it is music at all. In Silence: Lectures and Writings, Cage writes:
One has a choice. If he does not wish to give up his attempts to control sound, he may
complicate his musical technique towards an approximation of the new possibilities
and awareness. ... Or, as before, one may give up the desire to control sound, clear his
mind of music, and set about discovering means to let sounds be themselves rather
than vehicles for man-made theories or expressions of human sentiments. xiv
In this passage, Cage poses two possibilities: either control sound or allow it to just be sound.
The latter choice almost rejects the idea that music exists at all. Though people impose human
agendas or theories on certain sounds, all sounds are still simply sounds.
It may seem as if Cage’s proposal of letting sounds just be sounds contradicts Gann’s
point about how the perception of sounds makes them music. However, in his book, Cage also
writes about how letting sounds exist as sounds augments the individual perception of sounds.
He states:
Hearing sounds which are just sounds immediately sets the theorizing mind to
theorizing, and the emotions of human beings are continually aroused by encounters
with nature. Does not a mountain unintentionally evoke in us a sense of wonder?
Otters along a stream a sense of mirth? Night in the woods a sense of fear? Do not
76
�rain falling and mists rising up suggest the love binding heaven and earth? Is not
decaying flesh loathsome? Does not the death of someone we love bring sorrow? And
is there a greater hero than the least plant that grows? What is more angry than the
flash of lightning and the sound of thunder? These responses to nature are mine and
will not necessarily correspond with another's. Emotion takes place in the person who
has it. And sounds, when allowed to be themselves, do not require that those who hear
them do so unfeelingly. The opposite is what is meant by response ability [sic]. xv
To Cage, letting sounds simply exist as sounds allows each person to find their own meaning
and emotion in them. If something is categorized as music, it is no longer just a sound, but a
specific type of sound that carries cultural and personal connotations, which could limit an
individual’s ability to find their own meaning in it.
Another thing to consider is Cage’s intentions for and expectations of 4’33”. The
piece, at first glance, seems very open ended. He emphasizes not controlling sound through
music. 4’33”, by relying on spontaneous environmental sounds, allows any sound to fill the
silence. However, Cage must have had some expectations for the piece. He probably would not
have wanted the piece to be played in complete silence, without any ambient noise at all,
because there would be no sound to focus on. Conversely, he also probably would not have
wanted it to be performed right next to another performance, because that would detract from
the focus on the spontaneous environmental sounds. Therefore, since Cage probably had some
idea of how 4’33” should be performed, he set expectations of what the piece—and music as a
whole—should be.
Perhaps Cage did not mean for 4’33” to be taken seriously at all. His process of
composition, and, as a result, many of his pieces, seems almost theatrical. For example, Cage
developed a “gamut” technique for composing, in which he used only a certain set of unrelated
sonorities. xvi Limiting himself to these sounds makes his process of composition seem
theatrical, as if he is seeking attention through his process, rather than through the merit of the
pieces themselves. The very nature of 4’33” also has a satirical quality. The whole concept of
composing an entirely silent piece seems to mock music, because it contradicts the
conventional definition of music. Perhaps it was meant to spark debate among scholars,
making them realize how trivial their concept of music is.
The musicality of 4’33” has been debated for decades, starting with the first public
performance of the piece. Though the composition fulfills the criteria of having some sort of
sound, a duration, and the conventions of a musical performance, defining music is a messy
and somewhat subjective task. Because of this, the discussion of whether or not the piece is
music may never be closed. To some, the spontaneous environmental sounds highlighted in
77
�4’33” are music. To others, they are just noise. However, trying to define it at all goes against
Cage’s philosophy and intentions for the piece. He believed that sounds should just be sounds
because this allows listeners to find individual significance in them. Labeling a sound as music
puts it into a special category of sounds, foisting the connotations of that label onto a sound.
However, he contradicted this by placing expectations on the performance of the piece, further
confounding the musicality of 4’33”. Perhaps the debate should no longer be about whether
4’33” is music or not, but whether being music even matters.
i
Kyle Gann, No Such Thing as Silence: John Cage’s 4’33” (New Haven: Yale University
Press, 2010), 1.
ii
Alex Ross, “Searching for Silence,” The New Yorker 86 (4 October 2010): para. 1.
iii
Will Hermes, “The Story Of '4'33",” NPR (8 May 2000), 5:47. https://www.npr.org/
2000/05/08/1073885/4-33
iv
Ross, “Searching for Silence,” para. 5.
v
John Cage, Silence: Lectures and Writings (Middletown, Conn.: Wesleyan University Press,
1961), 17.
vi
Bruno Nettl, “Music,” Grove Music Online (accessed 3 November 2020),
https://ezproxy.wagner.edu:2310/10.1093/gmo/9781561592630.article.40476, section I (2)
vii
Cage, Silence, 7-8.
Julian Dodd, “Is John Cage's 4'33'' music? Prof. Julian Dodd at TEDxUniveristyOf
Manchester”, YouTube, uploaded by TEDx Talks (2013), https://www.youtube.com/
watch?v=WTCVnKROlos, 11:28.
ix
Bruno Nettle et al., “Improvisation,” Grove Music Online (accessed 3 November 2020),
https://ezproxy.wagner.edu:2310/10.1093/gmo/9781561592630.article.13738.
x
Justin London, “Time,” Grove Music Online (accessed 3 November 2020),
https://ezproxy.wagner.edu:2310/10.1093/gmo/9781561592630.article.43935.
xi
Cage, Silence, 13.
xii
Quoted in Gann, No Such Thing as Silence, 183.
xiii
Gann, No Such Thing as Silence, 20.
xiv
Cage, Silence, 10.
xv
Cage, Silence, 10.
xvi
Gann, No Such Thing as Silence, 169.
viii
78
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a Musical Notion.” Journal of Aesthetic Education 26 (1992): 83–91.
Cage, John. 4'33" (In Proportional Notation). 1952/1953. Museum of Modern Art,
New York. https://www.moma.org/collection/works/163616. Accessed 26 October 2020.
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TEDxUniversityOfManchester.” YouTube, uploaded by TEDx Talks, 8 June
2013, https://www.youtube.com/watch?v=WTCVnKROlos.
Fallon, Michael. “The Other Side of Silence.” New England Review 36 (2015): 159–171.
Gann, Kyle. No Such Thing as Silence: John Cage’s 4’33’’. New Haven: Yale University
Press, 2010.
Hermes, Will. “The Story of 4'33".” NPR, 2000. https://www.npr.org/2000/05/08/
/1073885/4-33
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10.1093/gmo/9781561592630.article.43935. Accessed 3 November 2020.
MacDonald, Douglass. “John Cage and His 4’33": A Centenary Re-Evaluation.”
Musical Opinion, no. 1491 (2012): 14–15.
Nettl, Bruno, et al. “Improvisation.” In Grove Music Online.
https://ezproxy.wagner.edu:2310/10.1093/gmo/9781561592630.article.13738.
Accessed 3 November 2020.
———. “Music.” In Grove Music Online. https://ezproxy.wagner.edu:2310/
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. Accessed 25 October 2020.
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�Ross, Alex. “Searching for Silence.” New Yorker, vol. 86, no. 30 (2010), 52–61.
https://www.newyorker.com/magazine/2010/10/04/searching-for-silence
80
�Nina Simone’s Curse on the Nation: “Mississippi Goddam”
Julia Searle (Business Administration) 1
In her 1963 protest song, “Mississippi Goddam,” Nina Simone proclaims, “All I
want is equality/For my sister, my brother, my people, and me.” Simone, a talented
African American singer and pianist, wrote what would be called the “national anthem of
the Civil Rights movement” (Raussert 23). The early 60s were the period in the Civil
Rights movement where tensions were skyrocketing and people were running out of
patience due to the lack of tangible progress. Simone’s song essentially documents the
escalation of events in the early part of 1963 that eventually led to the Civil Rights Act
being signed in 1964. Prior to this time, protest songs were typically “sung to bolster
spirits, to gain new courage and to increase the sense of unity” (Feldstein 1377). In
“Mississippi Goddam,” Simone takes a very different and defiant approach; she provokes
her audience with an energetic tone and demands them to grasp the song’s message. She
repeatedly calls out the places where terrible events had occurred earlier that year. Her
verses go on to predict that the tragedies would continue if no change was implemented. I
argue that Simone fearlessly exposes the rising violence that was being used to subvert
the progress of the Civil Rights Movement. She leveraged her position as a vibrant and
popular performer to drive the song’s explicit title and evocative lyrics into the
consciousness of her audience. The song “Mississippi Goddam” signals a breaking point
in the Civil Rights movement because it openly criticized the unrestrained and
uncontested violence being used by white segregationists to maintain the oppression of
African Americans. Her song embodies the anger, fear, and resentment that Black
Americans felt in response to these events and encourages them to defy discrimination.
In order to understand Simone’s message, it’s important to look back through
America’s past. The Emancipation Proclamation ended slavery in 1863, however, the true
equality that African Americans sought was still a long ways off in 1963. Within fifteen
years following the Civil War, “Jim Crow Laws” were enacted, legalizing racial
segregation in places of work, education, housing and stores in the U.S. from 1877 until
1964. As Katie Eyer argues, “‘colorblind’ Jim Crow laws and administrative action (in
other words, legal action intended to reach racial results through means that were not
facially discriminatory) were also an important piece of how inequality was sustained”
1
Written under the direction of Dr. Alison Arant for RFT-LC 5.
81
�(Eyer 1033). These laws were simply a disguised continuation of the suppression of
African American rights and opportunities. According to Roy Wilkins, the assistant
secretary for the NAACP (The National Association for the Advancement of Colored
People), “African Americans were not demanding anything ‘new or startling’... nor were
they asking for anything ‘inconsistent with the Constitution and the Bill of Rights’”
(Snyder 152). They wanted to exercise the rights they were granted as Americans and be
offered the same opportunities in the same environments as white people.
The fight for equality continued throughout the Civil Rights Movement, from
1954 to 1968, but it was in early 1963, the year Simone wrote “Mississippi Goddam,”
that the cause started to gain real momentum. In April of that year, Martin Luther King
Jr. was arrested in Alabama after “bringing other activists to Birmingham for a direct
challenge to the city’s segregation policies” (Cohodas 136) because “there [had] been
more unsolved bombings of Negro homes and churches in Birmingham than in any other
city in the nation” (Harmon 3). In June 1963, President Kennedy brought these issues to
the attention of the nation in his “Address on Civil Rights." Kennedy stated, “One
hundred years of delay have passed since President Lincoln freed the slaves, yet their
heirs, their grandsons, are not fully free. They are not yet free from the bonds of injustice.
They are not yet freed from social and economic oppression” (Kennedy 5:08 - 5:26).
Then, in August 1963, the march on Washington D.C., “the largest political
demonstration to date in American history,” took place and Martin Luther King Jr. gave
his famous “I Have a Dream Speech” (Cohodas 142). Resistance and protests were
mounting, public opinion was turning and real change was on the horizon.
Nina Simone was a popular entertainer who had heard about everything that was
going on, but had not yet become directly involved in the fight for equality. When
President Kennedy gave his speech on Civil Rights, stating that equality was overdue,
Simone had hope for a better future (Cohodas 138). About two hours after his speech
however, Civil Rights activist Medgar Evers was murdered in front of his home (Cohodas
138). As Keith Orejel wrote in his essay, “Evers was a hero within African American
activist circles, but also a target for militant white segregationists” (Orejel 37). While
Simone simply watched and listened, people like Medgar Evers were out risking their
lives to fight for equality. Simone recalled, “Evers’ murder was not the last straw for me,
but it was the match that lit the fuse” (Cohodas 138). His death was a catalyst and sent a
clear message to all Americans about the price of speaking out against oppression.
According to Orejel, “Violent protests erupted in Jackson in the days following Evers’
murder… tens of thousands of Americans joined in NAACP organized meetings to honor
the civil rights martyr” (Orejel 39). People were outraged and terrified. How many more
82
�people were going to die fighting for basic human rights? As Martin Luther King stated
in his “Letter from Birmingham Jail,” “Injustice anywhere is a threat to justice
everywhere” (Harmon 3).
The violence and tragedy reached a new low in September 1963 when four
young African American girls were killed while at church in a bombing planned by white
segregationists. Hearing the news jolted Nina Simone’s conscience and catapulted her
from the sidelines into the fight. “Simone recalled, ‘All the truths that I had denied to
myself for so long rose up and slapped my face.’ The church bombing and the slaying of
Medgar Evers now fit like the last pieces of a jigsaw puzzle… ‘I suddenly realized what
it is to be black in America in 1963’” (Cohodas 144). The death of innocent children was
the last straw for Simone and awakened her to the magnitude of the fight and the true
power of hatred. In that moment, the fury that had been growing in her exploded and she
immediately sat down and wrote “Mississippi Goddam” (Feldstein 1349). Simone states
in her song, “Black cats cross my path/I think every day's gonna be my last.” She realized
that being Black in the U.S. meant not only being regarded as a second-class citizen, but
that to some, your life had no value. Her song was a wake-up call “addressed precisely to
those who [were] numb and sleeping through the tyranny of history, the assassination of
NAACP field secretaries, and church bombings that murder little girls; they [were] deaf,
dumb, and blind, Simone's song asserts, to the American catastrophe at hand” (Brooks
187). She called out people watching these tragic events unfold, seeing the lack of
consequences, and still not acting, just as she had done. Simone knew the best way to
make a difference was through her music. This song sparked her motivation for activism
and she was eager to ignite that spark in others.
Prior to writing “Mississippi Goddam,” Simone had been merely watching the
events unfold around her; she was not even present at the march in Washington D.C.
Simone “was on the sidelines, not recognizing yet that she had a part to play in the
emerging struggle… She was certainly aware of all that was going on… but she hadn’t
made the effort to put it all together for herself” (Cohodas 136). Simone was so inspired
and determined to do more that she eventually became an activist for the movement. She
“performed [‘Mississippi Goddam’] in Atlanta and for marchers during the Selma-toMontgomery march in 1965” (Feldstein 1361). According to Cohodas, Simone “felt as if
she had hurled ‘ten bullets’ back at the Birmingham bombers” (Cohodas 145). She felt
she was creating change with her lyrics. Music gave her power and an outlet to express
her rage and urge people to understand the meaning behind it.
Simone’s “Mississippi Goddam” signaled a breaking point for people during this
intense period because it was incredibly expressive and compelling. The song’s explicit
83
�title, “Mississippi Goddam,” grabbed people’s attention and sparked controversy. The
word “goddam” was not just in the title, but was boldly repeated throughout the song.
Simone evidently used the shock value of being unapologetically profane in order to
express the outrage she and other African Americans felt at the time. As Daphne Brooks
argues, “Simone's singing curse grants her access to aggression with a score; it allows her
to be ‘symbolically violent’ and to ‘achieve [her] purpose without breaking the
prohibition on actual bodily harm’” (Brooks 188). As a result of the profanity and
underlying message, “‘Mississippi Goddam’ was banned from radio stations in the South
and from national television” (Feldstein 1368). Some have argued that the song was too
controversial for its time because Simone was literally cursing the nation. While it was
controversial to use profanity, it was appropriate given the atrocities she was commenting
on. Fearlessly performing this song put both Simone’s safety and career at risk. However,
she felt she had an obligation to express how fed-up African Americans were at this
point. In an interview, Simone stated, “I choose to reflect the times and the situations in
which I find myself. That, to me, is my duty… and at this crucial time in our lives, when
everything is so desperate, when every day is a matter of survival, I don't think you can
help but be involved… How can you be an artist and not reflect the times?” (What
Happened 54:22 - 53:51). As an entertainer, Simone knew she had not only the
capability, but the responsibility to persevere and try to make a difference.
Simone’s lyrics directly comment on the steady stream of violence during 1963
that was aimed to thwart the resistance of African Americans. Simone protested the
violence by essentially ticking off the places where terrible events had occurred with no
legal repercussion. “Alabama's gotten me so upset/Tennessee made me lose my rest/And
everybody knows about Mississippi, goddamn.” These powerful, expressive lyrics are
repeated as the chorus of the song; they expose the recurring violence and underscore the
fact that African Americans were sick of it. Simone was the “spokeswoman when it came
to that earthy ‘let’s drag it up by the roots’ sort of stuff. She tells the TRUTH” (Cohodas
146). Simone was defiant in her lyrics, “‘Don't tell me, I'll tell you/Me and my people just
about due.” She “delivers the sonic equivalent of African Americans' utter discontent
living under quotidian Jim Crow subjugation” (Brooks 184). Simone amplified the
indignation Black Americans felt in response to the decades of systemic racism.
“Mississippi Goddam” was a protest song, but not in the conventional sense
because its aim was to strike notes of shock and outrage rather than emphasizing
harmony and solidarity. Simone expresses the fact that African Americans were no
longer willing to tolerate the legalized segregation and oppression that the power
structure had maintained for decades. Simone sings, “Washing the windows/Do it
84
�slow/Picking the cotton/Do it slow.” She refers to the fact that African Americans were
left with only the menial, low paying jobs as a result of segregation. “Simone interfaces
arduous black labor - ‘washing the windows, picking the cotton’ - with the ironic voices
of white supremacist hypocrisy (‘you're just plain rotten!’ ‘you're too damn lazy!’) with
the ‘Do it slow’ chant yelled in the background by her band” (Brooks 187). Her lyrics
illustrate that the people who were criticizing Blacks for being too lazy, or too rotten, to
get a better job were the same people restricting their opportunities. The verses unmask
the negative stereotypes associated with African Americans as well as the hypocrisy and
racist tactics that whites were employing in order to hinder progress.
Her verses claim that slowing the movement would ultimately result in more
violence. Simone strategically repeats the refrain “Do it slow!” throughout the song to
reiterate the fact that many in power supported maintaining segregation and reinforcing
methods of oppression; her lyrics exposed the passive resistance against the movement.
She sings, “Do things gradually/Do it slow/But bring more tragedy.” The song argues
that if change was dragged out, more lives would be lost. As Brooks argues, “‘Do[ing] it
slow’ is both a mark of resistance and a failure on the part of movement leaders to face
the time bomb that keeps ticking (off) in the race against Civil Rights era white
supremacist terror’” (Brooks 187). If legal change was not implemented soon, then more
tragedy would occur. “Simone and her band effectively check the tempo of the nation,
calling attention to the historically glacial pace of this country's racial reform even as the
galloping, staccato rhythm section marches forward and forecasts the nation's impending
damnation” (Brooks 187). Equality had to be instituted as Black Americans are entitled to
the same rights and opportunities as whites. Her song signaled for meaningful change to
be instituted and enforced to end the violence and subjugation.
In order to effectively relay the message in her lyrics, Simone presented her
song in an upbeat and energetic manner. She grasped her audience’s attention with a
quick, lively tempo and proceeded to proclaim her exposition of the occurring injustice.
The lyrics are a litany of rage and aggression, “Simone wields audience patter on
‘Mississippi Goddam’ as a disciplinary, metanarrative threat” (Brooks 184). Simone’s
performance of this gritty, angry protest song had to be presented in a stimulating and
entertaining manner in order for the message to truly resonate with her audience. “The
euphoria of the song's tempo and Simone's near ebullient introduction sets a sly trap for
the audience who, with their robust laughter, is seduced into a suspended state of
disbelief as to the dire seriousness of the song's subject matter” (Brooks 184). Due to the
references to tragedy and violence in the song, some people may argue that the tone and
tempo of Simone’s delivery were inappropriate, “but mellow is never a natural mood for
85
�Miss Simone'' (Wilson). On the one hand, it is reasonable to say that the upbeat tone of
the song is inappropriate for the subject matter. On the other hand, in order for Simone’s
message to truly reach her audience, she needed to deliver the subject matter in an
appealing way. Without this jaunty tempo, the song would not have been as influential
and effective.
Simone performed “Mississippi Goddam” in front of both Black and white
audiences in order to cast her net as wide as possible. Simone was dedicated to the
movement and tenacious in making her message known. According to Feldstein, “In
1964, [Simone] headlined for SNCC [Student Non-Violent Coordinating Committee]
several times in just a few months, including an event at Carnegie Hall that added to her
reputation as a musician worthy of that location and as committed to the movement”
(Feldstein 1360). She employed this strategy with her use of the word “everybody.”
When referencing Evers’ murder in Mississippi, she sings, “Everybody knows about
Mississippi,” addressing her entire audience. Many Americans were aware of the
violence that was occurring at the time; it was common knowledge that Evers was
murdered because he spoke out and was fighting for change. By using “everybody,”
Simone, “interpolates her own audience into the doomed collective of the song itself, the
blind men and women who are unable to recognize the rebellion as it unfolds before their
very ears” (Brooks 184). She called out everyone in her audience who had yet to accept
that racism and violence affected the entire nation, Blacks and whites. “Simone here
plays out the triple rift between what ‘everybody knows,’ what no one but her will say…
what she prophetically reads in her jeremiad moments as the fire, brimstone, and locust
future at which the nation is hurling” (Brooks 187). Simone made it clear that African
Americans were ready to respond to violence with violence. She called out her audience
again, singing, “Can’t you see it/Can’t you feel it?” challenging them to pick a side.
Simone was trying to “‘awaken’ her audience to history” (Brooks 186).
This song proved pivotal because it marked a change in the tone and
temperament of the Civil Rights Movement. “‘Mississippi Goddam’ remains one of the
most powerful pop music protest songs of the Civil Rights era” (Brooks 182). It signaled
a breaking point during the Civil Rights movement because Simone’s fearless
commentary, along with her captivating performances, forced people to reflect on the
state of the nation. Her position as a popular entertainer and the musical strategies she
used to awaken her audience, warned people that reform was coming. Simone put her
audience on notice that continued violence would fuel, rather than suppress the
movement. Change was inevitable, and in the years following Simone’s composition of
the song, the Civil Rights Act was instituted in 1964 and the Voting Rights Act was
86
�established in 1965. This song was a tipping point at the height of the Civil Rights
movement because it embodied African Americans’ rage in response to decades of
unchecked violence and legalized discrimination, and forced the rest of America to
acknowledge the inhumanity of it all.
Works Cited
Brooks, Daphne. “Nina Simone’s Triple Play.” Callaloo: A Journal of African Diaspora
Arts and Letters, vol. 34, no. 1, 2011, pp. 176–197. EBSCOhost, doi:10.1353/
cal.2011.0036.
Eyer, Katie R. “The New Jim Crow Is the Old Jim Crow.” Yale Law Journal, no. 4, 2019,
pp. 1032-1041.
Feldstein, Ruth. “‘I Don’t Trust You Anymore’: Nina Simone, Culture, and Black
Activism in the 1960s.” Journal of American History, vol. 91, no. 4, Mar. 2005, pp.
1349–1379. EBSCOhost, doi:10.2307/3660176.
Harmon, Nolan, et al. “The White Ministers’ Law and Order Statement.” Open Letter,
Jan. 1963, pp. 1-12.
Jeffrey Aaron Snyder. Making Black History: The Color Line, Culture, and Race in the
Age of Jim Crow. University of Georgia Press, 2018, pp. 147-164.
Kennedy, John F. “June 11, 1963: Address on Civil Rights.” Miller Center, National
Archives, 26 Apr. 2017, millercenter.org/the-presidency/presidential-speeches/june-111963-address-civil-rights.
“Mississippi Goddam ~ 1963.” Princess Noire: the Tumultuous Reign of Nina Simone,
by Nadine Cohodas, The University of North Carolina Press, 2002, pp. 133–147.
Nina Simone. “Mississippi Goddam.” Nina Simone in Concert, UMG Recordings, Inc,
2006. Spotify.
Orejel, Keith. “The Federal Government’s Response to Medgar Evers’ Funeral.”
Southern Quarterly, vol. 49, no. 2/3, Winter/Spring 2012 2012, pp. 37–54. EBSCOhost,
search.ebscohost.com.
87
�Raussert, Wilfried. “Culture Heritage and Politics of Reconciliation: Reinventing the
Blues in the Narratives of The Delta Blues Museum and the B.B. King Museum.” FIAR:
Forum for Inter-American Research, vol. 13, no. 1, Mar. 2020, pp. 23–34.
What Happened, Miss Simone? Directed by Liz Garbus, Netflix, Inc., 2015. Netflix,
www.netflix.com/watch/70308063?trackId=14170286.
Wilson, John S. “Pop: Nina Simone Back.” New York Times. December 12, 1978.
88
�Nazi Newspapers and Radio Propaganda
in Pre-War Germany and Romania
Denisa-Catalina Stan (Computer Science & Business Administration) 1
In memory of my grandfather,
I hope you are proud of me.
Personal Note: I will always feel that this research paper is incomplete, as I have not gotten
the chance to find out about another Romanian newspaper controlled by the Nazis. While I
thought I had plenty of time to hear grandfather’s stories, he flew to a better place. I dedicate
this to him, the man who instilled in me the morals and values I will forever carry.
In one of his speeches to the Nazi Party, Joseph Goebbels (head of the Ministry of
Popular Enlightenment and Propaganda) encouraged the population to “Think of the press as a
great keyboard on which the government can play.” (Goebbels’ Speech, The Olympics of
1936). In Nazi Germany, those in power frequently used propaganda to sell a racist view of
the world that divided people between "us" and "them." The purpose of the Nazis was to
create a "Volksgemeinschaft", meaning a social order of "healthy" and "pure racial" Germans
that would overcome class struggle and social conflicts. The Nazis made full use of all the
means at their disposal: election posters, statistics, radio, rental of high-performance means of
transportation, so that Hitler could travel to the scene whenever needed to give his speeches.
Goebbels fully controlled the information that was broadcast, whether in written, spoken,
sung, or filmed form. In Romania, Nazi propaganda appeared at once with the arrival of
World War II. With Ion Antonescu’s (Romanian military officer prime minister during most
of World War II) ascension to power, the relationship between Germany and Romania
warmed considerably.
As we examine the chronology of the evolution of Nazi Propaganda in newspapers
and radio, both in general and specifically in Romania, it becomes vital to understand its
purpose, target and evolution. To this end, this paper will analyze the fundamental tenets of
Nazi propaganda in newspapers and radios, especially focusing on “The Völkisher
Beobachter”, “Der Stürmer”, and “Volksemfänger”. In the second part, this paper will provide
an overview of how Nazis controlled Romania and the political relationship between Adolf
1
Written under the direction of Dr. Laura Morowitz for AH310: Art and Aesthetics in the
Third Reich.
89
�Hitler and Ion Antonescu. To this extent, the second part will provide a historical content of
Romania’s interests and background beginning with the 1940’s and will lay out the
propaganda not only through “Memoria Cartii Postale” (Postcard Memory), “Porunca
Vremii”(Time’s Word) and “Cuvantul” (The Word), but also through radio. Throughout the
analysis provided, the thesis will raise the question: “How did the Nazi Party use newspapers
and radios to indoctrinate the populations of pre-war Germany and Romania?”.
Part I: Propaganda through Newspapers and Radio in Pre-war Nazi Germany
Reflecting in his diary during the war, Joseph Goebbels wrote: “Any man who still
has a residue of honor will be careful not to become a journalist”. Shortly after taking power
in January 1933, Adolf Hitler and his party succeeded in destroying Germany’s diverse
newspaper and radio culture. The Ministry of Public Enlightenment and Propaganda
eliminated freedom of the press, shutting down oppositional newspapers and all press under
the Reich Chamber of Culture (RKK). The Nazi regime also deployed the radio press, as they
considered the radio to be the most modern and the most effective instrument for influencing
the masses of Germany. At that time, radios were cheap to buy and would broadcast Nazi Part
messages and speeches.
“Völkischer Beobachter”, translated as “The People’s Observer” was the main
official newspaper of the Nazi Party. Its primary aim was to spread the word of Nazism and to
print the propaganda requirements of Joseph Goebbels. The production of “Volkischer
Beobachter” ended when Nazi Germany collapsed in May 1945. As Roland Layton states, the
newspaper was a “debt-ridden” (353) one. After raising enough money to keep the paper
going, party leader and ideologist Alfred Rosenberg, the first editor, convinced Hitler to
convert it into a daily newspaper and to adopt a larger format. Layton explains further that the
purpose of converting it into a larger format was “indeed a distinction, since the VB now had
an eye-catching quality” (357). The Nazis completed its external appearance, as seen in figure
1, transforming it into an eye-catching newspaper, with Nazi symbols and indoctrinations.
With all these improvements, “Volkischer Beobachter'' fulfilled the Nazis’ expectations: to
present the Party’s ideological views, to print news of Party activities and –to be “a combat
organ and spokesman for the movement.” (Hale, 37). To sum up, Layton outlines the idea that
“the VB was a major weapon in Hitler’s propaganda arsenal”. Even though the VB and “Der
Angriff” (another Nazi newspaper founded by Goebbels in 1927) fawningly supported Hitler
and National Socialism and pushed Nazi ideas, some individual Nazis were allowed to
produce their own newspapers. This was quite an unusual thing, as Goebbels wanted people
only to read the news as it was presented by the government.
“Der Stürmer” was probably the most infamous newspaper, directed by the antiSemite Julius Streicher, who himself claimed that this newspaper was Hitler’s favorite read.
Even though it was not that popular, Streicher had known exactly how to gain people’s trust
90
�by falsely denigrating Jews during the interwar period in Germany. Figure 2 shows an
example of anti-Semitic propaganda as the front page features a caricature of a Jewish man
playing the flute, surrounded by a dollar sign and the communist sickle and hammer. After the
power of Streicher’s antisemitic “career”, “Der Sturmer” became “a Reich-wide mass
phenomenon that was sold abroad […] and Streicher’s name soon became […] the vilest form
of antisemitism.” (Hermann, 323).
To sum up, Nazi Germany’s propaganda in newspapers succeeded in taking control
and exerting influence over independent press organs. Reinforcing the myth of the
Volksgemeinschaft (National Community) through visual and written elements, the newspaper
propaganda meant a mass dissemination of their ideological messages, such as antisemitism,
extreme nationalism and scientific racism. With this politically extreme approach, the party
believed in overcoming the social divisions and creating a homogenous German society based
on racial purity.
Another way the Nazi Party promoted propaganda was through radio. The Nazis
understood the power and attraction of emerging technologies such as radio, in the service of
propaganda. Radio was also censored in the same way as newspapers (RKK). Goebbels and
the Nazis controlled all output on them and made sure all Germans had access. They created
cheap radios which were sold to Germans in order that they could hear the Nazi messages and
indoctrination everywhere. Furthermore, they placed loudspeakers in public places so that no
matter where they were, everyone would hear the Nazi propaganda over the airwaves. Seeing
the tremendous promise of radio for propaganda, the ministry heavily subsidized the creation
of the inexpensive “People’s Radio” (Volksempfänger) to facilitate sales. The Nazis developed
“People’s Radio” after Goebbels realized its importance. As Bergmeier and Lotz point out, the
political nature of this German radio was that “every German household could receive its
programs” (8). They explain further that “the prototype model was the VE 301 […],
commemorating the date Hitler came to power in 1933” (Bergmeier & Linz, 9). Of course,
even the production and sale of this radio had a political propagandistic role in the Third
Reich. While in other countries radios would be sold on their design, price and sound, the
basic “Volksempfänger” was used as a propaganda tool. Figure 3 shows a popular
advertisement for the radio captioning a Nuremberg rally style crowd standing around a
photograph of a Volksempfänger with the slogan, “The whole Germany hears the Fuhrer with
the Volksempfänger”.
Over the next years, the Nazis improved the radio’s version, thus becoming a
tremendous propaganda success, having access to the entire population at any given moment.
According to Adena's “Analysis of the Radio’s Rise” in 1934, 33.3% of German house-holds
had a radio set” (Adena,1898). Furthermore, she goes deeper into the analysis of the number
of radio subscriptions and one finds out that the monthly subscription fee was “2 marks […]
equivalent to the price of a monthly newspaper subscription” (Adena,1899). This exactly
91
�reveals the Nazis’ purpose: to create affordable subscriptions which were sold to Germans in
order that they could hear the Nazi propaganda messages at home.
Hitler, and even more so Goebbels, saw the massive propaganda weapon radio that
had become. They wanted to make sure that “Things must be open and clear to the world”
(Hadamovsky, 26). In his thesis about the effective use of radio for political purposes, the
leading Nazi radio expert Eugen Hadamovsky explains further in his work how the party
made sure to mobilize the whole population for certain international goals and to indoctrinate
them politically. Even when hearing the news, they became not more interested in literature,
symphonies or plays; yet, they were attracted by “political radio” (Hadamovsky, 27).
From newspapers to radio, propaganda in pre-war Nazi Germany was a hurricane
that brainwashed all the population in just a few years. As our findings suggest, the Führer’s
voice was everywhere, so that we can conclude that mass media played an important role in
the process of institutional change. In particular, the dictatorial rule the Nazis promoted
through propaganda in newspapers and radio contributed to its stability and Hitler’s popularity
during his reign.
Part II: Mass-Media Nazi propaganda in Romania during Ion Antonescu’s regime Historic
Background:
In the years of Nazi Germany’s domination over Romania and of Antonescu’s
totalitarian regime, propaganda evolved in direct relationship with the evolution of the state of
the mind of the masses, with the political and military changes occurring internationally. In
late June 1940, the Soviet Union demanded from Romania the cession of both Bessarabia and
Northern Bukovina. The only advice Germany could give to the Romanian government was to
agree to surrender the territory. Fearful of further Soviet encroachments, the Romanian
government made a series of pleas to Germany including a personal appeal from King Carol II
to Hitler for German military assistance in the summer of 1940. Hitler, however, was not yet
willing to undertake such a step. Thus, all Romanian requests were rebuffed with Hitler telling
Carol that Romania brought its own problems upon itself by its prior pro-Allied policy. Hitler
also urged the Romanian government to settle its problems with Hungary peaceably. With
Antonescu’s ascension to power, the relationship between Germany and Romania warmed
considerably. Antonescu began by promising closer collaboration with Germany. He also
renewed the request for German military assistance, with the idea of having Germans train
and reorganize the Romanian army. This time, Hitler agreed and on September 19, 1940, he
decided to send a military mission to Romania. Greater Romania suddenly became very small
with the loss of northern Transylvania in favor of Hungary, Bessarabia, and Bukovina in favor
of the USSR and the Quadrilateral in favor of Bulgaria; the all-powerful allies and traditional
guarantors had either been humiliatingly defeated (France) or were in great difficulty (Great
Britain); the troops of the German military mission had entered the country which had
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�changed its leader and political regime overnight (September 6, 1940). Nothing was the same
as before. Even in these conditions of general upheaval it was not at all easy for German
propaganda to win, if not sympathy, then at least the neutrality of public opinion in the
country. Although General Ion Antonescu did not stop sending insistent and pathetic
messages to the Romanian nation about the confidence and support he enjoyed from the
“Great Führer”, “Romanians continued to listen to the BBC, being more willing to believe
Churchill than Hitler”. (Hentea, 265)
Under these conditions, one of the main objectives of German propaganda in
Romania was to counteract the British one, in order to prevent a detachment from the Axis
Powers. Therefore, the situation of Great Britain was constantly and exaggeratedly presented
as catastrophic, simultaneously with the exaltation of the German victories. Figure 4 shows a
propaganda poster, indoctrinating the Romanian population to truly believe in the power of
Germany. One observes the removal of Great Britain from Europa, and the hen depicted as
“Mama Europa” (Mother Europe) who keeps all the other European countries under her wing.
“Memoria Cartii Postale” (Postcard Memory) was the use of postcards created as a
means of propaganda during armed conflicts, beginning with 1940. During military conflicts,
the states issued such tools, which they provided free of charge to the military to facilitate
correspondence with relatives at home. That is what happened in Romania, too. The
experience of military conflicts has shown that this postal tool is a simple and handy means of
propaganda for both the military on the front and for relatives at home. Carefully studying
these postal tools, we found that they were meant to appeal to the soldier; the national symbol
of the state - the coat of arms, a place of application of the military censor's visa, the postage
stamp, the addresses of the recipient and the sender, a significant picture and a strong
message. If these postal items bore the visa of the military censor, it is understood that the
sender could not write anything he or she wanted. The message from Figure 5 sent from the
battle front can be translated: “You need to know that I am healthy. The war lasts a little
longer, the enemy will be defeated, we will see each other happy at home soon!” (Postcard
Memory, 1941). It is deduced that the message written by the soldier did not suit the military
censor, and therefore the postal item was stopped from being sent.
Figure 6 and 7 help us to understand the influence of Nazi Germany in Romania.
One notices in the two images the meeting between Adolf Hitler and Ion Antonescu
(November 1940 and June 1942), set for discussing “the Jewish problem, or the treatment of
the Jews” (Lorman, 240). In Romania, there was no reason for conflict or a cause of
disagreement between Germany and the National Legionary Government. This had no impact
on the attitude of Nazi Germany towards the leaders of the Romanian legionary regime. At
first, Berlin viewed the legionary offensive against Jewish property or the Jews themselves as
one aspect of the fascist revolution in Romania, similar to that taking place in Germany. "The
close brotherhood of German-Romanian arms on the battlefields of the East has thus borne
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�fruit, of which we will always be proud"(Figure 6, Postcard Memory) "I can assure you today
that I return with the confidence of the Führer and the German people" (Figure 7, Postcard
Memory). The depth of the messages written on these postcards is impressive and helps us
understand that these messages reached the heart of the soldier and his relatives.
What was required of the Romanian press from January 1, 1938 to August 23, 1944
was, first, "ideological unity" (Lorman, 240). Newspapers and most magazines of that time
had, at least when addressing domestic and international political issues, the same opinion, the
same vision, the same beliefs. The plurality of voices, even if unequal, that characterized the
previous period fades with the beginning of 1938, replaced by a single voice. It is the voice,
already understood, of the political regime-Goga’s government first, then of the royal
dictatorship, then of Ion Antonescu’s governments. The Romanian press of the time was
invaded, especially after June 1941, by the noisy and mechanical rhetoric of the Axis as the
"defender of Europe". Phrases such as “holy war”, “crusade”, “victory of the Cross” are found
everywhere, these being considered defining for the “European spirit” and for the notion of
“Europe” (Lorman, 241). The decisive role that Romania plays in the history of the old
continent becomes an obsessive topic of newspapers and magazines.
All along its antifascist and antiwar propaganda activity, the Romanian Communist
Party published over thirty legal and clandestine newspapers. Some of the anti-Semitic
propaganda publications in Romania were funded by the German Embassy in Bucharest by
bribing journalists from various newspapers, as well as by providing financial support for the
two anti-Semitic parties, Octavian Goga's Christian National Party and A.C. Cuza and the Iron
Guard.
Porunca Vremii, one of the leading Iron Guard newspapers in Romania and also the
semi-official newspaper of the anti-Semitic movement, noted on August 15, 1940 that "any
attempt to consolidate Romania will fail as long as the Jewish problem in Romania is not
solved.” (Sima, 80). According to the Nazi model, the solution involved "firm repression"
(Porunca Vremii,Figure 8) and expulsion of Jews from Romania. This is just one example of
hundreds of newspaper articles of this kind.
The Legionnaires believed, and were not entirely wrong, that their movement had
the full support of the Nazis and that the Reich's guarantees on Romania's crumbling borders
after June-August 1940 would be ensured by the existence of a fascist regime in Romania. On
the last day of the rebellion (January 23, 1941), when the Romanian army killed the armed
legionnaires, Cuvântul, their semi-official newspaper, warned Antonescu that the destruction
of the legionary movement would threaten the very existence and sovereignty of the
Romanian state: “Only existence in Romania of a national movement similar to the National
Socialists and fascists guarantees us the future.” It seemed that in the conception of Hitler and
the Nazis, Romania could not be led in opposition to the Iron Guard. In January 1941, during
the battle between Antonescu and the Iron Guard, the Führer was forced to choose between
94
�two potential Reich partners. Although the Iron Guard was the ideological counterpart of Nazi
Germany, Hitler favored Antonescu because he exercised firm control over the army and
maintained the economic commitments he had made to the Reich. At his meeting with
Antonescu on January 14, 1941, Hitler gave him a free hand to crush the legionaries. On
January 24, when he still did not know that the fight had already been decided, Goebbels
wrote in his diary: “In Romania, nothing is clear yet. The legionaries continued their revolt,
and Antonescu ordered them to be shot. The Führer, for his part, says he wants an agreement
with a state, not an ideology. However, my heart is with them” (Sima, 81).
Both through postcards and through newspapers that promoted the Führer's ideology,
the Nazis intoxicated Romania, having an enormous influence in the minds of the population.
Yet with the exception of Volkempfanger, there was no specific radio station in Romania to
promote Nazi propaganda. Also, unlike the multitude of existing newspapers in Romania that
promoted Nazi ideologies, the radio was not infested with the transmission of messages
promoting the Führer. Instead, the Nazis understood the influence of the only existing radio
station in Romania at that time, Radio Romania International. Although the station was
functioning on the premises of the Electrotechnical Institute and was not an official one, its
programs actually targeted listeners abroad as well and - quite importantly - it had the
technical capability to reach them. Although the station was functioning on the premises of
the Electrotechnical Institute and was not an official one, its targeted listeners were suddenly
brainwashed by the Nazis’ simple propaganda. However, the propaganda was hidden behind
the programs promoted. They were a kind of review of the latest developments in Romania, of
political, cultural, economic and sports news, but focusing more on the cultural side.
However, the first formal broadcasts in foreign languages of the Romanian Radio
Broadcasting Corporation (SRR) were conceived in the early 1930s, in order to inform the
diplomatic corps in the Romanian capital city. Ion Agrigoaiei makes the following remarks in
his first volume devoted to the history of SRR: “The first broadcasts of this kind started in
1932, namely Newsreels in French and English, aired before the end of the program, a quarter
of an hour before midnight. Before the end of the daily programs in Romanian, the so-called
“miniature talk-shows” (Agrigoaiei,113) were broadcast, which referred to specific Romanian
life, as a document of our archives says. They provided brief information in French and
German about “the wealth, economy, culture and creations of Romania” (Agrigoaiei, 114).
The outbreak of World War II brought about a growth and diversification of the
information broadcast from Romania in foreign languages to audiences abroad. So, besides
broadcasts in French, English, German and Italian, programs in Greek, Turkish, Serbian,
Russian and later Ukrainian were introduced. Programs were, obviously, highly
propagandistic during the war, serving Romania’s military and political purposes together
with those of the Axis and, implicitly, Germany.
95
�On August 23rd 1944, when Romania joined the Allied Powers, a new station was
inaugurated. ‘Roman Dacia’ radio station was broadcasting in 5 languages: English, Russian,
French, Hungarian and German. The war had not come to an end. The Roman Dacia Board
decided to serve the cause of Romania’s integration into the United Nations Organisation and
to promote Romania’s economic reconstruction and democratisation process. The German
Service enjoyed, throughout these years, the collaboration of personalities of great repute:
German speaking poets Alfred Margul Sperber and Franz Johannes Bulhart, actress Margot
Goettling, who graduated from the Drama Institute in Vienna, exceptional radio presenters
and hosts: Ingrid Kloos, Heidemarie Papp, Otto Schneider, Erwin Sacher or Ilse Borcea, as
well as talented journalists, such as Richard Lang and Juergen Salzer.
To sum up, even though the Nazis didn’t “invade” Romanians’ brains in the same
way they abolished civil rights and destroyed the German democracy, it was enough to
indoctrinate the Romanian population to believe in the glorifying power of Adolf Hitler and
his regime. By sending postcards to the soldiers’ families with powerful messages, promoting
their main objectives of creating a strong community based on the Führer’s trust in the
newspapers and shadowing the political interests by advocating for culture, the Nazis won
Romania’s trust before and during WW2.
96
�Appendix
{Figure 1}
{Figure 2}
{Figure 3}
{Figure 4}
97
�{Figure 5}
{Figure 6}
{Figure 7}
{Figure 8}
98
�References
1.
Adena, Maja, et al. “Radio and the Rise of the Nazis in Prewar Germany.” Quarterly Journal
of Economics, vol. 130, no. 4, Nov. 2015, pp. 1885–1939.
2.
Agrigoroaei, Ion. “România în relaţiile internaţionale 1916-1918”. Demiurg, 2008.
3.
Bergmaier, Horst J. P., and Rainer E. Lotz. “Hitler’s Airwaves: The Inside Story of Nazi
Radio Broadcasting and Propaganda Swing.”, 1997.
4.
Beck, Hermann. “Julius Streicher Und ‘Der Stürmer’ 1923–1945.” German History, vol. 33,
no. 2, June 2015, pp. 322–324.
5.
Eugen,Hadamovsky, “Die politische Arbeit des Rundfunksprechers,” in Handbuch des
deutschen Rundfunks 1939/40 (Heidelberg, Kurt Vowinckel Verlag, 1939), pp. 26-30.
6.
Hale, Oron J. “The Captive Press in the Third Reich”, Princeton University Press, 1964.
7.
Goebbels, Joseph. “ Tagebücher München-Zürich, Herausgegeben von Ralf Georg Reuth”,
Serie Piper, bd.4, 1940-1942, p. 1524.
8.
Layton, Roland V. “The ‘Völkischer Beobachter," 1920-1933: The Nazi Party Newspaper in
the Weimar Era.” Central European History, vol. 3, no. 4, 1970, pp. 353–382.
9.
Lormann, Tom. “Hitler’s Forgotten Ally: Ion Antonescu and His Regime, Romania 19401944”, The English Historical Review, vol. 124, no. 506, 2009, pp. 239-241.
10. Porunca Vremii, Bucharest, Romania.
11. Sima, Horia. “Era libertăţii. Statul Naţional Legionar” , Madrid, Editura Mişcării Legionare,
1982, vol. 2, p.79.
12. Ştefan, Ionescu, „Yankeii, lorzii şi evreii…”, Viaţa, anul I, nr. 259-260, 18 decembrie 1941,
pp. 1, 3.
13. Cuvântul, Bucureşti, 24 ianuarie 1941.
14. https://www.bcucluj.ro/ro/library-resources/cat/cp/p/o
99
��El poder necropolítico de los hombres
en la literatura latinoamericana
Lucy Shaw (Psychology) 1
La masculinidad extrema se relaciona frecuentemente con el poder,
especialmente el poder absoluto. Desafortunadamente el poder absoluto de un solo
hombre típicamente viene a costa del bienestar de otros. Por supuesto, cuando uno tiene
poder absoluto, los demás lo pierden. Como cualquier recurso natural, hay un límite de
poder, y aunque puede ser compartido, generalmente hay una persona o un grupo
pequeño que guarda todo. Esto es algo que ocurre frecuentemente en el mundo real, como
en las numerosas dictaduras que han controlado varios países a través de la historia. En
estas dictaduras y situaciones similares en que una persona o un pequeño grupo controlan
todo, siempre hay muchas muertes, y para la gente que no muere, la vida apenas parece
una vida real.
El poder absoluto roba el espíritu de los vivos para que ellos parezcan como
muertos vivientes, fantasmas que solo pueden seguir a través de las acciones de la vida
cotidiana. Por eso llegó el término “necropolítica”, que se refiere al “ejercicio de poder
soberano de decisión sobre la muerte de los sujetos” (Ribas-Casasayas 60). La idea de la
necropolítica aparece en dos textos. En la novela Pedro Páramo por Juan Rulfo, el
personaje principal Pedro Páramo tiene poder absoluto sobre su pueblo mexicano de
Comala, y en la novela El lugar sin límites por José Donoso, el personaje de don Alejo
controla el destino del pueblo Estación El Olivo. En las dos novelas estos hombres tienen
el poder necropolítico otorgado por la masculinidad extrema, y como resultado crean
pueblos de muertos vivientes.
Con respeto a la masculinidad que da el poder a los dos hombres, la jerarquía de
los géneros es muy importante en ambas novelas. En ambos casos las mujeres parecen
existir sólo para servir a los hombres. En El lugar sin límites, el único lugar donde la
gente realmente se reune es el burdel. Casi toda la vida social en Estación El Olivo ocurre
en el burdel; es el lugar donde todos celebran la victoria de don Alejo cuando gana el rol
de diputado, y el lugar donde van Pancho Vega y Octavio para olvidar su vergüenza
después de una charla infructuosa con don Alejo. Las mujeres del burdel existen en este
1
Written under the direction of Dr. Margarita Sanchez SP347: Love, Madness and Death
in Latin American Literature.
101
�contexto para aumentar el sentimiento de la masculinidad de los hombres. Mientras tanto,
los hombres que van al burdel esperan que sus esposas se queden en la casa y que nunca
se quejen de los eventos. Por eso los hombres en este pueblo se sienten muy poderosos
por la masculinidad. Don Alejo, quien es dueño de casi todo en Estación El Olivo, según
los habitantes del pueblo es “...como Dios. Hace lo que quiere. Todos le tienen miedo”
(Donoso 39). Ya viviendo en un pueblo donde las mujeres se someten mientras los
hombres controlan, para don Alejo es fácil tener todo el poder en el pueblo con propiedad
de toda la tierra del pueblo, su rol de diputado en el pueblo, e incluso sus cuatro perros
grandes e intimidantes. Todos estos factores juntos generan una imagen de don Alejo
como el patriarca en el pueblo.
Hay un sentimiento semejante en el pueblo de Comala en Pedro Páramo, donde
las mujeres solo existen como sirvientes de los deseos de los hombres. Lo vemos en la
mujer de Donis, quien dice que desde que se casó con él, nunca sale de la casa: “Yo sé
tan poco de la gente. Nunca salgo. Aquí donde me ve, aquí he estado sempiternamente…
Bueno, ni tan siempre. Sólo desde que él me hizo su mujer” (Rulfo 49). Esta mujer ni
siquiera tiene un nombre propio, simplemente se la conoce como esposa. En este caso
parece que cuando las mujeres se casan, en una manera terminan de existir. La mujer de
Donis no conoce a nadie del pueblo, e inferimos que ni la gente del pueblo la conoce. En
cierta manera esta vida sin salir de la casa y sin conocer a nadie es como terminar de
vivir. Además, como la mujer de Donis, Susana San Juan también está a la merced de
unos hombres. La novela implica que su padre Bartolomé quizás tenía relaciones
sexuales con ella cuando era más joven. Si es verdad, significaría que hasta su padre, que
normalmente debe ser uno de los hombres más confiables en su vida, la trata como
simplemente un objeto de placer. Además Pedro Páramo está enamorado de ella, e intenta
controlarla y hasta “obtenerla”. Incluso habla de matar a Bartolomé para que no tenga
que compartirla con él: “...ahora no tengo ganas de volverla a perder. ¿Tú me entiendes,
Fulgor? Dile a su padre que vaya a seguir explotando sus minas. Y allá… me imagino
que será fácil desaparecer al viejo en aquellas regiones adonde nadie va nunca” (Rulfo
82). En este caso Pedro Páramo también vuelve a ser patriarca a causa de la jerarquía de
género en su pueblo y con su uso de masculinidad extrema a través del tratamiento a las
mujeres como si fueran solo objetos.
Así llegamos a la idea de la necropolítica. En un análisis de El lugar sin límites
García-Moreno dice que en las novelas de Donoso “power is very often understood in
sexual terms and is ultimately measured by the capacity to appropriate, penetrate, or
reduce the other to a lifeless thing” (26). El poder se manifiesta en El lugar sin límites, y
también se hace en una manera muy parecida en Pedro Páramo. Esta descripción de
102
�García-Moreno de la representación del poder es muy similar a la necropolítica, debido a
la masculinidad extrema que demuestran los dos hombres. Con tanto poder en los pueblos
en que viven, don Alejo y Pedro Páramo exhiben el uso de la necropolítica, porque las
decisiones de los dos dictan el curso de las vidas de los demás. Especialmente Pedro
Páramo juega con las vidas de los demás como si fueran juguetes, sin preocuparse por las
consecuencias. Esto lo vemos en las varias maneras en que resuelve sus riñas con otros.
Con Toribio Aldrete, cuando quiere tomar parte de su propiedad, Pedro Páramo exige que
Fulgor le mienta a él para obtener más tierra:
—La semana venidera irás [Fulgor] con el Aldrete. Y le dices que recorra el
lienzo. Ha invadido tierras de la Media Luna.
—Él hizo bien sus mediciones. A mí me consta.
—Pues dile que se equivocó. Que estuvo mal calculado. Derrumba las leyes si
es preciso. (Rulfo 38)
Por supuesto Fulgor lo hace, y todo sucede sin consecuencias para Pedro Páramo, y hasta
dice que “la ley de ahora en adelante la vamos a hacer nosotros” (Rulfo 38). Estos
eventos demuestran su poder absoluto sobre el pueblo.
Pedro Páramo utiliza la necropolítica también para saldar su deuda con los
Preciado, cuando en vez de pagarle, decide casarse con Dolores Preciado para que la
familia se olvide de la deuda. El matrimonio generalmente es algo muy serio, y cuando
Dolores se entera de la propuesta parece que ella esté muy emocionada: “Fue muy fácil
encampanarse a la Dolores. Si hasta le relumbraron los ojos y se le descompuso la cara”
(Rulfo 36). Sin embargo, para Pedro Páramo es como una transacción de negocio.
Finalmente, por el matrimonio con Pedro Páramo Dolores queda embarazada, y cuando
se da cuenta de lo terrible que es Pedro, ella huye de Comala y no regresa nunca en su
vida. Este acto es claramente un acto necropolítico porque cambia completamente el
curso de la vida de Dolores.
Finalmente, un ejemplo muy importante de la necropolítica en Pedro Páramo es
al final de la novela, después de la muerte de Susana San Juan. Para marcar su muerte
unas campanas suenan por varios días, pero como no saben por qué suenan, la gente
celebra por todo el tiempo que sigue. Aunque es simplemente un caso de un
malentendido, Pedro Páramo se enoja tanto con ellos que decide dejarlos morir: “Me
cruzaré de brazos y Comala se morirá de hambre” (Rulfo 114). Mucha gente del pueblo
es pobre y cuenta con la Media Luna para seguir siendo próspera y para mantener viva
Comala. Por eso, esta decisión de Pedro Páramo es como una pena de muerte para la
gente pobre y para el pueblo en general. Con tanto poder como tiene, él puede decidir una
sola cosa y causar la muerte de un pueblo entero, simplemente por una equivocación.
103
�Don Alejo también influye en las vidas de la gente simplemente para satisfacer
sus deseos. El poder necropolítico puede provenir de influencias sociales o políticas, de
las cuales don Alejo tiene ambas. Como dije antes, su posición social es como una figura
patriarcal, y hasta algunos del pueblo lo ven como una figura divina, semejante a Dios. Y
en cierta manera como Dios, don Alejo tiene el poder de crear vida nueva y causar la
muerte. Uno puede decir que don Alejo creó la vida de la Japonesita, porque fue su
apuesta con la Japonesa Grande que la llevó vida. Por supuesto don Alejo hizo la apuesta
solamente por entretenimiento, por su curiosidad de la Manuela como travesti, y es la
mala intención tras sus acciones lo que convierte su poder de ser divino, semejante a
Dios, en ser realmente parte de la necropolítica. Al fin y al cabo, el poder necropolítico se
usa para beneficios propios, sin tener en cuenta las consecuencias que recaen en los
demás.
Además, el poder social que tiene don Alejo también se convierte en la
necropolítica cuando decide no usar ese poder para ayudar a los demás, aún cuando
hacerlo no tendría ningún costo personal. Su desinterés por ayudar a los demás continúa
incluso al final de la novela cuando Octavio y Pancho Vega brutalmente golpean a la
Manuela, hasta que ella “...apenas ve, apenas oye, apenas siente, ve, no, no ve, y ellos se
escabullen a través de la mora y queda ella sola junto al río que la separa de las viñas
donde don Alejo espera benevolente” (Donoso 69). En cierta manera la muerte de la
Manuela es culpa de don Alejo, porque ya tiene tanto poder en el pueblo e incluso poder
sobre Pancho Vega y Octavio, pero nunca lo usa. La necropolítica es muy evidente en
esta escena porque aunque son Pancho Vega y Octavio los que matan a la Manuela,
realmente con su influencia social sobre todos, don Alejo tiene el control sobre si la
Manuela vive o muere.
Junto con el poder social, don Alejo también exhibe la necropolítica a través de
su poder político. Como diputado en las escenas del pasado, y como senador en el
presente de la novela, don Alejo controla lo que ocurre en el pueblo, y lo más importante
de su trabajo como funcionario en la novela es su promesa de traer electricidad al pueblo.
Con un puesto en la política, es la única persona en el pueblo que puede lograr la
instalación de la electricidad, pero, como siempre, tiene su propio interés en el corazón de
sus decisiones. La promesa de traer la electricidad solo la haría realidad por la posibilidad
de que con la electricidad también llegaría una carretera en el pueblo que aumentaría el
valor de la tierra que posee. Pero cuando se entera de que no habrá una carretera en
Estación El Olivo, don Alejo deja su promesa y pasa a una idea diferente que será más
beneficiosa para él mismo. Y con esto llegamos a las secuelas del poder necropolítico,
que realmente causa la destrucción de los pueblos y la gente que los habitan.
104
�Al comienzo de El lugar sin límites, don Alejo ya ha creado un pueblo de
muertos vivientes en un sentido metafórico a través de la desesperación. El pueblo de
Estación El Olivo se está desmoronando, y cuando don Alejo informa a la gente que no
tuvo éxito llevando la electricidad, parece que ha perdido la última esperanza para
salvarlo. Particularmente la Japonesita, mientras sigue viva físicamente, se acerca a la
muerte espiritual porque pierde la esperanza después de recibir esta noticia: “la
electricidad y el Wurlitzer no fueron más que espejismos que durante un instante, por
suerte muy corto, la indujeron a creer que era posible otra cosa. Ahora no. No quedaba ni
una esperanza que pudiera dolerle, eliminando también el miedo” (Donoso 31). También
con la falta de sentimientos positivos, pierde sentimientos negativos como el dolor y el
miedo. Aunque puede parecer beneficioso dejar atrás lo negativo, estos sentimientos son
tan importantes como los positivos para experimentar la vida completa. Mientras que
Rulfo representa la idea de muertos vivientes literalmente con un pueblo lleno de
fantasmas, cómo dice González-Allende en su análisis de las dos novelas: “frente a los
muertos de ultratumba en Comala, [Donoso] creó unos muertos en vida, y frente al
infierno real se decidió por la vida cotidiana como metáfora del infierno” (18). El poder
necropolítico que utiliza don Alejo le roba a la Japonesita y a la gente del pueblo la
última esperanza de reconstruir su hogar, y en cierta manera les empuja a una muerte en
vida.
Como si eso no fuera suficiente, don Alejo va un paso más allá al crear un
pueblo de muertos vivientes en un sentido físico también. Como dije antes, cuando don
Alejo se entera de que nunca llegará una carretera en Estación El Olivo, decide
concentrarse en otra idea más beneficiosa para él mismo. Sobre todo, su interés principal
es mejorar sus ganancias, y hará cualquier cosa para que esto suceda, sin importar como
sus acciones afectarán a los otros. Como se da cuenta la Manuela:
...don Alejo, tal como había creado este pueblo, tenía ahora otros designios y
para llevarlos a cabo necesitaba eliminar la Estación El Olivo. Echaría abajo
todas las casas, borraría las calles ásperas de barro y boñigas, volvería a unir los
adobes de los paredones a la tierra de donde surgieron y araría esa tierra, todo
para algún propósito incomprensible. (Donoso 32)
Cuando deja de ser lucrativo mantener el pueblo, don Alejo decide comprar la tierra de
todos en el pueblo y convertir todo en viñas. Como siempre, sigue el camino más rentable
para él sin pensar en los demás. Este acto presenta la necropolítica más física, porque
eliminar la Estación El Olivo obligaría a los demás a elegir entre irse o morir.
Por otro lado la idea de un pueblo de muertos vivientes es muy literal en Pedro
Páramo. Mucha gente muere a manos de Pedro Páramo, por su duro reinado en Comala y
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�por su decisión de detener cualquiera forma de ayuda al pueblo lleno de gente pobre. La
línea entre la vida y la muerte en Comala es muy borrosa, y los que murieron allí
reaparecen como fantasmas. Como dice Damiana Cisneros:
Este pueblo está lleno de ecos. Tal parece que estuvieran cerrados en el hueco de
las paredes o debajo de las piedras. Cuando caminas, sientes que te van pisando
los pasos. Oyes crujidos. Risas. Unas risas ya muy viejas, como cansadas de reír.
Y voces ya desgastadas por el uso.… Hubo un tiempo que estuve oyendo
durante muchas noches el rumor de una fiesta. (Rulfo 39)
En este pueblo los muertos siguen viviendo una vida de ecos. Unos, como Damiana y
Eduviges Dyada, caminan por las calles e interactúan con el mundo vivo, mientras otros,
como Dorotea, se quedan enterrados en la tierra y solo hablan con los otros enterrados.
Incluso la gente viva en Comala parece muerta en vida, de una manera metafórica como
los de El lugar sin límites. Como el ejemplo antes de la mujer de Donis, la gente viva que
se queda en Comala apenas vive. Van por los pasos de la vida diaria sin sentimientos
verdaderos. Es claro en ambas novelas que, a través de los actos necropolíticos, Pedro
Páramo y don Alejo causaron mucho daño a los demás, robaron la esperanza de todos, y
al fin y al cabo crearon dos pueblos de muertos en vida.
Unos han utilizado el poder necropolítico para controlar países enteros, pero
también puede aparecer en menor escala. El daño que causa la necropolítica es muy claro
en dictaduras y otras situaciones grandes, pero es difícil imaginar que las consecuencias
podrían ser tan graves en un pequeño pueblo. Estas dos novelas demuestran claramente el
daño que uno podría hacer con el poder necropolítico incluso en un pueblito. Aunque
estos hombres no tienen tanto poder como un dictador de un país, todavía influyen las
vidas y las muertes de la gente que los rodean, y hasta empujan los pueblos a la ruina.
Podemos ver en ambas novelas el peligro que presenta un solo hombre en una sociedad
patriarcal cuando todo se mezcla con el poder absoluto.
Works Cited
Donoso, José. El lugar sin límites. Editorial Bruguera, 1966.
García-Moreno, Laura. “Limits of Performance: Art, Gender, and Power in José
Donoso’s El lugar sin límites.” Chasqui: Revista de literatura latinoamericana, vol. 26,
no. 2, 1997, pp. 26-43. JSTOR Journals, doi.org/10.2307/29741351. Accessed 30 April
2021.
106
�Gonzáles-Allende, Iker. “Rulfo en Donoso: Comala y El Olivo como espacios
infernales.” Hispanófila, no. 148, 2006, pp. 13-30. JSTOR Journals,
https://www.jstor.org/stable/43807558. Accessed 9 May 2021.
Ribas-Casasayas, Alberto. “El tirano indigente: Pedro Páramo, deuda y necropolítica.” A
Contracorriente, vol. 14, no. 3, 2017, pp. 49-75. Historical Abstracts,
https://acontracorriente.chass.ncsu.edu/index.php/acontracorriente/
article/view/1559/2918. Accessed 30 April 2021.
13T
13T
Rulfo, Juan. Pedro Páramo. Fondo de Cultura Económica, 1955.
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��Alone on Christmas? No Can Do: The
Troublesome Portrayals of (Single) Women
in Christmas Romantic Comedy Films
Genevieve Mishon (Interdisciplinary Studies) 1
This thesis investigates American-produced Christmas romantic comedy films and the
ways in which this genre presents gendered expectations. By analyzing fifteen films—a
varied selection of the most popular made-for-television, theatrical and streaming
Christmas movies produced after 2000—I explore the roles that the films’ characters play
within their social environments and what the overall message is about American cultural
values in relation to the holiday season. Overall, women in these films are presented as
out of place in the office and rather belonging in small-town American homes where they
are able to prioritize love and family. This excludes (happily) single people and women
who manage to work and raise a family simultaneously. Through these presentations of
women, I find that Christmas romantic comedies stress a need for romantic relationships
around the holidays, especially among women, and portray women and men in normative
gender roles.
I. Introduction
For many people, the December holiday season means cuddling up on the couch
with a blanket, some hot cocoa, and watching one of the many heartwarming Christmas
romantic comedies. But for individuals who are involuntarily single these films may
leave them feeling dejected by the end of the movie because they are without a romantic
partner on Christmas unlike the women in these movies who eventually find love for the
holidays. With all of these films centered around romance, it is hard to ignore the
constant reminders to couple during the holiday season and, as a result, many who are
single tend to experience sadness (Sharp & Ganong, 2011). For many Americans, this
holiday is considered part of cuffing season; a cultural concept that associates this time of
the year with being in a romantic relationship by “cuffing” someone or, in other words,
finding someone to commit to spending these holidays with, and maybe even longer.
With countless holiday films debuting each year in theaters, on television networks like
1
Written under the direction of Dr. Bernadette Ludwig in partial fulfillment of the Senior
Program requirements.
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�Hallmark and Lifetime, and now on streaming sites like Netflix, Christmas romantic
comedies have populated the holiday season with stories of (mostly) cis-gendered
heterosexual women escaping from their lonely lives in corporate America to find love
under the Christmas tree (Brayton, 2021; Rosewarne, 2018).
The holiday season in the US consists of several consumerist activities and one
of them is watching Christmas movies. The Christmas movie category is filled with
romantic comedy storylines that often feature a young woman finding love during the
holiday season, usually with a man. For many Americans, watching these movies are a
crucial element of the Christmas season. The central question this thesis addresses is,
what do romantic Christmas movies communicate to audiences about gender norms and
romantic relationships? Movies often reflect and reinforce societal norms. Therefore, the
common romantic storylines that appear in Christmas movies produced in the US for
American consumers reflect the values that mainstream American society has attached to
this holiday, or at least what individuals aspire to around Christmas time (Rosewarne,
2018). Considering that Christmas is a peak moment of cuffing season, these movies
intensify the societal pressure to be in a relationship around the holidays. Furthermore,
while these films depict women as happiest when coupled during the holidays, they also
manage to endorse gender normative roles of American society and suggest that women
are to follow them in order to have a happy holiday season. Thus, this thesis also
considers the question, what gender roles and expectations do mainstream American
holiday movies perpetuate?
II. Literature Review
Romance is a popular genre commonly found in American movies and
television shows. Romance even emerges in movies that are not labeled or advertised as
romantic films, partly because many viewers like to root for a love interest. However, the
romantic relationships depicted in most of these films, regardless if they are explicitly
labeled or advertised as a romance film or not “may engender unrealistic expectations (of
sex, love, and romance) in those who are exposed to them” (Galloway, et al., 2015, p.
688). The overwhelming majority of American Christmas movies feature heterosexual
romance as a main theme, suggesting that romance is an essential aspect of the Christmas
season. In fact, it is hard to find a Christmas movie today without a love story, especially
when it comes to films that target adult audiences. Sharp and Ganong (2011) found that
(single) female viewers of these movies reported that the “holidays reminded them of
their single status, encouraging thoughts about their romantic lives, and increasing the
likelihood of experiencing sadness” (p. 971). Since American societal norms expect
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�individuals to be coupled during the holidays, single women, who are often the main
characters in these movies, cannot escape the constant reminders that they also ought to
be in a committed romantic relationship during this time of the year.
Indeed, these films encourage coupling, marriage, and family, and thus convey
that being single is undesirable. In this sense, these movies are merely a reflection of the
values and beliefs of an American society that has marriage and family at its core. The
majority of romantic plotlines that exist between a woman and a man in American
cinema, highlights the importance of the institution of marriage and prevalence of
heteronormativity in American society. This begins early, as Cherlin (2009) observed
“the main message we are giving to young adults and single parents is ‘Get married’” (p.
11). For example, non-married female characters in the films are often “hyper focused on
finding a man,” and the movies usually end “with lead female characters marrying”
(Sharp & Ganong, 2011, p. 975). There is an assumption that in order for women to be
happy and feel complete, they must be coupled (Taylor, 2011) and/or on the path to
having a family.
Even though being single is sometimes a choice when it comes to one’s
relationship status, remaining single is viewed by many in society as a “problem for
women,” (Budgeon, 2016, p. 402) or as “a failure to perform heterosexuality adequately”
(Taylor, 2011, p. 22). Romantic comedy films push the idea that being single is less of a
choice and more of an unfortunate situation for women that requires a remedy. Therefore,
these movies actively contribute to singlism in American culture. “Singlism” is the
discrimination against single individuals that is “manifested in everyday thoughts,
interactions, laws, and social policies-” (Sharp & Ganong, 2011, p. 957) and the
assumption that everyone wants to get/be married and have kids (Sharp & Ganong, 2011;
Carr & Byrne, 2005). This is a pressure that women face more often than men, especially
in the media because single men are more likely to be portrayed as bachelors (Gerson,
2010). Additionally, singleness is depicted as a temporary state within young women’s
lives and is not considered an adequate long-term lifestyle. Only those who attempt to
“escape” or end their single status are visible and accepted in society (Taylor, 2011). The
responsibility for escaping singlehood rests with women, instead of accepting that
remaining single is a viable lifestyle.
In addition to reproducing the social pressure for women to marry, these films
also suggest that motherhood is the next probable step towards being complete as an
American woman. Family life is often portrayed in films as incredibly gratifying, more
than paid work, and the natural role for female characters. These films glamorize
motherhood and family life by portraying it as utopian (Hundley, 2000). The main
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�characters tend to have positive relationships with most of their relatives and have very
well-behaved children, which in reality is not always the case. This implies that family
life is worth giving up a career or a life of independence.
Moreover, these movies, specifically the ones made for television, often suggest
that women have to make a compromise between love and work and that they should not
attempt to have it all (Hundley, 2000; Brayton, 2021). Women will turn down promotions
to keep family at the forefront, and then these characters are rewarded with happiness and
love in return (Hundley, 2000). When female characters choose this path, they reinforce
normative gender roles and the importance of small-town America as opposed to
corporate America. Additionally, Hallmark movies present conservative values that
perceive women as being happier in rural family-oriented spaces as opposed to work
spaces (Brayton, 2021). They show this by “featuring an unassuming but unhappy
woman who retreats from a hectic corporate career and bustling city life to find romance,
family and new career opportunities in a bucolic fictional town” (Brayton, 2021, p. 51).
These storylines suggest that women are out of place in these types of corporate spaces
and can only find love once they give up their jobs and the big city life to settle down in
an ideal American small-town (Rosewarne, 2018). Brayton (2021) claims that “women’s
unhappiness (in these movies) can be directly attributed to the working conditions of late
capitalism and cut throat corporate culture, which leaves them ‘empty’ and devoid of love
and romance” (p. 61). Yet again, these films imply that women cannot handle the
working lifestyle and belong in more nurturing environments, like the home.
In addition to women choosing love and family over their career, other common
themes like rejecting capitalist greed, and spreading fortune to those who are less
fortunate, all to credit the “spirit of Christmas,” are prevalent. Brayton (2021) suggests
that “no other film genre than Christmas movies offers a more sustained and recognizable
roasting of capitalism with its attention to socioeconomic inequality, workaholism and
corporate greed” (p. 53). For a holiday that has consumerism at the heart of it, these
movies resist this ideal by presenting a magical “spirit of Christmas” value that
encourages generosity, which often leads to character transformation. However, these
mainstream movies rarely feature the original religious meaning of the holiday, except
for occasional re-enactments of the nativity scene. Overall, these movies repeat plotlines
that are familiar to most American viewers, are entertaining, and are generally easy to
understand (Zacharek, 2020) and, therefore, easy to consume. Although, at the same time
they reinforce gendered societal pressures through repetitive storylines of women who
wish for love during the holidays.
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�III. Data and Methods
I analyzed fifteen American films focusing on Christmas and produced after the
year 2000. These films represent a convenience sample, since I selected them either
because I had previously watched them, I had seen them advertised as popular, or
because they were easily accessible via YouTube and other streaming services like
Amazon, Netflix and Hulu. This selection includes some of the most popular romantic
comedy Christmas films, as well as some of the most popular streaming and made-fortelevision Christmas movies. 2 I paid particular attention to social norms and overarching
themes. While watching all of these films I took detailed notes on any dialogue or plot
points that seemed to be reflecting values of American society, and how lead characters
interacted with their social environments. Then I drew connections between common
behaviors or themes in order to understand what these films are collectively
communicating to audiences.
Most of the main characters in these films were either women or a heterosexual
duo, with the exception of two films that featured homosexual characters. All of these
characters were portrayed to be in their twenties and thirties with the exception of a few
characters in Love Actually. Except for two films, all of the main characters and most of
the side characters were heterosexual individuals. Although the films featuring nonheterosexual characters followed similar conventions as the other Christmas romance
films, they also addressed (at least briefly) the effect that their sexual orientation had on
their lives and how this aspect of their identity limited them in certain ways. The majority
of the main characters in these films were white. One film featured mostly African
American characters and a few others featured a mixture of some white and BIPOC
(Black, Indigenous, and people of color) characters. The main characters are also
commonly middle/upper-class with jobs that are usually mentioned very little. Moreover,
lower-class characters appeared more often in the films that featured BIPOC characters.
For the most part, these films focused on thin and conventionally beautiful
people. Only one film features an overweight lead, who is played by Queen Latifah in
Last Holiday. However, in this film her character is portrayed as lonely and essentially
invisible to society at the beginning. Furthermore, other films that feature overweight side
characters appear as a laughingstock. Love Actually features a few female characters who
are depicted as overweight in the film and are targeted and portrayed as not desired by
men as a result. In these films “femininity is partially defined as thin, flawless, attractive
women who ought not concern themselves with their appearance” (Hundley, 2000, p. 22).
2
See appendix for full list of films.
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�These movies present beauty through a very narrow lens. It is safe to say that this film
genre is not representative of the American population, however it is evolving slowly but
surely to include BIPOC and/or LGBTQ+ characters among others.
IV. Findings
One of the main themes found in many of the films is the expectation that
women should bring home a male date for Christmas. The film Holidate exemplifies this,
when two young and single strangers, Sloane and Jackson, make a deal to be each other's
dates for all holidays so they never have to be alone. Sloane is intensely singled out by
her family at Christmas because she is the only one of her siblings who is not married or
in a committed relationship. When Sloane is complaining about Christmas with her
family, she tells Jackson “Every time I walk into a room, I’m showered in a sea of pity
and sad glances” because she is single. So, in order to avoid incessant reminders from her
family about the need to find a man, Sloane feels as if she has no other choice but to
bring a fake boyfriend to her family holiday gatherings. The criticism that Sloane
experiences for being single is a reflection of American society’s stigmatization of people
who choose to remain single (Carr & Byrne, 2005). Often “women’s social identities
reflected being invisible in their families, less valued than their married siblings, and
knowing that their parents preferred them to be married” (Sharp & Ganong, 2011, p.
960). Sloane very much experiences this pressure, mostly from her mother, and feels at
fault for her single status. Her mother tells her that she’s “much prettier with makeup” on,
when she is already wearing makeup, and suggests that she “could at least put on a nice
top.” This criticism from her mother further perpetuates stereotypes of femininity,
specifically beauty standards.
Similar circumstances occur in The Christmas Contract. In order to make her
ex-boyfriend, Foster, jealous and to present to her family during the holiday season that
she has successfully moved on from their breakup, Jolie strikes a deal with her friend’s
older brother, Jack, to be her fake date on Christmas. Sometimes it is easier to find a fake
date than to face questioning family members over the holidays and to avoid sitting at the
kids table, which actually happens to Sloane in Holidate. Carr & Byrne (2005) argue that
“single persons are the target of stigmatization,” and single people are highly conscious
that they are targets, making the stigma more existent (p. 84). Sloane and Jolie, like many
single heterosexual women, have internalized this stigma and believe that the holidays
are easier when spent with a date even if they have no romantic feeling towards that
person.
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�The expectation placed on women to bring dates to holiday gatherings is merely
one aspect of a society that pressures individuals to couple with the goal of eventually
marrying. “The United States is unquestionably a promarriage society,” (Carr & Byrne,
2005, p. 84) and that is reflected in the subtle, and not so subtle messages that these
movies send. As mentioned above with Holidate, Sloane’s mother constantly reminds her
that she should be, like her siblings, on a path towards marriage. The alternative is to end
up like her aunt who always brings random strangers to holiday gatherings and is
portrayed as a middle-aged hyper-sexual outcast. In the US, pressure to marry along with
the single stigma are the strongest for those in their late 20s and into their early 30s
(Sharp & Ganong, 2011). It is acceptable to be single when women are younger, but
eventually a woman’s “biological clock starts ticking” and pressure for marriage
emerges. After that period of time society gives up on pressuring those who are no longer
in their biological prime for childbearing. This social value is evident through the
pressure that Sloane faces to couple and the lack of pressure that her aunt experiences
who is viewed as a lost cause for love because of her age. In a way, the main characters
in Holidate initially make fun of these ridiculous film conventions, but in the end,
succumb to them as they end up falling into the same traps when the movie closes with
the main characters in love.
Similar to Sloane’s experience in Holidate, the young women in Happiest
Season, also face pressure from their parents to couple, specifically into heterosexual
relationships, and to eventually have children. Harper and her two sisters, Sloane and
Jane, consistently compete for their parents’ affection. In order to win acceptance from
their parents, they need to be coupled and on the track towards a traditional nuclear
family. When Harper brings Abby to her parents’ house for Christmas, pretending that
she is her orphan friend instead of her girlfriend, Harper’s parents and friends
continuously invite Harper’s high school boyfriend to gatherings to try and push them
back together. Additionally, their father makes it a point to parade his grandchildren
(Sloane’s children) at a dinner event to his political donors. When Sloane asks if she can
help promote her father’s campaign for mayor he tells her “you just bring that beautiful
family and show them off” followed by “these might be the only grandchildren we ever
have.” However, considering that Sloane was an attorney before she became a full-time
mom, she can clearly offer more than motherhood to her father’s campaign. Moreover,
Sloane and her husband are separated but she is afraid to tell her parents because they
will be disappointed since she is only valued in her family as the mother of their
grandchildren. When Sloane finally shares with her parents that her marriage has ended,
she tells them “without my family I am worthless to you;” in reference to her father’s
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�earlier remarks. Furthermore, the youngest daughter, Jane, who is single and has never
been in a serious relationship, is continuously overlooked and underappreciated by her
parents because they “gave up on her,” as the mother claims, while her two older sisters
get all of the positive attention. Hence more reasons why Harper feels pressured by
society and her family to fulfill the normative expectation to become a heterosexual wife
and mother which forces her to hide her sexual orientation. Therefore, it is not just about
Harper being gay but also about how children, specifically women, feel like they have to
live up to their parents’ expectation of being married to a man and eventually becoming a
mother.
Brad and Kate, the two main characters, in Four Christmases experience a
similar pressure to marry, leading them to rethink their future as a couple who initially
decided against matrimony. They avoid their families around the holidays because their
parents and siblings remind them that their cohabitation lifestyle is unacceptable
compared to conventional marriages. When asked why they are not getting married, Brad
responds “we’re happy. Marriage just brings pressure and stress.” This film is realistic in
terms of its depiction of families where marriages end in divorce and are not always
“picture perfect.” Kate and Brad see marriage as the beginning to the end and do not want
to find themselves divorced, like their parents. Furthermore, they are portrayed as not
being ready to take care of children. For example, when holding a baby, Kate
accidentally hits the baby’s head on a kitchen cabinet, then later in the film Kate cannot
swaddle baby Jesus, and Brad cannot stand the sight of puke, which is something that
babies do often. This is another film that highlights America’s pressure for marriage and
family, by depicting a couple who lives outside the norm, at least initially. However, as
the movie progresses it appears that Kate and Brad follow the path that their family has
suggested them along. The film ends with Kate in a hospital bed holding a newborn baby
in her arms and Brad looking on. Thus, like in Holidate, they surrender and give in to the
American expectation of marriage and children. Additionally, these characters address
the fact that divorce impacts many people including children of divorced couples, but the
main characters still somehow have hope that they can make it work. Marriage often ends
in divorce in the US, so movies like this one could be attempting to “endorse”
relationship ideals (Wilson & Hefner, 2013). Therefore, Four Christmases attempts to
look past the United States’ discouraging rates of divorce in order to preserve the value of
marriage and family in American society.
These films also portray what Sharp and Ganong (2011) refer to as society’s
promotion of “marriage and motherhood as central to women’s identities.” (p. 958).
Similar to how Kate in Four Christmases is initially depicted as unsuited for motherhood,
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�Jessie, the main character in A Bride for Christmas, struggles to be a successful bride.
Jessie has run away from the altar on her wedding day on three separate occasions. Even
though Jessie does not feel ready to get married, her mother pressures her down the aisle
time and time again, even after she expresses uncertainty. Therefore, Jessie has made
marriage a priority, so once she realizes that she is in love with Aiden, she immediately
asks him to marry her. A Bride for Christmas is a perfect example of how Americans,
specifically heterosexual women, are in a hurry to get married (Cherlin, 2009).
It is not just young single women in these films, who are pressured to be in a
committed relationship, and ideally in a marriage; so are single parents with young
children. But in contrast to films about single individuals where women’s mothers play a
central role in pushing for coupledom, in movies such as Christmas on the Bayou and The
Perfect Holiday, the women’s young children take center stage, as the men need to win
them over in order to earn the love of the women. Rosewarne (2018) suggests that single
parents are often featured in romantic narratives because being “partnerless” is viewed as
“a temporary state before characters transition into romance and ultimately a nuclear
family and existing children speeds up the construction of the nuclear unit” (p. 23). For
example, in Christmas on the Bayou, Caleb seems to spend more time with Katherine’s
son than with her, and wins over the son before she even takes an interest in him. In the
end, the main reason why she wants to be with Caleb is because he would be a good
father for her son. This dynamic illustrates the fact that these men have to act as
replacements for the deadbeat, almost villainous fathers who are barely involved in their
children’s lives. And while female characters are usually single because they divorced a
bad man, male characters are typically widowed, making their separated status not a
choice, and more endearing (Rosewarne, 2018). Considering that in the US, fathers are
more likely than mothers to be absent in their children’s lives, these portrayals reinstate
the social perception that, unlike men, women are expected to be naturally “good
mothers.”
This scenario also plays out in The Perfect Holiday. Even though Nancy is at the
time going through a divorce, she is eager to find a new husband and potential father to
her three children, who are still struggling with the fact that their parents are splitting up.
Both in the movies and in real life, over time, American women feel pressure for
marriage and family from their social environments as their friends couple/marry and less
desirable men are available (Sharp & Ganong, 2011; Fallon & Stockstill, 2018: Cherlin,
2009). Nancy is very eager to maintain the traditional family structure when she brings
Benjamin home to meet the kids on only their second date, which reflects the trend in US
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�society, that people tend to rush into new relationships very quickly as Americans have
“sped up the hands on the relationship clock” (Cherlin, 2009, p. 201).
Conversely, when a single father is the romantic interest, he is perceived
differently than the deadbeat fathers in movies with a single mother as the main
character. Additionally, their children’s birth mothers are rarely ever mentioned and it is
not always clear why she is absent from their lives (e.g. divorce, death). The potential
lovers in The Princess Switch and The Holiday are both single dads who appear to be
very good fathers to their daughters. In The Holiday, when Amanda meets Graham’s
daughters for the first time, the girls express a desire to have a woman around more often.
One girl says “we never have grown-ups here, at all girls” and the other girl responds “I
really like it.” At this moment, Graham begins to feel pressured to bring a new mother
home for his daughters, which not only exemplifies the central role children in these
films play in recoupling their parents, but also that women are always viewed as potential
mothers. In The Princess Switch, Margaret falls in love with Kevin, a single father who
has a very strong and friendly relationship with his daughter who spends plenty of time
with them throughout the course of the film. Margaret eventually develops a strong
relationship with Kevin’s daughter and after catching the bouquet at another wedding,
Kevin tells Margaret that she “might want to hang on to that bouquet,” suggesting that
marriage is in their future. Additionally, it is important to note that the gender of the child
is an essential plot point, considering these movies posit that daughters need a female
figure (a stepmom) and sons need a male figure (a stepdad) actively in their lives.
Another common occurrence in these holiday romantic comedies is that women
will relocate to be with men, either to rural towns and/or royal palaces. In this situation,
the lead female character faces a geographical conflict but usually ends up choosing love
in a small-town over their career opportunities in the big city. For example, in Christmas
on the Bayou Katherine turns down a promotion that she has been working towards for a
long time to move back to her hometown and be with her childhood crush. Once again,
children are crucial as the push mainly comes from her son, who really just wants his
mother to spend more time with him instead of at the office. Hence why she chooses to
move back to the rural town where she grew up because there is a potential new father for
her son and fewer corporate distractions, allowing her to spend more time with her son
and birth family. In Christmas on Wheels Ashley faces a similar conflict when she goes
home to her rural hometown in Washington for Christmas and meets Duncan, an attorney
whom she eventually grows fond of. At the moment when she finally gets the opportunity
to open her dream antique shop in Seattle, she turns it down to stay in her hometown, for
love and small-town traditions. The conflict in these types of films is “being fabulous,
118
�strong and professionally independent counterposed with the desire to secure a
heterosexual partner” (Taylor, 2011, p. 14). It also seems to suggest that women cannot
have it all.
This past holiday season (2020) two mainstream US holiday films were released
that feature LGBTQ+ lead characters who are “rarely depicted on-screen” (Rao, 2020) or
in this genre that is historically rooted in heteronormative standards. One being the
Christmas Set-Up which is the first romantic Christmas film featuring gay lead characters
to premiere on the Lifetime network. And the second, Happiest Season is one of the first
major Hollywood-produced Christmas films to feature lesbian lead characters. However,
these two films seemed to consist of very similar conventions as previous Christmas
romantic comedies. Happiest Season goes above and beyond the conventions of the
Christmas movie genre by addressing the struggle for family acceptance among
LGBTQ+ individuals in conservative families. On the other hand, The Christmas Setup
barely addresses the issues that LGBTQ+ individuals face in a heteronormative society,
and overall focuses on choosing love over big-city life and highly revered career
opportunities. The main character, Hugo, goes home to Milwaukee to spend Christmas
with his lonely widowed mother and runs into Patrick, his high school crush. When Hugo
gets his dream job offer in London, England, he has to make a choice between Patrick
and London. Needless to say, he chooses love over his career opportunity. Even though
this is a film about two men and thus breaks a major convention of the Christmas
romance genre, the main character is presented as very feminine in comparison to his
masculine love interest and the film follows a very similar plotline as other movies within
this genre, as Hugo chooses love in the suburbs of Milwaukee over a career in London.
Women in holiday films not only move to small-town America for their love
interests and in pursuit of “traditional roles and values” instead of corporate roles,
sometimes they fall in love with a prince. And while in these cases they move up the
socioeconomic ladder, they also, like the women who move to small towns, have to leave
behind their career, friends, and family. For example, in The Princess Switch, Stacey, a
middle-class baker, switches lives with her doppelgänger, Lady Margaret, a soon-to-bemarried princess. When they both fall in love while living the other person’s life, they
decide to switch locations for good, allowing Stacey to marry the prince. So, Stacey
leaves her life in Chicago behind for an upgrade to royal life on Christmas. Similarly, in
A Princess for Christmas, when the prince is pressured to find a royal bride, Jules, a poor
woman from Buffalo who is an in-law of the royal family, is invited to stay at the castle
for Christmas with her niece and nephew who she is the legal guardian of. Jules and the
prince end up falling in love, and when they are ridiculed by his fellow royal folk, they
119
�defy the odds and show people the importance of true love. These types of situations are
interesting since Americans have class-based expectations about marriage and tend to
marry within their socioeconomic class (Fallon & Stockstill, 2018). This social value is
apparent through the upper-class people who criticize the prince for wanting to be in a
relationship with a woman from a lower-class background. Therefore, both of these films,
among others, set unrealistic expectations for women by communicating that “regular
girls” can marry into royalty. This is not a convention limited to the Christmas genre but
also applies to many Disney fairytale films. In fact, these royal Christmas movies can be
viewed as an extension of the Disney princess fairytale stories that have accompanied
many young girls throughout their lives. In most of these cases the woman gives up her
world to be in his. Their relationship also defies class lines considering many of these
fairytales, such as Cinderella, allow a “regular girl” to become a princess by marrying
into royalty, suggesting that marriage is an easy way for women to climb the social
ranks.
In addition to the portrayal of princes liking “regular girls” is the idea that men
like women who are different than them when it comes to socioeconomic status and in
other ways. The royal men in The Princess Switch, A Princess for Christmas and A
Christmas Prince find these regular girls refreshing, because they are so different from
the other women these men are used to. In A Christmas Prince, Prince Richard falls in
love with Amber, a journalist from New York City, who is pretending to be his little
sister’s tutor in order to get closer to him for her work assignment. Even though they do
not get along in the beginning, he finds it endearing when she wears Converse sneakers to
a royal dinner event, and later in the movie he tells her “you’re more genuine than anyone
I’ve ever met.” The prince takes an interest in her because he perceives her to be more
authentic and true to herself than the royal women within his social circle who are often
portrayed in these films as uptight and more concerned with reputation and appearances
than anything else. Moreover, often in these movies the characters do not initially like
each other, either as a result of a previous meeting or simply because they are so different
from one another. But miraculously in the end, love conquers all existing tensions and
class differences between the two. A similar cross-class love story takes place in The
Princess Switch. Once the two women switch lives they almost immediately meet perfect
men because opposites attract, and more specifically the prince likes that Stacy is
“different.” However, it is important to note that since the two women look identical to
one another, the same beauty standards apply in this case. Therefore, these women have
to be refreshingly different from what he is used to from his social environment.
120
�Considering these men are more established in their royal class status (perceived as
success), the women will always leave their lives behind to be with the man.
Similar to how these films present women in traditional American gender roles,
as belonging in the home and away from the big city, they also suggest how women are
“supposed” to act in heterosexual relationships. These movies specifically portray
heterosexual women as fitting into a passive role in relation to their male counterparts. In
other words, women are often waiting for their man to come around and “sweep them off
of their feet” to start the relationship. This passive behavior is manifested in three
different ways in these movies: love being unexpected, the spontaneity of soulmates and
men organizing elaborate displays of affection that almost always take the woman by
surprise.
First, love almost always appears when these women least expect it, which is
ironic given that these women are sometimes actively looking for relationships at the
beginning of the film. In The Christmas Contract, what seems like just a transactional
trade-off for the lead woman to have a fake date on Christmas to make her ex-boyfriend
jealous, turns into a beautiful love story when they fall in love with each other. Likewise,
in Last Holiday once Georgia begins to focus on doing what makes her happy instead of
waiting for a man to save her from her miserable life, her love interest finally pursues her.
These films communicate to audiences that their special guy will appear when he is
ready, not necessarily when she is in pursuit of the relationship. The concept of
unexpected love is also the premise for one of the highest grossing and most popular
American romantic comedy Christmas films, The Holiday. 3 Iris and Amanda, the two
lead women in The Holiday, attempt to escape from their lives to get far away from the
men who wronged them. When Amanda first meets Graham, she tells him “you are
unexpected,” meanwhile Iris says “anything could happen” immediately after she meets
Miles, the man who will later become her love interest. The Holiday highlights the
pressure that single people feel to be coupled especially during this time of the year even
after they just ended relationships, reflecting once again that Americans rush from one
relationship/marriage into another (Cherlin, 2009). On the other hand, the movie presents
the overused convention of meeting an unexpected handsome stranger right in time for
Christmas. Similar to Four Christmases and Holidate, The Holiday also strives to poke
fun at the corniness of the romantic Christmas genre through mimicking the conventions
that appear in these types of movies. One of the ways that this appears is through the
3
Overall The Holiday, grossed between $205-206 million worldwide (Box Office Mojo,
n.d.), which ranks the film as one of the highest grossing American Christmas films
within the romantic comedy genre.
121
�movie trailer voiceover that pops up throughout the film to remind Amanda that she is a
cliché of the single woman escaping from her life to unexpectedly fall in love on
Christmas in a magical English countryside. Through this element of the story, the
filmmaker seems to be exploiting the corniness of the Christmas movie genre, but
ultimately the movie ends in the same way as most other stories among the genre, with
the two couples dancing together over champagne on New Year’s Eve.
Second, the idea that there is “the one” person for everyone (soulmates), and
along with that, the belief that everything is meant to be (destiny), arises in these films. In
A Bride for Christmas Jessie is hyper-focused on finding “the one.” After kissing Aiden,
whom she has not had any previous interest in, for the first time, she feels the
“fireworks” and immediately decides to propose to him because she believes that they
are soulmates (which also speaks to the love being unexpected convention). This
sounds quite impulsive, but it reinforces the idea of “the one” which is a common
portrayal of love in the media. The idea of destiny appears in The Princess Switch when
the two women first meet. Lady Margaret claims that her and Stacy were “destined to run
into each other” so they could switch lives and find love, and later in the film when the
prince is convincing Stacy to marry him he says “You are my destiny. This was the plan.
We were meant to be together.” The problem with this romantic ideal of soulmates or
destiny, similar to the belief that love is unexpected, is that women are expected to
passively wait for “the one” to come into their lives and sweep them off of their feet.
Then once he shows up, these women are sometimes expected to give up their lives to be
with him. This reinforces traditional American gender norms of courtship which assign
heterosexual men the role of initiator while heterosexual women are only allowed to react
once the man actively pursues her (Lamont, 2014).
Third, the man’s organization of a grand public display of affection, such as
staging an elaborate gesture, speech or proposal to win over the woman is another
example of normative gender roles in heterosexual relationships which is essential to this
movie genre. This concept sets a very high standard for heterosexual women to expect of
heterosexual men in American society and often allows for second chances. In Love
Actually, Jamie goes to Aurelia to propose in front of everyone in Portuguese (her native
language which he learned just for this proposal) at the restaurant where she works.
Meanwhile the prime minister goes knocking on every door to find Natalie, and then later
kisses her in front of all of the audience members while on stage. Heterosexual women
are perceived as being easily swayed by a man who makes an effort to be with her and
who is not afraid to confess his love for her in front of a group of people. The expectation
in the US, as well as other countries of the core Anglosphere, is that one partner, usually
122
�the man, will formalize the relationship with a marriage proposal (Baker & Elizabeth,
2014). This means that women will often wait around for the man to progress the couple
towards the next step of their relationship.
For a more classic display of love, in A Bride for Christmas Aiden gets down on
one knee and proposes to Jamie on Christmas day (after only knowing her for four
weeks) in front of her entire family and then immediately has a wedding ceremony staged
in the house. Even though the only reason why Aiden pursued Jamie in the first place was
to win a bet, since he is promising to commit to her through this grand display of
affection, she takes him back. When men pull off these stunts, they are sometimes
attempting to erase any previous wrongs that they have done to the women, suggesting
that if men put effort into a big romantic gesture then all will be forgiven. Still, men
should be held accountable for their actions and should not simply be able to start over
time and time again by wooing women with romance. Conversely, in Holidate (2020) she
is the one to make the big speech to win the guy over after previously turning him down.
This indicates that more recent movies attempt to flip the script by having women instead
of men stage elaborate displays of affection.
V. Conclusion
The main purpose of this thesis is to analyze the romantic comedy Christmas
genre and its subject-matter with two central questions in mind. The first concentrating
on what these films communicate to audiences about gender norms and romantic
relationships. While the second question focuses on what gender roles and expectations
mainstream American holiday movies perpetuate. My findings suggest that Christmas
romantic comedy films mirror and reinforce American cultural values of heterosexual
coupling, marriage and family, while discouraging as well as stigmatizing single life and
endorsing the traditional role of women in the home and not in the workforce. Overall
these depictions place the female protagonist out of the big city and office spaces and into
the small-town American home, where she is meant to fulfill a gender normative passive
role while her husband leads the way. All of the romantic conventions that present
women as passive and men as active in these films—such as love being unexpected, the
idea of soulmates/destiny, and elaborate displays of affection—create an expectation that
women are to wait for their special man to romance them into the next stage of life,
marriage and then eventually family. And even though it is ultimately the female lead
who makes these decisions (and the gay male lead in the Christmas Set-Up), like moving
to a small-town or giving up their dream job, these life changes are never sacrifices that
heterosexual male characters are forced to make. These movie portrayals reinforce gender
123
�roles within heterosexual relationships and prevent women from living more independent
lifestyles. Hence being able to have it all—as in a career, a marriage and a family—or
being happily single is not represented as attainable in these movies. Furthermore,
although there are so many Christmas films, they typically tend to feature a limited
demographic segment of heterosexual, middle and upper class, White, conventionally
attractive, able-bodied characters in their late twenties or early thirties (Hundley, 2000;
Brayton, 2021; Hefner & Wilson, 2013; Sharp & Ganong, 2011). In the US where dating,
marriage and family come in many different forms, these films can feel excluding to
many people with their limited portrayals of the American population.
In short, these female leads who place high importance on being in a
relationship around the holidays and are willing to leave everything behind, including
their careers, for love are symbols of the “Christmas spirit” that rejects capitalist greed
and reinstates our urges to couple during the Christmas season. However, it is important
to note that in reality, “women are happier when they have both career and family”
(Hewlett, 2002, p. 69). So why do these women have to choose in order to have an
exceptional Christmas? The cultural perception that being single is a “problem” for
women (Burgeon, 2016) is continuously stressed in these Christmas romantic comedy
films by pushing female leads into heterosexual relationships and into the home. Even
though more recent films including LGBTQ+ and racially diverse characters offer better
representation, the importance of romance and what has erroneously been labeled as “the
traditional family” along with normative gender roles remain at the forefront of this
genre.
VI. References
Baker, M. & Elizabeth, V. (2014). Marriage in an Age of Cohabitation: How and When
People Tie the Knot in the Twenty-First Century. Oxford University Press.
Box Office Mojo. (n.d.). The Holiday (2006). Box Office Mojo by IMDb Pro.
https://www.boxofficemojo.com/title/tt0457939/?ref_=bo_se_r_1
Brayton, S. (2021). Courtship and class conflict in Hallmark’s “Countdown to
Christmas”. Feminist Media Studies, 21(1), 51-65.
Budgeon, S. (2016). The ‘problem’ with single women: Choice, accountability and social
change. Journal of Social and Personal Relationships, 33 (3), 402-418.
124
�Carr, D. & Byrne A. (2005). Caught in the Cultural Lag: The Stigma of Singlehood.
Psychological Inquiry, 16(2 & 3), 84-91.
Cherlin, A. J. (2009). The Marriage-Go-Round: The State of Marriage and the Family in
America Today. Knopf.
Fallon, K. & Stockstill, C. (2018). The Condensed Courtship Clock: How Elite Women
Manage Self-development and Marriage Ideals. Socius, 4, 1-14.
Galloway, L., Engstrom, E. & Emmers-Sommers, T. M. (2015). Does Movie Viewing
Cultivate Young People's Unrealistic Expectations About Love and Marriage? Marriage
& Family Review, 51(8), 687-712.
Gerson, K. 2010. The Unfinished Revolution: How a New Generation is Reshaping
Family, Work, and Gender in America. Oxford University Press.
Hefner, V., & Wilson, B. (2013). From Love at First Sight to Soul Mate: The Influence of
Romantic Ideals in Popular Films on Young People’s Beliefs about Relationships.
Communication Monographs, 80(2), 150–175.
Hewlett, S. A. (2002, April). Executive Women and the Myth of Having It All. Harvard
Business Review, 80(4), 66-73.
Hundley, H. (2000, February). Lifetime's Limited Feminism: Defining and
Deconstructing Television for Women. Paper presented at the Annual Meeting of the
Western States Communication Association, Sacramento, Retrieved March 17, 2021,
from https://files.eric.ed.gov/fulltext/ED437698.pdf
Lamont, E. (2014). Negotiating Courtship: Reconciling Egalitarian Ideals with
Traditional Gender Norms. Gender and Society, 28(2), 189-211.
Lotz, A. D. (2006). Redesigning Women: Television After the Network Era. University of
Illinois Press.
Rao, S. (2020, November 25). Clea DuVall wanted to see more queer Christmas movies.
With Kristen Stewart and Mackenzie Davis, she made one herself. The Washington Post.
https://www.washingtonpost.com/arts-entertainment/2020/11/25/happiest-season-kristenstewart-mackenzie-davis-clea-duvall/
125
�Rosewarne, L. (2018). Analyzing Christmas in Film: Santa to the Supernatural.
Lexington Books.
Sharp, E. A. & Ganong L. (2011). I’m a Loser, I’m Not Married, Let’s Just All Look at
Me”: Ever-Single Women’s Perceptions of Their Social Environment. Journal of Family
Issues, 32(7), 956–980.
Taylor, A. (2011). Single Women in Popular Culture: The Limits of Postfeminism.
Palgrave Macmillan.
Zacahrek, S. (2020, December). Sure, Netflix Christmas Movies are Often Patently
Absurd. They’re Also Occasionally Perfect. Time.com. https://time.com/5921304/netflixchristmas-movies-2020/
Appendix A: Films Reviewed
A Bride for Christmas (2012)
A Christmas Prince (2017)
A Princess for Christmas (2012)
Christmas on the Bayou (2013)
Christmas on Wheels (2020)
Four Christmases (2008)
Happiest Season (2020)
Holidate (2020)
Last Holiday (2006)
Love Actually (2003)
The Christmas Contract (2018)
The Christmas Setup (2020)
The Holiday (2006)
The Perfect Holiday (2007)
The Princess Switch (2018)
126
�
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��EDITOR’S INTRODUCTION
The Wagner Forum for Undergraduate Research is an interdisciplinary journal which
provides an arena where students can publish their research. Papers are reviewed with
respect to their intellectual merit and scope of contribution to a given field. To enhance
readability the journal is subdivided into three sections entitled The Natural Sciences and
Quantitative Analysis, The Social Sciences, and Critical Essays. The first two of these
sections are limited to papers and abstracts dealing with scientific inquiries, business
research, clinical investigations and the use of mathematical/statistical modeling. The
third section is reserved for speculative papers based on the scholarly review and critical
examination of previous works.
Read on and enjoy!
Gregory J. Falabella, Ph.D.
Editor-in-Chief
Editorial Board
Dr. Annemarie Dowling-Castronovo, Nursing
Dr. Donald E. Stearns, Biological Sciences
Dr. Amy Eshleman, Psychology
Prof. Andy Needle, Art
Dr. Lori Weintrob, History
��Section I: The Natural Sciences
& Quantitative Analysis
Full Length Papers
3 Analysis of the Function of Small Intestinal Aggregates of the
Necturus Based on Old Classical and Recent Literature Data
Kaelin Wolf
Section II: The Social Sciences
Full Length Papers
15 ‘I Am A Donor’: A Proposal to Increase Organ Donation Rates in New
York City
Giavanna Marceante, Tinatin Shaorshadze, and Ariana Volodarsky
26 Environmental Investment in the ACA’s Preventative Public Health
Initiatives
Gabriella Walker
45 The Impacts of Gender on Women in High-Level Leadership
Joellen How
Section III: Critical Essays
Full Length Papers
71 The Detriments of Democratic Laboratories: How Devolution Could
Negatively Impact Minority Groups
James Hagenberg
79 Umbrellas, Youthful Love, and Brilliant Colors: Films as
Representations of How to Cope with the War
Julia Francis
87 Proust Was Not a Neuroscientist: On the Importance of
Interdisciplinary Exchange
Caecilia V. Thuermer
�98 The Male Gaze in Art and Life: Why are Artistic Women Overlooked?
Zoe L. Krofchik
109 The Elemental Rock, Paper, Scissors of William Shakespeare’s
Richard II
Jim Jones
118 Debating for Democracy: Letter to an Elected Official
Hailey Delaney and Braith Dicker
122 Star Wars Episode V: The Empire Strikes Back - Darth Vader’s Cue
Julia Searle
���Analysis of the Function of Small Intestinal Aggregates of the
Necturus Based on Old Classical and Recent Literature Data
Kaelin Wolf (Biopsychology) 1
The main focus of this literature analysis is to apply a modern lens of biological
techniques and understanding to classical literature for the purpose of updating our
understanding of these classical topics. This paper also seeks to review information of
whether any cell can dedifferentiate, divide and differentiate during regeneration of an
organ, or there are only the stem cells maintained throughout the course of an organism’s
life that can create new populations of cells. The modern understanding of stem cells can
assist in answering an old argument regarding Necturus cellular aggregates visualized in
intestinal epithelial preparations -- are they glandular in function or proliferative? There
are researchers on both sides of the argument, as well as those who stand in the middle.
From my modern analysis it would appear that these aggregates are indeed groups of
stem cells that act as sites of cellular renewal.
Urodeles & the Necturus
The Urodele is a class of amphibious organisms such as newts and salamanders
that have long slender bodies, short limbs, and maintain a tail throughout the course of
their life. They are typically very lizard-like in appearance, but have moist, porous skin.
Urodeles range from completely aquatic to completely terrestrial, but the composition of
their skin typically requires them to stay near water, or at least in a moist habitat (Beattie
et al., 2017). The Necturus genus is a subsection of the Urodele, and is commonly
known throughout North America as the mud puppy. In old times, the Necturus used to
be a very common experimental organism for labs and anatomy classes, which led to the
publication of a robust body of work about the creature. However, due to widespread
pollution, and siltation of streams, the Necturus population declined and governmental
protections were put in place. Because of this, new Necturus preparations are few and far
between, and to answer questions one must look to old preparation or literature to try and
ascertain new information about this species (Beattie et al., 2017). The Necturus is
characterized most distinctly by the bushy external gills that protrude from either side of
its head. This creature goes through paedomorphosis that is it retains certain larval
1
Written under the direction of Dr. Zoltan Fulop in partial fulfillment of the Senior
Program requirements.
3
�anatomical traits, such its external gills, gill slits, and eyelids throughout maturation and
adulthood (Safi et al., 2006). This carnivorous animal typically makes its home at the
bottom of ponds, steams, and other marshy areas concealed by rocks and weeds, feeding
on smaller organisms such as crawfish, small fish, insect larvae, snails, fish eggs, and
other foods based on opportunity. While the Necturus is largely aquatic, it does have
small, yet developed lungs that allow it to spend time in moist terrestrial habitats where it
can feed on small insects, and insect larvae (Beattie et al., 2017). The digestive system of
the Necturus is similar to that of many reptiles and amphibians. The alimentary canal
(digestive tract) begins with the mouth, followed by the esophagus, stomach, small
intestine, large intestine, and the cloaca which sits just posterior to the hind legs. Since I
am interested in the structure and function of the small intestine, I will exclude all the
other parts of the GI tract at this time.
Small intestine of the Necturus
The small intestine begins at the end of the stomach, where in higher amphibians
there would be a pyloric sphincter. While the Necturus lacks a pyloric sphincter, the
transition from stomach to intestine is still marked through change in epithelial and
muscular composition of the wall of the organs. The cellular composition of the
stomach’s epithelium, while very similar to that of the intestine, lacks the striations of the
simple columnar cells that marks movement into the intestine. Both the stomach and the
intestine also have goblet cells interspersed throughout the epithelium. This change is
accompanied by a stark change in the smooth muscle tone, from the well-developed
pylorus of the stomach, to the thinly walled intestine (Kingsbury, 1894). The diameter of
the opening also is noticeably reduced when moving into the intestine, and the epithelia
becomes single layered columnar (Bates, 1904). The small intestine of the Necturus,
while being less convoluted than those of higher amphibians, does have the characteristic
meandering pathway. From the stomach the intestine turns anteriorly so that the
duodenum can receive the bile duct, then turns again to move towards the posterior end
of the animal. The main digestive glands along this posterior portion of the intestine are
the liver (which takes up a considerable amount of space relative to the size of the
animal’s abdomen) as well as the pancreas. The small intestine may loop as few as three
or four more times in this section before coming to its end (Wonderly, 1963). It should
be noted that because the change between the large and small intestine is so
imperceptible, a large body of the literature simply refers to the intestines as a single unit
rather than trying to distinguish between large and small (Kingsbury, 1894). However,
4
�for the purpose of maintaining anatomical terms consistent with those in common use,
this paper will refer to the “small” and “large” intestine.
Figure 1: Anatomy of alimentary canal of the
Necturus (Figure taken from Buffalo.edu, 2019)
The internal structure of the intestines is defined by the large longitudinal folds
in the mucosa that manifest in a zig-zag pattern across the inner surface. When the
intestine is contracted, the folds are very large, and although they shrink when the
intestine is stretched (from the passage of food) they remain clearly visible (Kingsbury,
1894). Kingsbury (1894) also didn’t find villi on the luminal surface of the epithelium,
stating that the folds most likely worked analogously to the villi of mammals, increasing
the surface area over which absorption can take place, and are further comparable to
5
�Kerckring folds in humans (especially in the duodenum). The cellular composition, as
stated before, is largely simple columnar epithelium with goblet cells. The columnar
epithelial cells are the more abundant of the two and vary in shape depending on their
position. Those at the protruding end of the folds and along falling edges are tall and
thin, but those in the depression of the folds are much squatter and broader (Kingsbury,
1894). This difference in height is likely due to the pressure from the existence of
circular cellular aggregates that sit at the base of the intestinal folds and can often be
visualized in mitosis (Bates, 1906).
Figure 2: An accumulation of cells due to a higher than average rate of mitosis within the
cellular aggregate (Figure taken from Dawson, 1927).
Bates (1906) notes that he could not confidently determine the function of these
aggregates, and while he hypothesized that they could be glands, he recognizes the
argument for them being proliferative in function. Bates (1904) also notes the shape of
the epithelium in a bit more detail, relating that the columnar cells do not stand
completely true to their name, but are rather “trapezoid”, as they are wider around the
free end, taper a bit toward the attached end and says this is likely due to the curvature of
the mucosa. These polarized columnar cells are also striped along their free end, with
striations oriented with the long axis of the cell (Bates, 1904). While Bates doesn’t
provide a picture or further description of these stripes, it would be reasonable to
6
�hypothesize that they are created by organelles, specifically by the endoplasmic
reticulum.
The goblet cells are cup-shaped as their name implies and are much less
common than the columnar cells but vary in density depending on the region of the
intestine, increasing towards the cloaca (Kingsbury, 1894). They are long and skinny and
form a sort of tip where they attach to the basement membrane (Bates, 1904). The goblet
cells, like in all species, are required for the secretion of the mucin that lines the intestines
to protect the mucosal epithelium, assist in nutrient abortion, and movement of food.
Like the columnar cells, the goblet cells are polarized. Their nucleus and organelles tend
to be at the base of the cell, creating room for the granules containing mucin at the apical
end, since they will be required for the exocytotic secretion of the mucus (Birchenough,
2015). Connected to the mucosa are the circular cellular aggregates, or crypts, whose
function is still a topic of debate and of this paper.
Figure 3: Drawing highlighting epithelial layer interspersed with goblet cells (Figure
taken from Kingsbury, 1894).
The intestinal Aggregates
The intestinal aggregates have been cause for argument for a long period of time
through many pieces of literature up to the recent time, with positions for their function
mainly including secretory glands, proliferative cellular aggregates for epithelial renewal,
and some researchers even arguing that the aggregates may perform both glandular and
7
�proliferative functions at the same time. The structures of interest sit past the invaginated
fold of the mucosa and appear to extend from it perpendicular to the direction on the
intestine (Mead, 1916). Bates (1904) describes these aggregates as groups of relatively
small cells which lie visually in the submucosa, forming a circular appearance with their
nuclei and soma but appear to be directly connected to the mucosa. Mead (1916) noted
that the distribution of these “protuberances” (as he called them to avoid suggesting a
function he had not yet determined) was unequal throughout the intestines, in that he saw
a steady decline in the number as he moved towards the cloaca, but made no mention as
to what that may mean for the function of these aggregates.
The structure of the protuberances, while maintaining a good deal of variety, had
three main identifiable characteristics. The body, or the portion that sits in the furthest
from the lumen towards the submucosa, consists of the identifiable rounded cellular
structures made from cells that were polygonal in shape, had little cytoplasm, and could
often be seen in mitosis. The neck is a short, constricted portion of the crypt that leads to
the mucosal portion. Lastly, the mucosal portion is the part that extends into the
epithelium. This portion fans out and transitions to the epithelium as the cells move
outward and become elongated and arranged into a crescent shape (Mead, 1916).
Dawson (1927) who later performed further research explicitly noted that that his
findings were extraordinarily similar to those of Mead (1916), and that they even got the
same mitotic index of one to forty-one. He then goes on further to point out that the
mitotic spindles he observed were present only in the protuberances, and that he failed to
find any mitosis in the columnar epithelium that was directly joined with the
protuberances- suggesting that these structures are important for cell renewal. Both
Mead and Dawson failed to find lumen in the aggregate, however this is contested by
other researchers who hypothesized that these aggregates were glands, and specifically by
Kingsbury who declared the existence of a lumen in his 1894 publication.
8
�Figure 4: Depiction of mucosal folds and a cellular aggregate marked by “b” with a
small yet clearly defined lumen (Figure taken from Kingsbury, 1894).
Submucosal Glands
Several researchers argue that these aggregates are glands that connect to the
mucosa to secrete their product into the lumen of the intestine. The first researcher to
suggest this was Hoffman (1878), and though the original paper could not be found, he
was cited by Kingsbury, Dawson, and Mead as having written that he felt the aggregates
were indeed glands, and had observed the ducts through which the product was to be
secreted. Kingsbury (1894) argues that they are glands as well but provides a broader
argument for his position. He says that the cellular aggregates mimic intestinal glands
found in other Amphibia, both in their structure and location. He observes that they
closely resemble the fundic glands of the pylorus- cuboidal shape, nucleus has little
surrounding cytoplasm, and arranged in a circular aggregate. He also notes that it would
be strange from a phylogenic perspective to observe crypts in the Necturus similar to
those in higher Animalia (crypts of Lieberkuhn) that aren’t present in much more closely
related yet higher forms of Amphibia. Kingsbury also notes that while he wasn’t able to
directly observe any ducts, there were several samples where their existence was “quite
well indicated” (pg. 35). The final and most controversial of his findings were the
lumens of the supposed glands, which he illustrates with great clarity in several of his
figures, but which have remained elusive to several of the researchers in the field. There
is one direct argument leveled at Kingsbury’s observation of a lumen. The idea is that
9
�Figure 5: Controversial Kingsbury drawing depicting the existence of a lumen in the
aggregate (Figure taken from Kingsbury, 1894).
the aggregates he saw that displayed lumen were actually mucus folds whose orientation
and representation on the preparation mimicked the structure of the actual cellular
aggregates, tricking him into thinking that he was looking at an aggregate with a lumen
when indeed he was actually observing the lumen of the intestine (Bizzozero, as cited in
Dawson, 1904).
Bates (1904) in his study of the Necturus also hypothesizes the role of the
intestinal aggregates to be glandular. While he cites Kingsbury in his work, he makes the
claim with much less conviction. He says that while the morphology of the aggregates
does lead him to initially believe that they would function as glands, he lacks confidence
due to his inability to demonstrate the existence of a lumen within the aggregate.
Summary
The researchers that support the idea that the aggregates are glandular in
function are Hoffman, Kingsbury, and Bates, who claim that a lumen and duct can be
seen in preparations of these structures, and given what is known about other amphibians
say that the role of crypt for proliferation is unlikely. Mead, Patten, and Nicholas support
the idea that the aggregates are centers of proliferation based on the levels of mitosis
compared to surrounding epithelium and the way in which the cells of these centers
10
�appear to migrate out into the epithelium. Oppel, Bizzozero, Sercedotti, Goldsmith, and
Dawson all support the idea that the aggregates in question perform both glandular and
proliferative functions. The majority of interest appears to be around the beginning of the
1900’s, but one can dissect the work by publication date. The bodies of work supporting
glandular and dual function were published in the late 1800’s through the early 1900’s,
whereas the work supporting the function as proliferative extends into the mid 1900’s.
This trend in publication does support the idea that the aggregates function as crypts
simply because the latter publication not only had the benefit of having previous work to
refer to, but also better technology with which to work before drawing their conclusions.
Having analyzed classical Necturus preparations preserved at my institution of study for
myself, and having read the foundational literature on the topic, I would support the
argument for the aggregates being proliferative in function. The inability of researchers
(even those who supported the glandular argument) to find the glandular lumen as
Kingsbury claimed to, the organization of cells near the aggregates, and the patterns of
mitosis observed (especially when considering the cellular turnover rates seen in the
intestine), all show support that I find cogent enough to reasonably conclude that these
aggregates are sites of proliferation and differentiation for cellular renewal.
References
Bates, G. (1904). The histology of the digestive tract of Amblystoma punctatum. Tufts
University Studies,
Beattie, A. M., Whiles, M. R., & Willink, P. W. (2017). Diets, population structure, and
seasonal activity patterns of mudpuppies (Necturus maculosus) in an urban, Great Lakes
coastal habitat. Journal of Great Lakes Research, 43(1), 132–143.
Birchenough, G., Johansson, M., Gustafsson, J., Bergstrom J and Hansson, G. (2015).
New developments in goblet cell mucus secretion and function. Mucosal Immunology, 8,
712-719.
Dawson, A. (1927). On the role of the so-called intestinal glands of the Necturus with a
note on mucin formation. Transactions of the American Microscopical Society, 46(1), 114.
Herreid, C. (2019). The Mudpuppy. Evolutionary Biology.
http://www.bio200.buffalo.edu
11
�Kingsbury, B. (1894). The histological structure of the enteron of the Necturus
maculatus. American Microscopical Society, 16(1), 19-64.
Mead, H. (1916). On the so-called intestinal glands in Necturus maculatus. Transactions
of the American Microscopical Society, 35(2), 125-130
Safi, R., Vlaeminck-Guillem, V., Duffraisse, M., Seugnet, I., Plateroti, M., Margotat, A.,
Duterque-Coquillaud, M., Crespi, E. J., Denver, R. J., Demeneix, B., & Laudet, V.
(2006). Pedomorphosis revisited: thyroid hormone receptors are functional in Necturus
maculosus. Evolution & Development, 8(3), 284–292.
Wonderly, D. (1963). A comparative study of the gross anatomy of the digestive system
of some north american salamanders. Journal of the Ohio Herpetological Society, 4, 3148.
12
���“I Am A Donor”- A Proposal to Increase
Organ Donation Rates in New York City
Giavanna Marceante (Nursing), Tinatin Shaorshadze (Nursing),
and Ariana Volodarsky (Nursing) 1
Organ donation, though widely accepted, is still a sensitive subject for many as
it is often difficult to comprehend. The process of organ donation is a mentally and
physically challenging phenomenon that involves the entire healthcare team, the patient,
and the family. Though the majority of Americans support organ donation, there is an
incongruity between different regions and their rates of organ donor registrations. New
York City, home to over eight million people (Population - Current and Projected
Populations, 2019), has the lowest organ donation registration in the United States
(Donate Life America, 2018).
Research has shown that people of color and other minority groups have lower
rates of donation than Caucasian populations (Office of Minority Health, 2016). As a
result, it is being suggested that urban cities with greater immigrant populations, like that
of NYC, take an approach that is inclusive to marginalized individuals. With this type of
approach, the falling rates of donor registration could be greatly improved. Given that
NYC is made up of such a diverse population, why is there a major shortage of organ
donors compared to that of other regions? Our solution is the initiation of the “I Am A
Donor” program. This program will aim to raise public awareness at points of contact
with large populations such as schools and hospitals in NYC, in order to increase rates of
organ donation. The program aspires to achieve this by being more culturally, racially,
religiously and gender inclusive in all educational and program materials.
New York City is widely known for being one of the most diverse places in the
world. New York City’s culture is often pinned down to the famous everything bagel, the
St. Patrick’s Day Parade, and Central Park. The true culture that New Yorkers have
created is a culture that welcomes those of all backgrounds with open arms. New York’s
culture is the fruit of the city’s diverse population, and each ethnic group’s adaptation to
New York life. NYC culture cannot be easily defined; it is a melting pot of unique
individuals all working to survive another day in the concrete jungle. This culture of
diversity, inclusion, and adaptation has largely been the product of different ethnicities
1
Written under the direction of Professor Marcantonio and Dr. Korona for NR400:
Nursing Research.
15
�immigrating to NYC. From the Irish migration in the early 1900s, to the Caribbean
migration of the 1980s (Galka, 2017), each immigrant community has changed New
York’s routine.
Many New Yorkers struggle with the same conditions and diseases that
Metropolitan Americans struggle with. According to the Department of Health, in 2016,
the top five causes of death in NYC were heart disease, cancer, unintentional injury,
pneumonia, influenza and stroke. A great contributor to unintentional injuries is
undoubtedly deaths related to motor vehicle accidents. New Yorkers spend an average of
forty minutes traveling to work (U.S. Census Bureau, 2017) and over 45% of households
in NYC own a car (NYCEDC, 2018). Though, the number of deaths related to motor
vehicle accidents continues to decrease (NYC Mayor’s Office, 2019), the number of
unintentional injuries per year has increased over the last ten years (NYS Department of
Health, 2018).
As a response to the above reports, New Yorkers are making a conscious, social
change towards making better lifestyle choices. Whereas there are some modifiable
factors related to heart disease, stroke, and diabetes, the remaining leading causes of
death cannot be resolved with simple lifestyle changes. The growing unintentional injury
category is a concern to both health professionals and the city at large. In response, the
Department of Motor Vehicles enacted the “Vision Zero” initiative, in which changes to
minimize the number of pedestrians killed on the road were made by decreasing city
speed limits, installing speed and red-light traffic cameras, and repairing roads (NYC
Health, 2019).
New York residents have an abundance of resources at their fingertips, always
readily available. From mobile applications that allow patients to video chat with a
doctor, to over 50 hospitals with emergency care clinics, most NYC residents can easily
access healthcare. New Yorkers who are unaware of the resources available to them, can
also call a twenty-four hour helpline for assistance, free of charge (Crisis Services/Mental
Health: Mobile Crisis Teams, 2019).
Despite the advantages of accessible healthcare, the pressing issue of extremely
low rates of organ donor registration in NYC remains. Research has shown a lack in
resources related to organ donation and the promotion of donor registration. While the
topic of organ donation is often neglected due to lack of education, the public often fails
to realize the importance of becoming a registered organ donor (Feeley et al., 2009).
Individuals are generally unaware of the exacerbations that can follow with acute medical
conditions, which can subsequently lead to the need for an organ transplant. The number
of cases of diabetes, cardiovascular disease and strokes have steadily increased in recent
16
�years (Thorp, Owen, Neuhaus, & Dunstan, 2011). According to the article by Gabriella
Rusk (2015), New York Ranks Last in Number of Organ Donors, “On average, eighteen
people die everyday waiting on an organ transplant. In New York, someone dies every
eighteen hours.” This extreme shortage in organ donation has directly resulted in the
growing number of fatalities, especially when compared to neighboring states.
In New Jersey, 31% of residents are registered organ donors, compared to the
15% of New York Residents (Need an Organ Transplant? Don't Count on New York,
2011). Despite the technological advancements of today's society, online applications for
organ donation registration were not made available to New Yorkers until 2017 (The
State University of New York, 2017). Additionally, the Motor Vehicle Commission of
New Jersey encourages individuals to register for organ donation, whereas the New York
State DMV does not (Need an Organ Transplant? Don't Count on New York, 2011).
Currently in NYC, there are eight hospitals considered Transplant Centers; NY
Presbyterian Hospital/Columbia University Medical Center, New York University
Medical Center, Montefiore Medical Center, Mount Sinai Medical Center, James J.
Peters VA Medical Center, NY Presbyterian Hospital/Weill Cornell Medical Center, and
State University of New York – Downstate Medical Center, and St. Luke’s Roosevelt
Hospital Center (Transplant Center Search Results, n.d.). Though there are only eight
Transplant Centers, there are currently 66 hospitals in New York City (Hospitals by
Region/County and Service, n.d.)
Overall, New York has the third lowest rate of organ donation in the country and
yet, the third highest number of citizens currently waiting to receive an organ transplant
(Need an Organ Transplant? Don't Count on New York, 2011). An average of 22 people
die every day in the United States while waiting for an organ transplant.
Juxtapositionally, the U.S. Department of Health & Human Services states, “Tissue
donated by one person can positively affect the lives of more than 50 other people”
(Governor Cuomo Announces Over 5.6 Million New Yorkers Enrolled in State's Donate
Life Registry as Organ Donors, 2019). This implies that all 22 people who die everyday
for an organ, could have been helped with one tissue donation.
From a global perspective, Spain is currently the leader in organ donation rates,
standing at 35.5 donors per million residents, compared to that of New York; 26 donors
per million residents. In Spain, individuals are automatically considered registered
donors, and have the option to opt-out (Miller, 2014). Austria follows the same opt-out
method as Spain ('Opt Out' Policies Increase Organ Donation, n.d.), along with Croatia
and Belgium, resulting in a substantial increase in donation rates in these countries,
contrary to the United States, where the opt-in method is used (Miller, 2014).
17
�The issue of organ donation cannot be addressed without including marginalized
populations in the discussion. In the article, A Peer-to-Peer Campaign to Promote Organ
Donation Among Racially Diverse College Students in New York City states:
Studies have documented reduced rates of organ donor registration among
African Americans, and Asian Americans, as compared to Caucasians.
Similarly, Hispanics have shown lower overall willingness to donate organs at
the time of death as compared to their European American counterparts. (Feeley
et al., 2009)
This may indicate that the current lack of organ donors may be partially attributed to the
lack of inclusivity and education within the healthcare system. Multiple studies have been
conducted and revealed that minority families were less likely than Caucasians to provide
consent for organ donation at the time of death (Feeley et al., 2009).
Additional barriers to organ donation include lack of education, lack of
knowledge regarding transplantation and cultural incompetency. “Medical Mistrust” has
also been determined to be a substantial barrier to organ donation. The term Medical
Mistrust refers to the tendency of distrusting the medical system that is represented by the
dominant culture. In regards to organ donation, minorities have expressed that the organ
distribution system is unethical and biased, further deterring these populations from
becoming registered donors (Feeley et al., 2009). As per Perez et al. (1988), “It has been
suggested that areas with large inner-city Black and Latino populations have worse organ
donation rates than those with large suburban and rural white populations.” This further
supports the claim that minorities are not presented with the same opportunities in regard
to organ donation as compared to other races.
Various studies have identified the lack of knowledge amongst healthcare
providers concerning organ donation such as brain death, transplant waiting lists and
organ transplant procedures (Feeley, Anker, Soriano, & Friedman, 2010). This implies
that said healthcare professionals are unequipped with the tools necessary to properly
educate their patients, which all relays back to the lack of knowledge that patients and
family members receive on this topic. The following study confirms that lack of
education directly correlates to lack of donor registration. As per Feeley et al. (2010):
Approximately 9% of [medical] students incorrectly described what would
happen in the case of a blank donation statement on the health care proxy form.
Rather than recognizing that donation decisions defer to next of kin in the event
of a blank form, patients were often incorrectly informed their organs would not
be recovered.
18
�This further supports that students and healthcare professionals are unaware of what
would normally be considered a standard hospital policy, therefore, hindering students’
ability to promote organ donation.
A general lack of awareness regarding transplantation amongst New Yorkers
also contributes to the depleted rates of donation. An enlightening study run by Sander &
Miller (2005), found that the majority of patients stated that they had been exposed to the
topic of organ donation from the DMV, rather than their primary care physician. In that
same study, “89% of participants stated they would be more comfortable discussing
matters regarding organ donation with their primary physician than with a government
employee” (Sander & Miller, 2005). If patients are not continuously and thoroughly
educated on organ donation, they are unable to properly make the decision to become a
donor.
In order to improve the current status of New York's plummeting organ donation
rates, the pinnacles of the healthcare team must initiate a change in donor awareness
programs. Though many programs include organ donation in their curriculum, a
significant number of schools failed to provide information regarding the exact process of
organ donation, including consent forms and discussing organ donation at regular wellvisits (Anker, Feeley, Friedman, & Kruegler, 2009). Healthcare professionals play a vital
role in increasing the amount of organ donors within the community. Healthcare workers
must be properly trained and prepared to answer questions from families, other healthcare
team members and patients themselves (Anker et al., 2009). Based on the evidence, when
healthcare professionals are adequately trained to debunk myths, patients and families are
more likely to provide consent.
Educating healthcare students may positively influence donor rates, as many
families decline due to myths that surround organ donation. With the proper education,
healthcare professionals would be prepared to address families’ concerns, directly after
entering the field. It has been reported that a common misconception of organ donation
concerns the funeral arrangements following the death of the patient. Families often
believe that their loved one will not be able to have an open-casket funeral if they consent
for donation (Organ Donation Myths, Debunked – Penn Medicine, 2019). On the
contrary, “Organ and tissue donation doesn't interfere with having an open-casket
funeral” (Organ Donation Myths, Debunked – Penn Medicine, 2019). Families should be
educated that throughout the donation and harvesting process, the body is treated with the
utmost respect and care.
Another major concern individuals have reported as being a deterrent from
becoming a registered donor, is that they will not receive the best possible care for their
19
�health issues; doctors and healthcare team members will not do everything in their power
to save their life (Organ Donation Myths, Debunked – Penn Medicine, 2019). This is the
primary reason that individuals will decline becoming a donor on their license form.
However, according to the Gift of Life Donor Program, “An individual must be in a
hospital, on a ventilator and pronounced brain dead in order to donate organs” (Organ
Donation Myths, Debunked – Penn Medicine, 2019). In actuality, the transplant team is
notified when all life-saving efforts have failed (Organ Donation Myths, Debunked –
Penn Medicine, 2019).
When healthcare professionals are able to accurately inform their patients, it
builds rapport and trust between the patient, family and provider, further increasing the
likelihood of donation and/or registration. Receiving this health education on a regular
and repeated basis has been shown to raise awareness and knowledge of the
transplantation process as well as the registration process (Feeley et al., 2010). While the
public often focuses on the care provided by their physicians, the art of nursing lies
untapped. A major responsibility belonging to nurses is the continuous educating of
patients, providing resources, and evaluating that education with return demonstration. In
a 2019 poll, “Nurses were again ranked the most-trusted profession in the United States
for the 20th year” (Stone, 2019). Nurses should be trained to address the sensitive and
complex topic of organ donation. Nurses provide their patients and the public with trusted
health education. This relationship provides the perfect opportunity to open up
discussions about organ donation.
Nurses are entirely responsible for the safety and well-being of their patients and
consistently collaborate with all members of the healthcare team, including the patient
and family, to provide the best possible plan of care. By including nurses in the solution
to depleted organ donor rates, there is a huge opportunity for increased education to the
public. When applying this theory to practice, it ensures that care is family and patient
focused and includes cultural competency; an important aspect of healthcare. This is
further supported by Anker et al. (2009), “Both medical and nursing students have been
documented as having generally positive attitudes toward donation…Unfortunately, such
positive attitudes toward donation have generally been accompanied by low levels of
knowledge on the topic.” The combination of positive attitudes amongst nurses and an
increase in education in nursing schools, will undoubtedly result in a better overall patient
experience regarding organ donation.
Currently, the task of increasing donor rates falls not only on undergraduate
medical programs, but in-hospital programs that would continue to raise awareness and
provide teaching to patients and employees. By initiating a program that includes
20
�Hendersen’s principles of patient and family focused care, we can ensure that the
message will reach as many community members as possible. With the initiation of our
“I Am A Donor” program, we aim to increase awareness and increase public knowledge
by debunking myths that surround organ donation. Nurses, providers, and all healthcare
workers should be active members of the program in order to share their learned
information with patients and the community at large. Monthly meetings located on
hospital premises will be held, where participants may analyze the current status of organ
donor rates and discuss tactics to improve them. Promotional posters will be distributed
by hospital volunteers throughout medical settings, as well as the community, that depict
New Yorkers of every age, ethnicity, and body type. This alone will raise awareness with
four simple words; “I Am A Donor.” By including marginalized populations in our
promotional advertisements, these groups may feel seen, heard, and represented in the
healthcare system, further promoting registration. It is imperative that the “I Am A
Donor” program is made inclusive to all socioeconomic classes, ethnicities, genders,
sexual orientations, and to the mentally and physically disabled.
Appointed at the head of the program will be a group of culturally competent
organ transplant specialists who are qualified to educate the members of “I Am A
Donor.” All members of the healthcare team will be encouraged to get involved in the
program, which will grant them the tools they need to properly educate their patients.
Guaranteeing culturally competent care will improve the rates of donor registration
amongst minority populations within the community, and will break down barriers
caused by medical mistrust. Our program is unique in that the focus is on inclusivity. If
populations like the disabled and elderly knew that they are fully capable of becoming
registered donors, perhaps they would consider saving a life.
The long-term goal for New York City’s community is increased access to
accurate information, inclusive education, and an overall increase in organ registration
rates. The learning objectives for our proposed program for the NYC population are as
follows:
� NYC Healthcare workers will be prepared to discuss the topic of organ
donation with their patients, the community, and other healthcare
professionals by receiving proper training and education through the “I Am
A Donor” program.
� The population will be provided with resources such as posters and
informative pamphlets that are culturally inclusive and will provide accurate
information regarding organ donation.
21
�� The public will be able to accurately identify the myths of organ donation
and rebuke them with newly gained information.
Evidently, the topic of organ donation is a complex and grey area of the
healthcare field. New York City is currently presented with the life-threatening issue of
extremely low donor rates. While NYC is flourishing in culture, media, and technology,
the city is lacking in a critical area of the healthcare system. With the initiation of the “I
Am A Donor” program, along with in-school education programs targeting medical
professions, New York City has the potential to exponentially improve the current
epidemic.
References
Anker AE, Feeley TH, Friedman E, & Kruegler J. (2009). Teaching organ and tissue
donation in medical and nursing education: a needs assessment. Progress in
Transplantation, 19(4), 343–348. Retrieved from http://search.ebscohost.com/
login.aspx?direct=true&db=c8h&AN=105259678&site=eds-live
Coudriet, C. (2019, March 11). Richest Cities in The World: The Top 10 Cities With The
Most Billionaires. Retrieved from https://www.forbes.com/sites/cartercoudriet/2019/03/
07/richest-cities-in-the-world-the-top-10-cities-with-the-mostbillionaires/#5456e8642ea8.
Crisis Services/Mental Health: Mobile Crisis Teams. (2019). Retrieved from
https://www1.nyc.gov/site/doh/health/health-topics/crisis-emergency-services-mobilecrisis-teams.page.
Donate Life America. (2018). Retrieved from https://www.donatelife.net/wp-content/
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217
25
�Environmental Investment in the ACA’s
Preventative Public Health Initiatives
Gabriella Walker (Government & Politics) 1
The Patient Protection and Affordable Care Act of 2010 (ACA) seeks to reform the
United States health care system. Though its efforts are expansive, its success has been
disputed. We predict that by using funding allocated to the Prevention and Public Health
Fund to increase community environmental infrastructure, sustainable mitigation of
leading chronic illnesses may be accomplished. We compiled raw data from the Center
for Disease Control and Prevention and local government statistics to evaluate such
theories in Philadelphia, Pennsylvania. This data was compared to scholarly sources
dedicated to the intersection of public and environmental health to determine efficiency
of both public and private funding utilization within the city. Based on these findings, we
found that green initiatives may parallel decreased chronic disease on a community level.
Environmental Investment in the ACA’s Preventative Public Health Initiatives
The Patient Protection and Affordable Care Act of 2010 (ACA) has a goal that is
trifold; this includes expanding coverage and reforming the individual health insurance
market, slowing health care spending and securing a sustainable rate, and improving the
quality of clinical care (Wilensky, 2015, para. 1). Under Section 4002, the Prevention and
Public Health Fund (PPHF) was established as a mechanism to fulfill these promises. The
PPHF was created as the “nation’s first mandatory funding stream dedicated to improving
our nation’s public health system” (Center for Disease Control and Prevention [CDC],
2018, para. 1). Funded through the Department of Health and Human Services (HHS),
the appropriation has focused on evidence-based activities, community and clinical
prevention initiatives, public education, immunizations, screenings, tobacco prevention,
and public health infrastructure (Department of Health and Human Services [HHS],
2012). Ideally, the PPHF would operate as a health care safety net, slowing spending via
early detection at the benefit of both the individual and the system. Not only would this
prevent deaths but minimize cost of care and treatment.
The ACA is modeled to prioritize American health, as a majority of the
country’s top causes of death can be prevented by implementing public health
1
Written under the direction of Dr. Abraham Unger for GOV211: Public Administration.
26
�interventions. Supplying such expansive preventative measures has high demand within
the American market. PPHF services promised to help up to half of the American
population who are statistically impacted by chronic diseases and their underlying causes.
Accounting for 70 percent of deaths and 75 percent of healthcare spending, the PPHF
targeted the largest proponents of medical disparities. Racial and ethnic minority
communities, as well as children, were identified to be particularly vulnerable groups to
such disparities. They experience higher rates of obesity, diabetes, HIV/AIDS, and
cancer. Therefore, by expanding and sustaining early detection and necessary public
health infrastructure on the state and community level, the country’s most impacted
populations would be supported (HHS, 2012, pp. 1-2).
The PPHF, while disputed within Congress, has shown success (House of
Representatives, 2011). Despite triumphs, the ACA has not decreased health care
spending. In fact, the U.S. spent nearly double as much on health care in 2018 as any of
the 36 Organisation for Economic Co-operation and Development (OECD) countries
(Roosa & Abhrams, 2020). Subsequent to the Obama administration, the ACA’s multibillion-dollar allotment did shrink. In fiscal year 2016, PPHF received $932 million, a
reduction from its original $1 billion (HHS, 2012). In contrast, the Trump administration
proposed a $824 million budget for the PPHF in fiscal year 2020, $20 million greater
than the previous year (CDC, 2019, p.3).
Uneven distribution of success within the ACA proves necessity for
reevaluation. While the PPHF focuses most closely on improving quality and access to
care, we argue that a more calculated approach could classify the fund as a stakeholder in
reducing spending and chronic disease altogether. The COVID-19 pandemic proved that
funding within the public health force is a necessity; this is not contested. However, while
measures taken to ensure the early detection and prevention of specified diseases may be
beneficial, such efforts cannot forgo preceding care or public initiatives.
One way that this may be achieved is by the expansion of the PPHF’s
commitment to transforming the common denominators in high-risk communities
through programs like Community Transformation Grants (CTG). The CTG aimed for
maximum outreach, being awarded to agencies or community-based organizations with
the capacity to develop public health over a five-year period (42 U.S. § 300u–13). Use of
funding was largely at the discretion of the awardee, with little restrictions outside of
encouragement to “implement broad, sustainable strategies to reduce health disparities
and expand clinical and community preventive services” (CDC, 2012, p.9; Lister, 2017).
In turn, many CTG initiatives operated with a focus on creating education programs and
expanding care capacity to address potential health threats and treating those already
27
�affected (HHS, 2012). Many CTG programs have shown positive results. However,
instigating proactive change rather than simply responding to the common factors of the
top causes of death can optimize the success of the ACA. This would offer substantial
strides towards slowing health care spending and securing a sustainable rate.
In order to slow spending, expand coverage, and improve care, we suggest that
the administration encourages the HHS to consider natural environmental health as a
variable within the national public health system. As research has shown a significant
relationship between the green spaces and public health, this paper evaluates their
respective impact on communities within Philadelphia, comparing this to the usage and
efficiency of PPHF funding within the city. Attempts to eradicate American health care
disparities on a national level must seek to identify and respond to risk factors that
perpetuate such diseases. Necessary reevaluation of the Patient Protection and Affordable
Care Act demands classification of environmental investment as a form of public health
investment in order to achieve its goals.
Literature Review
Green Public Health
To best understand the ways in which green space may stimulate health, there
have been interdisciplinary investigations dedicated to expanding the subject area. Until
the recent decade, “research has focused mainly on showing the relation between
exposure to green environments and wellbeing. There are only a few epidemiological
studies on the relation between nature and health” (Maas et al., 2006, p. 587). The
reconstruction of this topic began by recognizing the historical links between urban
planning and public health as a tool to both promote wellbeing and prevent illness
(Rideout et al., 2016).
Rideout, et al. (2016) used British Columbia and New York City to model
environmental health and public health, evaluating the role of environmental public
health (EPH) professionals locally, and how it may be expanded internationally to
promote healthy lifestyles. As defined by the American Public Health Association, EPH
work to advance both policies and programs that reduce harmful exposure, protect the
population, and provide a healthier environment within communities (American Public
Health Association [APHA], 2020).
Initiatives in both British Columbia and New York City were classified as
successful. The Canadian AirCare vehicle emission control program showed substantial
decreases in cardiovascular-related hospital admissions and traffic pollution. Likewise,
public smoking bans throughout North America have lowered exposure to environmental
tobacco smoke. By engaging the community in what Rideout et al. (2016) refer to as
28
�‘big-picture interventions,’ “healthy behaviours not just an easier choice, but the default
choice” (p.127). This evolving co-dependency between environment and health was once
used to be strictly preventative, which both cities proved impactful. However, scholars
have also acknowledged its enriching potential for community development.
Socioeconomic Variables
While Rideout et al. (2016) suggests that EPH initiatives and programs are key,
closely paralleling the incentive of the ACA, there are hurdles that many populations face
with such community initiatives. For example, non-Hispanic white Americans have been
proven to benefit disproportionately from air quality, despite their higher rates of
consumption. Fine particulate matter exposure is a major health risk factor, responsible
for 63% of deaths from environmental causes and 3% all deaths. This exposure is
distributed inequitably among various demographics, primarily due to location of
residence (Tessum et al., 2019).
Data showed that black Americans are exposed to 21% more pollution than the
rest of the population, despite their consumption causing 23% less exposure than the
average. Hispanics are exposed to 12% more than average but cause 31% less exposure
than the average. White Americans, however, are exposed to 7% less while their
consumption causes 21% more exposure (Tessum et al., 2019). Therefore, “Blacks and
Hispanics on average bear a “pollution burden” of 56% and 63% excess exposure,
respectively, relative to the exposure caused by their consumption” (p.6002).
Environmental socioeconomic inequalities are not exclusive to the United
States, nor are their impacts on public health (Hajat, 2015; Bentley, 2015). Research on
the socioeconomic relationship between surrounding green environments and life
expectancy has been done internationally. Within the Netherlands, Jonker et al. (2014)
collected data from 1190 neighborhoods, measuring “the quantity of green as well as the
perceived quality and average distance to public green” (p.1002). These figures were then
compared to the healthy life expectancy (HLE) and life expectancy (LE) of each
neighborhood.
Socioeconomic status within each neighborhood showed differences between
LE in the highest and lowest earners to be 2.5-3 years; the HLE range is 7.5-8.5 years.
Despite this, the percentage of green space is only interpreted to be statistically
significant to LE. One additional square diameter in the percentage of urban green space
yields an increase of 0.10-0.14 years. In contrast, the quality of green space showed an
increased 0.28-0.29-year LE and 0.26-0.33-year HLE. Based on their data, Jonker et al.
29
�(2014) suggest that “not only the quantity but also the quality of urban green should be
considered in future interventions” (p.1002).
Additional studies within the Netherlands came to similar conclusions. The
Netherlands Institute for Health Services Research asked 250,782 residents with 104
general practices to fill out a self-administered form on sociodemographic background,
economic status, and perceived general health. Maas et al. (2006) found that the most
apparent link between green space and perceived health was seen in the elderly,
housewives, and residents of lower socioeconomic status. To account for urbanization,
the study also measured the influence green space had when compared to urbanity, as
“more people face the prospect of living in residential environments with fewer green
resources” (p. 587). While data showed that urbanity also impacted perceived health,
green space was a more impactful variable. In fact, all green space was shown to
contribute to health at all levels of urbanity. This also determined that the size of green
space also contributed to the perceived health of residents (Maas et al., 2006).
The relationship between quality and size of green space in relation to public
health has been explored within the United States by The Trust for Public Land (2016),
environmental nonprofit. Data collected on heat mitigation and emissions reduction
showed that, while air conditioning is the principle for reducing heat exposure, it is far
from sustainable. Chiefly, it disregards the “energy consumption for cooling and is
directly associated with greenhouse gas emissions such as carbon dioxide” (p. 8). In order
to offer long term solutions, the Trust has begun to recommend green infrastructure,
primarily including park tree preservation, as older trees have been proven to cool
temperatures, reduce air pollution, and manage stormwater.
While this would most directly benefit the immediate area, further research
(Trust for Public Land, 2020) explored evapotranspiration, “the phenomenon by which
trees pull moisture from the soil and release it through leaves” cooling the air anywhere
from two to nine degrees Fahrenheit (pp. 5-6). This means that even surrounding
neighborhoods are influenced by the presence of trees. However, the size of the park
remains the largest variable. In agreement with Jonker et al. (2014) and Maas et al.
(2006): “The tiny neighborhood park or pocket park will have some benefits, but they are
going to be a lot less significant than those larger, high-quality parks” (Trust for Public
Land, 2020, p. 6).
As paralleled by previous scholars, the quality and quantity of green resources is
often not equitable. Data shows that one in three Americans do not have a park within a
ten-minute walking distance. Moreover, the size of public parks is disproportionate, with
parks that serve nonwhite communities being half the size of those serving majority-
30
�white communities – on average, 45 acres compared to 87 acres (Trust for Public Land,
2020). Both direct and indirect mechanism, such as health and income, influence the
favorability of one’s chosen environment, and their access to these spaces thereafter
(Maas et al., 2006). Data that shows “consistency of greater temperature in formerly
redlined areas across the vast majority (94%) of the cities included in this study indicates
that current maps of intra-urban heat echo the legacy of past planning policies” reiterates
historical relevance (Hoffman et al., 2020, p. 9).
While their research areas are expansive, Hoffman et al. (2020), Tessum et al.
(2019), and the Trust for Public Land (2020) all collectively distinguish lower air quality,
higher temperatures, and green space coinciding with one another. As lower air quality
has often been found to be synonymous with socioeconomic status, all factors intersect
within the arenas of green space and community health. This research seeks to fill the
lack of literature concerning the relationship between environmental public health and
preventative care within the American health care system through the Prevention and
Public Health Fund of the Affordable Care Act.
Case Study: Philadelphia, Pennsylvania
In order to evaluate what benefits environmental investments yield in public
health, we have identified the impacts of sustainable action in Philadelphia. One example
looks at ACA-granted funding and its use; the other looks at community-initiated
projects.
Community Transformation Grant Usage
In 2011, the PPHF rewarded Philadelphia Department of Health Services a CTG
of $1,547,297. This grant, in the form of an implementation award, “helps communities
plan and carry out proven programs and strategies” (CDC, 2015). Concern for local
dietary health raised a “citywide healthy corner store effort that came about when school
leadership expressed concerns that healthy food policies in schools might drive students
to purchase less healthy snacks at nearby corner stores” (CDC, 2013). The movement
quickly grew from 10 to 600 participating corner stores in low-income Philadelphia
(2013).
From 2011 to 2013, adult obesity in Philadelphia declined slowly from 30% to
29%. Although a 4% increase was seen in 2014, numbers dropped back to 27% and 28%
in 2015 and 2016, respectively (City of Philadelphia Department of Public Health
[PDPH], 2018, p.8). While data suggests that the rate of childhood obesity was shrinking
regardless, the impact of the corner store initiative is not minimized (Robbins et al.,
31
�2015). This hypothesis is backed by the rapid increase in adult obesity rates to 35% in
2017, when funds were reduced, and is worsening (PDPH, 2018). However, the percent
of adults and teens drinking one or more sweetened beverages daily has continued to
decrease steadily from 31.1% in 2007 to 17.6% in 2017 of teens, and 37.4% in 2010 to
31.6% in 2015 in adults. This is not likely a direct link to the corner store initiative, but
rather the Philadelphia Beverage Tax implemented in 2017 echoed by the most drastic
decrease of 4% in teens compared of the following year (p.28).
Community Initiatives
Despite fiscal redistribution, the city’s Office of Sustainability (OOS) has
powered an environmental initiative, Greenworks Philadelphia. Greenworks has 8
visions: accessible food and drinking water, healthy outdoor and indoor air, clean and
efficient energy, climate-prepared and carbon-neutral communities, quality natural
resources, accessible, affordable, and safe transportation, zero waste, and engaged
students, stewards, and workers (“Office of Sustainability,” n.d.). Since its formulation in
2009, Greenworks has reported improved air quality, diverted 70% of solid waste from
landfills, managed stormwater, and reduced vehicle miles traveled by 10% (Greenworks
Philadelphia, 2015). More recently, the city announced plans to increase the tree canopy
in 2014. By 2025, the city hopes to have 30% of each neighborhood covered by trees.
While a study published in the Lancet Planetary Health journal indicated the impact
Greenworks’ tree canopy could have on the city’s mortality rate, we sought to identify
other statistical factors related to the initiative (Kondo et al., 2020).
Using the Philadelphia Department of Public Health statistics (2018), we
discovered childhood asthma hospitalizations decreased between 2012 and 2014 a
significant amount – 97.1 to 71 per 100,000. Figures continued to drop until 2016,
settling at 58.8 per 100,000. Black and Hispanic children are disproportionately
represented, with hospitalizations for 74.8 per 100,000 and 67.8 per 100,000,
respectively. This is five to six times higher than non-Hispanic white and Asian children
(PDPH, 2018, p.9).
While population contributes greatly to hospitalization numbers, a clear
relationship can be seen between childhood asthma hospitalizations and the tree canopy.
Figure 1 shows tree coverage in Philadelphia in 2014; comparison to figure 2 shows areas
with little coverage as asthma hospitalization hot spots. To account for density, reference
Figure 3 for the under-18 population. More recent data of the canopy and hospitalizations
32
�is shown in Figure 4 and Figure 5. Hospitalization statistics dropped drastically, changing
incremental percentages used between Figure 2 and Figure 5.
Some zip codes that experienced greater tree coverage, as represented figure 6,
also experienced lower childhood asthma hospitalizations. Finally, figure 7 references
poverty-filled areas. By evaluating this data, we see that densely populated areas with
high concentrations of poverty saw a decrease of childhood asthma hospitalizations with
increased tree coverage. As canopy coverage increased more prominently in low-income
areas, data is inconclusive on the impacts it may have had on the health of affluent
children.
Figure 1: Tree Canopy Cover by Census Tract, 2014
From “Health impact assessment of Philadelphia’s 2025 tree canopy cover goals,” by Kondo et al.,
2015, Lancet Planet Health, 4, p.151.
33
�Figure 2: Asthma Hospitalizations per 10,000 Children from 2012-2014
From “2016 Community Health Assessment (CHA) Philadelphia, PA,” by Philadelphia Department
of Public Health’s Health Care Cost Containment Council, 2016, p.125.
Figure 3: Childhood Population Density, 2016
34
�Figure 4: Existing Tree Canopy by Zip Code, 2018
From “Tree canopy assessment,” by Jarlath O'Neil-Dunne, 2019, p.9
Figure 5: Asthma Hospitalizations per 100,000 Children from 2016-2018
From “Philadelphia’s community health assessment: health of the city,” by Philadelphia
Department of Public Health, 2019, p.11.
35
�Figure 6: Tree Canopy Change by Zip Code, 2018
From “Tree Canopy Assessment,” by Jarlath O'Neil-Dunne, 2019, p.9.
36
�Figure 7: Poverty Concentration, 2012-2016
From “Philadelphia’s poor: experiences from below the poverty line,” by PEW Research
Center, 2018.
Discussion
Socioeconomic status and lack of natural, green space have historically been
closely related. This phenomenon of environmental inequality is seldom identified within
the public health sector. While the Affordable Care Act had intentions to mitigate health
disparities through chiefly medical examination, education, and care, the PPHF fell short
37
�of its potential. As seen in Philadelphia, environmental initiatives offer great returns on
investment.
The Obama administration’s approach to limit health care spending relied
heavily on consistent execution and enforcement. Obtaining prospective multilateral
solutions was within reach, as the ACA implemented field research, prevention strategies,
and health tracking (CDC, 2019). The objective to “manage conditions before they
become severe” is not foundationally impactful (CDC, 2012). Even so, saving in hopes of
decreasing health care spending through such measures would unlikely equate to the
savings of green infrastructure. In 2017, Pennsylvania urban forestry programs spent
approximately $5.21 per person on urban green management. The Philadelphia public
health department spent approximately $84.10 per person (Kondo et al., 2020).
Environmental benefit is not idealistic, either. A study from the National Institute of
Health monetized the worth of green infrastructure: “. . .total air pollution removal by
urban trees and shrubs across 55 U.S. cities at 711,000 metric tons, estimating the
removal value at $3.8 billion in annual public value” (Wolf & Robbins, 2015, p. 392).
Philadelphia’s tree canopy is just one example of the endless possibilities of
urban green development and infrastructure. Studying Australia’s urban green landscape,
Michael Bentley (2015) stated that a community’s physical and social resources form a
framework of systems and processes that influence every level of livability. Philadelphia
has proven that great possibilities can come from a broadened scope for environmental
health:
1) Create BEs with fewer acute health hazards, decreasing the need for
conventional health protection
2) Impact a wider range of population-wide behaviors needed to prevent and
control the current chronic disease epidemics, thus realizing multiple health
benefits with modest resource additions
3) Increase access to resources for EPH through collaboration (Rideout et al.,
2016, p. 127).
The ACA has shown its ability to have positively impacted American health
care through care regulation and insurance distribution. However, to truly rehabilitate the
system, environmental investment must be seen as a tangible option within its approaches
to preventative health. EPH practitioners could realistically operationalize their skills
through inspections, oversight of land use planning, health hazard legislation, and
collaboration and advocacy (Rideout et al., 2016). In doing so, they may establish many
high-quality green initiatives, further contributing to the betterment of community health
(Jonkers et al., 2014; Maas et al., 2006).
38
�Mobilization of public administration via health care reform holds a great deal
of salience, which has recently been highlighted amidst the COVID-19 pandemic.
Evidence from Harvard University stated that “people who live in places with poor air
quality are more likely to die from COVID-19 even when accounting for other factors
that may influence risk of death such as pre-existing medical conditions, socioeconomic
status, and access to healthcare” (Wu et al., 2020). Across continents, the most
disadvantaged populations suffer from greater health disparities, especially chronic
illnesses and treatable diseases (Tessum et al., 2019; Bentley, 2015). Separating the
socioeconomic factors that influence public and environmental health is neither a realistic
nor sustainable approach to change. These issues must be amalgamated.
Conclusion
Environmental investment is the future of slowing health care spending.
Inequality between various socioeconomic statuses and racial groups have created
chasms of uninsured Americans. By exploring the untapped potential of green
infrastructure, the Patient Protection and Affordable Care Act of 2010 can be upheld to
achieve its full potential.
As demonstrated in the international community, access and quality to green
spaces is correlated to life expectancy and general health. Philadelphia’s Greenworks
project proved that the same is true within the United States. While transcontinental
comparisons do present numerous variables, it is incontestable that no population is
immune to environmental impact (Hajat et al., 2015). Data from across the globe proves
the consistency among green accessibility and public health. Close examination of the
effects of tree coverage, proven to serve as a multifaceted solution within urban natural
environments (Kondo et al., 2020), offered insight on the symbiotic relationship between
citizens and their green surroundings within a single community.
Studies found that the most apparent link between green space and perceived
health was seen in the elderly, housewives, and residents of lower socioeconomic status
(Maas et al., 2006). This was consistent in Philadelphia. As outlined by the ACA, highrisk populations present the highest demand of preventative services due to a lack of
accessibility (CDC, 2012). In the age of the Coronavirus and climate change surfacing as
two political priorities, environmental investment can assist in an equitable and
sustainable transformation of the American health care system.
In order to execute these improvements, we recommend reevaluation of the
PPHF’s fund distribution to incentivize long lasting green infrastructure. Such evolutions
are not likely to require extensive change, as the necessary preventative measures have
39
�been at the discretion of CTG awardees. While CTGs were formulated to carry out local
programs to prevent top chronic diseases, we encourage more specified coordination with
local governments and organizations. Additionally, we suggest reviewing historical
health records in geographic areas with majority marginalized groups in order to identify
the specific locations with high-risk populations that are in need of environmental
infrastructure, which can be made evident by this data. Expanding funds allocated for
these areas with the intent to mitigate the common denominators among prominent
diseases is the only ensured sustainable reform is attained through the ACA.
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43
��The Impacts of Gender on Women in High-Level Leadership
Joellen How (Business Administration)1
Gender is a social construct referring to the characteristics of men, women, boys, and girls.
This social dimension includes social norms, behaviors, and roles connected with being a
woman, man, girl, or boy, and impacts how one interacts with peers and forms relationships.
This idea created by society has negatively affected both males and females limiting them
to the socially acceptable behaviors of their gender. Despite decades of apparent equality in
the workplace, women are still underrepresented in senior management and leadership
positions throughout the world. This article examines how gender impacts leadership in
terms of transformational and transactional leadership styles and how gender roles and
culture have affected women seeking high-level leadership positions.
I. Introduction
For many centuries now, gender roles have played a huge part in society limiting
opportunities for both genders. Due to these gender roles being heavily and sometimes
unknowingly ingrained in us by society, leadership has primarily been a male prerogative
in political, corporate, military, and many other sectors of the world (Eagly and Karau
2002). With that being said, more and more women are entering middle management and
other lower-level leadership roles, with women making up 46% of managers and
administrators in the United States (U.S. Bureau of Labor Statistics, 2002). However, in
high-level leadership roles, women remain a rarity, with females accounting for 7.4% of
Fortune 500 CEOs (The Number of Women Running Fortune 500 Companies Hits an AllTime Record, n.d.). This is surprising as in all OECD countries young women are
proportionally more educated than their male counterparts. Because of this, public and
scientific discussion has focused on the idea of “the glass ceiling”. The glass ceiling
phenomenon is an unacknowledged barrier to advancement in a profession, specifically
affecting women and other minorities (Eagly and Karau, 2002). Previously, explanations
for this inadequate representation of women in higher-level leadership positions
traditionally has focused on the idea that women aren’t qualified for these positions, or
that women are obligated to stay at home or take time off work for family responsibilities.
However, when you look at the facts on average, across OECD countries, “about 32% of
1
Written under the direction of Dr. Shani Carter in partial fulfillment of the Senior Program
requirements.
45
�45-54 year-old men and almost 36% of 45-54 year-old women hold a tertiary
qualification. For 25-34 year-olds, these rates increase to 39% and 51%, respectively”
(OECD, n.d). So, if more women are qualified than men and more and more women are
choosing to work, rather than stay at home, how can this be a valid reason as to why men
control these positions. Because of this data, it is vital to evaluate whether gender bias is
one of the reasons why we lack female representation in elite leadership positions.
II. Literature review
Gender Socialization
Socialization is the process of transferring norms, values, beliefs, and behaviors
to group members. Therefore, gender socialization is the process by which individuals are
informed about the social norms, values, and beliefs of males and females and are taught
how to socially behave according to their assigned gender (Chattopadhyay, 2017). In
many cultures, gender socialization begins from the moment we are born and is
normalized throughout our entire lives. Baby girls are identified with the color pink and
baby boys are identified with the color blue. This so-called gender socialization continues
throughout childhood, where boys are given cars and trucks to play with, and girls are
given dolls and kitchenware (Chattopadhyay, 2017). When growing up, girls are
encouraged by their families and society to acquire feminine characteristics such as
compassion, sacrifice, softness, righteousness, and self-effacement, whereas boys are
encouraged to internalize their feelings and to develop masculine qualities such as
aggression, physical strength, dominance, ambitiousness, and public appearance
(Chattopadhyay, 2017). Adding to this, adults tend to comment on the appearance of girls
saying things such as “you look so pretty” or “that’s a nice dress you have on,” whereas
with boys they are more likely to hear comments on their abilities, for example, “you’re so
strong”, “you’re so brave” or “you’re such a fast runner.” Due to these social norms and
gender expectations that we sometimes unknowingly impose upon our children, the
potential abilities of young boys and girls are unfortunately narrowed, reduced, and
limited. By treating our children differently based on their gender, we are contributing to
gender inequalities they will experience later on in life in education, employment, income,
empowerment, and others.
Gender Stereotypes
Gender stereotypes can be a result of gender socialization. Society teaches us
what gender is and how we should act based upon these assumptions and stereotypes built
on gender are formed because of this socialization. These gender roles and stereotypes that
are defined by our culture are some of the strongest social norms in our society (Kreuzer,
46
�1992). As children, we are socialized in these norms and values, and we increasingly
internalize these stereotypes and use them to judge others, to choose friends and those we
develop relationships with, and to construct expectations of them. This continues through
adolescence and is made obvious when people who do not conform to the gender
stereotypes are ostracized by peers or by society for being different.
Leadership Role Stereotypes
Due to the social construct of gender, women are generally expected to have
stronger communal traits than men, such as care, helpfulness, sympathy, and gentleness
(Wang et al., 2019). Because of these expectations, women are stereotyped to comply with
behaviors that are less aggressive, less competitive, and less risky. In contrast, men are
conditioned to uphold more agentic traits, such as dominance, ambition, independence,
and aggression (Wang et al., 2019). These socially conditioned behaviors and expectations
of men and women are the reason why women are perceived as less “fit” than men for
leadership positions.
Typically, leadership is a role constructed of masculine qualities. A leader is
expected to be influential, dominant, competitive, and ambitious, all of which are qualities
that line up with traditional male characteristics rather than female (Wang et al., 2019).
For instance, leadership positions hold power that often involve tasks and responsibilities
that require behaviors that are congruent with traditional male characteristics (Wang et al.,
2019). Behaviors of a traditional male leader happen to be the opposite of qualities that a
woman is expected to uphold. Such contradictions affect the perceptions of a woman’s
suitability for any leadership role. (Wang et al., 2019).
Glass Escalator
In recent decades there have been significant improvements in gender equality.
These advances include numerous laws and regulations that seek to promote equal
opportunities for men and women such as the Equal Pay Act, Title VII of the Civil Rights
Act, and the Pregnancy Discrimination Action of 1978. However, significant gender
inequality still exists in crucial areas, particularly positions of power. Arguably, this could
be because of the deep-rooted problem of gender socialization and gender stereotyping.
The career choices we make have been linked to the type of social training
children are exposed to in early childhood, particularly gender role training (Kreuzer,
1992). Therefore, if society depicts women to be more nurturing, compassionate, and
sympathetic than their male counterparts, they will be more likely to choose a job that
would include those skills, such as nursing or teaching. Due to this gender socialization,
women are encouraged to enter these “pink-collar” professions, and men are discouraged
47
�from these occupations. Men in these fields are often viewed as laughable because they are
doing a “women’s” job, which is indicative of how ingrained some gender roles still are.
Only a few decades ago, a girl who expressed the desire to work in a STEM field would
have been explicitly discouraged, and although this is unlikely to happen today, a boy with
a similar goal would probably encounter more support and encouragement than a girl
entering this field simply because of his gender.
Interestingly, men who work in stereotypical feminine professions advance in
their careers faster than do women because the men are often perceived as more qualified
for leadership than are women. When looking at senior management in these pink collar
professions, one tends to see men disproportionally represented. So while men may
account for less than 5% of all nurses, a much larger percentage of men will occupy
senior-level positions such as hospital administrators (Yadav & Khanna, 2015). This
disproportionately high percentage of men in leadership positions is known as the “glass
escalator” effect. The “glass escalator” refers to the way men who enter female-dominated
professions tend to be put on a glass escalator enabling them to glide past women and to
receive promotions, shooting the men straight to the top of the corporate ladder. This is
just another obstacle that women have to face in the workplace.
Additionally, women in the workplace have to deal with what is called the “glass
ceiling.” This phenomenon refers to a barrier of prejudice and discrimination that excludes
women from higher-level leadership positions (Eagly & Karau, 2002). Women are
excluded from authority positions, and not just in male-dominated professions. Women
also experience this pushback in the so-called “pink collar” fields. It is often argued that
the reason there are so few women in positions of authority is not due to male bias, but
rather that women have not obtained the qualification to hold these elite leadership
positions. (Fishel & Pottker, 1973). Although it is sometimes claimed that women lack the
credentials to be leaders, data shows that in the education field, women do have the
credentials, and are simply just not promoted. Research shows that women receive 46
percent of all master’s degrees and 20 percent of all doctoral degrees in education, yet
women hold nowhere near that percentage of leadership positions (Fishel & Pottker,
1973). It has been argued that the low rate of women in leadership positions is due to
women not wanting to advance their careers because of family reasons. While it is true
that some studies have found that women teachers have less desire to acquire
administrative positions than their male counterparts (Fishel & Pottker, 1973); it has also
been shown that women who have just started out teaching are far more likely to aspire to
become principals than women who have been teaching for years (Fishel & Pottker, 1973).
This is likely because women who have been teaching for a long time have seen how
difficult it is for female teachers to obtain an administrative position and as a result have
48
�given up trying to do so (Fishel & Pottker, 1973). It is only when social prejudices against
women in positions of power are overcome that women will be able to occupy positions
that align with their abilities and qualifications (Fishel & Pottker, 1973).
Leadership Styles
Transformational Leadership
Transformational leadership is a leadership style that can inspire positive change
in those who follow, through motivation and enthusiasm. Transformational leaders create
a vision for the future, exhibit higher levels of social influence, and provide their followers
with the self-confidence and self-belief to perform beyond expectations (Ivan 2012).
Transformational leaders are generally energetic, enthusiastic, and passionate; they use
empowerment and mentorship to guide their followers (Ivan, 2012). Not only are these
types of leaders concerned and involved in the process, but they are also focused on
helping every member of the group succeed.
Antonakis et al. (2003) has theorized the transformational leadership style using
five dimensions. (1) Idealized influence (attributed) refers to the socialized charisma of the
leader, whether the leader is perceived as being confident and powerful, and whether they
are viewed as focusing on higher-order ideals and ethics; (2) Idealized influence
(behavior) refers to the charismatic actions of the leader that are centered on values,
beliefs, and a sense of mission; (3) Inspirational motivation refers to the way that leaders
motivate their followers with optimistic views of the future and the importance of
ambitious yet reasonable goals; (4) Intellectual stimulation refers to the way a leader’s
actions appeal to their followers, by challenging them to think creatively and find
solutions to difficult problems; and (5) individualized consideration refers to the leader’s
behavior that contributes to follower satisfaction by paying attention to the need of each
follower and advising, supporting, and allowing them to develop and self-actualize
(Antonakis et al. 2003).
Transactional Leadership
Transactional leadership is a leadership style based on command and control. It is
predicated on the fulfillment of contractual obligations and is typically represented by
setting objectives and monitoring and controlling the outcomes of these objectives.
Antonakis et al. (2003) has theorized transactional leadership using the following three
dimensions. (1) Contingent reward leadership refers to a leader that focuses on clarifying
role and task requirements and provides followers with material or psychological rewards
associated with fulfilling those tasks; (2) Management-by-exception (active) refers to a
leader’s active vigilance to ensure that standards are met; and (3) Management-by-
49
�exception (passive) refers to leaders who only intervene after noncompliance has occurred
or when it is too late and mistakes have already happened (Antonakis et al., 2003).
III. Hypotheses
H1: Gender impacts leadership style - because of societal norms females in
leadership/management positions tend to have a more transformational and ethical
leadership style, while their male counterparts tend to have a more transactional leadership
approach.
H2: Because of gender stereotypes and what society has taught us about gender roles,
women are less likely to achieve top leadership/management positions
H3: Countries with high levels of masculinity and power distance will have low political
parity scores.
IV. Method
Subjects
Several studies were used as sources of data for the thesis, and the majority of the
subjects were adults. One set of subjects was a randomly selected national sample of 1,026
adults, 18 years and older, who were surveyed by a Gallup Poll on December 2-4 in the
year 2000 (Eagly & Karau, 2002).
The second set of subjects were college faculty from the 1988-2004 National
Study of Postsecondary Faculty, U.S. Department of Education as cited in Carter (2010).
This sample consisted of 1,581,000 male and female professors of all ranks in the United
States and consisted of the number and percentage of U.S. professors by rank.
The third set of subjects were drawn from the Hofstede Insights website which
compares countries on Power Distance, Masculinity, Uncertainty Avoidance, and LongTerm Orientation. This data was used to compare various countries and their cultures,
especially towards females.
The fourth set of subjects used was the percentage of CEO’s of Fortune 500
Companies who were female, as measured by Fortune from 1998 to 2020. This data was
used alongside the fifth set of subjects consisting of the percentage of female college
presidents in the US to show that there are significantly fewer women in high-level
leadership positions.
The sixth set of subjects used in this study were the Political Parity Scores of
numerous countries. These scores were used in line with the Hofstede Cultural
Dimensions to show the representation of women in government in the selected countries.
50
�The last set of subjects used was transformational and transactional leadership
styles amongst males and females. The study measured the following variables:
transformational leadership (Charisma, Idealized Influence (attribute), Idealized Influence
(behavior), Inspirational Motivation, and Intellectual Stimulation; and transactional
leadership (contingent reward, Management by Exception (active), Management by
Exception (passive).
TTable 1: Components of Study
Variables
Data
Instrument
Data Source
Percentage of
Women as Faculty
Power
Distance,
Uncertainty,
Masculinity,
Long term
Orientation
Transformatio
nal vs
Transactional
Preferences
for Leader
by Gender
Political Parity Score
Female CEO’s of Fortune
500 Companies
Female
College
Presidents
National study of
postsecondary
faculty
Hofstede
Cultural
Dimensions
Meta-analysis
Survey
Women’s Power
Index
Fortune 500 list
Survey
(Carter, 2010)
https://www
.hofstedeinsights.com
/product/
comparecountries/
(Eagly,
JohannsenSchmidt, and
Van Engen,
2003)
https://fortune.com/2020/05/1
8/women-ceos-fortune-5002020/
Gallup Poll
https://www.cfr.org/
article/womenspower-index
(Ivan, 2012)
https://www.catalyst.org/wpcontent/uploads/2019/06/Cata
lyst_Women_Fortune_CEOs_
1972-2020_Historical_List_
5.28.2020.pdf
https://www.
aceacps.org/
womenpresidents/
Type of
data
gathered
Quantitative
Quantitative
Quantitative
Quantitative
Quantitative
Quantitative
Quantitative
Types of
scores
produced
Percentages
0-100
Differences in
means
Percentages
Percentages
Number
Number &
Percentage
Adapted from: Rudestam, K.E. & Newton, R.R. (1992). Surviving Your Dissertation. Newbury Park, California:
Sage Publications, Inc. page 140.
Measures
The measures used were as follows. Because the effects of gender on leadership
are not concrete, it is important to understand gender roles and how they affect men and
women in general, as well as in the workforce, particularly in positions of leadership. To
prove whether or not gender impacts leadership style, this paper analyzed several peerreviewed journal articles all relevant to gender and how it impacts leadership. The papers
that were chosen for analysis used terminology that helps understand the social construct
of gender. For example, gender socialization, gender role, role congruity theory, and
gender stereotypes.
Surveys
Gallup Poll of Opinions
The survey conducted by Gallup Poll measured the public’s opinions by asking
men and women whether or not they agreed with the following statements “Women
51
�should take care of running their homes and leave running the country up to men” and
“Most men are better suited emotionally for politics than are most women”. The
participants were also asked, “If your party nominated a woman for president, would you
vote for her if she were qualified for the job?”. Responses were also collected on whether
they preferred a man or a woman as their boss.
Female CEO’s
To determine the percentage of women as CEOs in Fortune 500 companies, all
CEOs were taken from the Fortune 500 list and the number of males and females were
recorded and the percentage was calculated from there.
Faculty and College Presidents by Gender
Similarly, with the number of female college presidents, all college presidents
were in the study conducted by Eagly, Johannesen-Schmidt, and Van Engen, (2003)
transformational and transactional leadership was broken down into leadership measures.
Men and women participating in this study were asked questions using the multilevel
leadership questionnaire (MLQ) and were scored based on these leadership measures. The
study carried out by Carter, (2010) used data from the National study of postsecondary
faculty to calculate the proportion of business faculty members in various ranks, by
gender. Specific data was used and compared from the years 1988 and 2004.
National Cultures
The Hofstede Cultural Dimensions were used in this paper to see whether there is
a relationship between the power distance, Uncertainty, Masculinity, Long term
Orientation of countries that have prominent female leaders versus those who do not.
V. Procedure
Article Searches
To collect ideal data, all published articles were searched through electronic
research databases such as Business Source Premier, One Search, JSTOR, and
EBSCOHost from a university library system. Keywords such as “gender and leadership,”
“gender stereotypes,” “role congruity theory,” and “gender role stereotypes” were used to
search these databases for relevant sources. These keywords helped find a selection of
related peer-reviewed articles that presented relevant data and results regarding how
gender impacts leadership. The data used in this paper came from studies that used
keywords including “role congruity theory,” “social role theory,” “glass ceiling,”
“leadership,” “prejudice,” and “gender equality”. The above methodology produced
52
�positive results and is an important topic in the 21st century. Numerous studies have been
conducted in this field by business schools, psychology departments, and other
professionals to grasp more knowledge of the topic and how we can combat this issue.
Statistical Methods to Analyze Data
The data supporting the hypothesis that women in leadership/managerial roles
tend to have a more transformational leadership style, while their male counterparts tend
to have a more transactional leadership approach was analyzed by comparing the means of
men and women. For each subscale of transformational and transactional leadership, the
means were calculated and a positive score indicated that men had higher scores than
women and a negative score indicated that women had higher scores than men. The data to
support the hypothesis that women are less likely to achieve top leadership/management
positions was analyzed by calculating the total number of female CEO’s in the Fortune
500, the total number of female college presidents in the U.S., the percentage of women as
faculty in the US, and the percentages of people’s preferences of a leader by gender. The
data for the last hypothesis was analyzed by comparing the Hofstede Insights Power
Distance scores and Masculinity scores alongside the Women’s Power index Political
Parity Score. Countries with high Power Distance and Masculinity were researched further
to look at the relationship between these scores and their Political Parity Score.
Table 2 Hypothesis, Instruments, and Statistical Analysis
Instrument
Hypothesis
Percentage
of women
as faculty
H1
H2
H3
Power
Distance,
Uncertainty,
Masculinity,
Long term
Orientation
Transformational
vs transactional
Hofstede
Cultural
Dimensions
Transformational
vs transactional
Percentage
of women
as faculty
Preferences
for leader
by gender
Preferences
for leader
by gender
Hofstede
Cultural
Dimensions
Female
CEO’s of
Fortune 500
Companies
Political
Parity
Score
Female
CEO’s of
fortune 500
Female
college
presidents
Female
college
presidents
Women’s
Power
Index
Variable
Relationships
Statistical
Test
Hofstede >
Transformational;
or Transactional
Tables
showing
differences
in means
P>
(WF+CEO+CP)
Bar graphs,
Line charts,
and tables
HM+HPD=LPPS
Bar Graphs
Adapted from: Rudestam, K.E. & Newton, R.R. (1992). Surviving Your Dissertation. Newbury Park, California:
Sage Publications, Inc. page 138.
VI. Results
H1: Gender impacts leadership style - because of societal norms females in
leadership/management positions tend to have a more transformational and ethical
53
�leadership style, while their male counterparts tend to have a more transactional leadership
approach.
H2: Because of gender stereotypes and what society has taught us about gender roles,
women are less likely to achieve top leadership/management positions
H3: Countries with high levels of masculinity and power distance will have low political
parity scores.
The results from the National Opinion Research Center 1998 shown in Figures 1,
2, and 3, indicate that gender stereotypes and gender roles negatively affect women’s
desire to pursue high-level leadership roles. These gender roles are so heavily ingrained in
society that even women believe they should not be allowed to enter into these elite
positions.
Figure 1 shows that from 1974 to 1998, there were similar percentages of men
and women responding “yes” to the question “Women should take care of running their
homes and leave running the country up to men.” but the percentage declined from
approximately 35% to 15%.
Figure 1. Responses by men and women in selected years to general social survey items about
political leadership. Source: National Opinion Research Center, 1998.
Figure 2, shows data for 1978, 1985, and 1998 for the question “Most men are better
suited emotionally for politics than are most women". The percentage of men and women
responding “yes” declined over time, and the percentage of men and women responding
yes was similar over time. This evidence suggests that women, too, believe in the societal
construct of gender roles and that women are supposed to stay at home, and men are
54
�supposed to be the breadwinners. Figure 3, indicates that for all the years between 1974
and 1998, more men than women would vote for a woman president than women would
vote for a woman president.
Figure 2. Responses by men and women in selected years to general social survey items about
political leadership. Source: National Opinion Research Center, 1998.
Figure 3. Responses by men and women in selected years to general social survey items about
political leadership. Source: National Opinion Research Center, 1998.
55
�The first-ever female CEO of a Fortune 500 company was Katharine Graham,
who became CEO of the Washington Post in 1972 and held that position until 1991.
Katharine’s father owned the paper and made Katharine’s husband CEO, and only after
their separation and his subsequent death was Katharine made CEO. Since then, there has
been a very slow increase in female CEOs in the Fortune 500. As seen in figure 4, there
was a relatively steady increase in the number of female CEO’s from 2010 to 2020, with
2020 hitting a record high of 37. While this may be a significant milestone for women, this
number only represents 7.4% of the fortune 500 (“Historical List of Women CEOs of the
Fortune Lists,” n.d.).
Figure 4. Number of Female CEO’s in Fortune 500 Companies from 1972-2020
Source: Fortune 500 and (“Historical List of Women CEOs of the Fortune Lists,” n.d.)
Figure 5. Percent of Female College Presidents in the United States from 1986-2016
Source: Pew Social Trends
56
�As demonstrated in Figure 5, in 1986, 9.5% of all college presidents were female,
just two years later this figure more than doubled to 19.3% and since then has been on a
slow but steady incline to 30.1% in 2016.
When referring to Figure 6, both male and female participants were asked the
question “If you were taking a new job and had your choice of a boss, would you prefer to
work for a man or a woman?”. From 1953 to 2000, responses showed both genders
preferred a male boss. In 1953 the preference for a male boss is very clear with 75% of
men and 57% of women showing they would prefer for a male boss and only 2% of men
and 8% of women wanting to work for a female boss. In 1982, 1993, 1995,1999, and 2000
more females preferred a male boss than males did.
Table 3 shows that from 1998 to 2004, the number of male professors increased
by 19.30%, whereas, the number of female professors only increased by 7.40%. In both
1998 and 2004 the data shows there are more females employed in lower-level positions
(lecturers and instructors) than males. In 2004 there were roughly 30% more female
instructors than males. This information also indicates that females dominate the lowerlevel positions (Lecturers and Instructors), males and females are roughly similar in midlevel positions (Assistant Professor and Associate Professor), and in higher-level positions
(Professor) males tend to dominate the occupation.
Figure 6. Responses to the question “If you were taking a new job and had your choice of a boss,
would you prefer to work for a man or a woman?” Source: Gallup Poll
Percentages do not add up to 100 because “no opinion” and “no difference” are not shown.
57
�Professor
Associate
Professor
Assistant
Professor
Instructor
Lecturer
Female
13.8%
15.4%
20.4%
40.7%
9.7%
Male
38.2%
23.2%
24.5%
10.5%
3.7%
Female
6.4%
8.3%
16.7%
57.6%
11.0%
Male
18.9%
15.0%
19.2%
39.8%
7.2%
Rank
2004
1988
Table 3. The Proportion of Business Faculty Members in Various Ranks, by Gender
Figure 7 shows the political parity score of numerous countries, which measures
the representation of women in a country’s government. A score of 100 represents women
having at least 50 percent representation in all levels of government with available data.
Costa Rica has the highest Political Parity Score (74) out of all countries measured by the
Women’s Power Index. This means that Costa Rica has the largest representation of
women in government of all countries. Despite this, women only account for 37% of
Costa Rica’s government. Sweden is a close second with a political parity score of 69, the
third-highest score of all countries. New Zealand and Germany obtained scores of 51 and
43 respectively. The United States has a political parity score of 17 giving it a ranking of
128 out of a total of 173 countries. Brazil has a score of 19 and China has a score of 13.
Figure 7. Political Parity Score. Source: Women’s Power Index, Council on Foreign Relations
58
�The countries used for comparison in this study were chosen for many reasons.
New Zealand and Germany were chosen because of their female leadership, Costa Rica
was chosen because it has the highest Political Parity Score, and Sweden was chosen
because it is a country well known for women’s rights and gender equality. The United
States was, of course, chosen for its leadership role in the world and China and Russia
were chosen because they are very large countries known for their masculine traits and
have particularly low Political Parity Scores as expected.
Masculinity and femininity of a country are measured by Hofstede insights with a
high score being considered as masculine and a low score being considered as feminine. A
masculine score on this dimension suggests that the society will be driven by competition,
achievement, and success (Hofstede Insights, n.d). A feminine score on this dimension
indicates that the society values caring for others and quality of life (Hofstede Insights,
n.d). Figure 9 shows a very low score for Sweden and is therefore considered a feminine
society. It is vital to keep the work/life balance, people value equality, solidarity, and
quality in their working lives (Hofstede Insights, n.d). This was expected as Sweden is
known to be a feminine society that values gender equality and women’s rights.
Power distance is a measure by Hofstede’s insights that deals with the equality of
individuals in society. Power Distance is defined as “the extent to which the less powerful
members of institutions and organizations within a country expect and accept that power is
distributed unequally” (Hofstede Insights, n.d). China and Brazil score very high on the
power distance scale showing that the culture of these countries believe that inequalities
amongst people are acceptable. New Zealand on the other hand scores very low on this
Figure 8. Hofstede Insights Country Comparison of Masculinity and Power Distance
Source: Hofstede Insights
59
�MLQ* scales
and subscales
Description
Item sample
Demonstrates attributes that motivate
respect and pride by association with him
or her
Makes personal sacrifices for the
benefit of others
Communicates values, purpose, and
importance of the mission
Talks enthusiastically about
what needs to be accomplished
Exhibits optimism and excitement about
goals and future states
Examines new perspectives on problemsolving and task completion
Focuses on the development and
mentoring of followers and attends to
individual needs
Uses symbols and images to
focus our efforts
Enables me to think about old
problems in new ways
Delegates responsibilities to me
to provide me with learning
opportunities
Exchanges rewards for satisfactory
performance by followers
Tells me what I have to know to
perform my job
Attends to followers' mistakes and failures
to meet standards
Monitors my performance for
deviations from standards
Waits until problems become severe
before attending and intervening
Takes action only when a
mistake has occurred
Exhibits widespread absence and lack of
involvement during critical junctures
Doesn't tell me where he or she
stands on issues
Transformational
Idealized
influence
(attributed)
Idealized
influence
(behavior)
Inspirational
motivation
Intellectual
stimulation
Individualized
consideration
Transactional
Contingent
reward
Active
management by
exception
Passive
management by
exception
Laissez-faire
Table 4. Transformational, transactional, and laissez-faire leadership style definitions Source: (Ivan,
2012)
dimension (22). Within organizations in New Zealand, hierarchy is established for
convenience rather than for control, superiors are always accessible to employees and
managers rely on individuals and teams for their expertise (Hofstede Insights, n.d). Similar
to New Zealand, Sweden uses a hierarchy for convenience only, power is decentralized
and managers count on the experience of their employees, control is disliked and attitudes
towards managers are informal and on a first name basis (Hofstede Insights, n.d).
As seen in Table 5, the data shows that men and women had very similar scores
for transactional leadership with a mean of 21.8 for men and 21.13 for women, showing
no significant difference between the two genders. The mean scores for transformational
60
�leadership showed more of a difference with women having a higher score of 57.08
compared to men with 55.8. This data shows that although very close, men have a more
transactional leadership style and women have a more transformational leadership style,
thus proving the initial hypothesis of this study to be correct.
Transactional leadership score
Transformational leadership score
Sex
N
Mean
St. Deviation
Men
41
21.8
3.69
Women
89
21.13
3.46
Men
41
55.8
9.33
Women
89
57.08
6.86
Table 5. Sex differences in self-ratings for transformation, transactional, and passive-avoidant
leadership behavior Source: (Ivan, 2012)
Leadership Measure
k
Transformational
d+
44
-0.1
Charisma
25
-0.09
Idealized Influence (attribute)
10
-0.12
Idealized Influence (behavior)
15
-0.02
Inspirational Motivation
29
-0.05
Intellectual Stimulation
35
-0.05
Individualized Consideration
28
-0.19
Contingent Reward
21
-0.13
Management by Exception (active)
12
0.12
Management by Exception (passive)
18
0.27
Laissez-Faire
16
0.16
Transactional
Table 6. Study-Level Effect Sizes for Differences between Women and Men in Transformational,
Transactional, and Laissez-Faire Leadership Styles
As shown in Table 6. women had higher scores on all fronts when looking at
transformational leadership styles, proving that, from this data set, there was an overall
female advantage on the transformational subscale. When looking at the transactional
leadership style, women leaders scored higher than their male counterparts on the
61
�contingent reward subscale. However, male leaders scored higher on both the other
subscales, indicating that male leaders are more transactional than female leaders. This
data proves the initial hypothesis of this study to be correct. Although one could argue that
the data from the transactional subscale is too close between both genders to fairly say that
the male leadership style is more transactional than the females.
VII. Discussion
The thesis examines the relationship between leadership, gender roles, and the
influence of stereotyping, specifically how the social construct of gender impacts
leadership style and whether there is a difference between male and female leadership
styles. The thesis also investigates why there are fewer women in higher-level leadership
positions than there are men, and whether the country culture fosters prejudice against
women in higher-level leadership positions.
Leadership styles
The data on leadership styles found that women are more likely to be
transformational leaders than are men, meaning that women are more likely to establish
themselves as role models by gaining the trust and confidence of their followers and by
encouraging their followers to develop to their full potential by mentoring and
empowering them.
Within the transformational leader construct, the results showed that women
scored significantly higher than men on all aspects of transformational leadership except
for the Idealized Influence (behavior) subscale, thus supporting the hypothesis that women
are overall more transformational leaders than men (H1: Gender impacts leadership style because of societal norms females in leadership/management positions tend to have a
more transformational and ethical leadership style, while their male counterparts tend to
have a more transactional leadership approach).
Regarding transactional leadership, men obtained significantly higher scores than
women obtained on the Management by Exception (active) and Management by Exception
(passive) subscales, but, on the Contingent Reward subscale, women scored higher. These
results indicate men and women are transactional leaders, but that men engage in
transactional leadership in more ways than women do, and a greater percentage of men are
transactional leaders than the percentage of women.
Gender Stereotypes
Data from this study indicates that not only do many men believe in the social
construct of gender but so do many females. The Research found that men and women
62
�agreed with statements limiting females to stay at home wives, in fact in 1974, 36% of
men and 35% of women agreed with the statement “Women should take care of running
their homes and leave running the country up to men". When asked if in agreeance with
the statement “most men are better suited emotionally for politics than are most women”
both genders scored very similar results with 48% of men and 47% of women agreeing
with this statement in 1974. This research indicates that the gender stereotypes society has
created about men and women, has an impact on women seeking positions in politics. The
data with a yes response to the question “If your party nominated a woman for president,
would you vote for her if she were qualified for the job?” shows fewer women responded
yes than men showing that many women themselves believe that men are more suitable in
positions of power such as President. Last, when asked about their preference of gender as
a boss, the data shows that from 1982 to 2000 more women preferred a male boss than
men themselves preferred a male boss.
Women in Leadership
The information shown in Table 3 indicates that females account for far more
lower-level positions than men do and, the higher up the ladder you go the fewer women
there are, showing that men dominate the higher-level positions. The data from the
Fortune 500 list of CEOs shows that today there are 37 female CEOs, which accounts for
7.4% of all Fortune 500 CEOs. This data along with the data from the Percentage of
Female College Presidents in the US showing that today women only account for 30% of
all US college presidents. This information tied in with the gender stereotyping data from
above shows support for the hypothesis that because of gender stereotypes and what
society has taught us about gender roles, women are less likely to achieve top
leadership/management positions.
Hofstede Insights
The thesis also examined some aspects of different countries’ and cultures using
the Hofstede taxonomy (i.e., Masculinity or Femininity, Power Distance) and compared
the countries’ cultures to their Political Parity Scores. As predicted countries with very
high levels of Power Distance (i.e., China and Brazil), scored high on Masculinity and low
on Political Parity, indicating that these countries are far less likely to have equal
representation of women in their government. Countries with low Power Distance and low
Masculinity (i.e., high Femininity) scored high Political Parity Scores (i.e., Sweden and
Costa Rica). indicating that these countries are more inclusive of women in their
government.
63
�VIII. Conclusions
General Conclusions
Although women are equally, if not more, educated than men, their access to
high-level leadership positions is rather limited. For many years now, leadership positions
in the business world have been dominated by males, making it difficult for women to
even get their foot in the door. Scholars have argued that the biological differences
between males and females are the reason for inequality in leadership positions. Others
have argued that it is the cultural and societal stereotyping that inhibits women’s
leadership potential (Gannouni & Ramboarison-Lalao, 2019). Stereotypically, women tend
to be more nurturing, supportive, and cooperative with others than men. These traits are
more in line with the transformational leadership style than men who are stereotyped to be
independent, powerful, and assertive. These masculine characteristics are consistent with
the transformational leadership style. In the past, men have always been considered more
dominant in leadership positions because of their masculine traits and how these traits
align with the way we believe a leader should lead. However, in today’s less hierarchical
society a women’s more transformational approach might be more effective. This study
found support for the hypothesis that females in leadership/management positions tend to
have a more transformational and ethical leadership style. Evidence from this study shows
that women were more transformational leaders on every subscale that was measured.
Although these male-female differences were small they support generalizations that
women’s typical leadership styles tend to be more transformational when compared to
men. In terms of transactional leadership, the study found that women were more likely
than men to exchange rewards for satisfactory performance. However, men proved to be
more transactional leaders on the other two subscales. This data shows that transactional
leadership tends to be more common in the male population, although it is less certain that
men are more transactional leaders because there was less information available.
This study found similar results amongst men and women when asked questions
regarding their preferred gender in leadership roles. Both sexes indicated they prefer men
in leadership positions to women. This evidence indicates that there are men and women
out there that believe that just because of their gender women are less capable than men
when it comes to leadership. This information along with the data showing there are
significantly fewer women as Fortune 500 CEOs, US College Presidents, and College
Professors shows that because of gender socialization women are less likely to achieve
high-level leadership/management positions. Over time the data shows a downward trend
with fewer males and females believing women aren’t capable of leadership positions in
politics. This shows how society is becoming more accepting of women in leadership
64
�roles. If we, as a society, can accept women as equals in high-level leadership roles it
would increase the number of potential candidates for these roles and would also increase
the proportion of candidates with superior leadership skills and be more inclusive of
everyone in society.
This analysis also shows that as per hypothesis 3; countries with high levels of
masculinity and power distance will have low political parity scores. As predicted, China
and Brazil are countries with very high Power Distance with scores of 80 and 69
respectively. These two countries also achieved high masculinity scores and low political
parity scores, which indicates that these countries are far less likely to have equal
representation of women in their government. One can also infer from this data that
countries with low Power Distance and low Masculinity (i.e., high Femininity) scored high
Political Parity Scores (i.e., Sweden and Costa Rica) indicating that these countries are
more inclusive of women in their government. This is shown in the data with Costa Rica
and Sweden being ranked in the top 3 highest countries in terms of representation of
women in government. This data indicates that a countries culture can affect the number of
women in high-level leadership positions, particularly in government.
In an ideal world, gender wouldn’t matter, this is something we need to strive for.
Organizations around the world need to ensure there are sufficient rungs on the ladder to
help women climb into management and leadership positions. Organizations that prioritize
a diverse and inclusive culture will be in a better position to solve the problems of the
ever-evolving future.
Implications for Practice
These findings may offer important implications for organizations looking to
expand their leadership teams. These findings are also important for people to be aware of
gender stereotypes and how they affect men and women in society, particularly women in
the workplace. If more people are aware of these stereotypes, it will be easier to avoid
them when recruiting new leaders.
Limitations
Two limitations should be noted in this study; the sample size and the sampling
method. When looking at the data used to compare Power Distance, Masculinity, and
Political Parity Scores, a sample of only seven different countries were used. To ensure
more accurate results a much larger sample size would need to be used, it would be best if
every country in the world was included. Secondly, a convenience sampling method was
used. The countries used in this sample were countries known to be particularly masculine
or feminine. This may have resulted in the data being biased to the hypothesis. These
65
�limitations are mainly due to the limited access to information and the fact that this
research requires time and more resources.
Implications for Research
There are often misconceptions as to why there are such few women in higherlevel leadership positions. Often it is argued that it is because women aren’t qualified for
these positions or that women do not want jobs in elite leadership positions because they
cannot fulfill these positions due to the pressures of having children. Further research
could include examining this topic to see the different reasons why women are less likely
to achieve higher-level leadership positions. Future research could also look at which
leadership style (transformational or transactional) is considered to be better for the world
we live in today, and which leadership style followers respond better towards.
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68
���The Detriments of Democratic Laboratories: How
Devolution Could Negatively Impact Minority Groups
James Hagenberg (English) 1
This paper analyzes policy diffusion and devolution in America and their impact on
marginalized groups. While there are proven cases in which using states as “democratic
laboratories” has positively impacted Americans, is it possible that giving states too much
power could be detrimental to lower income and minority citizens? This paper attempts
to prove that giving states too much power is detrimental to marginalized groups such as
low-income families, people of color, and LGBT people. This hypothesis is tested
through the analysis of theoretical scholarship on devolution, case studies that analyze the
trends of policy diffusion, and by taking note of the 2005 School Textbook Marriage
Protection Act of Arkansas. The study concluded that giving state lawmakers too much
power has proven to be detrimental to marginalized groups. However, the federal
government rarely addresses smaller scale issues that plague these people. In order to
address these issues a three-point policy adjustment is suggested.
I. Introduction
In America, because states can adopt unique policies that do not directly affect
the rest of the nation, they are often referred to as “laboratories” of democracy. These
“democratic laboratories” are unique to federalism, and can experiment with new and
sometimes divisive policies that may not be on the federal government’s agenda. Some
believe that this empowerment of states’ law-making ability, or “devolution” allows state
lawmakers to implement more effective policy for their state. Furthermore, if a state
creates a new policy that is successful in achieving its goal, lawmakers in other states are
then able to decide if they want to implement a similar policy into their own laws. Many
believe that this method of “policy diffusion” is a faster way of implementing innovative
ideas nationally, whereas depending on the federal government can be a slow and tedious
process. While there are proven cases in which using states as “democratic laboratories”
has led to successful policy creation and diffusion, is it possible that giving states too
much power could be detrimental to lower income and minority citizens?
1
Written under the direction of Dr. Abraham Unger for GOV103: American
Government & Politics Administration.
71
�This paper will test the true efficacy of devolution and policy diffusion by
asking how lawmakers’ personal ideologies and special interest groups play a role in
local policy creation. Referencing four articles of scholarship and three case studies on
policy diffusion and devolution, as well as the 2005 Arkansas School Textbook Marriage
Protection Act, the paper will analyze the impact democratic laboratories have had on
people of color, LGBT citizens, and low-income families. In asking the question of how
these marginalized groups are affected by states’ freedom in policy making, this paper
will determine if policy diffusion and devolution actually achieve their goals of being a
faster more effective method of law making that equally protects all Americans.
II. Literature Review
Karch (2007) believes the empowerment of state governments, or “devolution”,
allows for a more efficient method of policy creation (p. 116). This idea of diffusion,
which is unique to federalism, is praised as a way of allowing lawmakers to adapt each
other’s policies in order to best fit the citizens and the unique issues of their state.
Karch’s (2007) biggest claim is that by using states as democratic laboratories, more
unique and effective policies are able to be implemented gradually throughout the nation
while avoiding federal sluggishness. Karch (2007) is a proponent of the “devolution
revolution”, with his theories on policy diffusion supporting the idea that local lawmakers
are more capable of providing help for their citizens than the federal government (p. 116).
Yet, Super (2008) is in almost direct disagreement with Karch (2007) over the efficacy of
policy diffusion and devolution; Super (2008) believes that a decentralized approach is
actually slower and less effective.
Although states can work faster than the federal government, Super (2008)
claims that the time it takes for the policy to be implemented from state to state winds up
taking much longer than simply creating a national policy. This is then detrimental to
people who need immediate action, whereas federal policy could at least offer a general
solution. Super (2008) looks at the economic impact of Hurricane Katrina and claims that
the people who were least helped by the government were low-income black Americans.
Super (2008) claims the lack of centralized government efforts leads to poor black people
being ostracized from government aid efforts, claiming that, “the absence of any
meaningful assault on poverty in the wake of Katrina suggests a more fundamental,
structural problem with the dominant model of anti-poverty lawmaking” (p. 545). Super
(2008) believes that the federal government’s reliance on state and private aid results in
subpar benefit programs that only provide enough assistance for people who are not
dangerously in need.
72
�Shipan and Volden (2008) do not think of policy diffusion as being inherently
good or bad, instead they claim that the different methods of policy diffusion are what
make the system productive or counterintuitive. They claim that the mechanisms of
policy diffusion, “learning, competition, imitating, and coercion” , play a crucial role in
its efficacy (p. 840). Shipan and Volden (2008) recognize the major peril of granting
states increased power is that local “governments may advance their own interests at the
expense of others” (p. 840). Garett and Jansa (2015) provide a similarly moderate opinion
to Shipan and Volden (2008), but identify one of the largest detriments to policy
diffusion as special interest groups. Garett and Jansa (2015) claim that lawmakers will
“emulate model legislation from interest groups” instead of looking at policy “enacted by
other states” (391). This increases the efficacy of policy diffusion in the sense that special
interest group inspired policy will undoubtedly spread quickly, but does not address the
specific concerns of people in that state.
Karch (2007) identifies how a lack of a “comprehensible national healthcare
reform” has forced state officials to “regularly take independent action” in order to
achieve any results (p. 119). Karch (2007) also recognizes The Personal Responsibility
and Work Opportunity Reconciliation Act as a policy that empowered states’ individual
rights and has seen years of noted progress in welfare policy. Shipan and Volden (2008)
claim that when policy diffusion is an act of “learning” and not “imitation” or
“competition,” it typically yields positive results (p. 840). Inarguably, using states as
democratic laboratories has resulted in positive outcomes, however in order to truly
debate the efficacy of policy diffusion one must analyze who is benefitting from these
policies.
Garrett and Jansa (2015) identify the role of special interest groups in policy
creation and diffusion, claiming that they “foster communication between states in policy
diffusion networks” (p. 391). This means that special interest groups have a direct
influence on state policies, and the ways in which state lawmakers share policy ideas. In
turn, special interest groups’ interference then limits state lawmakers' attention towards
individuals in need of policy adjustment, furthering Super’s (2008) claims that those who
are most in need of policy adjustment and creation, such as low-income and marginalized
groups, are rarely heard. Karch (2007), claims that devolution allows for state lawmakers
to create policy to help these people, but fails to recognize the ways in which lawmakers
abuse their power to further their own personal agendas. Meanwhile, Shipan and Volden
(2008) once again offer a moderate opinion, where they believe that policy diffusion has
the power to help marginalized citizens more directly than federal intervention, solely in
the case that local governments work bipartisanly and effectively learn from one another.
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�While some of these scholars do consider the ways in which marginalized
groups are often affected by policy diffusion, many are hasty to label the system as either
totally good or totally bad. Instead, this paper will contribute to the literature on policy
diffusion by highlighting the shortcomings of both state and federal governments in terms
of protecting and aiding marginalized groups. This then allows for unique and objective
policy suggestions, as well as a compilation of relevant and contemporary perspectives
on policy diffusion.
III. Data
Lowery, Gray, and Baumgartner (2011) conducted a study analyzing whether or
not policy agendas on the state level affect agenda setting on the federal level. Lowery,
Gray, and Baumgartner (2011) conclude that there is “little evidence that changes in state
policy agendas in the aggregate influence patterns of national patterns of policy attention”
(p. 286). The research notes that while there is some overlap in the state and federal
policy agenda, it is well within the margin of coincidence, and certainly not enough to
conclude that state policy affects national agenda setting.
Butler, Volden, Dynes, and Shor (2017) used experimental research in order to
study how political ideologies affect the willingness of lawmakers to learn from one
another and share ideas. Conclusively it was discovered that “policymakers who are
ideologically predisposed” against a suggested policy are “relatively unwilling to learn
from others” (p. 38). However, Butler, Volden, Dynes, and Shor (2017) also discover that
a lawmaker’s “ideological biases can be overcome” when the policy is very successful
and/or when members of the lawmaker’s party adopt the policy (p. 38). Finally, it is
discovered that there is an unwillingness among all lawmakers to learn from members of
the opposing political party (p. 38).
Barth and Parry (2009) analyze policy in Arkansas during 2005 as well as a state
survey that gauged local opinion on gay rights and the ethics of banning gay marriage.
The data concluded that the state’s citizens were “deeply uncomfortable with same-sex
relations”, with 64.7% of participants being directly opposed to gay relationships and
53.8% believed the government should not legally recognize gay couples’ relationships
(p. 313). Barth and Parry (2009) conclude that this influenced the 2005 School Textbook
Marriage Protection Act, as well as other anti-LGBT policies, being put on the agenda.
The 2005 Arkansas School Textbook Marriage Protection Act sought to define marriage
as strictly between a man and a woman. It intended to eliminate discussion of gay
relationships in schools and to exclude the idea of gay people from education. The bill
was four votes shy of being passed.
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�IV. Discussion
This paper explored the ways in which using the states as “democratic
laboratories” to test new policies could possibly work to the detriment of minority groups
such as low-income workers, LGBT citizens, and people of color. By analyzing
theoretical ideas and case studies the paper hoped to prove that although devolution has
had success in the past, it is not a reliable system of lawmaking that effectively addresses
the needs of all citizens regardless of socio-economic status, sexuality, or race.
The research does not entirely eliminate the supporting theories behind
devolution and policy diffusion. As Karch (2007) claims, the federal government is very
slow and can often lead to congressional stalemates. Furthermore, Lowery, Gray, and
Baumgartner (2011) prove that state level issues are often not considered issues on the
federal level. This means that although overpowering states’ rights would have a negative
impact on minority groups, it is still necessary to afford states the agency to tackle issues
they feel affect their people the most. Again, as Shipan and Volden (2008) claim, if the
mechanism of policy diffusion is not corrupt in of itself, then the policy it yields tends to
positively benefit its citizens.
The research does however prove that marginalized groups are often left behind
or negatively impacted by the effects of devolution and policy diffusion. Barth and
Parry’s (2009) data shows how LGBT citizens were not only publicly scrutinized, but
they were also the victims of multiple anti-LGBT policies that were almost put into
effect. If the anti-LGBT laws were passed, such as The Textbook Marriage Protection
Act (2005), it is not unrealistic to think other conservative and religious lawmakers would
follow suit once Arkansas had set the precedent. Furthermore, Barth and Parry (2009)
reported that 64.7% of participants directly opposed gay relationships, yet the state of
Arkansas posed no policy to protect these citizens from hate or harassment. This also
proved Super’s (2008) point about policy diffusion, that those who truly need help are
rarely heard. In this situation it becomes incredibly clear that state legislators' ideological
beliefs played a large role in their policy creation, which was intentionally detrimental to
the safety and civil liberties of members LGBT people in Arkansas. Furthermore, Super’s
(2008) claims about poor black Americans during the aftermath of Hurricane Katrina
further shows how devolution fails to provide help to marginalized groups. As Super
(2008) points out, without a federal budget, states are forced to rely on the private sector
to help those who are in the most danger. In the case of Hurricane Katrina, the
predominantly black, low-income victims were given little to no assistance and state
lawmakers did not see it as their immediate concern to provide lasting assistance. Both
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�Super (2008) and Barth and Parry (2009) make it incredibly clear how devolution and
policy diffusion ostracize minority groups from policy creation, thus limiting these
people’s civil liberties and quality of life.
Definitively, the research also concluded that policy diffusion is not an effective
method of law making because lawmakers are very often swayed by special interest
groups and/or personal ideological beliefs. Garett and Jansa (2015) show that special
interest groups work efficiently to spread their own ideas and convince lawmakers
nationally to implement policy that positively impacts their group’s cause. Garett and
Jansa’s (2015) research also showed evidence that lawmakers often use policy models
provided by the special interest groups. This means that the policies implemented do not
actually best suit their citizens and instead work most ideally for the special interest
groups. As Shipan and Volden (2008) claim, the biggest problem with giving states
increased freedom is the risk that lawmakers will work with their own interest in mind,
and disregard the concerns of their citizens. Barth and Parry’s (2009) research proves this
to be true, as does Garrett and Jansa’s (2015) evidence that lawmakers often work closely
with special interest groups, as well as Butler, Volden, Dynes and Shor’s (2017) proof
that lawmakers prefer to only listen to members of their party.
V. Conclusion
Although policy diffusion and democratic experimentalism are not flawed
concepts in theory, in practice these methods of law making often harm marginalized
groups such as low-income workers, people of color, and LGBT citizens. My research
concluded that far too often policy diffusion works as a means for those already in power
to spread ideas that benefit them, which works directly to the detriment of marginalized
communities. Furthermore, special interest groups and personal bias inhibit lawmakers'
abilities to create fair and just laws that equally protect and help these minority groups.
Ideological biases and special interest groups sometimes work directly against
marginalized groups, as in the case with the 2005 Arkansas anti-LGBT policy proposals.
These issues are not easily solved, and would realistically require a drastic
change in the way policy is created, as well as how people communicate with their state
officials. While relying solely on the federal government to solve local issues is not
feasible, it is also unrealistic to expect state governments to consistently work together in
a non-partisan manner in order to best adapt policies to their unique issues. Therefore,
there needs to be more diversity among lawmakers, and there needs to be a new system to
hold lawmakers more accountable to all of their citizens regardless of socioeconomic
status. In addition to this, the role of special interest groups in policy creation needs to be
76
�either removed or limited. In order to address the concerns to such a complex issue, the
following three-part policy adjustment is suggested.
First, because many marginalized people do not see themselves adequately
represented in government, their voices often go unheard and their problems unsolved.
One clear solution is to fund better education programs in low-income, highly diverse
areas as well as promoting government involvement to students in these areas. A welleducated student from an impoverished background is better suited to create effective
policy that will help their community more than someone who does not personally know
the unique struggles of these marginalized people. Despite the notion that the 2016
presidential election was a major loss for civil liberties of minorities, it did inspire a
strong effort by marginalized groups to elect members of their community to local
government positions. Alexandria Ocasio-Cortez, Jared Polis, and Ilhan Omar are among
the 411 women, people of color, and LGBT citizens who ran for government positions in
the 2018 midterm elections (Rebecca 2018). This diversity among candidates resulted in
a higher voter turnout among the marginalized communities those people were
“representing.” This means that by advocating for more diversity among candidates,
democracy would be strengthened and the civil liberties of these groups would be further
protected.
Second, state officials should be required to communicate with and listen to
their citizens more often. At least five times a year, state officials should be mandated to
host town halls. These town halls should take place in the heart of different communities
every time, in an attempt to draw in diverse crowds. It has been noted by many political
theorists that state lawmakers are predominantly interested in reelection. If this is true,
these lawmakers will find it in their best interest to, at the very least, appear to be
listening to their constituents. Government officials who publicly align themselves with
marginalized groups, even if it is in a small manner, will realistically find that those
groups will actively vote for them. This is shown in the case of Joe Biden’s Super
Tuesday win in South Carolina. As someone who was vice president for the first black
president, black voters felt a sort of allegiance to the presidential nominee. Furthermore,
by establishing an effective method of communication between state and citizen, people
previously discouraged by the lack of government acknowledgement will be more apt to
actively participate in democracy. This is a method of both holding state officials more
accountable to all of their citizens, as well as a way for citizens to voice their concerns.
Finally, special interest groups should be restricted from having such a direct
role in policy creation. As shown, special interest groups draft policy that gets
implemented, they control the situations in which lawmakers share policy with one
77
�another, and these groups use their vast resources to pass legislation that best benefits
their cause. By stopping these groups’ interference with local policy creation, the people
who need to be helped by the government will have a chance to have their voice heard.
This would also help eliminate some of the issues of corruption associated with policy
diffusion.
The implementation of these ideas would allow for more equal representation in
government, the spread of effective policy across America, and result in a stronger
democracy with an invigorated voter turnout.
Works Cited
Barth, J., & Parry, J. (2009). Political Culture, Public Opinion, and Policy
(Non)Diffiusion: The Case of Gayand Lesbian-Related Issues in Arkansas. Social
Science Quarterly, 90(2), 309-325.
Butler, D., Volden, C., Dynes, A., & Shor, B. (2017). Ideology, Learning, and Policy
Diffusion: Experimental Evidence. American Journal of Political Science, 61(1), 37-49.
Garrett, K., & Jansa, J. (2015). Interest Group Influence in Policy Diffusion Networks.
State Politics & Policy Quarterly, 15(3), 387-417.
Karch, A. (2007). Democratic Laboratories. In A.G. Serow and E.C. Ladd (Eds.), The
Lanahan Readings in the American Polity. (pp. 116-122). Baltimore, MD: Lanahan
Publishers.
Lowery, D., Gray, V., & Baumgartner, F. (2011). Policy Attention in State and Nation: Is
Anyone Listening to the Laboratories of Democracy? Publius, 41(2), 286-310.
Rebecca, K. (2018, October 31). The Faces of Change in the Midterm Elections. New
York Times. https://www.nytimes.com/interactive/2018/10/31/us/politics/midtermelection-candidates-diversity.html
Shipan, C., & Volden, C. (2008). The Mechanisms of Policy Diffusion. American
Journal of Political Science, 52(4), 840-857.
Super, D. (2008). Laboratories of Destitution: Democratic Experimentalism and the
Failure of Antipoverty Law. University of Pennsylvania Law Review, 157(2), 541-616.
The School Textbook Marriage Protection Act, A.B. 1136, 85th GA, 2005 Reg. Sess.
(Ark. 2005).
78
�Umbrellas, Youthful Love, and Brilliant Colors:
Films as Representations of How to Cope with the War
Julia Francis (Theatre/Speech) 1
Jacques Demy’s 1964 Umbrellas of Cherbourg is a dream-like film in
technicolor abundance that tells an idealized love story in the midst of war. While one of
the main characters in this film is drafted into the war, beyond that, it largely glosses over
the reality of war rhetoric and experience. Films largely ignoring the wars at hand, only
briefly touching on them, were a widespread trend throughout the cinematic world.
Instead of diving into the nitty gritty of such a turbulent time, it was popular for films to
shift gears into what one could refer to as “post war optimism” reminding ordinary
people that joy, wonderment, and hopefulness were still attainable in such dark times. At
the time that The Umbrellas of Cherbourg was released, France was engaged in the
Algerian War. As can be imagined, this was a topic largely ignored in the entertainment
media, and Demy’s iconic film, more so gravitated towards tones of that post-war
optimism. The Umbrellas of Cherbourg was a French film that encapsulated this, but
American films such as Singin’ in the Rain (1952) and Bye Bye Birdie (1963) illustrated
this phenomenon as well.
All three movies have similar plots, costume designs, and cinematic elements
that mirror one another and serve to illustrate this post war optimism that was greedily
absorbed by the general public. The Umbrellas of Cherbourg in particular utilizes an
extremely unorthodox color palette in conjunction with a highly romanticized, idealistic
love story symbolic of the youth. Maxwell Ryan, an apartment therapist who specializes
in the study of color theory, agrees with the sentiment that Umbrella’s color palette
comes across as its own “language that exaggerates the storybook quality of this romantic
fantasy” (2). From the opening scene, the viewer is greeted with a beautifully
choreographed dance of brightly colored pastel umbrellas juxtaposed against a dismal
downpour of rain. Because the umbrellas are not the expected black, but rather an array
of bright hues, it foreshadows the idea that this movie will explore the concept of joy
being able to still be found even in unpredictable, dreary circumstances. The fun, pastelcolored umbrellas even go as far as to suggest “that a whimsical narrative is about to
1
Written under the direction of Dr. Dane Stalcup for FR/EN356 French Cinema:
Retrogrades, Rebels & Realists.
79
�unfold. These umbrellas are bright accents (just as our young lovers are) set against a
rainy seaport” (2).
This idea is directly mirrored in what is arguably the most iconic scene in
Singin’ in the Rain, when Gene Kelly himself is quite literally singing in the rain. There
is an absolute downpour, and instead of being bogged down by the foul weather, he
joyfully prances around, singing his heart out, having the time of his life. Not to mention
that Gene Kelly had a 101-degree fever during the scene, but sang and danced on
anyways. He truly symbolizes a sense of joy and abandonment in that iconic scene that
serves to remind viewers of their own childhood wonder. At the end of the sequence,
Kelly starts splashing in giant puddles (3:40-4:00), something all of us can easily relate to
doing as children. Within that scene, Kelly reminds the audience of what it’s like to have
joy and childhood wonderment even in the face of dark and dismal days, something that
was necessary in the postwar era. Umbrellas of Cherbourg, through its opening scene, but
also through many more moments in the movie, embodies this as well.
Immediately upon meeting the two main characters, Guy and Genevive, it is
glaringly obvious that they are meant to be the epitome of what it means to be young and
in love. Guy has a modest job in a car repair shop, and Genevive helps her mother in their
umbrella shop. Neither expects to make much of any money in the future, but in their
state of naïveté, they believe their love is enough to make up for what they lack. It is a
sickly, sweet romance that is extremely passionate and idealized. Genevive herself is
arguably the personification of pure innocence and beauty. She is a wide, doe-eyed
teenager with blond hair and a demure voice that lends itself to a lovely soprano sound.
She intensely mirrors Kim McAfee from Bye Bye Birdie. Both girls are hopelessly in love
with their respective boyfriends, and represent a transition between what it means to be a
young girl versus what it means to start becoming a woman. This concept is epitomized
in Kim’s iconic solo How Lovely to Be a Woman-sung at the ripe age of 16 chock full of
young teenage naivete. Both girls also have extremely colorful wardrobes set against
extremely colorful atmospheres.
At the beginning of the film, Genevieve is donned in either white or lively pinks
that serve to represent both her innocence and femininity. Kim is dressed similarly. She is
outfitted in beautiful pink and yellow dresses extremely representative of the time period
that make her stand out against the film. In both films the female leads are tied very
closely to the color of their clothes. In Umbrellas, however, this is not exclusive to
Genevive. Guy, her love interest, has a bright blue shirt that he wears beneath his work
uniform that, by the time the film has concluded, becomes a staple of his character. This
detail is part of why it is all the more devastating at the end when he is no longer outfitted
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�in such a striking blue, but instead in dark suits due to how he has become disillusioned
with his life after having been betrayed by his love.
While Kathy Seldon, Debbie Reynolds’ romantic lead in Singin’ in the Rain, is a
good deal more fiery and opinionated than Kim or Genevive, she still fits much of the
same formula. Kathy too is a beautiful ingenue enamored by a man, in her case a
celebrity man, and is chasing her dreams of performing. She too frequently dons bright
colors-in one of the most iconic scenes of the movie, Good Mornin’, Reynolds dons a
baby blue dress, (the exact same shade as a dress that Genevieve wears). Later in the
musical number, she and her scene partners are decked out in fluorescent yellow
raincoats. This is where the similarities with Reynolds’ character ends, and her character
proves to be a bit more progressive in regards to ideas of feminism and women having
power as well as ambition. To focus on those concepts, however, would ignore what all
three films are ultimately working to convey through their beautiful female leads: hope,
joy, and whimsy childhood-like wonder combined with fun and conveyed through
ridiculously bright colors.
Extremely bright colors may seem like an odd choice when dealing with movies
that make vague commentaries on the war. But it's these types of movies, with color
palettes that were the exact opposite of subtle, that served to bring joy and optimism to tv
sets across the country, and the world. The Umbrellas of Cherbourg utilizes such a
striking and intense color palette that the viewer can’t help but feel what they are
watching is not only an idealized version of events, but is bordering along the line of
being a complete dream world in full color gaudiness. Marjorie Baumgarten, a film critic
and contributing writer to The Austin Chronicle, feels that because the colors are so
vibrant, ebullient and “saturated to their richest and most eye-captivating hues, with
backdrops and sets that are bathed in unearthly colors that stimulate the senses but defy
all logic...never for a second does the movie let you forget that you are in a fabricated and
artificial movie universe” (1). For lack of a better explanation, the colors essentially
embody cinematic escapism with its bold choices. There are very few moments that the
war is actually discussed in the movie, and when it is, it is to explain the plot. In layman
terms, the war is used to explain that Guy is being drafted, and essentially nothing more.
The film cannot afford to give any more commentary, otherwise it would negate the
idealized world that Demy has worked to create.
Bye Bye Birdie has a similar effect due to how it almost turns the war into a
satirical commentary. Its plot centralizes around a celebrity named Conrad Birdie who is
meant to imitate Elvis Presley being drafted. Understandably, the general public is
devastated, thus he decides to choose a random girl from the United States to give “one
81
�last kiss to” on national television on the Ed Sullivan show to bid farewell before he is
drafted. This is where Kim McAfee comes in, as she is chosen as the young girl to
receive the last kiss. The entire plot of Bye Bye Birdie is ridiculous, but much like
Umbrellas, it is an idealized, fictionalized version of events in a world that is better than
what actually exists. Both Kim and Genevive were universally relatable to so many girls
that had to bid their sweethearts farewell because of the war-and both girls represent a
sort of blind optimism regarding the doleful situations at hand that are comforting to see.
Genevive is utterly convinced that her and Guy’s relationship will be able to
withstand the two years that he is away at war. She is blinded by her undying love, often
getting into arguments with her mother surrounding the situation, swearing that their love
is true, that it will last. While Kim is not dating Conrad Birdie in the movie and actually
has a separate boyfriend, her entire world is overtaken by the celebrity once she gets the
opportunity to receive his last kiss. The opening scene of the movie is a striking image of
Kim singing in a bright yellow dress against an almost electric blue background belting
out her heartbreak at Birdie having to go. Kim’s dress in the scene is exactly the sort of
outfit one would expect to see Genevive in, and that blue background with the yellow
garment is exactly the sort of strange, technicolor, “Willy Wonkian” combination that
Demy would utilize.
Kim and Genevive are also both sopranos with soft, lilting voices with a breathy
quality that exemplify their femininity, as well as their innocence. One cannot help but
see the two girls on screen and automatically empathize, and feel for them. Kim and
Genevive are the young teenage girls hopelessly in love with their sweethearts. They
serve to remind viewers of their first loves and what it felt to be so infatuated with your
honey that nothing else mattered; and you truly felt it could go the distance. While Kathy
is not necessarily the poster child for young love, in many ways she did still provide the
American public, particularly women, with an idealized persona. She represented a
beautiful woman chasing after her ambition who was ultimately rewarded for it. At the
time, this could have been seen as revolutionary, and utterly inspiring. When you
combine the rest of Singin’ in the Rain with such a strong and glamorous female lead, it
ultimately achieves the same effect as Birdie and Umbrellas in a slightly different way all
whilst giving the happy ending audiences craved.
By the end of Umbrellas, however, the disenchantment arrives, but the film still
provides happy endings for the two main characters, even if they are bittersweet endings
rooted in reality. This is an element in which the movies differ greatly, as Bye Bye Birdie
and Singin’ in the Rain both have quintessential happy, Hollywood endings. Bye Bye
Birdie even has more than one love story that it follows, as opposed to just the young
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�teens. Umbrellas of Cherbourg, while it does imitate much of its predecessor, does not
take after this plot point. Unsurprisingly, “Hollywood endings”, if the title is any
indication, are unique to Hollywood. Those types of movies epitomized feel good
sentiment spread throughout the general public, which, in the postwar era, can be argued
was necessary. Nonetheless, all three women served as integral reminders to the
American public of what it was like to be so in love, and also to be in pursuit of more
than just love.
Kathy Seldon reminds American women that they are still able to dream, and
dream big. They are able to still pursue ambition and success, even when the going has
gotten hard. She reminds women that having a bit of spunk and fire, as well as beauty, is
a wonderful combination. Beauty and a little bit of personality can aid as opposed to
harm. Most importantly, however, Kathy reminds women that it is possible to chase love
and success, and to achieve both in the end. Kathy is able to encapsulate due to how she
is a couple years older than both Kim and Genevieve, thus she has a more established
plotline in that regard due to how she is actually a woman. While Kim and Genevieve
more so catered to the young, teenage girls hopelessly in love, Kathy was able to cater to
the women trying to navigate love and a career due to how it became necessary for them
to be able to do both.
In circling back to Kim, however, she reminded Americans what it meant to be a
young girl on the precipice of becoming a woman, hopelessly in love with her high
school sweetheart, whilst simultaneously getting the once in a lifetime chance to kiss her
biggest celebrity crush. The exact sentiment is expressed in her comically ridiculous song
How Lovely to Be a Woman wherein Kim expresses how wonderful she feels being a
woman now that she is 16. Her clear naivete in that song, the belief that she is a woman
because she is 16, is something most teenage girls can relate to as they get more and more
anxious to grow up. The second aspect of the above reminder is essentially recreated in
the satirical scene Sincerely when Conrad Birdie sings to the general public, resulting in
all of the girls fainting due to how madly in love they are with him. If that doesn’t
essentially describe the fantasy of every young American teenager, especially in an era
desperate for hope, it’s hard to say what does.
The Umbrellas of Cherbourg arguably takes the concepts of Bye Bye Birdie a bit
further. The colors are bolder, the musical choices are bolder, and the plot has more
melancholy tones riding beneath the surface. Within the film, Demy frequently combines
colors into one visual that would not normally go together. He uses “green and purpleusually paired together-as the movie’s most common background colors, but so much so
that a solid red is perceived by the eye as a soothing relief” (1). This is intriguing because
83
�all three of those colors are extremely powerful colors, but as has already been
established, that was the point, and Demy’s vision. Because he put so much time,
attention, and detail into the color scheme, it’s almost as if the color palette is its own
individual character in the movie. Demy frequently combines colors not necessarily
meant to go together, and even if he does utilize conventionally normal color
combinations, he compensates by cranking the saturation to the highest level thereby
making every single color choice a bold one. His color choices are so intentional they
almost become meaningless leaving this idea of the color palette being a separate
character all its own abstract and arguably reflective of the public’s need to make
everything in their post war, mid war world momentus. Demy’s color palette, however,
was not the only bold choice he utilized.
His formula of the traditional musical movie was yet another extremely
audacious choice. By the time Umbrellas is made, the world is no stranger to movie
musicals. Both Singin’ in the Rain and Bye Bye Birdie are movie musicals that were
adored by the general public produced before Umbrellas. What makes Umbrellas
different is that every single moment is sung. There is no spoken dialogue. This had not
been done before in cinema, and in America, it wasn’t until Andrew Lloyd Webber came
around with productions like Jesus Christ Superstar, Phantom of the Opera, Evita, and
Cats, that this happened for Americans. Before, movie musicals only utilized music when
there was an impulse to convey something that otherwise could not be conveyed through
just the spoken word. Whatever message was about to be relayed needed something
stronger and more impactful, thus a song was written.
However, as mentioned earlier, every single moment of Demy’s film is sung.
When asked about that element in particular, Demy had explained that he wanted to
create a film that was seamless in its execution. He felt that in American movie musicals,
the music and singing interrupted the flow of the film as opposed to being integrated
seamlessly. He wanted to try his hand at creating something that was seamless, that
flowed perfectly. Having everything sung, though, definitely adds to the dream-like,
escapism qualities of Umbrellas. Because life would never imitate such a novel concept,
it adds to the magic of the story. Not only are these young characters the personification
of tragic lovers with a color palette nothing short of bold, but they also sing anything and
everything they do. Because of these factors combined, the characters almost become
elevated versions of what people wish they could be. These characters allowed normal
people to dream of living that protected existence whilst simultaneously being wrapped
and covered in layers of shiny candy-colored hues that only intensified that dream world.
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�The music adds a whole new element to the movie because along with dramatic,
emotionally charged moments being sung, so too are the mundane conversations.
Genevieve and her mother frequently engage in duets about topics of conversation that
are otherwise boring and unimportant, but because everything is sung, suddenly
everything becomes simultaneously important and unimportant, much like every color
choice; which only adds to the nuanced magic of the film. Even if not being instructed to
fully analyze such a film, one cannot help but be an active viewer due to how intricate
and detailed the entire film is as a whole. It’s striking to see and notice the musical
choices utilized by Demy for the moments that are so ordinary and not normally thought
of as being worthy to sing.
The decision to make everything sung, as previously discussed, was an
intentional choice on Demy’s end. He had wanted to create a seamless picture, something
he felt had never quite been achieved in movie musicals. The choice of making
everything sung was arguably a tactic that also provided feel good emotions to the
audiences viewing the musical. Having everything sung adds to the concept that this
world is an extremely idealized version that is ultimately unattainable. Much like how
Demy utilized his color choice to showcase different emotions and themes throughout the
film, this too was done by the composer of its music, Michel Legrand. In an article
written for The Guardian by seasoned music and theatre writer Maddy Costa, she
explores how even with the most mundane of tasks, “Legrand makes it sound urgent.
Sometimes lithe and jazzy, sometimes shiveringly plangent, his score is as vibrantly
colored as Demy's cinematography, unabashed in its emotions” (1). Legrand helps to
bring this vibrant, technicolor world to life with his score-cranking up the saturation of
emotions with his music just as Demy does with the colors. They are a duo that operate
on the same wavelength, consistently trying to heighten the intensity of the film with
their respective areas of expertise.
Legrand’s score makes its audience feel and experience what the characters do
on screen, lending itself to the idea that “the score is basically indestructible: a sequence
of yearning, complex melodies that make you sympathize not only with the lovers but
everyone who comes between them. Because what Legrand's themes make clear – more
so even than Demy's understated dialogue – is that each of these auxiliary characters
carries in their heart love's disappointment” (Costa, 1). The music in this film is what
gives the musical somewhat of a grounding in reality, for as Costa illustrates, it's the
score that serves to carry the ultimately bittersweet endings both characters experience
after failing to keep their love alive. This, too, is an element that the public could relate
to-lost, forgotten love; the ultimate disappointments of love. Even though the ending of
85
�the film proves to not fulfill the sugary sweet “Hollywood Ending” that Birdie and Rain
have; the type of ending one might expect from Umbrellas due to its sugary sweet color
scheme, that of Guy and Genevieve ending up happily married with their child, it still
serves to provide hope and optimism. While the initial love story did not work out, both
characters were still able to find their alternate happy endings illustrating to the public
that more than one love story and more than one happy ending is possible, and is often
still in the cards.
Ultimately, The Umbrellas of Cherbourg, Singin’ in the Rain, and Bye Bye
Birdie were all extremely important films within the postwar area in reminding people of
so many reasons to hope and continue on. They encouraged people to dream big, pursue
love, and experience joy in the mundane. They all illustrated the concept that a happy
ending is always possible even if your heart gets broken along the way, and your happy
ending doesn’t happen the way you initially thought it would. While these films were
pivotal in boosting morale in the postwar era, all three are still extremely relevant to the
modern day and are still providing such important lessons. Without movie musicals, the
world would certainly be a little duller, a little sadder, and certainly less colorful.
Works Cited
Baumgarten, Marjorie. “What Color Is Your Parapluie?” The Umbrellas of Cherbourg Screens - The Austin Chronicle
Costa, Maddy. “Musicals We Love: The Umbrellas of Cherbourg.” The Guardian,
Guardian News and Media, 31 Mar. 2014
Hill, Rodney. The New Wave Meets the Tradition of Quality: Jacques Demy's The
Umbrellas of Cherbourg. University of Texas Press, 2008.
Kelly, Gene, director. Singing in the Rain-Singing in the Rain (Gene Kelly). Singing in
the Rain-Singing in the Rain (Gene Kelly), YouTube, 1 Oct. 2009,
www.youtube.com/watch?v=D1ZYhVpdXbQ.
Ryan, Maxwell. “Color Therapy in Film: The Umbrellas of Cherbourg.” Apartment
Therapy, Apartment Therapy, LLC., 11 May 2019, www.apartmenttherapy.com/
colortherapy-in-1-21122.
86
�Proust Was Not a Neuroscientist:
On the Importance of Interdisciplinary Exchange
Caecilia V. Thuermer (Psychology and Chemistry) 1
Marcel Proust lived in a time of many scientific breakthroughs, and it has been already
shown that this knowledge significantly influenced him and his work. Proust’s In Search
of Lost Time is an example of impressionist literature. It describes how outer
circumstances evoke memory and trigger certain emotions in the narrator. Most
frequently the Madeleine episode in Swann’s Way is related to as an example of the
power of taste and smell to evoke involuntary autobiographical memories. This is named
in today’s neuroscience the ‘Proust effect’ or ‘Proust phenomenon’, and it has been
suggested that Marcel Proust might be called a neuroscientist. It is shown in the presented
work that the novel is an observation and description of personal – possibly fictional perceptions. Proust described individual impressions; he did not acquire objective
knowledge as claimed by science. This makes him a prominent impressionist artist in
literature, but not a scientist. The reflected impressions described by Proust have served
as hypotheses for scientific work. However, it requires scientific methods to prove them,
to transfer a personal observation or experience into reliable knowledge, and to explain
the why and the how. Nevertheless, Proust’s work and its meaning stresses the
importance and value of interdisciplinary exchange. It emphasizes the benefit of broad
education and knowledge – not instead of, but – in addition to expert knowledge.
Marcel Proust - Representative of French Impressionism
Marcel Proust (1871 – 1922) was a French writer and social critic. He is certainly
best known for his infamous work In Search of Lost Time. This unfinished seven-volume
novel was published between 1913 and 1927; the last volume appeared posthumously
edited by the author’s brother.
Proust can undoubtedly be classified as one of the most important representatives of
French Impressionism. In literature, the term Impressionism stands for a style that
emphasizes subjective, transient impressions and sensations of a writer or their
characters. In Impressionism, the momentary perception of what is depicted, which is
1
Written under the direction of Dr. Laura Morowitz and Dr. Katica Urbanc for EN 310:
Cities and Perversities.
87
�influenced by transient conditions, determines the way in which it is presented. For
Impressionists, the reality is determined by subjective feelings. Reality is therefore not
the outer world itself, but the outer world as it is perceived by the respective viewer
through the filter of their inner experience. It is the impression of a certain moment that is
important, the imprint, or rather the resonance of that moment leaves in an individual.
Proust is known as one of the most influential authors of the 20th century. He lived
in a time of great scientific breakthroughs, as seen through the work of Albert Einstein in
theoretical physics and Henri Bergson in philosophy (see Figure 1). This knowledge
significantly influenced Proust himself and consequently, traces were left in his work.
Still, up until today Proust’s observations on involuntary memory as reported in Swann’s
Way are frequently referenced in neuroscientific publications. Author Jonah Lehrer even
goes so far as to call Proust a neuroscientist. This idea will be examined in detail with
regard to Proust’s observations on involuntary memory, as the paper will ultimately
question whether he was indeed a neuroscientist or an artist proposing an exchange
between art and science.
Figure 1: Writer Marcel Proust (1871-1922), philosopher Henri-Louis Bergson (18591941), and physicist Albert Einstein (1879-1955), from left to right (Wegener; Manuel;
Schmutzer).
In Search of Lost Time - Swann’s Way
In Search of Lost Time (also translated as Remembrance of Things Past) is a novel in
seven volumes that presents a fictional autobiography (see Figure 2). A largely
anonymous male first-person narrator - who may be called ‘Marcel Proust’ or just ‘the
narrator’ - reports of his attempts to remember his childhood and adolescence.
88
�Figure 2: First galley proof of In Search of Lost Time (A la recherche du temps perdu)
with handwritten revision notes by Marcel Proust (In Search of Lost Time).
The central themes of this novel are time and memory. The title In Search of Lost
Time implies directly that it investigates the past. In the human mind, the past – or lost
time - is kept in the form of memories. Clearly memory is merely possible if time passes,
since a memory constitutes a reference to a person’s experience in the past. In the novel,
memories become past time stored, and time is then shaped/created into one’s memory
(Álvaro). Time and memory have also been investigated by Proust’s contemporaries
Albert Einstein and Henri Bergson, respectively.
Einstein's theory of general relativity describes the universe of three spatial
dimensions and one-time dimension, whereby time extends across the universe to form
the fourth dimension. This understanding was picked up by Proust and is explicitly
expressed in the passage on the medieval cathedral at Combray: “…, so to speak, four
dimensions of space - the name of the fourth being Time - which had sailed the centuries
with that old nave...” (Proust 91). These four dimensions - space and time - form a single
reality in Swann’s Way that merges into memory (Álvaro).
Moreover, general relativity allows configurations of space and time in which
forward or backward time travel is possible. This allows a two-way flow of time -
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�forward and backward - and all events are situated along this path. Proust understands the
past as if it were galleries that one can stroll through, with memories being the exhibits:
“... as though one's life were a series of galleries in which all the portraits of any one
period had a marked family likeness, the same (so to speak) tonality…” (Proust 27).
As previously pointed out by Álvaro, Proust’s underlying conception of time as
duration and its transformation into memory was strongly influenced by Henri Bergson.
According to Bergson and later described in Proust’s work, memory is not only an
accumulation of stored recollections but rather connected to an individual’s whole
personality. To summarize, memory is not only the recollections of something but also
the recollections of someone (Worms). Therefore, memory is not just a collection of
stored facts, but also a collection of individual perceptions, reflections, and emotions. An
example of this is Proust’s description of the famous Madeleine moment. This gives
memory a fundamental meaning: Memory holds the history of a person together, possibly
even their entire life.
Moreover, Bergson distinguished between two types of memory: behavioral memory
and pure memory (Worms). Specifically, Bergson’s concept of pure memory which can
also be understood as spontaneous memory storing up perceptions and impressions is
closely related to Proust’s understanding of involuntary memory, as shown below.
In the novel’s first volume, Swann’s Way, Proust introduces a distinction of memory:
he differentiates between voluntary memory and involuntary memory. Voluntary memory
is invoked at will. It is also called intellectual memory by Proust and can be seen as
memory controlled by intelligence. However, it is insufficient to recover the past:
“But since the facts which I should then have recalled would have been prompted only by
an exercise of the will, by my intellectual memory, and since the pictures which that kind
of memory shews us of the past preserve nothing of the past itself, I should never have
had any wish to ponder over this residue of Combray.” (Proust 65)
Proust distrusts voluntary memory: one can remember something voluntarily, but
everything that is remembered voluntarily is just some sort of falsified memory.
According to Proust, the true memory, the sensation associated to the way in which
something was really experienced, can only be provided by involuntary memory:
“And so it is with our own past. It is a labor in vain to attempt to recapture it: all the
efforts of our intellect must prove futile. The past is hidden somewhere outside the realm,
beyond the reach of intellect, in some material object (in the sensation which that
material object will give us) which we do not suspect. And as for that object, it depends
on chance whether we come upon it or not before we ourselves must die.” (Proust 66)
90
�Involuntary memory – or more precisely in the given context involuntary
autobiographical memory – emerges in the absence of conscious effort. It is a recollection
that is spontaneously, unintentionally, and automatically evoked by cues encountered in
everyday life. According to Proust, involuntary memory enables the past to persist and
remain as a personal creation (Álvaro).
Although the notion of involuntary memory in its origin is commonly referred to In
Search of Lost Time, it had been already recognized before and was reported by German
psychologist Hermann Ebbinghaus in 1885 (Ebbinghaus). Ebbinghaus (1850-1909) is
known as a pioneer of the experimental study of memory. His work was originally
published in German and was first translated into English in 1913. It is unknown whether
Proust knew about Ebbinghaus’ findings.
Involuntary Autobiographical Memory – The Proust Phenomenon
Certainly, the most frequently quoted passage of Proust’s work associated with the
field of neuroscience is the Madeleine moment: The narrator sips on lime blossom tea
with crumbs from a madeleine cake, and suddenly childhood memories come flooding
back.
“No sooner had the warm liquid, and the crumbs with it, touched my palate than a
shudder ran through my whole body, and I stopped, intent upon the extraordinary
changes that were taking place. An exquisite pleasure had invaded my senses, but
individual, detached, with no suggestion of its origin.” (Proust 66)
The act of tasting a madeleine as an adult reawakens the narrator’s childhood. This is
called in neuroscientific work the Proust phenomenon – sometimes also referred to as a
Proustian Moment or a Proustian Effect. It describes a moment of sudden involuntary
and intense autobiographical remembering, including a range of related sensorial and
emotional expressions, triggered by a smell, a taste, or a texture (APA Dictionary of
Psychology: Proust Phenomenon).
Since Proust’s characterization of involuntary memory, there have been several
research projects investigating this topic. For example, the types of cues most likely to
induce involuntary autobiographical memory were examined (Mace). The results showed
that more memories were triggered by abstract verbal/linguistic cues – e.g. thought and
language-based cues - (68%) than by sensory/perceptual cues (30%). The findings do not
support Proust’s view that involuntary autobiographical memories are predominantly
triggered by smell, taste, or texture. They show that many more are triggered by verbal
cues and by the other senses.
However, another study observed that olfactory cues lead to an increase in the
emotional intensity of autobiographical recollections relative to verbal or visual cues
91
�(Herz and Schooler). Participants tended to feel more ‘brought back’ to the original event
by odor-evoked memories. This supports Proust description of this experience through
scientific results: it matches the narrator’s description of how tasting the madeleine
triggered an “all-powerful joy” (Proust 67).
Proust – Neuroscientist or Artist
In Proust Was a Neuroscientist, as the title clearly suggests, Lehrer classifies Proust
as a neuroscientist. He states that Proust – among other artists of his time - anticipated the
discovery of neuroscience and “discovered truth about the human mind that science is
now rediscovering” (Lehrer ix).
Neuroscience encompasses all sciences that deal with the nervous system. It involves
various scientific disciplines dealing with the anatomy, physiology, biochemistry, and
molecular biology of nerves as well as nervous tissue. It has been of great interest to link
these underlying biological mechanisms to behavior and learning, thus providing a fuller
understanding of these processes. A neuroscientist is a researcher in the field of
neuroscience who investigates neural and brain-related phenomena.
In general, the goal of any natural science is to acquire objective knowledge, to
figure out how things work, and to prove findings. Science demands that experiments and
proofs be repeatable to objectify results. In contrast, art expresses knowledge – this also
includes perception or experience – most often in the form of subjective representation.
More specifically, Impressionism aims to capture the impression of the moment by a
certain individual. This personal observation is real and true for this person. However,
from a scientific viewpoint, such personal findings must be verified experimentally and
take into account a greater number of subjects. In the case of Proust, it would be
necessary to find out whether memory works in the same way for all or most people.
Additionally, neuroscience aims to verify how memory actually works in our brain, in the
physical sense; that is, what structures are involved and how they interact with each
other, as well as the underlying mechanisms occurring on a molecular level in the
nervous system.
In Search of Lost Time is an outstanding example of impressionist literature. It
describes how outer circumstances evoke memory and trigger strong emotions in the
narrator. The novel is an observation and a beautiful description of personal perceptions
rather than a scientific analysis or a reproducible experiment. The basic goal of the
impressionist movement was not to acquire objective knowledge; rather, it was their
fundamental aim to describe individual impressions.
Proust was a very thorough observer of his perceptions and experiences. This
characteristic makes his work valuable for neuroscientific research as a detailed personal
92
�observation. When defining literature as art made up of words, Proust can be classified as
an artist with a broad knowledge of the scientific breakthroughs of his time. This
knowledge guided him through his search for explanations of his observations and put
them in the context of the knowledge of his time (Álvaro). However, he did not go further
by trying to prove or verify his explanations.
To generalize the above reasoning, Impressionism and Science can be identified as
two contradictory terms: an impressionist conveys subjective impressions while a
scientist seeks objective knowledge. The work of an impressionist can be used as
evidence to understand how a particular individual’s mind perceives a given moment. For
a neuroscientist, this description of a mental process might be of interest as a subjective
individual observation or experience, even when it is conveyed in a fictional work.
Nevertheless, a single individual observation is not enough to deduce objective
knowledge, which is the primary interest of science.
In summary, Proust’s work can provide interesting indications on how memory is
perceived by an individual and may, in turn, help scientific projects explain how such
mental processes work. However, this does not qualify Proust as a neuroscientist or as a
scientist in general. It requires scientific method to prove or disprove Proust’s findings in
order to transfer personal observations and experiences into reliable knowledge and
explain the specific mechanisms and reasons for a complex process such as memory.
Exchange between Art and Science
Even though the objectives of artists and scientists appear to be different, art and
science have and always will influence each other. In each individual human being, the
sum of the physical conditions of their mind coined by genetic disposition as well as
personal experiences lead to knowledge and form memory, constituting a personal filter
and mirror: they influence how the world is perceived and how it is personally reflected.
Consequently, each person, and therefore also each artist and scientist, is influenced by
their time, the environment they live in, and their acquired knowledge. Each individual
will undoubtedly be touched by art, science, technology, philosophy, literature, and more
during their lifetime. All these experiences settle in the person’s mind, thus influencing
their reasoning and decisions later in life, and hence also serve to shape the person’s
interaction with the outer world and, consequently, their impact on the world.
In the past, a scholar was referred to as a homo universalis and was defined as being
knowledgeable in many if not all major fields of their time, for example, in philosophy as
well as in math, art, and the natural sciences. The breakdown of knowledge and
specialization in certain fields took place during the nineteenth century with the rise of
modern universities (Burke and Trosciank). Since then, knowledge in basically all fields
93
�has broadened and grows exponentially, and the thought of uniting the knowledge
stemming from so many different areas in one mind is daunting. Today’s “experts” have
broad and deep knowledge, skill, and experience in a particular field, but we have also
become more and more aware that it is necessary to integrate science, art and the
humanities. We understand that expert knowledge alone leaves gaps or misses
interconnections necessary to take full advantage of our current knowledge and to explore
our world to the fullest. This has led to new interdisciplinary studies between science, art
and the humanities that link these fields and overcome the gaps between them. Examples
of such new emerging fields of research related to neuroscience are cognitive literary
science and neuroaesthetics.
While cognitive science itself is already considered interdisciplinary since it deals
with cognition and includes parts of cognitive psychology, linguistics, computer science,
cognitive neuroscience, and philosophy of mind, cognitive literary science addresses the
exchange between literary studies and cognitive science specifically (Burke and
Trosciank).
Neuroaesthetics is a rather new discipline that links neuroscience and art. It is
dedicated to exploring the neural processes underlying our experience and production of
art. This includes perception, interpretation, emotion, and action (Chatterjee). The basic
question of neuroaesthetics can be roughly summarized as the effort to understand how
art interacts with the human brain. The approaches taken in neuroaesthetics have been
often criticized as reducing art, and with it, the concept of beauty to a few biological
principles. This criticism was responded to as follows: “Science is reductionist by its
nature. It cannot study a complex system as a whole; rather, it isolates its constituents
first and tries to build a picture of the whole from studying its parts.” (Zeki). In this
sense, neuroaesthetics is currently still collecting parts of a very complex puzzle. As it
should be the case of any scientific discipline, the reduction into parts can only be an
intermediate step. At some point in time, it will be necessary to evaluate the entire
complex picture as a whole.
But there is not simply a ‘mental exchange’ or an ‘exchange by knowledge’ between
the different disciplines. For example, art is frequently directly influenced by scientific
progress, thus leading to new technologies. Such novel technologies can provide new
tools or media for artists to express themselves. A recent example is the arising field of
digital art that applies digital technology as part of the creative or presentation process.
This new field of art opens entirely new opportunities.
To generalize the reasoning above, perhaps the greatest interest of humankind is to
gain full understanding of the world with all its social, artistic, and scientific
94
�phenomenon. Then the subdivision in disciplines like the humanities, natural science, and
art, which each examine a certain aspect of our perception on the world surrounding us,
can be understood as equivalent to applying a divide-and-conquer strategy to the original
task. With this divide-and-conquer strategy, a problem is solved by splitting it into
several less complex sub-problems, solving them independently, and finally merging
their solutions into one answer for the whole problem. The merging step requires an
interdisciplinary exchange and combines several disciplines through a fusion of
knowledge, thus enabling the deduction of new apprehensions. Today this fusion step has
become more current than ever with the many new arising interdisciplinary research
fields.
Conclusions
It was shown in the presented work that the novel Swann’s Way is an
observation and description of personal – possibly fictional - perceptions. Proust
beautifully describes individual impressions but he did not acquire objective knowledge
as required by science. This makes him a prominent artist of Impressionism in literature,
but not a scientist. The reflected impressions described by Proust have been used as
hypotheses for scientific work. However, it requires scientific method to prove them,
successfully transfer a personal observation or experience into reliable knowledge, and
finally, to explain the detailed mechanisms and relevance for such processes.
Proust was undoubtedly an open-minded and inquisitive person with a broad
education and a financial background that enabled him to deepen and widen his
knowledge according to his interests. As he lived during a time of exciting scientific
breakthroughs, he was certainly influenced by the changing world around him. In many
ways, Proust is a perfect example of how knowledge of different disciplines is essential.
As shown above, Proust’s Swann’s Way was influenced by the work of the philosopher
Henri Bergson and the physicist Albert Einstein. In turn, Proust’s work still has an
impressive impact on today’s neuroscientific work.
Art, and science, as well as the humanities, are part of the same world, and each of these
disciplines aims to contribute to the understanding of our world. They do so by each
following a unique perspective, nevertheless, they live in close interaction with each
other. Swann’s Way is an example of how knowledge of science and philosophy found
its way into a work of art, and how in turn this art had an impact on neuroscientific work.
These interchanges between the humanities, art, and science demonstrate how
meaningful it is to be open-minded to different fields. It stresses the importance and
significance of interdisciplinary work and the value of broad education and knowledge –
not instead of, but – in addition to expert knowledge.
95
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Burke, Michael and Emily T. Trosciank. "Mind, Brain, and Literature: A Dialogue on
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�Mace, John H. "Involuntary Autobiographical Memories are Highly Dependent on
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97
�The Male Gaze in Art and Life:
Why are Artistic Women Overlooked?
Zoe L. Krofchik (Film and Media Studies) 1
Women have long been the objects of men’s sexual fantasies and gazes. The
male gaze, a term coined by feminist Laura Mulvey in 1975, explains the phenomenon
that women have been experiencing historically. The male gaze is not only prevalent in
life; it is ever present in art, especially in cinema. Film is a powerful artistic tool that
mirrors life in many ways and can help people empathize with characters; but historically
those characters have been men. Representation in film matters, but when the people
making those films are mostly men, stories about women are often overlooked. Many
films directed or written by males do not have female characters (and rarely are three
dimensional) and are often only objects in a male driven story. In the last few decades,
female directors and writers have made incredible progress in creating films that
showcase female characters that have depth; however most prestigious film awards
overlook female stories, especially those told by women. In 92 years of the Academy
Awards, only 5 women have ever been nominated for Best Director, and only one has
won (Dockterman). The male gaze is ever present in the film industry; behind the camera,
in front of the camera, and in the audience. To understand why female stories should be
elevated, we must analyze films created by men and how they portray women versus the
way films created by women portray women. As Simone de Beauvoir chronicles in the
beginning of her 1949 book, The Second Sex, women have had a treacherous history of
oppression by men; to ensure that the future does not oppress women, the film industry
must change the way they illustrate women, because art matters.
In The Second Sex, Beauvoir asks the question: “What is a woman?” (5).
Beauvoir discusses many interpretations people have given throughout history; from
Adam and Eve to biological essentialism to Freudian psychoanalysis to history itself.
However, much of the history of women has been written by men, who have labeled her
as the ‘Other.’ From a young age, girls are taught that they exist solely to please men and
that she “must make herself object; she must therefore renounce her autonomy. She is
treated like a living doll, and freedom is denied her” (Beauvoir 295). Much like history
1
Written under the direction of Dr. Patricia Moynagh for GOV374: Feminist Film.
98
�itself, film history is dominated by stories about men and told by men. American Film
Institute’s list of the Top 100 films of the 20th century include no films directed by
women and only 3 films written by women (2 of which were co-authored alongside men)
(American Film Institute). Furthermore, the American Film Institute's top lists of Films
“deemed culturally and artistically significant” every year since 2000 only showcase 20
films directed by women (5 of which were co-directed with men) out of the 208 films that
have made the cut. It is as if films told through the female gaze are not considered as
important as films told through the male gaze but does the male gaze affect the way
women are portrayed on screen? In her 1976 essay The Laugh of the Medusa, Helene
Cixous says, “Woman must write herself: must write about women and bring women to
writing, from which they have been driven away as violently as from their bodies” (875).
Cixous states that it is imperative that women write for two reasons: 1) by writing about
herself, women can take back their bodies and voices that have been taken from her and
2) creating a new history for other women (880). The same can be said about filmmaking.
It is important to have women behind the camera, telling their stories, and changing
history.
Often (but not always) when men are behind the camera, female characters
suffer from being one-dimensional and only present as an object for the main (male)
characters. One example of this is the 2012 ‘comedy’ film The Hangover (this was 1 of
10 films chosen by AFI for their 2009 film list). Todd Phillipss’ film is a perfect example
of a classic ‘buddy-comedy’ written, created and watched by men. The few female
characters present are stereotypes: “Man projects all females at once onto woman. And
the fact is that she is a female” (Beauvoir 21). In The Hangover’s case, there are only a
few types of women. There is Tracy, Doug’s fiancé, who is only the object of a wedding;
she only exists as someone for Doug to marry. Phil’s wife (who has no name) is only
brought up in conversation when Phil wants to complain about his life but when she
appears at the end of the film, they seem in love and happy (and she seems unconcerned
that he abandoned her). Melissa, Stu’s girlfriend, is the nagging mother who ruins the fun
for the boys, and Stu breaks up with her in the end of the film because he believes that
men should be able to do whatever they want in a relationship. Jade is the sex object; she
is a stripper who Stu is able to sleep with (and marry) in one night. Jade is a mother, but
she leaves her baby with four strange men. Her character being a mother is seemingly
only a plot device so there is an excuse for the men to gawk at her breast feeding her
child. The women in The Hangover only exist as sexual objects for the men in the story.
Although the main characters in Harmony Korine’s Spring Breakers are mostly
women, they still fall victim to a lack of character development and purpose. The women
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�in Spring Breakers, like in the Hangover, exist only to satisfy the men; however, Spring
Breakers is a film to satisfy the men watching the film. Spring Breakers only takes 1
minute and 48 seconds of their opening bikini montage to show a woman’s breasts fully
exposed, and throughout the entire film, the four main characters are almost always in
bikinis (even in court). The women are constantly sexualized, using guns as phallic
objects and even having a threesome. Spring Breakers is Mulvey’s theory in effect, “she
holds the look, plays to and signifies male desire” (837). The women in Korine’s film
exist to “live out his fantasies and obsessions… by imposing them on the silent image of
woman” (Mulvey 834). As Mulvey theorizes, women are punished in films directed with
the male gaze because they are not seen as humans, they are objects existing solely for
the men watching. While Spring Breakers might be about women, it is clearly a film
made with the male gaze in mind. Both these films are “those kinds of books and comic
books and movies (that) exist in abundance to cater to the male imagination” (Solnit 142143). As Solnit explains, this type of content is only geared towards men and projecting
their sexual fantasies onto women.
While many films like Spring Breakers and The Hangover are written and
directed by men, constantly objectifying women, there are films created by men that do
the opposite. For example, John Cassavetes 1974 film A Woman Under the Influence
creates a complex female character, Mabel, that is struggling with mental illness and
being a mother. Her husband, Nick, wants Mabel to be the perfect mother and wife, but
she is struggling so much that she cannot be that for him. Cassavetes creates a film that
seemingly avoids the male gaze because the woman does not fit into a stock character or
binary stereotype of a woman; however, even then, Mabel is still abused by her husband.
Another film directed by a man that avoids the male gaze is Claude Charbol’s 1988
French film Story of Women. Charbol co-wrote this film with Claudine “Colo” Tavernier,
so this film had the brainpower of both a man and a woman. Story of Women is another
film that has an imperfect woman at the forefront; Marie is a struggling mother
performing abortions under the table. Marie is a mother, but it is clear that she does not
always want to be one; at the end of the film, before being put to death she says “Hail,
Mary, full of shit. Rotten is the fruit of your womb.” This film perfectly encapsulates
Beauvoir's chapter on Motherhood and abortion: “Pregnancy and motherhood are
experienced in very different ways depending on whether they take place in revolt,
resignation, satisfaction, or enthusiasm” (Beauvoir 533). Marie and the women in the
film have a sisterhood where they understand that being pregnant is not always a blessing
when you are not financially or emotionally prepared. Both A Woman Under the
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�Influence and Story of Women are both films that were created by men, but do not employ
the male gaze by sexualizing the women in it.
Some films even directly oppose the male gaze such as Jonathan Dayton and
Valerie Faris’s 2012 film, Ruby Sparks. Written by Zoe Kazan who also plays the titular
character, Ruby Sparks takes on the romantic-comedy stereotype of a man projecting
what he wants from a woman with a character that he can literally modify to fit his own
needs. Calvin’s ego blinds him from seeing that no one is perfect, even his brother Harry
tells him, “quirky, messy women whose problems only make them endearing are not
real.” Women do not exist just to conform to men’s wishes, and Ruby Sparks makes this
clear because even Ruby, someone that was literally created by Calvin, has her own
personality. Ruby does not just “perform within the narrative” (Mulvey 838). She has her
own hopes, dreams and desires. Yet, she is oppressed by her creator and even when Ruby
stands up for herself, she is not free until Calvin releases her. As Cixous argues, a
woman’s way to create a new history is to write herself. Kazan wrote for herself and
many women have written and directed powerful stories.
Two powerful films directed and written by women are A Question of Silence
and Jeanne Dielman. Marleen Gorris’s 1982 film A Question of Silence tells the story of
the three women that kill a store owner together without having ever met previously. The
viewers of the film are taught to empathize with the women. Although they are strangers,
the women are bonded by the universal female experience as seen by the contagious
laughter between the women and the fact that the bystanders did not tell the police they
witnessed the murder and even came to support the women in court. All of the women
have been controlled by their given circumstances and the men in their lives; they were
constantly underestimated by their bosses and husbands until they finally broke. Jeanne
Dielman, directed and written by Chantal Akerman in 1975, shows the reality of being a
housewife and mother. The three-hour slow burn gives an intimate look into the dull
routine of housework and how it can cause someone to break. Jeanne Deilman illustrates
how confining being a woman, especially a mother and housekeeper, can be. This film
avoids romanticizing motherhood and being a wife as many films do. Jeanne Deilman
and the women of A Question of Silence are complex characters that illustrate what being
a woman is really like, because they were created by women who understand what
women’s lived reality can be like. Both A Question of Silence and Jeanne Dielman show
how difficult it is to live in a world as a woman in a patriarchy, much like how being a
female director and writer in Hollywood is difficult to get critical acclaim.
Some may ask why it is so important to have female directors and writers in the
media. The reason it is important not only to have representation in front and behind the
101
�camera is because art can affect future generations of women and how they see
themselves. In her 2015 essay “Men Explain Lolita to Me”, Rebecca Solnit explains why
books that demonize women can hurt the female psyche: “You read enough books in
which people like you are disposable, or are dirt, or are silent, absent, or worthless, and it
makes an impact on you. Because art makes the world, because it matters, because it
makes us. Or breaks us” (149). Just like with books, films are a powerful cultural tool
that affect human behavior. For example, Solnit explains that a convicted serial rapist
admitted that he had begun having terrible sexual fantasies after watching Princess Leia
kidnapped and enslaved in Star Wars (142-143). When films historically paint women as
objects in a man’s story, women watching begin to internalize this ideology into their
own lives. As Beauvoir says, “If the little girl reads the newspapers, if she listens to adult
conversation, she notices that today, as in the past, men lead the world” (Beauvoir 303).
Like life itself, popular culture has an effect on young girls and how they perceive
themselves. That’s why films like A Question of Silence and Jeanne Dielman are so
important, not just as feminist films, but as films; they are films that show women
refusing to be quiet and changing their stories from the passive to the active. When all
society is exposed to heterosexual white male stories, society has evidence that anyone
else is less than. Yet, why do high film awards not reflect this need for diverse stories?
Consider this: Since 1927, 563 films have been nominated for Best Picture by
the Academy Awards, only 16 (1 of which was a male and female team) were directed by
women. Since 1943, 365 films have been nominated for Best Picture-Drama at the
Golden Globes, and only 5 of those films were directed by women; since 1951, the
Golden Globes have nominated 353 films for the Comedy category and only 16 (2 male
and female teams) have been directed by women. The Best Director category is even
more dismal; only 7 of 357 Golden Globes Best Director nominees have been women,
and only 5 of 452 Academy Awards Best Director have been women. Kathryn Bigelow is
the only female winner of the Academy’s Best Director, in 2009 for The Hurt Locker, a
film about war and the male psyche (ironically, her film does not pass the Bechdel Test)
and Barbara Streinsand is the only woman to win the Golden Globes award for Best
Director, in 1983 for Yentl (Rao). In 2019, 10.6% of the top-100 highest grossing films
were directed by women (a new high), but only Greta Gerwig’s Little Women was
nominated for Best Picture, yet she was snubbed in the Directing category. Furthermore,
no films by women were nominated at the Golden Globes in either Drama or Comedy (2
of the Foreign Language films were directed by women, although Lulu Wang’s US film
The Farewell is a bilingual film in English and Mandarian) (Dockterman). Ironically,
female-directed films that were snubbed in Best Picture garnered Best Actress
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�nominations at the Golden Globes including Cynthia Erivo for Harriet (directed by Kasi
Lemmons), Saoirse Ronan for Little Women (directed by Greta Gerwig), Awkwafina who
won for The Farewell (directed by Lulu Wang), Beanie Feldstein for Booksmart (directed
by Olivia Wilde), and Emma Thompson for Late Night (directed by Nisha Ganatra) and
garnered a Best Supporting Actress nomination of Jennifer Lopez in Hustlers (directed by
Lorene Scafaria). Furthermore, 21.22% of the films eligible to be nominated at the
Academy Awards in 2019 were directed by women (Malkin). The issue is not that
women are not making films or that they are not making good films. The issue is that
women are not being taken seriously in the film industry. According to research compiled
by Martha M. Lauzen, many large studios do not want to ‘risk’ their budgets on female
directors, especially those with less than one credit on their filmography. The main issue
with this however is that 82.6% of female directors only have the one credit because
studios will not take chances on them in the first place (Dockterman). One example is
that the first Twilight film was directed by Cathereine Hardwicke and made 70 million
dollars on opening weekend, but the studio replaced her for the sequels with a male
director (Lauzen). Without taking a chance on female directors, the film industry will not
grow into embracing diverse stories. However, the film industry is not the only artistic
field that overlooks female artists except for when they are used to elevate a man.
In 1989, the anonymous female art group the Guerrilla Girls released a photo
that circulated on New York City buses that said “Do women have to be naked to get into
the Met. Museum?” and offered the statistics that 85% of the nudes that are in the
Modern Art section at the Metropolitan Museum are women while less than 5% of the
artists are women. This poster pointed out that art overtly sexualizes women but does not
take them seriously when they are behind the paint brush. After 30 years, the art world
has not made much improvement: “between 2008 and 2018 only 11% of art acquired by
the country’s top museums for their permanent collections was by women,” and only 3%
were from African-American women (Jacobs). Furthermore, only 2% of market shares of
the global auction market were from female artists. Similarly with film, it seems that the
male gaze drives men to see films that objectify women rather than films made by
women or about women. In 2011, the comedy film Bridesmaids made 288.4 million USD
while 2009’s The Hangover’s box office totaled 467.5 million USD (and the sequel made
586.8 million USD) (Box Office Mojo). Bridesmaids is often compared as the ‘female
version’ of The Hangover and is considered one of the most popular comedic films of the
21st century, yet it made significantly less in the box office. Both films are very similar;
the one stark difference is that the leads of Bridesmaids are women (directed by Paul Feig
and written by Kristen Wiig and Annie Mumolo). It is evident that people are more
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�interested in seeing a film that objectifies women as the ‘other’ instead of where they take
the lead.
The male gaze is ever present in life and in art. There is no way to escape the
confines of the male gaze; Mark Zuckerberg created FaceBook so he and his college
friends could upload photos of girls to rate them, Evan Spiegel, a known critic of women,
created SnapChat so that messages will not be recorded, so men like him would not get
caught for commenting on women’s looks and even popular hook-up app Tinder allows
men (and women) to judge who they would like to date by looks alone (Oliver 454). With
the creation and rise of social media, the male gaze has taken on another life, “the male
gaze born out of Hollywood film and nourished by social media has blurred the
distinction between fantasy and reality to the point that men want to control women”
(455). The history of Hollywood objectifying, sexualizing, and degrading women for the
pleasure of the male gaze has caused society to internalize this thinking into reality. For
example, many rapists (including the Stanford rapist Brock Turner who sent photos of his
victim to his swim team) take ‘creepshots’ of the women they rape in order to be “the
directors and producers of their own moving pictures… wherein feminine passivity is
taken to the extreme” (455). When people are exposed to media that paints women as
only passive objects, many men watching believe that this translates to real life, so they
create their own version of Hollywood. It is evident that Mulvey’s analysis of the male
gaze has only been increased with the sexualization of women in Hollywood and more
recently, social media.
While the male gaze is “more relevant, and more dangerous, than ever” (Oliver
455), we must not give up hope that female artists and female stories will not be forgotten
among the millions of male stories. Feminist film movements are growing in the United
States and beyond. In Iran, films must follow strict rules to ensure that they are not
“morally corrupt,” and many of these rules concern the way women dress and behave
(Whatley 30). Since scripts must be approved, screenwriters use symbolism to tell stories
in a subtle way. Women are drawn to filmmaking in Iran because it is “an important tool
in their process of social transformation and political growth” (31). Many Iranian
filmmakers such as Tahmineeh Milani push political boundaries in their films and are
often arrested or sentenced to death. In South Korea (another country that censors films)
filmmaking has been traditionally dominated by men due to the tradition of gender
segregation; however, in the past few decades, female directors and writers have created
films in order to create a new view of cultural tradition (Howson and Yecies 20). One
example of a female director is Jeong-hyang Lee with her film A Reason to Live that
discusses the stories of women trying to forgive the men that abused them, directly
104
�analyzing Confucian values (19). In the United States, female filmmakers have grown in
numbers; from 2018 to 2019 the number of female directors grew 4.5% (Dockterman).
While many award ceremonies snubbed female directors in the 2019 awards season,
many female directed films consistently ranked high in critical acclaim such as Portrait
of a Lady on Fire (Celine Sciamma), Honey Boy (Alma Har’el), The Souvenir (Joanna
Hogg), and The Farewell (Lulu Wang) and many female directed films performed in the
top 100 most grossing films of 2019, such as Captain Marvel (Anna Boden and Ryan
Fleck), Hustlers (Lorene Scafaria), A Beautiful Day in the Neighborhood (Marielle
Heller), Harriet (Kasi Lemmons), Queen & Slim (Melina Matsouka), and Little Women
(Greta Gerwig) (Box Office Mojo). While it sometimes seems dismal, women are making
strides in the film industry.
In the concluding lines of The Second Sex, Beauvoir tells her readers, “men and
women must, among other things and beyond their natural differentiations, unequivocally
affirm their brotherhood” (766). For women to be liberated in life and art, especially the
film industry, the men that currently control the industry must embrace their female peers
and elevate their stories. Film, literature, and art directly influence people’s perceptions
of society and the people in it. As Solnit argues, “there is a canonical body of literature in
which women’s stories are taken away from them, in which all we get are men’s stories”
(147). It is essential that women, the LGBTQ+ community, and people of color tell their
stories in order to elevate others; for so long these marginalized groups have been
silenced. The film industry needs new, diverse stories that will broaden popular culture to
include more than heterosexual white men. There is progress: South Korea’s Parasite
(directed by Bong Joon Ho) made history at the 92nd Oscars by being the first film in a
language other than English to win Best Picture, beating out films directed by Quentin
Tarantino and Martin Scorsese (Buchanan and Barnes). Watching the audience of the
Oscars burst into applause and given a standing ovation to the cast was a monumental
moment for the film industry. In the words of Cixous, “Write! And your self-seeking text
will know itself better than flesh and blood” (889). To liberate women, women must
write, direct and create films that inspire other women to create art and we must work
with our male brothers to attempt to move past the constraints of the male gaze.
105
�Works Cited
Akerman, Chantal, director. Jeanne Dielman, 23, Quai du Commerce, 1080 Bruxelles.
The Criterion Collection, 1975.
American Film Institute. American Film Institute, https://www.afi.com/. Accessed 5 May
2020.
Beauvoir, Simone de. The Second Sex. Translated by Constance Borde and Sheila
Malovany-Chevallier, Vintage Books, 1949.
Box Office Mojo. IMDb, 2020,
https://www.boxofficemojo.com/?ref_=bo_nb_rl_mojologo,
Accessed 5 May 2020.
Buchanan, Kyle and Barnes, Brooks. “‘Parasite’ Earns Best-Picture Oscar, First for a
Movie Not in English.” The New York Time, 9 February 2020,
https://www.nytimes.com/2020/02/09/movies/parasite-movie-oscars-bestpicture.html?searchResultPosition=8, Accessed 6 May 2020.
Cassavetes, John, director. A Woman Under the Influence. Cine-Source, 1974.
Chabrol, Claude, director. Story of Women/Une Affaire des Femmes. MK2 Diffusion,
1988.
Cixous, Helene. “The Laugh of the Medusa.” Translated by Keith Cohen and Paula
Cohen. Signs, vol. 1, no. 4, 1976, pp. 875-893. www.jstor.org/stable/3173239
Dayton, Jonathan and Faris, Valerie, directors. Ruby Sparks. Fox Searchlight Pictures,
2012.
Dockterman, Eliana. “Why Do the Oscars Keep Shutting Women Out of Best Director?
This One Academy Rule Helps Explain It.” Time, 13 January 2020,
https://time.com/5763937 /oscars -2020 -female-directors-shut-out/. Accessed 5 May
2020.
Gorris, Marleen, director. A Question of Silence/De stilte rond Christine M. Quartet
Films, 1982.
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�Guerilla Girls. Do Women Have To Be Naked To Get Into the Met. Museum? 1989,
Screenprint on paper. Tate, Tate Gallery, https://www.tate.org.uk/art/artworks/guerrillagirls-do-women-have-to-be-naked-to-get-into-the-met-museum-p78793.
Howson, Richardson and Yecies, Brian. “Korean Cinema’s Female Writers-Directors and
the ‘Hegemony of Men.’” Gender, Equal Opportunities, Research, vol.15, no.1, 2015,
pp. 14-22, DOI: 10.13060/12130028.2015.16.1.167.
Jacobs, Julia. “Female Artists Made Little Progress in Museums Since 2008, Survey
Finds.” The New York Times, 19 September 2019,
https://www.nytimes.com/2019/09/19/arts/ design /female-art-agency-partners-sothebysartists-auction.html, Accessed 5 May 2020.
Korine, Harmony, director. Spring Breakers. A24, 2012.
Lauzen, Martha M. “Where Are the Film Directors (Who Happen to be Women)?”
Quarterly Review of Film and Video, vol. 29, no. 4, 2012, pp. 310-319.DOI:
10.1080/10509201003601167
Malkin, Marc. “Oscars: Academy Announces 344 Films Eligible for 2019 Beest Picture.”
Variety, 17 December 2019, https://variety.com/2019/film/awards/oscars-academyannounces-344-films-eligible-for-2019-best-picture-1203446314/, Accessed 5 May 2020.
Mulvey, Laura. “Visual Pleasure and Narrative Cinema.” Film Theory and Criticism:
Introductory Readings, edited by Leo Braudy and Marshall Cohen, 2004, pp. 833-844.
Oliver, Kelly. “The Male Gaze is More Relevant, and More Dangerous, than ever.” New
Review of Film and Television Studies, vol. 15, vol. 4, pp. 451-455.
DOI:10.1080/17400309. 2017.1377937
Phillips, Todd, director. The Hangover. Warner Bros. Pictures, 2009.
Rao, Sonia. “The Golden Globes Didn’t Nominate any Women for Best Director. Or
Screenplay. Or Motion Picture.” The Washington Post, 9 December 2019,
https://www.washingtonpost.com/arts-entertainment/2019/12/09/golden-globes-didntnominate-any-women-best-director-or-screenplay-or-motion-picture/, Accessed 5 May
2020.
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�Solnit, Rebecca. “Men Explain Lolita to Me.” The Mother of All Questions. Haymarket
Books, 2017, pp. 141-149.
Whatley, Sheri. “Iranian Women Film Directors: A Clever Activism.” Off Our Backs,
vol. 33, no. 3/4, 2003, pp. 30-32. https://www.jstor.org/stable/20837786.
108
�The Elemental Rock, Paper, Scissors of
William Shakespeare’s Richard II
Jim Jones (Arts Administration) 1
Rock. Paper. Scissors. Shoot! Simple in direction, yet intricate in constituent
relationships, this cyclical game elicits concepts of hierarchy, order, and elemental
properties. Rock beats scissors, scissors beat paper, paper beats rock, and the cycle
continues. The specific composition of each component allows it to affect another,
dominate another, but not destroy another because each piece of the game cannot
function without the other. The individual constituents are linked, but discrete, integral to
the whole unit, functioning in a manner that enables the constant continuation and
existence of the game. These same principles can be applied to Medieval and
Renaissance philosophy comprising Elizabethan literature. Deriving from The Great
Chain of Being, order, hierarchy, and rank consumed the forefront of place identification
during the Elizabethan Era (Tillyard, 2000). Divinely ordered by God, every primate,
every extremity, and every other being had a place in the well-ordered cosmos.
Consequently, the elements, fire, air, water, and earth, in that descending order, had their
own hierarchical linkage. However, despite the power each element possessed over the
one below it, they were all consequential, in proper balance, to uphold the health of the
individual, and most significantly, the community (Harris 1970; Tillyard, 2000). This
contrariety between the elements, as distinguished through The Great Chain of Being and
their evolutionary philosophical properties, accentuates the roles of order, hierarchy, and
rank depicted in Elizabethan literature. As a cardinal example of this literature, William
Shakespeare’s Richard II manifests the elements and their contextualized conventions to
illuminate the characterization of and dichotomy between Richard and Bullingbrook as
well as to perpetuate the potent concepts of hierarchy, order, and divine right in the
Elizabethan Era.
Before the Elizabethan Era and early Renaissance, there were philosophers who
conceptualized the elements and their properties in relation to science. Empedocles, a
Greek pre-Socratic philosopher, proposed the cosmogonic theory of the four classical
elements: earth, wind, fire, and air. Although he did not originate the word “element,” as
1
Written under the direction of Dr. Ann Hurley for EN330: Shakespeare Survey.
109
�Plato did, Empedocles reasoned that Love and Strife cause the variance between
elements, their aggregation and segregation, and that all matter is created or changed
from these elements (Aristotle and Joachim, 2001). Hence the elements were all equal.
Empedocles’ ideas were evolved and reinvisioned by the Greek philosopher Aristotle
who divided the universe into terrestrial spheres composed of the four elements. He is
also accredited for the weightless and incorruptible fifth element, aether, which was
depicted as heavenly; an innovation worth noting as a shift began to occur from scientific
matter to religious matters. Through Aristotelian physics, the elements began to establish
the first sense of order or precedence. His Theory of Motion described earth and water as
falling and air and fire as rising. The elements also had special properties, hot/cold wet/dry, which allowed them to undergo transmutation. Aristotle stated stars were not
made of the elements but rather of a divine substance (Aristotle and Joachim, 2001).
Philosophy of The Middle Ages explored alchemy and matter but focused more on the
elements as constituents of the cosmos. Concepts of hierarchy and elemental properties
taken from Aristotle were manifested in the formulation of Elizabethan and Renaissance
elemental philosophy. Secular thought vanished and the Christian religion became law.
Everything in nature was a microcosm living in God’s macrocosm. And it is during this
time period God was thought to be ruler of all, creator of everything. Through divine
order, hierarchy was established, and a chain followed. “This chain stretched from the
foot of god's throne to the meanest of inanimate objects” (Tillyard, 2000, p. 23). The
elements were ordered toward the bottom of the chain, but still important to the harmony
of the rest of the chain, as every being was linked together.
Reevaluating the parallel between rock, paper, scissors and the historical
elemental philosophy allows the Elizabethan conceptualization to be reasoned,
extrapolated, and recognizable in Richard II. While all three elements are present, and
significant, fire, water, and earth remain the most dynamic elements in the text; and
therefore, will be the focus of this analysis. The game of rock paper scissors is cyclical,
and so are they elements in their function and properties. Each of the four elements has a
season associated with it; and through this imagery, elements are established as cyclical
conventions. Rock, paper, and scissors have unique compositions which enable their
powers over the others. Similarly, the elements of fire, water, and earth, despite their
divine ordering, yield compositions characteristic of natural phenomena. Aristotle depicts
fire and air as ascending elements and water and earth as descending elements (Aristotle
and Joachim, 2001). Fire can boil water. Water can put out fire. Water can flood the
earth. Fire can scorch the earth. Earth, heavy, dry, and cold, does not hold any special
force over the other two elements; however, earth is the foundational element of the
110
�universe. Without earth, there would be no purpose for fire and water. All of these
conventions form the basis for extrapolating and tracking the dichotomy between Richard
and Bullingbrook throughout the play as well as illustrate the chain of being.
The element fire plays a consequential role in Richard II. Fire is divinely
ordered as first on the chain of being in the realm of elements. Fire is related to summer,
heat, sun, dryness, and the transition to the realm of planets. Meteors assemble through
this element. Characters with fire imagery are typically choleric, a type of personality
ordered above other elemental personalities. In the Elizabethan Era, people characterized
in fire imagery are depicted as ambitious, natural born leaders, dominant, and can be
violent (Samuel, 1948). At the beginning of the play King Richard proclaims, “High
stomach’d are they both and full of ire/ In rage, deaf as the sea, hasty as fire” (I.i.18-19).
This is the first occurrence of elemental imagery where fire and water are introduced.
Shakespeare’s description of their animosity utilizes fire and water to foreshadow the
opposition between Richard and Bullingbrook, but in this passage it is Mowbray who
assumes the position of fire while Bullingbrook begins his role as the water. The
elements are personified and given characteristics much like the hierarchical personality
traits of the elements (Tillyard, 2000). In a later passage, greatly significant in the play’s
entirety, John of Gaunt reasons on his death-bed, “His rash fierce blaze of riot cannot
last,/ For violent fires soon burn out themselves;/ Small showers last long, but sudden
storms are short” (II.i.33-35). Here the elements remain separate from one another. The
fire putting itself out is symbolic of Richard’s ineptitude as king, and how this inability
will lead to his descension and usurpation. The choleric personality trait adjacent to fire is
present in this passage and depicts Richard's potential downfall in a place of dominance
for an overexerting ambition. Despite its higher position on the chain, the element of fire
is not indomitable. It cannot be, or else the elements on the great chain of being would be
out of balance, and negatively impact the community. Later in Act II, Salisbury
prophecies, “Ah, Richard! With the eyes of heavy mind/ I see thy glory like a shooting
star/ Fall to the base earth from the firmament./ The sun sets weeping in the lowly west/
Witnessing storms to come, woe, and unrest” (II.iv.18-22). Here Richard is compared to a
shooting star. These meteors exist as conventions on the elemental plane of fire, where
the bright burning star resembles that of Richard the divinely appointed king. Seemingly
complementary, the contrary is soon unraveled, and Richard is called a shooting star for a
reason. As a star goes up, so it must come down. The star is shooting down towards earth,
the lowest element on the chain, foreshadowing Richard’s fall as king and death (Harris,
1970). The next line relates Richard to a setting sun watching the storms, or
Bullingbrook, approach his kingdom. He fears the ability of the water to suppress his fire,
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�but once again the word “watching” is an acute action calling out the inaction of Richard
to stop Bullingbrook.
In Act III, the roles are reassigned to Richard and Bullingbrook and the great
chain of being starts to get disrupted. Richard states, “Let them hence away/ From
Richard's night to Bullingbrook's fair day” (III.ii.217-218). This is the first moment of
realization and true recognition from Richard where he saw Bullingbrook as a worthy
opponent, one capable and in the works of usurpation. Richard’s night, despite the moon
exhibiting illuminative qualities, still receives its light from the sun, and ultimately, this
convention helps aid Richard’s hopelessness for power. Also in Act III, Bullingbrook
proclaims, “See, see, King Richard doth himself appear/ As doth the blushing
discontented sun/ From out the fiery portal of the east/ When he perceives the envious
clouds are bent/ To dim his glory and to stain the track/ Of his bright passage to the
occident” (III.iii.62-67). The sun and its movement in this passage serves to function as
“an eclipse, the coming of night, and the cold, sunless climate” (Kliger, 1948, p. 197).
Richard is a disconnected son. Through the sun as an image of fire and hierarchy on the
great chain of being, the disconnection in the passage refers to Richard’s problematic role
as the divinely appointed king through God’s providence as his role as ruler. Until his
death, Richard remained the highest Godly figure on earth; however, his inability to fulfil
his role as a good leader allowed other elements, like water, to infiltrate the divine order.
The act of the sun moving from east signifies Richard’s dissension and the movement of
day into a cloudless night, coldness being an elemental property of water. The dimming
of the sun by envious clouds elicits eclipse images and reinforces Kliger’s analysis of the
roles of the sun in Richard II. The setting of the sun also reflects a cyclical movement as
the elements function through cyclical interactions with one another.
Conjoining to the previous passage, the fire imagery continues to characterize
Richard and his relationship with Bullingbrook. When Richard is sought out by the
enemy he states, “Down, down I come, like glist'ring Phaëton” (III.iii.178). Phaëton is the
son of Apollo, the Sun God. He attempted to drive his father’s chariot across the sky and
was hurled down to his death because of an inability to control the chariot. This alludes to
Richard’s inability to fulfill his role as king and also foreshadows his death. After
dissecting the fire element and water’s ability to overpower it, the last passage of analysis
reinforces the underlying principles of Elizabethan elemental philosophy. In Richard’s
final moments, he tells Bullingbrook, “That hand shall burn in never-quenching fire”
(V.v.108). The purpose of this line is to signify the power of fire even when it has been
relinquished. Fire is hierarchically ordered by God above water; and therefore, will
always assert dominance even in death. This line is also most consequential to the fact
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�that a formal abdication never occurred and Bullingbrook will never truly assume the
divine appointment to the throne. He will never quench Richard’s fire.
The element of water remains another convention used by Shakespeare to
accentuate the great chain of being and the dichotomy between Richard and
Bullingbrook. As seen in almost all of the above passages, where there is sun, there is
water. Bullingbrook fluctuates between fire imagery and water imagery; however, he is
predominately and hierarchically associated with the convention of water. From floods,
tides, storms, and rain, water encompasses a variety of elemental forms and
transmutations. Its attributed traits align with phlegmatic characteristics and depict people
of this element to be unemotional and stolidly calm (Aristotle and Joachim, 2001). For
the majority of the play, Bullingbrook remains calm, cool, and collected, which is fitting
considering that coolness is an elemental property of water. He is rather diplomatic in his
usurping affairs and echoes the unemotional personality trait, convincing the people he is
doing what must be done for the betterment and health of the community. As water, he
must be the one to nourish the earth, or the common folk hierarchically ranked below
him.
At the beginning of the play water is presented as a protective element. Gaunt
describes, “This happy breed of men, this little world/ This precious stone set in the silver
sea/ Which serves it in the office of a wall/ Or as a moat defensive to a house/ Against the
envy of less happier lands” (II.i.45-49). The Elizabethan lands are nourished from water,
protected in the form of a moat. In the same speech Gaunt asserts, “England, bound in
with the triumphant sea/ Whose rocky shore beats back the envious siege/ Of wat'ry
Neptune, is now bound in with shame” (II.i.61-63). There is an ambivalence between
these texts because water is used in two forms, two conventions, moving from protective
in the first passage to dangerous and threatening in the second (Harris, 1970). The
Elizabethan lands are visualized as an Eden-like place or demi-paradise flourishing under
the balance of the elements, but when Richard takes root in the land, the sea becomes
enraged. Consequently, Bullingbrook becomes enraged. The rocky shore elicits elemental
strengths of earth in ‘beating back’ the sea. Bullingbrook, although not yet asserted as the
primitive character of water, is compared to Neptune, god of water and the seas. This
God-like depiction fuels his character’s ambition to usurp the throne and clarifies his
ascension and fluctuation on the chain of being occurring as if God had ordained it
himself.
Later in Act III, King Richard states, “Not all the water in the rough rude sea/
Can wash the balm off from an anointed king” (III.ii.54-55). Bullingbrook, as the element
of water, is trying to usurp the throne but cannot successfully do so unless there is a
113
�formal abdication which would allow the nature of God to continue to exist in harmony.
The “balm” is a water element but is associated with the kingly image and is an integral
part of the coronation ceremony. Richard, as the element fire, possesses the hierarchically
placed balm as opposed to the sea which is possessed by Bullingbrook. Once again,
divine right and order rules all social constructs of the Elizabethan Era.
Another passage highlighting the imagery of water is narrated by Bullingbrook:
Methinks King Richard and myself should meet
With no less terror than the elements
Of fire and water when their thund'ring shock
At meeting tears the cloudy cheeks of heaven.
Be he the fire, I'll be the yielding water;
The rage be his, whilst on the earth I rain
My waters: on the earth, and not on him. (III.iii.54-60)
The passage highlights an irony in one of the elemental properties of water. The image of
rain in opposition to the raging fire at first appears to realize the phlegmatic
characterization of a calm, unemotional Bullingbrook. However, the choice of “rain” and
the word “yielding” are deceptive (Harris, 1970). Bullingbrook does not let up on his
quest for usurpation. He does not undertake a submissive, docile position in Richard’s
world. He wants to be the fire. Aristotelian physics plays an integral part in the
comprehension of elements either rising and falling due to their composition and place in
the terrestrial spheres (Tillyard, 2000). The following passage illustrates a similar
compilation of elemental philosophies:
Now is this golden crown like a deep well
That owes two buckets, filling one another,
The emptier ever dancing in the air,
The other down, unseen, and full of water:
That bucket down and full of tears am I,
Drinking my griefs, whilst you mount up on high. (IV.i.184-189)
First and foremost, the divine crown being compared to a deep well is a juxtaposition that
is suggestive of the “hollow crown.” This is a symbol of kingship, divine right, and only
one person may wear it at a time. The fact both fire imagery, as innately depicted through
Richard, and water imagery, as denoted by Bullingbrook, exist in the crown together
violates God’s ordained chain of being and the community. This image is close to an
attack on God. In the text, the crown does align itself to Bullingbrook in the validation
Richard is not a good leader and Bullingbrook is; therefore, it is not unreasonable to also
affiliate Bullingbrook with the crown. However, the cyclical nature of these analyses
114
�brings the conversation right back to the very beginning: God. No matter the
circumstances, Richard is the true king appointed by God and abdication must occur in
order for elemental balance to occur. Water is cold and heavy, weighing down one bucket
more than the other, and at this point, it is Richard who exudes more water imagery than
Bullingbrook. The Aristotelian physics of ascension and descension reappear here and
illuminate the evolving dichotomy between Richard and Bullingbrook.
The last passage detailing water imagery is found at the very end of the play
where Bullingbrook proclaims, “I'll make a voyage to the Holy Land/ To wash this blood
off from my guilty hand” (V.vi.49-50). This passage alludes to an earlier passage spoken
by Richard where he asserted his everlasting dominance over Bullingbrook stating “that
hand shall burn in never quenching fire” (V.v.109). Blood, an instance of water, serves
the purpose of demonstrating elements as cyclical conventions and ordained inanimate
extremities. Similar to most of the play where Richard was his own worst enemy,
Bullingbrook, due to a consequence of informal abdication, will be damaged by his own
element. He will carry the blood of Richard on his hand forever, unable to be washed off
because the ordained fixation of fire has hierarchical placement and properties over
water.
The final element completing the rock, paper, scissors of Richard II is earth.
Ranked lowest in the elemental realm on the great chain of being, earth does not hold the
same level of power as do the elements above it; however, it possesses the foundational
quality adherent to the existence and purpose of the other elements. The Duchess echoes
this position by stating “Or seven fair branches springing from one root” (I.ii.13).
Aristotle depicted earth to be a falling element, a dry, cold, heavy substance (Aristotle
and Joachim, 2001). In Elizabethan literature, earth imagery is most commonly
manifested in the form of gardens, forests, and orchards. These places encompass the
hierarchical principles of Elizabethan philosophy from the plants to the animals and so
on. Religion is evoked through garden images as symbols of Eden. In John of Gaunt’s
famous speech about England he states, “This earth of majesty, this seat of Mars/ This
other Eden, demi-paradise” (II.i.41-42). Here England is compared to Eden. The English
lands reign supreme over the others as Eden is the primate of the earth elements. It is
God’s garden, majestic, beautiful, and superior. Later in this same speech, Gaunt
compares the English lands under Richard to a “tenement or pelting farm” (II.i.60).
Richard has disrupted the elemental harmony, detrimenting the English lands’ ability to
hold stature as a divinely ordered Eden-like mnemonic. The battle between Richard and
Bullingbrook, fire and water, is warned in Gaunt’s juxtaposition of the lands and
115
�underscores the importance of elemental concord, for the earth, despite its unique
foundational properties, is at the mercy of the elements ordered above it.
“Gardens and orchards (the words can be synonymous) can, however, have a
wider symbolic resonance as secluded places feeding insight and understanding”
(Condren, 2016, p. 625). This idea is extrapolated in the famous Garden Scene where
earthly symbols define the realm of England in its religious and political vicissitudes. As
explained by Condren, [gardens] “are microcosms for civilization and its fragility” (p.
625). The gardener, ranked in the lower class, assumes his role of attendant to the
garden, and demonstrably so, succeeds in his position. This is quite the contrary to
Richard as he fails to effectuate his role as king. Richard’s garden, the English lands, is
full of “weeds” (III.iv.36-39); the weeds being the forces of Bullingbrook in their quest
for usurpation. The Gardener reasons that Richard, had he embodied his kingly
providence without disregard for his leadership role as king, would have a healthy
garden, or England, just like his. Consequently, civilization would continue, evolve, and
fluctuate with the cyclical patterns of the elements.
The Elizabethan philosophy of divine hierarchy, depicted through the chain of
being, continues to be portrayed in the garden scene. The Gardener symbolizes God
himself for he was the first true gardener (Condren, 2016). The apricots hang low in the
garden due to their “prodigal weight” (III.iv.29-31) is a direct extrapolation of rank,
order, and hierarchy mandated through the chain of being. The fruit trees themselves are
examples of the leadership of kings. “The skin of our fruit trees/ lest being over-proud in
sap and blood” (III.iv.58-59) depicts how each king makes the progression of the
kingdom stronger. This foundational imagery reflects that of the elemental property of
earth. Once again, evolution, cycles, the effectual elements coexisting, order, and
providence encapsulate the way in which the cosmos can exist and England can thrive.
As the earth provides kings with a realm to divinely rule, it also holds the eminent body
deceased. Earth, closest to hell, the lowest ranked element, and a cyclical image captures
the death and descent of Richard and the sickly kingdom. But once the elements are
restored, ordered in divine place, a new, providential king will emerge, and England will
exist in all of Earth’s grace.
It would be an understatement to suggest the elements form the composition of
Shakespeare’s Richard II. Through an evolving lineage the historical philosophy of the
elements translates into an effectual convention for detailing the history play Shakespeare
created. Exploited through the imagery of fire and water, the dichotomy of Richard and
Bullingbrook is manifested. The relationship of the elements in adherence to their
respective order on the chain of being epitomizes the hierarchical and providential
116
�concepts of Elizabethan philosophy placed throughout the text. Modern treatment of the
elements in literature can be comprehended and applied in other realms through the dyad
and assimilation of Elizabethan elemental philosophy compared to our own. In
appropriate fashion, utilize a property of the elemental relationship one last time and
cycle back to the beginning of the essay. Here lies the future format for classroom
conversation in the first attempt to extrapolate the significance of the elements in
Shakespeare’s Richard II. And let the cycle continue …
Rock. Paper. Scissors. Shoot!
Works Cited
Aristotle, and Harold H. Joachim. On Generation and Corruption. [Electronic Resource].
Virginia Tech, 2001.
Condren, Conal. “Skepticism and Political Constancy: Richard II and the Garden Scene
as a ‘Model of State.’” The Review of Politics, vol. 78, no. 4, 2016, pp. 625–643.
Kliger, Samuel. “The Sun Imagery in ‘Richard II.’” Studies in Philology, vol. 45, no. 2,
1948, pp. 196–202. JSTOR
Harris, Kathryn Montgomery. “Sun and Water Imagery in Richard II: Its Dramatic
Function.” Shakespeare Quarterly, vol. 21, no. 2, 1970, pp. 157–165. JSTOR
Tillyard, E. M. W. The Elizabethan World Picture. Vintage Books, 2000.
117
�Debating for Democracy: Letter to an Elected Official
Hailey Delaney (Theatre Design, Technology, and Management)
and Braith Dicker (Theatre Design, Technology, and Management) 1,2
Representative-Elect Nicole Malliotakis
2300 Richmond Road
Staten Island, NY 10306
Dear Representative-Elect Malliotakis,
We write to you today in regards to supporting the Gender Inclusive Passport
Act (H.R.5962), an actively disputed bill within the United States Congress. As of 2015,
only 11% of transgender, including non-binary and intersex, people in America have their
preferred name and gender marker on all IDs and official records (Scheim et. al, 2020, p.
e196). The percentage is still relatively low today, which can lead to transgender people
having conflicting forms of identification, which would cause legal issues, and have
negative effects on their mental health.
Throughout this letter, we will use transgender and non-binary as umbrella terms
to refer to female to male and male to female transgender people, non-binary people,
intersex people, and any other underrepresented genders. According to McCarey (2019),
transgender can be defined as, “someone’s innate, internal sense of their own gender
doesn’t match the gender they were assigned at birth” (para. 7). In addition, intersex
people often face the same discrimination as transgender people. Intersex is defined as,
“people who are born with hormonal, physiological, or chromosome characteristics that
do not correspond to Western medical definitions of binary sex” (Davis, 2014, p. 47). For
the purposes of this letter, we will use transgender and non-binary to indicate all people
who do not identify with their birth sex and do not conform to the binary gender
spectrum.
The lack of sufficient gender markers disproportionately affects non-binary
people (Scheim et al., 2020, p. e201). For example, Scheim et al. (2020) found that
40.3% of people gave “lack of suitable gender markers (beyond male or female)” (pp.
e201-202), as the reason for not changing their gender marker. For non-binary and
intersex people, particularly in New York, this issue is pertinent. Currently, people living
1
2
Written under the direction of Dr. Bernadette Ludwig for SO320: Sociology of Gender.
This letter was part of Projects Pericles' Debating for Democracy initiatives.
118
�in New York City can only change their gender marker to ‘X’ on their birth certificate
and on their IDNYC (McCarey, 2019). Having IDs where the gender markers reflect
one’s gender identity correlated with positive effects for trans individuals (Restar et. al,
2020, pp. 6-7). As constituents of New York’s 11th Congressional District, we interact
with many non-binary people who experience gender discrimination and lack of gender
affirmation, who feel misrepresented by their ID within the district’s space. Supporting
the Gender Inclusive Passport Act (H.R.5962) would greatly benefit the non-binary
members of our community, both locally and federally.
Without the Gender Inclusive Passport Act (H.R.5962), the effects could be
detrimental to the mental health of non-binary and intersex people. Allowing the gender
marker “X” on passports would create a greater sense of gender affirmation for
transgender constituents. Gender affirmation can be defined as a process of support and
assertion by a transgender or non-binary person and the people surrounding them, either
politically, socially, or psychologically (Restar et. al., 2020, p. 2; Scheim et al., 2020, p.
e197). The passing of this Act would promote positive mental health for non-binary
people in the United States as a whole. If the Gender Inclusive Passport Act (H.R.5962)
is not supported, non-binary and intersex people will continue to face gender dysphoria
on the legal level (McCarey, 2019; Pilkington, 2015; Restar et al., 2020; Scheim et al.,
2020). Among the transgender community, the prevalence of suicide attempts is 41% in
comparison to 4.6% for the total US population (Pilkington, 2015, p. 391). In addition,
the prevalence of clinical depression among transgender adults is 50%, which is 20%
higher than the general United States population (Scheim et al., 2020, p. e197). The
mental health of transgender people and being able to change their gender marker on
forms of identification have a direct correlation. Restar et. al. (2020) found that
transgender people who had at least one gender marker that corresponded correctly to
their identity on an official identification document had reduced suicide attempts and
ideation (p. e197). Hence, this shows that having the correct gender marker, such as “X,”
improves a transgender individual’s mental health through legal gender affirmation. This
also positively affects their social gender affirmation, which aids them in dealing with
gender discrimination.
Overall, transgender individuals who were able to change their gender marker
on multiple official documents had significantly lower odds of having a negative
emotional response to gender-based discrimination (Restar et. al, 2020, p. 6). Conflicting
gender markers on forms of identification, as noted with IDNYC and New York State
driver’s licenses, contribute to higher chances of gender discrimination. For example, if a
non-binary or intersex person was pulled over in Staten Island when the officer asks them
119
�to present their driver’s license, the gender marker may not correlate to their gender
presentation in the officer’s eyes. In cases such as this, “their ID [would] out them as
trans, which puts them at risk for anti-trans violence” (McCarey, 2019, para. 8). For nonbinary people, the option of having a gender marker “X” can only benefit them, both
inwardly and in others’ perceptions of them.
On the federal level, it is vital for the gender marker “X” to become an option.
The potential positive outcomes of supporting and passing the Gender Inclusive Passport
Act (H.R.59602), are revealed through at least nineteen states that have passed similar
legislation. This has only been beneficial to non-binary and intersex people living in these
states. According to Movement Advancement Projects (n.d.), currently, nineteen states
allow the gender marker “X” on driver’s licenses, and thirteen states allow the gender
marker “X” on birth certificates. While these numbers are good, less than half of states
allow for the gender marker “X” on official identification. The passing of the Gender
Inclusive Passport Act (H.R.59602) would allow non-binary people, in our district and
across the United States, to have a federal form of identification that adheres to their
gender identity regardless of which state they reside in. This would be evident as they
travel outside the United States as well, and would create a global conversation about the
United States’ positive perspective on inclusivity. If passports have the option for gender
marker “X,” they would serve as a gateway for other states to include “X” on their birth
certificates and driver’s licenses.
We hope with this letter you are now convinced to support the Gender Inclusive
Passport Act (H.R.59602). This letter can be used as a means to sway your colleagues to
reconsider their stance in favor of the diverse population of our great nation. Supporting
this act would mean a great deal to the citizens of the United States as a whole, but most
importantly to your non-binary constituents that reside in New York’s 11th Congressional
District. Telling non-binary Americans to pick between the male or female gender on
their passports, is akin to telling U.S. citizens to lie on official government documents.
We firmly believe that with your support the Gender Inclusive Passport Act (H.R.59602)
will be passed, and allow transgender Americans to prosper in ways they were unable to
before.
Sincerely,
Hailey Delaney and Braith Dicker
Wagner College
120
�Works Cited
Davis, H. F. (2014). Sex-classification policies as transgender discrimination: An
intersectional critique. Perspectives on Politics, 12(1), 45-60.
McCarey, D. (2019, June 19). Changing Your NYC Gender Marker: Everything You
Need to Know. Retrieved November 8, 2020, from
https://www.teenhealthcare.org/blog/gender-marker-change/
Movement Advancement Project. (n.d.). Identity Document Laws and Policies. Retrieved
November 10, 2020, from https://www.lgbtmap.org/equalitymaps/identity_document_laws
Pilkington, E. (2016). “I am Alena”: Life as a trans woman where survival means living
as Christopher. In P. Rothenberg (Ed.) Race, class, and gender in the United States (10th
ed.) (pp. 387-292). Worth Publishers
Restar, A., Jin, H., Breslow, A., Reisner, S. L., Mimiaga, M., Cahill, S., & Hughto, J. M.
W. (2020). Legal gender marker and name change is associated with lower negative
emotional response to gender-based mistreatment and improve mental health outcomes
among trans populations. Social Science & Medicine: Population Health, 11.
https://doi.org/10.1016/j.ssmph.2020.100595.
Scheim, A. I., Perez-Brumer, A. G., & Bauer, G. R. (2020). Gender-concordant identity
documents and mental health among transgender adults in the USA: A cross-sectional
study. The Lancet Public Health, 5(4), e196–e203.
121
�Star Wars Episode V: The Empire Strikes Back
Darth Vader’s Cue
Julia Searle (Business Administration) 1
The movie The Empire Strikes Back is a “rousing adventure story that is also
genuinely disturbing.” 2 The film is the sequel to Star Wars Episode IV: A New Hope and
is the fifth episode in the acclaimed Star Wars series. Despite the enterprise’s raging
success, the Star Wars films were very risky at first. The first Star Wars film, A New
Hope, came out in 1977. According to Emilio Audissino, a film historian and film
musicologist at the University of Southampton, “The main doubt about the commercial
result of the project was that the sci-fi genre was out of fashion in 1970s cinema.” 3 As
Charles Lippincott, a colleague of George Lucas, recalled, “Kubrick’s 2001 didn’t break
until late 1975 – and that was the most successful science-fiction film of all time… You
had to be crazy to make a science-fiction film when we wanted to.” 4 The Star Wars films
were a very expensive risk at the time. However, the first film was a hit and its successor
would shock audiences even more. The Empire Strikes Back was released on May 21,
1980 and became one of the most profitable films of that year, making over $440
million. 5 The director of this film is Irvin Kershner, who took a very different path from
Lucas with A New Hope and chose to make Empire more sinister. The Empire Strikes
Back brings the audience’s anxieties closer to the surface “without satisfactorily resolving
them.” 6 In order to make the overall film more intense for the audience, the music needed
an upgrade. John Williams, the composer of all the Star Wars films, took on this task.
Kershner had Williams expand the orchestra to feature 129 musicians and three new
1
Written under the direction of Dr. David Schulenberg for RFT-LC 5.
Andrew Gordon, “The Empire Strikes Back: Deeper and Darker,” in Sex, Politics, and
Religion in Star Wars: An Anthology, edited by Douglas Brode and Leah Deyneka
(Lanham, Md.: Scarecrow Press, 2012), 166.
3
Emilio Audissino. John Williams’s Film Music: Jaws, Star Wars, Raiders of the Lost
Ark, and the Return of the Classical Hollywood Music Style (Madison: University of
Wisconsin Press, 2014), 69.
4
Audissino, John Williams’s Film Music, 70.
5
The Numbers. <https://www.the-numbers.com/movies/franchise/StarWars#tab=summary>. Accessed Jan. 21, 2014.
6
Gordon, “The Empire Strikes Back,” 171.
2
122
�memorable cues or leitmotifs for Princess Leia and Han Solo, Yoda and Darth Vader. 7
Williams, a highly talented composer, used a full symphony orchestra and composed in
the late-romantic style for this movie. 8 The grand, inspiring music in this film has
become iconic and inseparable from the films themselves.
What made this particular episode so successful was Kershner’s new vision
accompanied by Williams’ brilliant music. George Lucas, the originator of the franchise,
the producer of the films and former student of Kershner, “left Kershner to produce
something darker than he would or could have done himself.” 9 In order to prepare,
Kershner read a multitude of fairy tales because the “victory in fairy tales is not over
others, but over oneself and over villainy.” In Empire, the ending is not satisfactory for
the audience. The “Dark Side, the Empire, predominates” and the audience's “unease is
tempered only by the awareness that fairy tales have happy endings.” 10 Kershner took
this chapter in a new direction, as compared to Lucas. In order to convey those escalating
anxieties, the music had to adapt and John Williams was the one to make that happen.
According to Daniel Thornton, “Williams' themes are arguably the most identifiable of
any composer in history.” 11 Williams produced music for iconic films including Jaws
(1975), Jurassic Park (1993-2018), E.T. (1982) and the first three Harry Potter films
(2001-2004), making him extremely successful and famous. 12 As of 2016, Williams had
won five Academy Awards, was nominated fifty times and had thirty combined Grammy
nominations and awards. 13 According to Grove Music Online, John Williams has “the
ability to express the dramatic essence of a film in memorable music ideas… he is able to
shape each score to build climaxes that mirror a particular narrative structure.” For
example, “The score to Close Encounters is built upon a small range of related motivic
fragments: a 5-note ‘aliens’ theme, the first four notes of the Dies irae, an ascending
tritone, and a related, disguised kernel from the Disney standard, ‘When you wish upon a
star.’” 14
7
Audissino, John Williams’s Film Music, 78.
Ibid., 77.
9
“Irvin Kershner," The Times (United Kingdom), Dec. 1, 2010, p. 67.
10
Gordon, “The Empire Strikes Back,” 168.
11
Daniel Thornton, “Star Wars Soundtracks: The Worship Music of John Williams.”
Journal of Religion and Popular Culture 31 (2019): 87-100.
12
Thornton, ““Star Wars Soundtracks,” 88.
13
Christopher Palmer and Martin Marks, "Williams, John," in Grove Music Online
<oxfordmusiconline.com), accessed Oct. 27, 2020.
14
Palmer and Martin, "Williams, John."
8
123
�In “Star Wars Soundtracks: The Worship Music of John Williams,” Daniel
Thornton argues,
Williams’ skills and techniques allowed him to make Empire an iconic and dark
film, just as Kershner intended. His iconic compositions help the audience make
an emotional connection with the films because the music is so powerful and
effective on their overall experience. Williams adopts and adapts Richard
Wagner’s leitmotif concept particularly in Empire to represent the tension
between good and evil, the Rebels and the Empire. His simple and repetitive
construction makes his melodies memorable and the repetition of such leitmotifs
throughout the films, as in Empire, puts them in the audience’s memories and
constructs their symbolic significance. 15
Williams’s method makes full use of the London Symphony Orchestra and his scores are
orchestrated himself. His score for Empire includes “expressive use of melody” and
“exploits the effects of instrumentation.” Its tonal harmony, especially triadic harmony,
and its use of a large-scale symphony orchestra are what make the music in Empire so
effective on the audience’s overall experience. 16 For example, the iconic main theme for
the Star Wars films, “with its dramatic upward fifths, tonal harmony, brass
instrumentation, and rhythmic underpinning” interconnects this film with A New Hope
and creates a sentimental association with the audience. 17 The musical strategies
Williams employs are a key component for establishing a connection between the
audience, the characters and the story.
The Empire Strikes Back follows the story of Luke Skywalker, a young Jedi-intraining and a rebel pilot against the Empire, played by Mark Hamill. Darth Vader, the
antagonist, played by David Prowse and voiced by James Earl Jones, is trying to capture
Luke and get him to join the Dark Side. Luke’s friends, Chewbacca, a Wookiee played by
Peter Mayhew, Han Solo, Captain of the Millennium Falcon, played by Harrison Ford
and Princess Leia, a leader for the Rebel Alliance, played by Carrie Fisher, also find
themselves trying to fight and escape capture from Darth Vader. The film takes place in a
futuristic galaxy where the Empire represents evil and the Dark Side and the Rebels and
Luke Skywalker represent the Light Side, the good side.
15
Thornton, “Star Wars Soundtracks,” 89.
Kalinak, Settling the Score: Music and the Classical Hollywood Film (Madison:
University of Wisconsin Press, 1992), 198.
17
Ibid., 195.
16
124
�In The Empire Strikes Back, Darth Vader plays a more considerable role than he
had in the previous film so Williams composed an entire theme for him. This theme is
Darth Vader’s cue and is known as “The Imperial March” theme; it is “an extended and
richly orchestrated march which activates not only musical conventions for suspense but
those for evil as well.” 18 Darth Vader is the malicious villain in the futuristic space
society and his sole mission is to lure Luke Skywalker to join the Dark Side. Thus, his
cue must represent his wickedness and immense power. The first time “The Imperial
March” theme, also known as Vader’s cue, is heard is at 0:19:45 in the film. Darth
Vader’s cue, consists of “a short passage in chordal harmony accompanied by various
combinations of timpani, celli, trombones, bassoons, and basses playing low in their
register.” 19 The cue also contains a “hint of dissonance in the accompaniment which is a
kind of ostinato… driven by triplets with a distinctive descending major third at the end
of some phrases.” 20 The theme plays from 0:19:45 to 0:20:30 as the Imperial fleet, made
up of colossal spaceships known as Star Destroyers, come onto the screen; the meter of
the theme is quadruple.
As Kathryn Kalinak explains,
The prelude to Vader's theme is heard here: a series of ascending intervals
consisting of two minor sixths and two major sevenths. Each of these intervals
creates tension through its instability in the tonal system, especially the seventh
which beckons the tonic note which begins Vader's leitmotif. 21
At 0:20:15 we see the back of Darth Vader and the music comes to a heightened volume,
fortissimo, and then fades at 0:20:30 for dialogue. Vader’s cue is played as Vader’s
starship comes onto the screen and then Darth Vader himself is revealed. The music is
very loud and powerful as we are shown the Imperial fleet and Darth Vader to exemplify
the strength of the Dark Side; specifically, the power Darth Vader possesses. The diegetic
noises of the TIE fighters flying around the fleet are also heard in this scene. The theme
continues, but the volume has decreased and the music is now underscoring dialogue.
The tempo of the theme also decreases to andante so that the dialogue is audible to the
audience, this occurs from minute 0:20:30 to 0:20:55. Darth Vader and the Empire are in
search of Luke Skywalker and the Rebels; Imperial soldiers find something on a planet
18
Ibid., 194.
Ibid., 193.
20
Ibid., 194.
21
Kalinak, Settling the Score: Music and the Classical Hollywood Film, 197.
19
125
�called Hoth, but they’re not sure if they should bring the entire fleet there just based on a
lead. However, as Darth Vader approaches, he is confident that Luke and the Rebels are
on that planet. To convey his authority over the soldiers, Darth Vader’s cue, the ostinato,
plays again at minute 0:20:56. As soon as Darth Vader starts speaking, the volume and
the tempo of “The Imperial March” theme both increase. At 0:21:13, the beginning of
Vader’s cue, the ostinato, is once again played as Darth Vader instructs his general in
command to prepare his men for battle to attack planet Hoth. The scene comes to an
abrupt stop as does the music. At 0:21:21 a quick sequence of bass drums is quickly
played to end the scene on a powerful note. The scene then transitions to the Rebel base
and the diegetic noises and dialogue of the Rebels is heard.
Cue Sheet for this scene:
0:19:45 “The Imperial March” theme — full symphony orchestra — plays at
forte as the Imperial fleet come onto the screen.
0:19:54 The dynamic increases to fortissimo as the loud brass trumpets are
heard, diegetic noises of the TIE fighters are also heard.
0:20:15 As the back of Darth Vader is shown, Vader’s orchestral cue plays —
quadruple meter — and we hear him breathing.
0:20:29 The theme fades and the dynamics decrease to pianissimo as dialogue
starts.
0:20:35 The orchestral theme is now underscoring the dialogue — the tempo
slows to andante.
0:20:58 The ostinato of the theme is played as Darth Vader approaches his
soldiers.
0:21:13 Vader’s cue starts over again as he tells his general to prepare for battle
— the tempo resumes to allegro.
0:21:21 A sequence of drums is played at vivace and the scene ends.
Another scene where Darth Vader’s cue is heard is in the chase scene where the
giant Star Destroyer with Darth Vader is chasing after the miniscule Millennium Falcon
containing the Rebels: Han Solo, Princess Leia, C-3PO and Chewbacca. Darth Vader’s
powerful orchestral cue is played at minute 0:36:51. The volume of the cue is very loud,
fortissimo, to represent the supremacy Darth Vader and the Empire have over the
Millennium Falcon and the Rebels. The audience is confronted with the loud brass
instruments, including trumpets and trombones that make up “The Imperial March”
theme. Then as the scene shifts to the Millennium Falcon at minute 0:37:00, the music
fades into string and woodwind music that is a part of Leia and Han’s cue, as they are
126
�shown trying to escape Darth Vader and the Imperial fleet. At minute 0:37:13, the
beginning of Darth Vader’s cue, a few notes are played at forte as the audience sees one
of the large Star Destroyers about to crash into another Star Destroyer. Then at minute
0:37:21, the cue ends for dialogue and for diegetic sounds as the two ships collide. At
minute 0:37:26, Vader’s cue resumes, the forte ostinatos of the theme are heard as the
Imperial fighters are released to chase after the Millennium Falcon at 0:37:32. The music,
“The Imperial March” theme, Vader’s cue, begins to fade and the audience hears new
music, in the major mode, that underscores the scene as the audience’s view shifts to
what’s going on in the Millennium Falcon. The music reverts back into parts of Han and
Leia’s cue as the scene shifts to them to communicate to the audience that these people
work for the Light Side.
At the end of the film, Luke finally confronts Darth Vader. Luke’s hand is sliced
off and as he is crawling away, Darth Vader confesses that he is Luke’s Father.
Previously, Luke had been told that Darth Vader had killed his father. At 1:51:18, Darth
Vader’s orchestral cue, with ominous strings and brass instruments returns and
underscores the scene. However, the dynamic of the cue is now forte rather than
fortissimo and the tempo slows to andante to represent that even though Darth Vader is
incredibly powerful, he has just revealed very sensitive information that puts him in a
vulnerable position; the music must express this by decreasing its volume and tempo. The
brass instruments drag out their notes to convey the drama of the scene to the audience.
The cue continues to underscore the scene but loud wind and the dialogue between Darth
Vader and Luke is also heard. At 1:51:39, as Luke is processing this shocking
information, the tempo remains andante and the dynamics of the music vary to create
tension. Then at 1:51:45, Vader’s cue fades into another part of “The Imperial March”
theme and the iconic ostinato is heard as Darth Vader explains to Luke that he has the
power to destroy the Emperor, the main leader of the Dark Side and the Empire. Vader’s
cue then begins to fade at 1:51:54 into string music in the major mode as Luke is about to
jump off and escape. The music is a part of Luke’s cue and is played as he falls and
escapes Darth Vader. Once again, Williams changes the music throughout scenes to
reflect what is happening in them. Since Luke has escaped Darth Vader, major music is
played to represent the Light Side and Luke’s triumph over the Dark Side and Darth
Vader.
The implementation of “The Imperial March” theme, Darth Vader’s own unique
cue, is crucial throughout the film in capturing the evil and the overwhelming power of
Darth Vader and the Dark Side. Why did Williams choose to compose this theme as a
march though? Marches are normally played to inspire and unite groups, usually military
127
�troops. However, using one in this context was brilliant of Williams. The “Imperial
March” is not a melody intended to unite a group of people, instead it instills fear and
represents the power of evil. The different variations of the cue throughout the film,
including mixed tempos and dynamics, help convey the tone of specific scenes to the
audience. Williams knew exactly what kind of music would shock audiences and how to
create an emotional connection with the film through the music; specifically, in Empire,
to make audiences comprehend the true strength and power of Darth Vader and the Dark
Side.
Works Cited
Audissino, Emilio. John Williams’s Film Music: Jaws, Star Wars, Raiders of the Lost
Ark, and the Return of the Classical Hollywood Music Style. University of Wisconsin
Press, 2014.
Gordon, Andrew. “The Empire Strikes Back: Deeper and Darker.” Sex, Politics, and
Religion in Star Wars: An Anthology, edited by Douglas Brode and Leah Deyneka,
Scarecrow Press, 2012, pp. 165–172.
“Irvin Kershner.” Times, The (United Kingdom), Dec. 2010, pp. 67.
Kathryn Kalinak. Settling the Score: Music and the Classical Hollywood Film. University
of Wisconsin Press, 1992.
Palmer, Christopher, and Martin Marks. "Williams, John." Grove Music Online. March
30, 2020. Oxford University Press. Date of access 27 Oct. 2020.
"Star Wars Ep. V: The Empire Strikes Back – Box Office Data, DVD and Blu-ray Sales,
Movie News, Cast and Crew Information". The Numbers. Archived from the original on
July 8, 2015. Retrieved May 13, 2013.
Thornton, Daniel. “Star Wars Soundtracks: The Worship Music of John Williams.”
Journal of Religion and Popular Culture 31 (2019): 87–100.
128
�
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Volume 19, Number 2
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Section I: The Natural Sciences & Quantitative Analysis -- Full Length Papers -- 3 Analysis of the Function of Small Intestinal Aggregates of the Necturus Based on Old Classical and Recent Literature Data / Kaelin Wolf -- Section II: The Social Sciences -- Full Length Papers -- 15 ‘I Am A Donor’: A Proposal to Increase Organ Donation Rates in New York City / Giavanna Marceante, Tinatin Shaorshadze, and Ariana Volodarsky -- 26 Environmental Investment in the ACA’s Preventative Public Health Initiatives / Gabriella Walker -- 45 The Impacts of Gender on Women in High-Level Leadership / Joellen How -- Section III: Critical Essays -- Full Length Papers -- 71 The Detriments of Democratic Laboratories: How Devolution Could Negatively Impact Minority Groups / James Hagenberg -- 79 Umbrellas, Youthful Love, and Brilliant Colors: Films as Representations of How to Cope with the War / Julia Francis -- 87 Proust Was Not a Neuroscientist: On the Importance of Interdisciplinary Exchange / Caecilia V. Thuermer -- 98 The Male Gaze in Art and Life: Why are Artistic Women Overlooked? / Zoe L. Krofchik -- 109 The Elemental Rock, Paper, Scissors of William Shakespeare’s Richard II / Jim Jones -- 118 Debating for Democracy: Letter to an Elected Official / Hailey Delaney and Braith Dicker -- 122 Star Wars Episode V: The Empire Strikes Back - Darth Vader’s Cue / Julia Searle
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��EDITOR’S INTRODUCTION
The Wagner Forum for Undergraduate Research is an interdisciplinary journal which
provides an arena where students can publish their research. Papers are reviewed with
respect to their intellectual merit and scope of contribution to a given field. To enhance
readability the journal is subdivided into three sections entitled The Natural Sciences and
Quantitative Analysis, The Social Sciences, and Critical Essays. The first two of these
sections are limited to papers and abstracts dealing with scientific inquiries, business
research, clinical investigations and the use of mathematical/statistical modeling. The
third section is reserved for speculative papers based on the scholarly review and critical
examination of previous works.
The COVID-19 pandemic has been devastating and prompted many changes. However,
the Wagner College community is resilient and moving forward. Different teaching
modalities and creative approaches have allowed our students to continue to pursue the
knowledge that will prepare them for their professional aspirations. This issue highlights
their fine research accomplishments.
Read on and enjoy!
Gregory J. Falabella, Ph.D.
Editor-in-Chief
Editorial Board
Dr. Annemarie Dowling-Castronovo, Nursing
Dr. Donald E. Stearns, Biological Sciences
Dr. Amy Eshleman, Psychology
Prof. Andy Needle, Art
Dr. Lori Weintrob, History
��Section I: The Natural Sciences & Quantitative Analysis
Full Length Papers
3
Income Inequality in the United States and Its Effect on Consumers
and Corporations
Adam Rotenberg
Section II: The Social Sciences
Full Length Papers
21 E-cigarette Use Among Adolescents in Staten Island
Lauren Dina Arslani, Kristi Simonetti, Jessica Verga
32 Satisfying the Growing Health-Conscious Consumer Market
Lauren Duffy
50 ‘Kids Against Asthma’ Educational Program for Pediatric Asthma in
San Joaquin Valley
Jessica Diemer, Marlena Sokolska, and Lindsay Volpe
Section III: Critical Essays
Full Length Papers
61 Emma Goldman: The True Pioneer Behind Birth Control
Jolie Lenox
69 For Their Own Safety, Oil and Water Remain Separate: How Antony
Navigates Western and Eastern Values in Antony and Cleopatra
Holly Alexander
76 French Turn of the Century Puppetry
Dana Rudnansky
86 Psychological Factors that Motivate Bystander, Perpetrator, and
Rescuer Behaviors
Megan Chiu
����Income Inequality in the United States and
Its Effect on Consumers and Corporations
Adam Rotenberg (Business Administration) 1
This thesis will discuss the impact of income inequality on consumer behavior as well as
on the national Gross Domestic Product. Income inequality impacts the way businesses
are changing the products they sell and how they sell these products to consumers. The
thesis will examine the growing income gap between managers and workers and how this
trend hurts the country as a whole. Analysis will demonstrate the benefit of limiting
inequality and promoting income redistribution.
I. Introduction
Income inequality is one of the most important social and economic issues of
our time (Stiglitz, 2019). Not since the Gilded Age, a period of wealth concentration at
the end of the 19th century, has there been such an imbalance of wealth between the very
rich and the rest of the population. (Stiglitz, 2019). The growing wealth disparity is
already producing social unrest in the United States (Vogel, 2019). The Occupy Wall
Street movement, a spontaneous series of protests around America, erupted during the
2012 election cycle. This group was protesting economic and social inequality as well as
corporate corruption and its excessive influence on government. Outside the United
States, riots in Chile and Brazil, Iran, Iraq and Lebanon have occurred during this
calendar year because of wealth inequality (Vogel, 2019). The unrest in Chile began after
the government raised the subway fare in the capital city, Santiago. In Iran, an increase in
the price of gasoline was enough incentive to push the poor into rioting in the streets
(Vogel, 2019). In the run up to the 2020 election in the United States, income inequality
is one of the most important themes that voters and candidates are discussing because it
has such a huge impact on people’s lives and on the economy as a whole (Vogel, 2019).
Working and middle-class people often think that entrepreneurs, who start and
operate new companies, are the only individuals in the United States that make a lot of
money (Hungerford 2013). That is not the case as this thesis will analyze in detail. As
unions weakened in the mid-1970s, labor income’s share of increased economic
productivity declined (Reich, 2014). The benefits of growth accrued to the very
1
Written under the direction of Dr. Shani Carter in partial fulfillment of the Senior Program
requirements.
3
�wealthiest Americans including a tier of highly compensated executives and corporate
managers (Piketty, 2014).
While many wealthy individuals claim that unequal income eventually trickles
down from the rich to the less affluent, the data demonstrates that it does not (Reich,
2014). Researchers in economics have proven that inequality of income leads to poorer
health outcomes and shorter lifespans for the less wealthy segments of the population
(Stiglitz 2019). Economists and ethicists question the fairness of government policies
which allow huge fortunes to pass untaxed from one generation to the next as this
perpetuates poverty in the U.S. (Reich, 2014). Changes in the estate tax laws under the
Bush administration, which were further expanded by the Trump administration in 2016,
allow even more family assets to pass to future generations untaxed (Reich, 2014).
Progressive estate taxes in the U.S. had historically returned some wealth to society
reducing inequality.
Redistribution of income through progressive taxation allows poor and middleclass individuals an opportunity to exceed the wealth and education level of their parents’
generation. It promotes social equality and results in greater economic growth for the
entire nation (Benioff, 2019). Research data confirms that more even income distribution
correlates directly with higher GDP growth in the United States which benefits the whole
nation (Piketty, 2013).
II. Literature Review
Growing income inequality is a fact (Piketty 2014). It has really been happening
in the U.S. Figure 7 in the results section highlights the increased concentration of family
wealth in the top decile of earners from 1989 to 2013. Because most of the income earned
through investment in financial instruments under current tax policy goes to the wealthy
(Hungerford 2013), the rise in the financial markets from 2010-present has benefited the
rich resulting in greater income inequality. Ninety percent of American children born in
1940 eventually earned more money than their parents did during their working careers
(Reich 2014). In America today, the percentage of individuals that earn more than their
parents has gone down to 50% (Reich, 2014).
Capitalism Automatically Produces Inequalities
At this time, one tenth of 1% of the population of the U.S. holds as much capital
as the bottom 90% (Reich, 2014). Some researchers have promoted the idea that income
inequality would decrease in the later phases of capitalist development, but other
economists believe the opposite to be the case (Piketty, 2013). Some researchers believe
income inequality will harm democratic institutions because corporations pour money
4
�into political campaigns to support their special interests (Reich, 2014). When economic
growth is weak, people who are already rich can actually accumulate more wealth even
as workers are earning less. Researchers believe this is another threat to a fairer
distribution of income in the long term (Piketty, 2013).
Researchers believe the economic divide has led to a political divide as well.
Wealthy people use money to persuade politicians to create laws that favor them (Stiglitz,
2019). For example, changes to U.S. tax law in 2016 created Opportunity Zones which
were designed to promote capital investment in poor neighborhoods. Wealthy investors
receive incentives to sell stock without paying taxes on their profits if they reinvest the
proceeds in these Opportunity Zones (Lipton, 2019). Under this plan, any profit they earn
within the Opportunity Zones is deferred for almost a decade (Lipton, 2019). On its face,
this looks like a great deal for rich investors while at the same time serving to promote
the development of underprivileged areas. Instead, some influential investors
manipulated the new regulations. The investor Michael Milken persuaded U.S. treasury
secretary Steven Mnuchin to expand an Opportunity Zone in Nevada to include an area
where his company was already building a luxury property. Political maneuvers like this
are occurring all over the United States to the benefit of the wealthy and at the expense of
the poor (Lipton, 2019). Consequently, experts now agree that instead of helping develop
poor neighborhoods, 95% of the benefit from these Opportunity Zones is going to rich
investors (Lipton, 2019).
Tightening Credit Impacts the Strategy of Corporations and Consumers
During the Great Recession of 2008-2009, lenders experienced extremely high
delinquencies from poor and middle-class borrowers (Reich, 2014). This led to much
tighter credit policies after the financial crisis as lenders made less money available for
consumers to borrow (Stiglitz, 2019). Businesses altered strategies and consumers
changed their buying behaviors as they had less money to spend on purchases (Lobaugh,
2011).
The Consumer is Changing Behavior due to Reduced Income
Consumer spending represents 70% of the American Gross Domestic Product
and remains the most significant driver of economic growth in the U.S. (Reich, 2014).
Due to the pattern of growing income inequality, a bigger share of the country’s total
income goes to the very top earners leaving the majority of consumers with less money to
spend (Reich, 2014). The category of millennials has been especially hard hit
economically: The net worth of individuals under 35 years of age has dropped by 34%
between 1996 and 2017 (Lobaugh, 2019). The trend of increasing income inequality has
5
�changed consumer behavior in a number of ways (Kalish, 2011). The availability of
credit has decreased since the financial crisis in 2008 as banks and other lenders have
tightened credit policies in reaction to the delinquencies in consumer loans after the crash
(Kalish, 2011). Debt laden consumers have spent years paying back the money they had
borrowed before the crisis leaving them with less money to spend (Kalish, 2011). There
are other economic constraints hampering the middle-class consumer: A rise in the cost
of nondiscretionary expenses such as healthcare and education has eaten into their
discretionary funds (Lobaugh, 2019). The average cost of healthcare increased by 21%
during the period of 2007-2017 while food cost rose 26% and education expenses
increased by 65% (Lobaugh, 2019).
The deepening economic bifurcation between the top earners and the rest of the
working population has affected consumer behavior in other ways as well (Lobaugh,
2019). Now and in the coming years, the bulk of the increase in consumer spending in the
United States has been projected to come from upper-income households (Kalish, 2011).
During the decade from 2007 to 2017 income growth rose 1,305 percent more for
households earning over $100,000 than it did for those earning less than $50,000
(Lobaugh, 2019). These wealthy households tend to save a large portion of their extra
income. They do not spend incremental income as lower income households do on
discretionary items which would boost economic growth much more significantly (Reich,
2014). Meanwhile, financially constrained middle and lower-income consumers have
very little income remaining to spend on discretionary articles (Lobaugh, 2019). They
will be more price sensitive consumers, shopping for bargains and buying fewer
expensive items and capital goods (Lobaugh 2019). Even so, these consumers will still be
looking for products and services which seem like the luxury goods they see wealthy
people enjoying (Lobaugh 2019).
Corporations are Changing Marketing Strategies
These new trends in consumer behavior may lead companies to sell luxury-like
brands in discount stores, one of the ways that businesses will change how they market to
consumers (Stevens & Simpson, 2019). There are now two distinct types of consumers:
Wealthy consumers with growing salaries and investment income and low-middle
income consumers with stagnant wages (Kalish, 2011). Businesses can either target one
group by itself or each of these different consumer groups separately. This change in
business strategy has already been happening (Kalish, 2011) in the retail space as a direct
result of income inequality (Lobaugh, 2019). The premium stores Sak’s 5th Avenue and
Nordstrom have opened outlet stores called Sak’s Off 5th and Nordstrom Rack to service
less affluent people (Kalish, 2011) who still want to buy luxury brand merchandise.
6
�Although retailers previously used outlet stores to sell products that failed to move in
their flagship stores, the outlets have become a key component of the change in business
strategy. Retailers now recognize that marketing all things to all people will be less
effective because the consumer market has become so bifurcated (Kalish, 2011). The
consumer market is also not expanding anymore (Lobaugh, 2019). With middle class
income stagnant and discretionary dollars falling, consumer product companies are no
longer competing for a share of a growing market: Companies are now fighting to take
market share from each other (Kalish, 2011). What this means is that a business will
grow by taking a larger segment of an available market from its competitors.
Businesses selling to the poor has become a trillion-dollar market (Periu, 2013).
The median household income in the United States is $51,404 per year (Periu, 2013). The
American government defines the poverty threshold at $23,550 of income for a family of
four and $11,490 of annual income for an individual (Periu, 2013). Over 40 million
Americans currently fall below this threshold. Although each family has little to spend by
itself, together they represent a significantly large market. For example, dollar stores such
as Dollar Tree and Family Dollar, which only sell inexpensive items, are expanding
rapidly throughout the U.S. (Prahalad, 2004). Payday lenders that make short term loans
are extremely profitable as they take advantage of poor people’s immediate need for cash
between paychecks (Periu, 2013).
New businesses that profit from the poor are being created with greater
frequency in the United States. The company RentNRoll allows people to rent tires for
their cars because tire prices have risen dramatically—almost 60% since 2006 (Periu
2013). Their business model permits buyers to satisfy a basic need, auto tires, with
payments they can afford as the company makes a healthy profit (Periu, 2013). Rent-ACenter, a Kansas-based company, now has more than 3,000 locations across North
America. It rents appliances, furniture, and electronics, charging for them by the week
until products are paid off or the rental is terminated (Periu, 2013). Customers can end up
paying nearly 300% of the original price for an item this way (Periu 2013). Although
critics say this is gouging the poor, the business model is actually perfectly legal and very
profitable (Perui, 2013). Industry defenders point out that borrowers usually understand
the terms of these transactions and are not being fooled into renting products (Carter,
2019). Other companies are marketing individually wrapped portions of many types of
items from snacks to soap which makes these products more affordable for poor
consumers while increasing profits for sellers (Periu, 2013).
7
�III. Hypothesis
The multi-decade (1980-present) trend of economic growth benefiting the
wealthiest is a fact. This trend, during which economic growth has aided the wealthiest
20% of the population (Piketty, 2013), was disguised by easy debt availability (Piketty,
2013) to the middle class and to people below the poverty line. Real wages, which are
hourly wages adjusted for inflation, stopped rising for most Americans in 1970, the same
year that consumer credit cards began to be issued in volume (Strickler, 2019). Credit
card spending replaced wage growth. People did not feel poorer because they had money
to borrow (Strickler, 2019). This created a dangerous illusion: Individuals in the middle
class actually felt like they were earning more income because they had more money to
spend despite the fact that the money being spent was really borrowed. As long as these
borrowers could buy the things that they saw wealthier people acquiring, they thought
that they were getting richer as well (Strickler, 2019).
Jeff Bezos, Bill Gates and Warren Buffet together have more wealth than the
bottom 50% of the people in the United States combined (Stiglitz 2019). The top
managers of the Fortune 5000 companies, comprised of CEOs and executives whose
compensation includes stock, have been progressively earning much higher incomes than
the rest of the labor force (Reich, 2014). Some researchers have pointed out that with the
top 5% of earners in the U.S. purchasing 37% of all consumer goods, the middle class
cannot keep the economy growing without incurring more debt (Reich, 2014). This
presents a fundamental challenge for U.S. economic growth because credit is less
available as noted previously in this thesis.
Elite Americans are continuing to get a larger share of wealth in the U.S. than
ever before (Schneider, 2019). As of September 2019, this concentration of wealth is at
its highest level since the government started tracking the data in the late 1960’s
(Schneider, 2019). Rising income inequality means that the lower and middle classes lack
purchasing power. Seventy percent of the U.S. economy is consumer driven (Reich,
2014). If most people do not make enough money to buy things, the economy will
stagnate or grow more slowly (Reich, 2014).
Even before the financial crisis occurred, researchers noted that the middle class
was being squeezed by excessive debt while the poorest 40% of the population saw their
wealth decline by 63% between 1983 and 2007 (Wolff, 2010).
8
�IV. Method
Subjects
Role of Corporations
Corporations are only representing the interests of shareholders. (Stiglitz, 2019).
Erosion of Progressive Taxation and Government Factors
Because super managers, executives including directors, vice presidents and
CEOs, are often paid with company stock instead of cash, much of their income is taxed
at the capital gains rate which is much lower than the rate most people pay on their
income and these taxes are often deferred (Hungerford, 2013). The United States tax
system has become much less progressive with the decline of marginal tax rates on wages
(Hungerford, 2013). In addition, the tax rate for long-term capital gains decreased from
28% in 1991 to 20% in 2006. More recently, the tax rate for capital gains and dividends
was lowered to 15% (Hungerford, 2013). These factors combined to steadily reduce taxes
on the rich from the end of World War II to the present day.
Effects of Capitalism
Many economists now believe that capitalism without government intervention
results in such acute income inequality that social instability will inevitably follow
(Piketty, 2013). This has already been the case outside the U.S. in countries previously
discussed. Although correlation does not imply causation, it adds weight to the position
of the researchers who contend that income inequality ultimately leads to social unrest
and even violence (Piketty, 2013).
Measures
Meta data: Multi-Year Tax Returns
A recent federal survey found that 40 percent of adults in the United States do
not have enough cash to cover a $400 emergency expense (Reich, 2014). Advocates for
the rich claim that higher taxes on the wealthy will slow economic growth, but some
researchers demonstrated that this is not true. In the early 1950’s when the top tax rate
was over 70% of income, GDP grew at 4% per year in the United States (Piketty, 2013).
In 2018 the top marginal rate was 28-30% and GDP growth was only 2.1% (Piketty,
2013). If higher taxes on the wealthy slowed economic growth the opposite result would
be in evidence.
Income Distributions over Long Periods
Much of the income disparity appears to be a result of so much income going to
the top level of management sometimes referred to as super managers by economists
9
�(Hungerford, 2013). Between 1950 and 1980, the top 10% of earners made 30-35% of
America’s national income (Piketty, 2013). After 1980, this percentage increased to
nearly 50% in the 2000s (Piketty, 2013). Simultaneously, there was a steady decrease in
the top marginal tax rate after 1980 (Piketty, 2013). Research confirms that the income of
top-level managers has increased the most since 1970 compared to mid-level and blue
color workers (Hungerford, 2013). In addition, tax cuts during the Reagan and Bush
administrations benefitted the affluent and helped to concentrate wealth even further as
figure 4 in the results sections shows (Stiglitz, 2019).
Analysis of Wealth Sources
New Federal Reserve data confirms that the top 1% of United States households
have, through dividends and capital gains, achieved significant returns from the stock
market during the decade from 2008 to 2018 (Sasso, 2019). At this point, the top 1% of
households now controls over half the equity in public companies in the United States
(Sasso, 2019).
V. Procedure
Extract Trends and New Developments from Data
The richest 10% of the population owns 75% of the wealth (Stiglitz, 2019). In
the United States, a class of top tier, highly compensated super managers has developed
in the last few decades (Picketty, 2013).
Statistical Analysis Excluding Census Data
Census data as a research tool has the benefit of full participation across the
United States (Schneider, 2019). Analysis of tax returns provided to the Internal Revenue
Service has advantages over the census: It differentiates income sources from wages,
dividends and capital gains and provides more detail about individuals at the top of the
income curve (Hungerford, 2013).
Gini Coefficient
The Gini Coefficient is a statistical tool for analyzing income equality (Piketty,
2013). Its range is from 0-1.0 with 0 indicating perfect equality and 1 meaning total
inequality (Piketty, 2013). Several authors make use of the Gini Coefficient to measure
changes in after-tax income.
10
�11
�12
�13
�14
�VII. Discussion
Prior to the work of Piketty, Wolff and other scholars, the debate about income
inequality was more difficult to understand because it was analyzed with complicated
statistics. The simple charts presented in the previous section tell a consistent story and
are most instructive when compared to each other. The first chart isolates the income of
the top decile of households in the United States for 100 years. It is U shaped, rising
steeply in the 1920s then falling before rising steeply again after 1970. The graph shows
how, since the 1970s, the top 10% of households have been capturing more and more
wealth. In figure 2, we see the trend line of the Gini index during the same time period
and it has the same U shape. This statistical device measures inequality on a scale of 0-1
as previously noted. The Gini Coefficient increased 15% from 1991 to 2006 which
demonstrates a dramatic rise in income inequality during those years. In chart number 3,
we clearly see the share of income earned by the top 1% during the same period and it
also has the same U shape. What is different is the blue line which includes interest,
capital gains and dividends. This line shows us in graph form what Hungerford noted:
Almost all of the profit from financial instruments goes to the wealthiest people.
Charts 5 and 6 tell two sides of the same story. In chart 5, it is apparent that
wages and productivity were rising in tandem before decoupling dramatically around
1970. This means that wage earners stopped participating in the extra profit companies
were earning by becoming more efficient. The steep rise of the productivity line on chart
5 corresponds almost exactly with the upward trend in inequality which graphs 1-3 show
after 1970. In figure 6, the reason for the decoupling is apparent: Union membership,
through which wage earners have effectively negotiated with companies for profit share,
declined by 50%. At the same time, the minimum wage adjusted for inflation actually fell
from $6.57 per hour in 1996 to $5.57 per hour in 2006 (Hungerford, 2013).
Seen together charts 7 and 8 tell a story about the effect of tax rates. After World
War II there has been a steady decline in top marginal tax rates. This corresponds with
the increasing share of wealth accruing to the top decile shown in chart 7.
VIII. Conclusion
Capitalism has caused a great financial imbalance in the United States according
to billionaires Mark Benioff, Ray Dalio and Warren Buffet (Clifford, 2019). These
individuals are the beneficiaries of the current system of income inequality. The fact that
these billionaires all acknowledge that they are earning too much money in a broken
system with horrifying consequences for the poor serves as a red flag about how extreme
income inequality has become in the United States (Clifford, 2019).
15
�Corporations Dominate Whole Sections of Our Economy
Big companies used to consider the well-being of their stakeholders which
consists of their customers, their employees and their communities. Since the 1980’s,
large companies only consider maximizing the profits for their shareholders who are the
wealthiest 1% of Americans (Benioff, 2019). Corporations should not have to choose
between making money and doing the right thing for the greater community. Recently
two hundred members of the Business Round Table committed their companies to
increasing stakeholder return (Benioff, 2019).
Income Inequality is Damaging Our Economy
The bifurcation of wealth in the United States is slowing economic growth. The
rich by themselves cannot spend enough money to drive a consumer-based economy. The
tightening of credit has inhibited middle class spending. The U.S. economy will not grow
faster than 3% per year until the trend of income inequality is reversed (Reich, 2014).
Because income inequality peaked just before the financial crisis of 2008, as it did before
the market crash of 1929 (Figure 1), it is reasonable that researchers conclude that
income inequality, while not the sole cause, was certainly a principal cause of the Great
Recession (Piketty, 2013).
Income Inequality is Damaging Our Democracy
Many economists and social scientists have concluded that widening inequality
undermines democracy (Reich, 2014). With the upward flow of wealth, money from
special interest groups pours into political campaigns to further the interests of the rich
(Reich, 2014). This has led to regressive tax policy which has made inequality even
worse. Democracy is supposed to represent the will of its constituents and not the
interests of corporations and the wealthy (Stiglitz, 2019).
Income Inequality Leads to Social Unrest
The dramatic decline in upward mobility has caused the poor to remain that way
and the middle class to stagnate, a fundamental shift in American society (Reich, 2014).
Social unrest including violence is a realistic potential consequence of the hopelessness
and pain caused by poverty. Capitalism is simply not working for most people in the U.S.
(Clifford, 2019).
16
�Strategies to Address Income Inequality
Difficult changes require coordinated government action. Virtually all the data
supports the argument that unregulated capitalism is a broken system (Clifford, 2019).
The absence of government constraints has resulted in the excesses documented in this
thesis. Here are the recommendations to increase fairness and reduce income inequality.
The federal minimum wage should be raised to $15.00 per hour. The goal is for no
American to work at a full-time job and live in poverty. Unions need to be revitalized as
soon as possible. The data shows that unions in the private sector gave bargaining power
to the middle class and allowed it to secure a larger share of the growth in productivity
(Reich, 2014).
Public funds must be invested to improve education from early childhood
through college. A quality education should be affordable for Americans without their
incurring burdensome debt (Stiglitz, 2019). Government at the local state and federal
levels should invest in infrastructure. Not only is this necessary to improve the quality of
people’s lives, it will provide decent paying jobs for millions of Americans (Reich,
2014).
Government Action
In order to pay for these strategies, taxes have to be raised on the wealthiest
Americans. The data shows conclusively that the tax structure is more regressive today
than it has been since the 1920’s (Reich, 2014). A first step towards progressive taxation
is to remove the cap on payroll taxes so that high earners pay tax on more of their income
(Reich, 2014). Another important change is to raise estate taxes and tax the capital gains
on inherited wealth (Piketty, 2013). Marginal income taxes have to go up so the
wealthiest Americans pay a more equitable share of tax.
IX. References
Carter, S. L. (2019, November 1). Loan Sharks Play a Useful Role in the Economy.
Retrieved from http://www.bloomberg.com/.
Clifford, C. (2019, November 8). How America's capitalist system is 'broken,' according
to billionaire financier Ray Dalio. Retrieved from http://www.cnbc.com/.
Hungerford, T. L. (2013). Changes in Income Inequality Among U.S. Tax Filers between
1991 and 2006: The Role of Wages, Capital Income, and Taxes. SSRN Electronic
Journal. doi: 10.2139/ssrn.2207372
17
�Deloitte US: Audit, Consulting, Advisory, and Tax Services. (2011). Retrieved from
https://www2.deloitte.com/.
Lipton, E. (2019, October 27). 'Junk Bond King' in Line To Profit From Tax Breaks.
Retrieved from https://www.nytimes.com/.
Lobaugh, K. M. (2019, May 29). The consumer is changing, but perhaps not how you
think. Retrieved from https://www2.deloitte.com/.
Periu, M. (2013, July 1). Selling to the Poor: A Trillion-Dollar Market Opportunity.
Retrieved from http://www.americanexpress.com/.
Piketty, T., & Goldhammer, A. (2017). Capital in the twenty-first century. Cambridge
Massachusetts: The Belknap Press of Harvard University Press.
Schneider, M. (2019, September 26). Income inequality grew again: The highest level in
more than 50 years, Census Bureau says. Retrieved from http://www.usatoday.com/
Stevens, B., & Simpson, J. (n.d.). The consumer is changing, but perhaps not how you
think. Retrieved from https://www2.deloitte.com/us/en/insights/industry/retaildistribution/the-consumer-is-changing.html.
Stiglitz, J. E. (2019). People, power, and profits: progressive capitalism for an age of
discontent. UK: Allen Lane, an imprint of Penguin Books.
Strickler, Y. (2019). This could be our future: a manifesto for a more generous world.
New York: Viking.
US Census Bureau. (2019, September 9). American Community Survey Provides New
State and Local Income, Poverty and Health Insurance Statistics. Retrieved from
http://www.census.gov/.
Vidani, P. (n.d.). How to Shrink Inequality. Retrieved from http://www.robertreich.org/.
Wolff, E. N. (2010). Recent Trends in Household Wealth in the United States: Rising
Debt and the Middle-Class Squeeze - An Update to 2007. SSRN Electronic Journal. doi:
10.2139/ssrn.1585409
18
���E-Cigarette Use Among Adolescents in Staten Island
Dina Arslani (Nursing), Kristi Simonetti (Nursing), and Jessica Verga (Nursing) 1
E-cigarette use is expanding throughout the United States and worldwide at an
astronomical rate. This research proposal addresses the vaping epidemic, a highly
controversial issue, among the adolescent population in the Staten Island community. The
intent of this research study is to explore the adverse effects that long-term e-cigarette use
poses on vulnerable populations. Use of e-cigarettes has the potential to cause
psychological, physical, and emotional disturbances during one’s lifetime. This is a major
concern to the adolescent population as their brains are still undergoing crucial
development. A proposed solution to this epidemic would be to use social media’s
platform to raise awareness and educate the most vulnerable age group, adolescents. The
proposed solution is based on the evidence of theorist Everett Rogers and his work,
Diffusion of Innovations Theory.
E- Cigarette Use Among Adolescents in Staten Island
Vaping, a term used interchangeably with electronic cigarettes, was initially
advertised as a healthy alternative to smoking in hopes of weaning one off traditional
cigarettes. However, the reality is far from the original intent. This paper focuses on
answering the question; how is vaping affecting the health of the adolescent population in
the Staten Island community? Vaping is seen as convenient, easily accessible, and
mainstream activity for the adolescent population. The author, Erik Bascome, stated:
“Staten Island has the highest rate of electronic cigarette (e-cigarette) use among high
school students in New York City, according to recent data, and U.S. Sen. Charles
Schumer is urging the Food and Drug Administration (FDA) to regulate the inhalable
product” (2019). Research shows the dangerous health effects of vaping, including
associated diseases and psychiatric disorders. Engaging in such an unhealthy activity
potentiates addiction at an early age during which young bodies are still undergoing
crucial development. “The number of middle and high school students using e-cigarettes
rose from 2.1 million in 2017 to 3.6 million in 2018—a difference of about 1.5 million
youth” (CDC, 2019). To curb this epidemic, a proposed solution is to promote the use of
media as a platform to educate the adolescent population.
1
Written under the direction of Professor Tinamarie Petrizzo-Hughes for NR400: Nursing
Research.
21
�Community Assessment and Analysis
Staten Island is one out of five boroughs that encompass New York City. This
borough contains the smallest number of residents in comparison to the other four
boroughs (Staten Island Population, 2020). Ironically, Staten Island was the only borough
that experienced an increase in population in 2018 (Dalton, 2019). According to the NYS
Comptroller: “The population of Staten Island doubled between 1960 and 2000, growing
even during the 1970s when the rest of the City experienced large losses” (Bleiwas &
DiNapoli, 2018). The immigrant fluctuation to the island represents the population
growth that has taken place during the past several decades (Bleiwas & DiNapoli, 2018).
The Staten Island community is composed of predominantly whites, being 75.2% of the
total population (United States Census Bureau, 2018). About 20% of the population is
foreign- born with the top two demographics being of Italian and Irish descent (Staten
Island Population, 2020). Italian Americans make up 37.7% of the total population and
represent one of the largest influxes in ethnicity throughout history.
On Staten Island the rate of employment has risen by 13% since 2017 in the
following work areas: construction, social assistance, leisure and hospitality, and health
care (Bleiwas & DiNapoli, 2018). About 70% of the population living on the island are
homeowners, the highest rate in comparison to all five boroughs (Bleiwas & DiNapoli,
2018). The average household income is $79,200. The highest incomes represent the
populations of the South Shore, with an average of $96,800 and lowest in the North
Shore, representing an average of $62,900. Due to the average salary in Staten Island, ecigarette purchases are affordable for these affluent adolescents.
The major health issues that are currently plaguing the Staten Island community
are obesity, poor air quality, smoking, unmet mental health needs, and drug overdoses
(Baker, 2016). Smoking comes in third place. The most prevalent chronic conditions are
diabetes, lung disease, cancer, and heart disease (Baker, 2016). Deaths from heart disease
and chronic lower respiratory disease represent the highest in Staten Island when
compared to the other four boroughs (Baker, 2016). One of the leading contributors to
these chronic conditions is the “lack of education/awareness regarding health-related
issues” which oftentimes are preventable (Baker, 2016).
Staten Island offers an array of community resources provided to all its
residents. One such resource is known as Staten Island Performing Provider System (SI
PPS). There are currently 180,000 people residing on the island whose health is affected
due to lack of health insurance or they are reliant on Medicaid. SIPPS targets the
uninsured by “improving access to high quality, culturally sensitive care, improving
population health and health literacy, fostering a 25% reduction in avoidance of
22
�emergency room visits, and reducing preventable hospital admissions and readmission”
(Staten Island Performing Provider System, 2017). The available resources include:
“preventive health, healthy eating habits, diabetes and asthma management, mental
health, substance use disorder, and the cessation of smoking” (Staten Island Performing
Provider System, 2017). SIPPS has teamed up with Staten Island University Hospital and
Richmond University Medical Center to improve access to health care to populations in
need.
With Staten Island having the highest rate of opioid use in the nation, local
organizations have been made available to the community to provide life-saving training
centers (Kattan, J. et al., 2016). "Among New York City’s 5 counties (boroughs), Staten
Island’s opioid analgesic overdose death rate was more than 3 times higher than that of
other boroughs in 2011." (Kattan, J. et al, 2016). Narcan Centers provide free training
and free medication (i.e Naloxone) to individuals in the event of an overdose. Some
locations where training is offered includes Christopher’s Reason Resource Training &
Counseling Center, Project Hospitality and Project Hospitality - Recovery Center,
CHASI Next Step Resource Center, Richmond University Medical Center – ED and
Pharmacy, etc. (Staten Island Performing Provider System).
Efforts are being made in addressing the health issues specifically associated
with e-cigarette use. For instance, on November 23, 2019, Forest Avenue on Staten
Island hosted an event called, “Staten Island Vape Escape” which targeted adolescents
between thirteen and eighteen years of age who participated in this informative lecture.
This event was aimed at educating adolescents and their parents about the harmful effects
of all tobacco-related products, with special attention to the vaping crisis. Borough
President, James Oddo has partnered with Truth Initiative, a motivational support group
that provides reinforcement strategies via text messages, videos, live chats, and emails
during the cessation process. The enrollment process is simple, you text QUIT to (718)
306-6608 and the motivational support process begins. Truth initiative has had a positive
impact on the adolescent population- “We’ve helped bring down teen cigarette use from
23% in 2000 to less than 5% today” (Truth Initiative, 2019).
Problem in the Community
The electronic cigarette (e- cigarettes/vaping products) has gained widespread
popularity nationwide and has an increasingly negative effect on public health. These
devices have acquired recognition based on the belief that it is a safe and viable potential
smoking cessation aid (Eltorai et al., 2019). Because e-cigarettes have only been on the
market for ten years, specific data is limited but will continue to emerge (Walley et al.,
2019). This growing epidemic has been attributed to health issues including, but not
23
�limited to, respiratory, cardiovascular, and immune system diseases. Ongoing studies
continue to gather data investigating the effects of vaping on the vital organs. “People
using vape products have reported a variety of symptoms, developing over a period of
days to weeks, including: pulmonary symptoms (cough, shortness of breath, chest pain),
gastrointestinal symptoms (nausea, vomiting, diarrhea), fatigue, fever, headache, and
weight loss” (Department of Health, 2019b). E-cigarettes appeal to their audience:
designs include tanks and mods, look-alike cigarettes, and rechargeable ports resembling
USB sticks. These products “produce an aerosol by heating a liquid that usually contains
nicotine- the addictive drug in regular cigarettes, cigars, and other tobacco productsflavorings, and other chemicals that help to make aerosol” (CDC’s Office on Smoking
and Health [OSH], 2020).The most frequent additives of liquids and heated liquids of the
products include nicotine, ethylene glycol, propylene glycol, vegetable glycerin, ethanol,
acetone, silica, and heavy metals such as nickel, tin, lead and some also contain cannabis.
These are only some of the harmful substances that make up the aerosol, “including
cancer-causing chemicals, and particles that reach deep into the lungs” (OSH, 2020).
Since the specific compounds or ingredients causing lung injury are not yet
known, the only way to assure that you are not at risk while the investigation
continues is to consider refraining from the use of all e-cigarettes, or vaping
products (CDC’s Office on Smoking and Health [OSH], 2019).
"The cases of pulmonary illnesses associated with vaping are continuing to rise
across New York State and the country," said Health Commissioner Dr. Howard Zucker "
(Department of Health, 2019b). One of the substances reported to have the most harmful
effect on public health is vitamin E acetate. This substance is found in almost all
cannabis- containing vaping products and “is now the key focus of the Department’s
investigation of potential causes of vaping associated pulmonary illnesses” (Department
of Health, 2019b). Although the main concern of vaping is the effects it has on the body’s
organ system, it can also cause unintended injuries. Serious injuries have resulted from
defective e-cigarette batteries that have caused fires and explosions (OSH, 2020). “In
addition, acute nicotine exposure can be toxic. Children and adults have been poisoned
by swallowing, breathing, or absorbing e-cigarette liquid through their skin or eyes”
(OSH, 2020).
The popularity of e-cigarettes is on the rise globally. The European Region has
the highest recorded tobacco use in the world, “with an estimated 209 million people
smoking” (World Health Organization [WHO], 2019). The United Kingdom along with
France and Belgium have the highest levels of e-cigarette use (Shapiro, 2018, p 41).
Trends in the U.K. show e-cigarette use among nonsmokers remains low; however, the
24
�use of e-cigarettes is largely found in current and ex-smokers. E-cigarettes are now the
most common method used for smoking cessation. The U.K. has reported that “of the 2.9
million current e-cigarette users, approximately 1.5 million (52%) were ex-smokers”
(Shapiro, 2018, p.51). Conversely, the United States reports people are more inclined to
using e-cigarettes without prior usage of traditional cigarettes. Surveys have also revealed
that in the U.S., “many youths use e-cigarettes with other tobacco products, which is
known as dual-use” (Walley et al., 2019).
“Unlike the U.S., Britain has tight regulations advertising vaping; all TV, online, and
radio marketing is banned” (Cheng, 2019). Whereas, the U.S uses enticing e-cigarette
flavors to lure adolescents, and young adults to engage in vaping products (Walley et al.,
2019). America is moving towards banning all e-cigarettes and warn people to avoid
using these products altogether. “Although in the U.S. there have now been 1,299 alleged
cases and 26 deaths across 49 states, in the U.K. only a single victim has been identified
after nearly 10 years of e-cigarette use" (Hawkes, 2019). Although these countries have
distinct differences when viewing e-cigarettes, they share a common goal, in finding an
alternate way to cease cigarette smoking.
As of February 18, 2020, a total of 2,807 hospitalized e-cigarette, or vaping
product use- associated lung injury (EVALI) cases or deaths have been reported
to the CDC from 50 states, the District of Columbia, and two U.S. territories
(Puerto Rico and U.S. Virgin Islands). Sixty-eight deaths have been confirmed
in 29 states and the District of Columbia.
Among 2,668 patients 66% were male. The median age is 24 years and ranges from 1385 years. Among the age group, 15% of patients are under 18 and 37% of patients are 1824 years old (OSH, 2019).
Vaping among adolescents and young adults continues to rise as the most
common product used. One of the major e-cigarette brands, the JUUL, has received a
massive amount of attention among the youth and seems to be the e-cigarette of choice.
The solutions of the JUUL pods include flavors such as mango, crème brûlée, mint,
cucumber, and fruit medley with each pod marketed as equivalent to one pack of
cigarettes. The popularity of these products stems from the variety of solutions that
appeal to adolescents ranging from fruits, desserts, candy, and soda (Walley et al., 2019).
In a 2017 survey of 15 to 17- year- old adolescents in New York State currently
using electronic vapor products, 19% of the adolescents said that flavors were
the reason that they first tried an e-cigarette and 27% said flavors were the
reason for maintaining use
(Governor Andrew Cuomo, 2019).
25
�As of October 17, 2019, the company JUUL has announced they will no longer sell
certain flavors of its e-cigarettes pods, such as mango, crème brûlée, fruit, and cucumber
online, and “has previously stopped selling these kid-friendly flavors in stores” (Edwards,
2019). However, “JUUL will continue to sell tobacco, mint and menthol flavors online,
insisting those products may be able to help adult smokers move away from cigarettes”
(Edwards, 2019). Marketing these products, using deceptive advertising and normalizing
tobacco-product use, lures adolescents to use these products. Media is also a key
component in reaching the adolescent population. “A quick internet search reveals a
myriad of videos demonstrating the ways e-cigarettes are used by the adolescent and
young adults. “Cloud chasing,” “stealth vaping,” and “dripping” are popular terms”
(Walley et al., 2019). The persuasive marketing tools these companies use in promoting
appealing flavors are directed towards the adolescent and young adults contributing to the
outbreak of vaping in this age bracket.
The use of e-cigarettes, specifically in youth, can lead to nicotine dependence,
which is a major concern in the development of the adolescent brain.
Using nicotine in adolescence can harm the parts of the brain that control
attention, learning, mood, and impulse control. Each time a new memory is
created or a new skill is learned, stronger connections – or synapses – are built
between brain cells. Young people’s brains build synapses faster than adult
brains. Nicotine changes the way these synapses are formed. Using nicotine in
adolescence may also increase the risk for future addiction to other drugs (U.S.
Department of Health and Human Services, 2016).
Adolescents who use e-cigarette are more likely to engage in risky behavior. The
correlation between adolescent e-cigarette use and other substances such as alcohol,
marijuana, and amphetamines increase with the use of e-cigarettes (Walley et al., 2019).
Of the 5 boroughs, Staten Island is known as vaping central (Bascome, 2017).
Vaping has dominated the adolescent population island-wide due to its convenience,
accessibility, and its appealing nature. Staten Island has the highest rate of e-cigarette use
among high school students in New York City, about 1 in 5 high school students are
vaping (Bascome, 2017). Between 2014 and 2018 the rate of e-cigarette use has fully
increased by 160% from 10.5% to 27.4% (Department of Health, 2019a). E-cigarettes
remain the most common “used tobacco product among youth surpassing cigarettes,
cigars, smokeless tobacco, and hookah” (Department of Health, 2019a). With the
continuing rise of e-cigarettes, Staten Island faces an increase in use among adolescents
especially while in school. As school administrators noticed the increasing popularity
among students, they have decided to take forceful disciplinary measures. Monsignor
26
�Farrell High School, located in Staten Island, has a zero-tolerance policy for vaping or
smoking. To ensure this policy is carried out, they have created a system designed to
prevent students from using these products while in school (Knudson, 2019a). “Vape
detectors have been installed in the bathrooms and will trigger an alarm if e-cigarette
smoke is detected” (Knudson, 2019b). Along with smoke detectors, each student will be
required to swipe their ID card to enter and exit the restroom (Knudson, 2019a). These
measures are implemented to provide safety while promoting the health and wellness of
students.
In September of 2019, Governor Andrew Cuomo implemented “emergency
executive action to ban the sale of flavored electronic cigarettes in New York State”
(Governor Andrew Cuomo, 2019). A contributing factor for the easy access of ecigarettes is the fact store owners allow adolescents (under twenty-one years) to purchase
the e-cigarette. The governor has also stated any retailer selling vaping products to
minors will now face criminal penalties along with civil penalties. “The Governor also
signed legislation to expand current school-based programs and marketing campaigns
aimed at reducing tobacco use to include e-cigarettes and liquid nicotine” (Governor
Andrew Cuomo, 2019).
Proposed Solution
A proposed solution for the cessation of e-cigarettes is to educate and change the
false narratives that e-cigarettes are a safe and healthier alternative to smoking. The main
problem is the lack of education on this topic, especially in the adolescent population. As
a community, we need to promote education on the use of e-cigarettes and the substances
found in them. Media has an enormous influence on this specific age group; therefore,
utilizing this platform to address the harmful effects would be an effective method.
According to Pokhrel’s research, social media plays an integral role in promoting ecigarette use among young adults (2018). Using social media to explain the harmful
effects of e-cigarettes rather than promoting these products will help lure adolescents
away from seeing e-cigarettes as a healthy alternative to smoking.
The goal is to spread awareness through television, radios, posters, and social
media. By increasing the awareness of the harmful effects of e-cigarettes, we can
challenge the advertisements seen on social media. This proposed solution is based on the
theorist, Everett Rogers, and his work called, Diffusion of Innovations Theory. The
diffusions of theory will be used as a guide to help us promote, spread and increase our
social media page. Rogers defines diffusion as “the process in which an innovation is
communicated through certain channels over time among the members of a social
system” (Orr, 2003). The four key components of this theory consist of innovation,
27
�communication channels, time and social system. Innovation is the belief that an idea,
practice, or project by an individual can be viewed as a new method (Sahin 2016).
Communication channels are the participants who share and spread information to
solidify understanding of what is taught. Time, according to Rogers, is seen as the most
ignored aspect although it is one of the strengths in his theory. Lastly, a social system
defined by Rogers as “a set of interrelated units engaged in joint problem solving to
accomplish a common goal” (Orr, 2003).
Rogers’ theory includes five stages in his Diffusion of Innovations Theory,
which will be used as the framework for our solution. The awareness (knowledge) stage
is when a person becomes aware of an innovation and proposes an idea of how it
functions; interest (persuasion) stage is when an individual forms a positive or negative
attitude toward the innovation; evaluation (decision) stage is when the person chooses to
adopt or reject the innovation; implementation stage when a person puts an innovation
into use; evaluation (confirmation) stage is when the person evaluates the results of an
innovation-decision already made (Orr, 2003).
The awareness stage will bring attention to adolescents and young adults by
creating an aesthetic and functional social media page that displays important facts and
articles. The interest stage will consist of creative interactive features such as quizzes and
linked videos of personal experiences while using e-cigarettes. These features will help
capture the interest of the participants. This serves as a way to engage participants while
simultaneously teaching them. These additional features will create encouragement and
increase the desire to learn. In the evaluation stage, we will assess the views and
popularity of the social page. The desire is to increase the number of followers and
participants’ activity on the page. The implemental stage will consist of the participants
becoming knowledgeable about the harmful health effects of e-cigarettes. In the
evaluation stage, the participants will state their desire to quit smoking. Being wellinformed of the associated health risks will increase the desire to better one’s health. This
theory is used for long-term change projects, which is our goal by implementing an
educational social media account. The objective is to educate the youth through social
media and create a large platform to raise awareness. The creation of this social media
account is to encourage the cessation of e-cigarettes. This is an ideal solution because
social media is linked as one of the sources of promotional advertisements for ecigarettes (Pokhrel et al., 2018).
Learning objective goals are:
● Recognize the adverse effects of e-cigarette use
● Enhance public awareness by utilizing social media platforms
28
�●
Minimize the use of e-cigarettes among the adolescent population
The new course of e-cigarettes swept in and changed the dynamic of what we
thought would have been the end of an era of tobacco smokers. Instead, we see a rise in
nicotine addiction among the adolescent population due to the increasing demand for ecigarettes. To reduce this up rise in popularity, a proposed solution is to create a social
media platform to provide evidence and risk factors about e-cigarettes. This method can
be effective by influencing adolescents and young adults to steer away from using ecigarettes which may promote public health in the future. This solution will help the new
generation of Americans who are at risk of nicotine addiction.
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https://doi.org/10.1542/peds.2018-2741
31
�Satisfying the Growing Health-Conscious
Consumer Market
Lauren Duffy (Business Administration) 1
This research paper presents information regarding how changing consumer
demands are reshaping the food industry. Many consumers have become more healthconscious, desiring products that have higher nutritional content. Research shows that
large food corporations have become threatened by innovative, new companies that cater
to the healthy desires of consumers. Findings reflect that increased competition in the
health food industry has only benefitted shoppers, who are able to maintain unique diets,
care for their health, and obtain innovative product plant-based alternatives. Results show
that large firms are required to take action to adapt and stay afloat.
I. Introduction
Of late, a growing number of consumers have been motivated to diet more than in
the past and have shown increased interest in the nutritional value of the foods they
consume. Companies within the food industry are being forced to take notice and adapt
the way they conduct business. The U.S. Food and Drug Administration nutritional labels
are undergoing changes that aim to encourage consumers to make decisions that benefit
their health and clarify the ingredients within popular foods. New startups have quickly
developed innovative product offerings and brought them to market, while large
corporations consider how to stay relevant in a changing industry.
II. Literature Review
The Dieting Trend
Statistics and Motivation Behind Dieting
There has been a recent skyrocketing of the adoption and discussion of diets due to
the increase in the numbers of bloggers, celebrities, and companies creating buzz about
diets. The increased discussion about diets has reflected consumers’ desires to curb their
unhealthy eating habits and to refine their food choices to benefit their health. There is an
increased skepticism surrounding processed and artificial foods, and there is an increased
1
Written under the direction of Dr. Shani Carter in partial fulfillment of the Senior Program
requirements.
32
�variety of food available in typical grocery stores that in the past better accommodate
people with diet restrictions (Tait, 2019).
The annual Food and Health Survey of more than 1,000 people provides more
insight into the changes in eating habits and dieting in the United States and found that
between 2017 and 2018, “the percentage of American adults following a specific diet
protocol more than doubled, from 14 percent to 36 percent” (Egan, 2018, No page
numbers provided). Between 2018 and 2019, there was an increase in the number of
Americans dieting which reached 38% (International Food Information Council
Foundation [IFICF], 2019). The survey lists intermittent fasting as the most common diet
of 2018 with Paleo and gluten-free not far behind (Egan, 2018). Figure 1 below shows
that the low-carb, Mediterranean, vegetarian/vegan, and ketogenic diets were other types
of diets that rounded out the top dozen in both years (Egan, 2018; IFICF, 2019).
Figure 1. Percentage of people surveyed by IFICF who followed a specific diet in 2018
and 2019. Source: International Food Information Council Foundation 2019 Food and
Health Survey.
Sixteen percent of respondents that were surveyed reported that they intended to eat
a low-carbohydrate diet (Egan, 2018). Weight-related motivation was a top reason for
dieting, indicated in Figure 2, with a large portion of respondents indicating they would
33
�limit intake of sugar and carbohydrates for weight control (Egan, 2018; IFICF, 2019).
Having more energy and preventing future diseases and health conditions were other
popular reasons for adopting a diet among survey participants (IFICF, 2019).
Figure 2. Percentage of people surveyed by IFICF and their motivation for dieting in 2019.
Source: International Food Information Council Foundation 2019 Food and Health Survey.
Individuals are also motivated to start a diet because of their social conscience (Tait,
2019). Many people have concerns about harming animals and the planet through their
food choices (Tait, 2019). These concerns have caused many to become flexitarian, a
term which refers to people who seek to reduce their overall consumption of meat but
who do not want to be a vegetarian or vegan (Tait, 2019).
Forty percent of respondents reported that their diets looked “very different” from
what they were ten years ago (IFICF, 2019, p. 17). Major changes in diets from ten years
ago include the following: making efforts to decrease sugar and carbohydrate intake;
minimizing junk food; minimizing fast food; and being more attentive to what is eaten
(IFICF, 2019). A new category named “clean eating” ranked first in popularity among
respondents in 2019, indicating that ingredients and how products are made are impactful
elements that buyers are now likely to consider when making dietary decisions (IFICF,
2019). Overall, consumers are more conscious than they were ten years ago because they
have greater concern about their future health and nutrition intake.
Consumers are searching for more customized diet solutions that align with their
values and that give them the most personal benefit (Egan, 2018). Individuals have a
desire for a sense of community with other people who have similar thinking about their
diets (Egan, 2018).
34
�Social media is suspected to have played a role in changing consumers’ diets because
social media has increased the amount of information about dieting available and has
increased the ease of obtaining recipes online, while easily connecting people of similar
interests (Egan, 2018). Many people today rely more on information gathered from social
media than from expert recommendations. For example, one-third of respondents from
the Food and Health survey had never seen MyPlate, the federal government guideline
that shows which food groups and sizes of each should be consumed at each meal (IFICF,
2019). This lack of knowledge of government-produced information implies that a
significant number of consumers obtain their information from alternative, possibly less
formal, sources.
Veganism and Flexitarians
As more consumers shift their focus to eating fruits, plants and adopting a “cleaner”
diet, more people are adopting veganism (Tait, 2019). Vegans eat plant-based foods, and
they avoid meats and all ingredients derived from animals. Veganism is “the doctrine that
man should live without exploiting animals” (Tait, 2019, p. 38). Many consumers choose
veganism because of this ethical motivation, in addition to the issue of sustainability,
while research has provided more opportunity over time for consumers to make informed
choices about what they eat (Tait, 2019). Sustainability refers to issues on an
environmental level to ensure the long-term safety of the planet and its resources which
can be harmed by emissions from the meat and dairy industries (Tait, 2019).
This year, 2019, the annual month-long charity initiative named Veganuary was held
in January. Veganuary, which encourages people to eat vegan for the entirety of January,
saw a record-breaking 250,000 people participate (Tait, 2019). The food industry has
significantly increased the creation of vegan foods to capitalize on the vegan trend (Tait,
2019). “In 2018, the Vegan Society registered 9,590 new products as vegan – a 52 per
cent increase on products that carried the society’s official trademark in 2017” (Tait,
2019, p. 37). This increase in available products may make veganism more alluring and
easier to follow. Although vegans still make up just about 3% of the U.S. population and
7% of the U.K. population, one British study determined that 52% of people are
interested in becoming vegan, vegetarian, or flexitarian (Zampa, Tait, 2019). Flexitarians
prefer to minimize meat consumption without eliminating meat from their diet (Tait,
2019). With knowledge of these new consumer desires, companies can capitalize on
vegan consumers and on average consumers who value health and prefer to refrain from
eating meat occasionally (Tait, 2019). It has been suggested that “the vegan lifestyle has
started to significantly change consumer behavior in a very short time like with no other
35
�trend before” implying that the size of the veganism wave is large and has the potential to
last (Tait, 2019, p. 39).
Ketogenic Diet
Developed in the 1980s, the ketogenic diet proposed that diets should consist largely
of protein and fats and little to no carbohydrates (Brown, 2016). Dr. Robert Atkins’ idea
was to force the body into ketosis which occurs when fat is used as energy instead of
carbohydrates being used as energy (Brown, 2016). Carbohydrate consumption must
remain at approximately 20 to 30 grams per day for health reasons, making the keto diet
challenging to accomplish and proving the keto diet to be one of the more difficult eating
habits to adhere to long-term (Brown, 2016).
There are several positive and negative health effects of adopting the keto diet. When
adopting the keto diet, many people often face side effects such as headaches, lethargy
and difficulty sleeping (Brown, 2016). The keto diet aims to spur weight loss, decrease
cholesterol, decrease triglycerides and low-density lipoprotein while increasing highdensity lipoprotein (Brown, 2016). “Health professionals warn that not eating enough
carbohydrates can lower your muscle building hormone and T3 thyroid hormone levels,
increase cortisol levels (the stress hormone), contribute to muscle loss and prevent
muscle gain, and mess with a woman’s delicate hormone balance” (Brown, 2016, No
page numbers provided). Opponents of the ketogenic diet declare that positive effects of
the diet are only transient and may create a yo-yo effect in which dieters who have
successfully lost weight regain the weight later (Paoli, 2014).
Paleo Diet
The paleo movement promotes the idea that humans should adopt the eating habits of
our paleolithic ancestors (Brown, 2016). Though this thinking began in the 1970s, it has
experienced a recent resurgence. It suggests food eaten should be the same as the food
that was eaten during the time of hunting and gathering and pinpoints the switch to eating
products made from grains and milk as the beginning of the increase in diabetes,
cardiovascular disease and obesity (Brown, 2016).
While adopting the hunter-gatherer lifestyle is not entirely possible today, the paleo
diet encourages greater intake of what was available in paleolithic times like fruits,
vegetables and items filled with nutritious omega-3s, fiber, and minerals (Brown, 2016).
The paleo diet today includes consumption of protein from meat, seafood and eggs and
healthy fats, such as nuts and oils, alongside fruits and plants (Brown, 2016). Processed
foods, refined sugars, potatoes, dairy, saturated fats and grains are generally avoided by
followers of the paleo diet (Brown, 2016). The paleo diet habits appear slightly easier to
36
�maintain than habits associated with the keto diet (Brown, 2016). Research about the
effectiveness of the paleolithic way of eating is sparse and not necessarily reliable due to
the variety of ways individuals are following the paleo diet (Brown, 2016).
Nutrition Label Changes
Simplified Messaging and Greater Transparency
A significant change in the food industry that will affect businesses and
shoppers is the new nutrition facts labeling standards. The Food and Drug Administration
announced these mandatory changes to the way nutritional information appears on
product packaging in 2016, with the hopes of improving the way labels are read and
enhancing consumer awareness about the content of their products. Prior to enacting the
change in requirements, the federal agency “conducted consumer studies and received
300,000 comments on the proposals from consumers, academics, health professionals,
government agencies, industry, and foreign governments” (Grossman, 2017, p. 64). One
of the major reasons for the nutrition label modifications is to reflect updated scientific
information and show the link between diet, diseases and public health (U.S. Food and
Drug Administration, 2016). A new format, which can be seen in Figure 3, will be
introduced that will highlight calories and serving sizes, “two important elements in
making healthier food choices” (U.S. FDA, 2016, p. 2).
37
�Figure 3. Original nutritional label compared to the new nutritional label required by
2020. Source: U.S. Food and Drug Administration. (2016). Final Rules to Update the
Nutrition Facts Label.
On the new label, both calories and serving sizes will be featured in larger,
bolder type that stand out from the rest of the information, while serving size and daily
value information will be updated to become more realistic and account for “how much
people typically eat at one time” (U.S. FDA, 2016, p. 8). For example, a product that is
four servings at 200 calories per serving will eventually become labeled as three servings
at 270 calories per serving (U.S. FDA, 2016). Some packages will require dual columns
to clearly reflect the difference between consuming the entire container, which should be
done at multiple sittings, versus the recommended single serving (U.S. FDA, 2016). This
dual labeling will be required for packages that contain anywhere from 200% to 300% of
the standard serving size (U.S. FDA, 2016).
An “added sugars” section will be included underneath total sugars to clarify if
sugar is naturally present or added as a sweetener (U.S. FDA, 2016). These amounts must
be presented in both grams and percent of Daily Value (U.S. FDA, 2016). Emphasis has
been placed on sugars because research has shown that when diets consist of foods that
are high in sugar content, it is difficult to meet nutritional needs and presents an increased
risk of cardiovascular disease (U.S. FDA, 2016). Fiber reporting is also being updated to
include only fiber that is naturally occurring and fibers added to foods that show a
“physiological health benefit” on labels (U.S. FDA, 2016, p. 11). The term “calories from
fat” will no longer be acceptable as fats must be classified into trans-fat and saturated fat
categories, indicating that the type of fat has more importance than the overall amount
(U.S. FDA, 2016). The U.S. Food and Drug Administration issued its first label
regulations in 1993 and has gone through several amendments over time, including this
one (Grossman, 2017).
Compliance
Large businesses and corporations with over $10 million in sales have been
given a deadline of January 1, 2020, whereas smaller businesses have been given one
extra year to comply with the new FDA rules (Burns, 2019). Though the new guidelines
may create difficulties for food and beverage companies, the changes may not be so
dreadful after all. New forms of technology like blockchain can ease the burden from
farm to shelf and help these companies create a “more harmonious relationship between
consumer, brand and product” (Burns, 2019, No page numbers provided). “For the food
and beverage industry, this technology has the potential to trace all nutritional data and
origins, connect supply chains and track every step of production for targeted recalls”
38
�(Burns, 2019, No page numbers provided). Harnessing this technology would allow
producers to place scannable QR codes on their packaging, so shoppers can view how
and when the item was produced and each step in a product’s global journey (Burns,
2019). Blockchain can validate claims made regarding an item being labeled as organic,
grass-fed or natural (Burns, 2019). This knowledge and intricate tracking are beneficial
by saving both cost and disruptions to the business’s flow of operations (Burns, 2019). A
solution like blockchain, however, may be less feasible for smaller businesses that face
greater budgetary constraints and challenges making substantial process modifications.
Many companies have adapted to the label mandates earlier than required to
show their customers that their brand values transparency (Watson, 2015). The change
has presumably helped businesses that stand behind their products’ nutritional values to
differentiate from the competition with their willingness to comply. One brand made it a
top priority to outline the real ingredients in their products aside from solely focusing on
the nutrition panel. The energy bar company, RXBar, which has experienced massive
success, boldly displays its minimal and wholesome ingredients in large font on the front
of every wrapper along with the phrase “No B.S.” The company stands behind this
statement as the definition of transparency and says, “We’re not trying to hide anything.
We’re putting everything out there for the consumer and empowering the consumer to
make that decision” (By the Numbers, 2018, p. 5). Being consistently transparent is
considered to be a major differentiator and a key to sustaining brand loyalty and positive
feedback from consumers (Burns, 2019). Other companies have expressed strong
opposition against the regulations and have chosen to wait until the required 2020
deadline to implement them.
Support and Backlash
General Mills, Kellogg’s, and Unilever were some of the brands firmly
contesting the recent regulations enacted by the FDA (Watson, 2015). General Mills
specifically called out the FDA for improperly relying on the Dietary Guidelines
Advisory Committee instead of the Institute of Medicine, and General Mills made claims
that the new label confused consumers (Watson, 2015). In 2015, General Mills released a
statement saying, “We respectfully ask FDA to pause and take the time needed for a
deep, evidence-based review through the Institute of Medicine (IOM) DRI (Daily Review
Intake) process” (Watson, 2015, No page numbers provided). The company points out a
shift in the FDA’s approach and how the administration diverged from its usual
proceedings when performing label revisions (Watson, 2015). Research conducted by
General Mills, the International Food Information Council Foundation (IFICF) and the
FDA showed that just 66% of shoppers could correctly identify the sugar content of an
39
�item with the new ‘added sugar’ label, much lower than the 92% of shoppers who did so
using the current labels (Watson, 2015). General Mills called attention to this large
decrease, while the IFICF agreed that the change reduced consumers’ abilities to identify
a product’s sugar content (Watson, 2015). The National Confectioners Association stated
that “establishing a daily value for anything without the kind of scientific consensus FDA
has required in the past would be unusual and arbitrary” (Watson, 2015, No page
numbers provided).
Food and drink company, Nestle, strongly supports the proposal, while nut bar
company, Kind Snacks, also welcomed the label changes (Watson, 2015). These
manufacturers felt the changes made sense in helping the consumer identify and limit
foods with added sugars, as dietary guidelines encourage (Watson, 2015). Kind Snacks
suggested that the amount of added sugars be labeled in teaspoons and grams, instead of
just grams (Watson, 2015). The American Heart Association shared this viewpoint with
Kind Snacks and wanted the daily value for added sugars to be no more than 10% of
energy intake (Watson, 2015). POM Wonderful was a third company to announce its
support of the regulatory labeling changes (Watson, 2015).
Another response to the changes by manufacturers is reformulation of their
products (Shoup, 2019). “The mandatory addition of trans fat content on the Nutrition
Facts label led some food and beverage manufacturers to reformulate their ingredients”
(Shoup, 2019, No page numbers provided). Six studies discovered that food labeling
policies diminished sodium content by 64% and trans fats content by 8% in foods
(Shoup, 2019). Manufacturers may have a similar reaction when the new added sugar
labeling goes into effect in 2020.
Product Variety and Increased Availability
Vegan-Centric Products
Vegan products have made a transition into typical supermarkets after only
being available in niche health food stores in the past, making them more attainable for
consumers (Tait, 2019). Products considered vegan were once on the fringe but have
become more normalized in recent years (Tait, 2019). One reason may be that “the food
industry is ruthless and laserlike in keeping its attention on trends” (Tait, 2019, p. 37).
Large companies in the industry also have enough economic force to get vegan items
onto store shelves (Tait, 2019). Major brands have made efforts to profit from the vegan
trend, creating products like ice cream, chicken nuggets and the first “bleeding” vegan
burger from ingredients such as extracted pea protein, chickpeas, and mushrooms (Tait,
2019). Magnum Ice Cream has released two ice creams made from pea protein,
40
�Hellman’s Mayonnaise has begun producing vegan mayonnaise, and restaurant chain
PizzaExpress started offering vegan pizza (Tait, 2019). Other items like vegan cookies
and dairy-free chocolate have gained popularity in the dessert category (Tait, 2019). An
online petition that garnered 20,000 signatures stimulated the creation of a vegan sausage
roll by one U.K. bakery chain, showing consumer desires for plant-based alternatives
(Tait, 2019). Plant-based products have also made their way into the meat section of
grocery stores instead of meat-free, vegan aisles (Tait, 2019). This has increased the
customer reach for producers of plant-based meat because it has introduced their products
to customers who are not vegan but are open to making a switch to plant-based meals
(Tait, 2019). Industry experts have said “it is a fool who dismisses veganism as a fad”
(Tait, 2019, p. 41).
Plant-Based Meats
The plant-based burger is a wake-up call for the meat industry (von Drehle,
2019). “Plant protein categories are experiencing double-digit growth, and in some
categories high double-digit growth” (Peters, 2017, No page numbers provided).
Impossible Foods and Beyond Meat have been the two biggest companies in the
conversation about innovative plant-based meats (von Drehle, 2019). The food products
produced by Impossible Foods and Beyond Meat are not aimed at the small market of
vegan and vegetarian eaters but at individuals who want to enjoy a flavorful, meaty
burger without feeling guilty about the negative environmental impacts from scaled meat
production (von Drehle, 2019). On average, the United States consumes approximately
50 billion burgers each year, while the Environmental Protection Agency estimates that
10% of emissions in the U.S. results from agriculture, especially cattle (von Drehle,
2019). Impossible Foods uses soy-based heme and a mixture of wheat, potato, and
coconut oil to give its burgers the essence of real meat (von Drehle, 2019). Beyond Meat
has a different approach and claims that Beyond burgers are free from genetically
modified ingredients, unlike the “heme” molecule that is present in Impossible Foods’
burger (von Drehle, 2019). Though plant-based meat alternatives are growing in
popularity, eaters must be wary of the health value of the burgers (von Drehle, 2019). The
innovative burgers have a similar number of calories to regular beef and are high in
sodium and saturated fat despite the healthy connotation associated with the term “plantbased” (von Drehle, 2019).
Investments from celebrities like Bill Gates, founder of Microsoft, skier Lindsey
Vonn, and basketball star Shaquille O’Neal have helped propel Impossible Foods and
Beyond Meat forward and create positive publicity for each brand (von Drehle, 2019).
Beyond Meat announced its initial public offering this year which has been deemed one
41
�of the most prolific IPOs of 2019 (Vargas, 2019). The company’s stock, BYND, once
reached $239.71 per share, revealing Beyond Meat’s remarkable success, while its
competitor Impossible Foods remains privately held (Vargas, 2019). Beyond Meat’s early
success will be tested once the meat-alternative market gets increasingly crowded and
more competitors emerge as projected (Vargas, 2019).
Thriving Health-Conscious Brands
The frozen foods category has seen a significant disruption of late because of new
market entrants that have created innovative new products (Crawford, 2019). One
example is the company Caulipower, LLC which has introduced frozen chicken tenders
and pizzas that have undergone nutritional makeovers that separate the company from its
competition (Crawford, 2019). The company uses brown and white rice flour and
cauliflower to create the breading for the chicken tenders which are baked, never fried
(Crawford, 2019). Calories are almost halved compared to the competition, with
Caulipower’s product having less fat and carbs but more protein than the average chicken
tenders on the market (Crawford, 2019). Caulipower, LLC also accounts for 50% of the
growth in the frozen pizza category, where the company produces pizza crust made from
cauliflower (Crawford, 2019). Caulipower’s innovative products that provide a healthier
take on comfort foods continue to gain traction (Crawford, 2019).
The “Plant-Based” Marketing Craze
Targeting a Broader Market
Diet is increasingly correlated with identity issues, making it extremely marketable
(Tait, 2019). Plant-based eating has become a multi-billion-dollar movement, though it
was once considered faddish (Tate, 2019). Since the word “vegan” is quite off-putting for
meat-eaters, the term “plant-based” is something even meat-eaters can get on board with
(Tait, 2019). “Vegan” has some connotations around animal rights and other issues that
most people might not be on board with (Tait, 2019). The number of new U.S. food and
drink items that mentioned “plant-based” grew 268% from 2012 to 2018 (Crawford,
2019). Products featuring the words “plant-based” are appearing in every aisle and in
every form, such as plant-based yogurts, kale chips, pea-protein shakes, and oat milks
(Crawford, 2019). Experts have said that the term “plant-based” is smart use of
terminology to appeal to shoppers (Crawford, 2019). The widespread use of “plantbased” marketing has been called “plant-washing” and has been used incorrectly by some
companies, something consumers must be aware of when making buying decisions
(Crawford, 2019).
42
�III. Hypothesis
A growing segment of the American population has developed new standards for
what they eat and how their foods are processed or manufactured, and therefore, are
likely to continue making health-conscious choices, forcing large processed food
corporations to adapt to capture the changing demands of consumers.
IV. Method
The research presented in this paper was compiled over a three-and-a-half-month
period beginning in September of this year, 2019. Sources were evaluated for potential
bias, and the date of publishing was considered to ensure information was up-to-date and
relevant to reflect current trends. The sources used in the paper were found electronically,
primarily through keyword searches. Several articles were found through searches on the
Wagner College Horrmann Library databases called OneSearch and ProQuest. Other
useful information was found using Google Scholar and the Google search engine.
Some of the search terms used within OneSearch and ProQuest to find the articles
presented in the research above included “FDA nutrition labels,” “veganism,” “paleo
vegan keto,” “changing appetites” and “plant-based marketing.” Keywords used on
Google Scholar were “ketogenic diet effectiveness” and “plant-based diet.” Through
Google’s search engine, searches like ““vegans in the U.S.,” “Beyond Meat IPO,” “health
food startup acquisitions,” “food labeling and consumption,” “RXBar drives sales”
helped produce relevant results with articles related to the topic of the research paper. In
some cases, the “News” tab within Google was selected to yield improved results from
more reliable, well-known sources.
Much of the research presented within the paper was derived from periodicals and
articles discussing current consumer desires, trends, and happenings in the food industry.
Other information was gathered from official reports, for example information produced
by the U.S. Food and Drug Administration regarding the updated nutrition labels and data
from the International Food Information Council Foundation’s annual surveys of
American consumers.
V. Results
Large Food Corporations Threatened
Adapting to Capture Consumers
Research has shown that American consumers’ eating habits have changed because
they exhibit an increased desire for healthier food options (IFICF, 2019; Tait, 2019).
43
�The success of large food corporations is impacted by the changing consumer mindset,
and corporations are tasked with innovating and staying relevant to maintain the attention
of consumers (Gasparro, 2019). Increased consumer desire to become flexitarian and
interest in being more conscious about what is eaten has led to food innovations like
plant-based meats, pizza crust made from cauliflower, and other healthier versions of
popular food items (Tait, 2019; IFICF, 2019; Crawford, 2019). Increased competition in
the food industry means companies are now becoming more innovative (Tait, 2019).
Large companies whose products no longer align with shoppers’ demands are challenged
and threatened (Gasparro, 2019).
Partnerships
Large food corporations have chosen to form partnerships with innovative brands to
bolster overall company performance (Gasparro, 2019). Two fast food burger chains,
Burger King and Red Robin, have introduced the Impossible Burger on each of their
menus (von Drehle, 2019). Beyond Meat recently announced that its products would
appear in select Costco Wholesale stores, indicating Costco Wholesale’s desire to present
its customers with more plant-based options and capitalize on the plant-based trend
(Vargas, 2019). Beyond Meat has developed partnerships with fast food chain
McDonald’s, Yum Brands’ Kentucky Fried Chicken, and Dunkin’ Donuts (Vargas,
2019). The plant-based meat products on the market like the Beyond Burger and
Impossible Burger are “threatening enough that such major players in the livestock
industry as Tyson and Cargill have bought stakes” in Beyond Meat and Impossible Foods
(von Drehle, 2019). Mars Inc., creator of M&M’s, also purchased stake in Kind Snacks
estimated at more than $1 billion (Gasparro, 2019). Mars Inc.’s investment in Kind
Snacks shows the corporation’s hopes of profiting from increased consumption of snack
bars within the popular health bar category (Gasparro, 2019).
Acquisitions
A growing trend is for large corporations to adapt to food trends by acquiring
promising start-ups (Booth, 2019). After its initial launch in 2013, the energy bar
company, RXBar, mentioned earlier for its transparent labeling of ingredients, reached $2
million in sales in just one year on the market (Booth, 2019). The company uses simple
and healthy ingredients including nuts, fruit, and egg whites and was acquired by
Kellogg’s for $600 million in 2017 (Booth, 2019). The purchased proved to revitalize
Kellogg’s “snacks and morning foods portfolio, a segment that has been struggling as
Americans turn away from sugary cereals and opt for more health-conscious alternatives”
(Booth, 2019, No page numbers provided).
44
�In 2014, Hillshire Brands Company purchased Van’s Natural Foods, a “leading
better-for-you brand that delivers great taste, nutrition, simple/clean ingredients” in the
frozen breakfast and snack food category (Hillshire Brands, 2014, No page numbers
provided). The company has become a complement to Hillshire Brands’ portfolio due to
its positioning in the growing consumer wellness lifestyle segment (Hillshire Brands,
2014). Like Hillshire Brands, The Hershey Company hoped to cater to health-conscious
shoppers when Hershey bought Pirate’s Booty in late 2018 (Wyshak, 2019). This
acquisition helps The Hershey Company target customers who prefer healthy snacks that
don’t compromise on taste which has been a specialty of the Pirate’s Booty brand
(Wyshak, 2019). Many similar acquisition deals have been made between food
corporations and innovative, small companies that offer health-conscious, non-genetically
modified, natural, organic, or gluten-free products (Wyshak, 2019). These acquisitions
are advantageous for big food corporations because “start-ups have the ability to quickly
adapt to trends, develop new products and bring them to market much faster than a large
company can” (Booth, 2019, No page numbers provided).
New Products Introduced
Another strategy that large food companies have used to stay relevant is to develop
their own products and brands that are more appealing to consumers who want innovative
and healthier food selections (Culliney, 2018). Food and beverage company, Nestle,
cereal manufacturer Kellogg’s, and producer of packaged meats, Hormel Foods, are all
planning to launch plant-based meat products in the future (Vargas, 2019). Meat
processor, Tyson Foods, an initial investor in Beyond Meats, has unveiled its own plantbased meat brand named Raised and Rooted which sells patties and nuggets (Vargas,
2019). This activity signals that the shift in the market is being embraced by the meat
industry (Peters, 2017).
Quaker Oats, which is owned by PepsiCo., has added a Simple and Wholesome
product line that features non-GMO and organic oats with a gluten-free option
(Culliney, 2018). Quaker Oats has created a Morning Go-Kit product also targeted at
nutrition-forward consumers with more nutrition-forward products to be on the market
soon (Culliney, 2018).
VI. Discussion
How Companies Stay Relevant
The examples above of the partnerships, acquisitions and new product introductions
reflect how big food corporations can stay relevant and continue success as customer
beliefs change. The research presented shows that it is both smart and necessary for
45
�companies to acquire or partner with fast-growing startups or use funds to expand
product offerings inside the company. Otherwise, large corporations risk a decline in
sales if they fail to reposition themselves in a manner that is favorable to American
consumers.
Changing Landscape of Food Production and Consumption
It has been interesting to see the significant percentage of Americans are dieting in
2019, however, the dieting trend is positive for the United States, a nation known for poor
nutrition, oversized portions, and high obesity rates. The greater interest in healthier
lifestyles exhibited by consumers in the literature that was reviewed does not suggest that
all Americans are adopting healthy habits and forgoing junk food. However, the findings
expose an interesting shift toward healthier eating for a segment of the population and
help to reveal that big food companies are taking notice. Since the results from the
International Food Information Council Foundation survey utilize data from roughly
1,000 participants, the data could be strengthened by including more survey participants
to better reflect the entire population.
Regarding the proposed FDA changes to the food nutritional panel, research
suggests that the new label is clearer and less misleading than before. It remains to be
seen whether consumers will benefit from the label changes once the new label takes
effect in 2020. Labels with dual servings show the differences between consuming the
entire container versus only one recommended serving which may limit deception from
corporations. However, articles revealed that the FDA irrationally strayed from precedent
when determining the nutrition label revisions and dietary guidelines.
The addition of plant-based meats to the market has been an incredibly successful
innovation according to industry research. Beyond Meat and Impossible Foods continue
to show sales growth through publicity and the formation of new partnerships with major
brands across the country. Startup brands that keep health in mind when creating products
continue to emerge and gain market share and consumer dollars. Though researchers are
still unsure of the effects of consuming plant-based meats that contain ingredients like
heme that have never been used before, research implies that plant-based meat
manufacturers are poised for success by capitalizing on the vegan, flexitarian, and
sustainability trends.
VII. Conclusion
New product offerings and food innovations are helping to revamp and reshape the
food industry. Consumers have more choice and a greater number of health foods are
becoming mainstream in grocery stores everywhere. Shoppers can only be more satisfied
46
�with the growing number of food options available to them, enabling consumers to stick
to their diet of choice and avoid industries that harm the natural environment. The food
industry is projected to undergo more changes as large companies look to capitalize on
the health food market.
Further research is suggested regarding the intake of plant-based meat alternatives.
Since items like Beyond Burgers are new to the market, only time and continued research
will tell if how similar or different plant-based meats are to regular beef products.
VIII. References
Booth, B. (2019, September 24). RXBar driving millions for Kellogg as its cereal
business falls out of vogue. Retrieved November 29, 2019, from https://www.cnbc.com
/2019/09/24/rxbar-drives-millions-for-kellogg-as-cereal-biz-falls-out-of-vogue.html.
Brown, J. (2016, July 10). Comparing three popular diet trends: paleo vs keto vs
Mediterranean. Retrieved October 16, 2019, from https://www.huffpost.com/entry/
comparing-three-popular-diet-trends-paleo-vs keto_b_5781179ae4b03288ddc6849d
?guccounter=1.
Burns, K. (2019, February 1). How new labeling rules might impact the food and beverage
industry … in a good way. Retrieved from https://www.bizjournals.com/sanfrancisco/
news/2019/02/01/how-new-labeling-rules-might-impact-the-food-and.html.
By the numbers: DePaul builds entrepreneur success. (2018). Business Exchange, 1(9), 5.
Retrieved from https://via.library.depaul.edu/cgi/viewcontent.cgi?article=1077&context=bx
Crawford, E. (2019, June 20). Caulipower's New Chick on The Block gives 'categorybusting nutritional makeover' to frozen chicken tenders. Retrieved from
https://www.foodnavigator-usa.com/Article/2019/06/20/Caulipower-s-New-Chick-OnThe-Block-gives-category-busting-nutritional-makeover-to-frozen-chicken-tenders.
Culliney, K. (2018, September 26). Quaker make its first foray into the chiller with
Morning Go Kits: 'People are consuming oats throughout the day'. Retrieved from
https://www.foodnavigator-usa.com/Article/2018/09/26/Quaker-make-its-first-foray-intothe-chiller-with-Morning-Go-Kits-People-are-consuming-oats-throughout-the-day.
Egan, S. (2018, May 16). Paleo, vegan, keto: Why food tribes are on the rise. The
Washington Post, Retrieved from http://ezproxy.wagner.edu:2118/login.aspx?direct=
true&db=bwh&AN=wapo.270b13525876-11e8-858f-12becb4d6067&site=eds-live
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�Gasparro, A. (2019, Oct 06). Changing snack appetites leave granola bars behind; Nature
Valley, Special-K bars lose ground to brands with fewer ingredients, more protein. Wall
Street Journal (Online). Retrieved from https://ezproxy.wagner.edu/login?url=
https://ezproxy.wagner.edu:2056/docview/230106153?accountid=14865
Grossman, M. R. (2017). United States: US FDA updates rules for nutrition labels and
serving sizes. European Food and Feed Law Review, 12(1), 63. Retrieved October 8,
2019 from http://ezproxy.wagner.edu:2118/login.aspx?direct=true&db=edsjsr&AN=
edsjsr.2645146&site=eds-live
Hillshire Brands to acquire Van's Natural Foods from Catterton Partners. (2014, April
21). No page numbers provided. Retrieved from https://www.businesswire.com/news/
home/20140421005338/en/Hillshire-Brands Acquire-Van’s-Natural-Foods-Catterton.
International Food Information Council Foundation. (2019, May 20). 2019 food & health
survey. Washington, D.C. Retrieved November 15, 2019, from https://foodinsight.org/
wpcontent/uploads/2019/05/IFIC-Foundation-2019-Food-and-Health-Report-FINAL.pdf
Paoli, A. (2014). Ketogenic Diet for Obesity: Friend or Foe? International Journal of
Environmental Research and Public Health, 11(2), 2092–2107. doi:10.3390/
ijerph110202092
Peters, A. (2017, December 18). Get ready for a meatless meat explosion, as big food
gets on board. Fast Company (Online). No page numbers provided. Retrieved from
https://www.fastcompany.com/40508181/get-ready-for-a-meatless-meat-explosion-as
big-food-gets-on-board.
Shoup, E. (2019, January 14). Study: What kind of impact does food labeling have on
consumption? No page numbers provided. Retrieved October 29, 2019, from
https://www.foodnavigator-usa.com/Article/2019/01/14/Study-What-kind-of-impact
does-food-labeling-have-on-consumption.
Tait, A. (2019). How the new veganism went global. New Statesman, 148 (5463), 36–41.
Retrieved from http://ezproxy.wagner.edu:2118/login.aspx?direct=true&db=buh&AN=
135510064&site eds-live.
U.S. Food and Drug Administration. (2016). Final rules to update the nutrition facts
label. Washington, D.C.: Center for Food Safety and Applied Nutrition. Retrieved
September 28, 2019, from https://www.fda.gov/media/97724/download.
48
�Vargas, C. (2019, December 5). Beyond Meat strikes Costco deal: Should investors buy
BYND stock? Retrieved from https://finance.yahoo.com/news/beyond-meat-strikescostco-deal-221210865.html.
Von Drehle, D. (2019, April 7). Opinion | The Impossible Burger is a wake-up call to the
meat industry. Retrieved from https://www.washingtonpost.com/opinions/has-theimpossibleburger-pushed-america-to-peak-meat/2019/04/05/72235e52-57cc-11e99136f8e636f1f6df_story.html.
Watson, E. (2015, October 30). General Mills blasts 'unprecedented' FDA added sugars
proposal: 'We respectfully ask FDA to pause'. No page numbers provided. Retrieved
October 29, 2019, from https://www.foodnavigator-usa.com/Article/2015/10/30/General
Mills-blasts-unprecedented-FDA-added-sugars-proposal#.
Wyshak, S. (2019, November 20). Money hungry? Check this list of recent natural foods
acquisitions. Retrieved December 1, 2019, from https://www.thebalancesmb.com/natural
food-company-acquisitions-1326031.
Zampa, M. (2019, May 21). How many vegans are there really in the U.S.? Retrieved
November 17, 2019, from https://sentientmedia.org/how-many-vegans-are-there-in-theus/.
49
�‘Kids against Asthma’ Educational Program
for Pediatric Asthma in San Joaquin Valley
Jessica Diemer (Nursing), Marlena Sokolska (Nursing), and Lindsay Volpe (Nursing) 1,2
Asthma is a chronic disease that affects individuals all over the nation. Triggers
include inhaled allergens or irritants that cause inflammation and narrowing of the
airways (Nuss et al., 2016). Although this disease affects people of all ages in various
regions, the nation’s highest asthma rates can be seen in the agricultural community of
San Joaquin Valley, California (Childers, 2017). Children of Mexican farmworkers are
the vulnerable population in this community. Due to the exposure of harmful pollutants,
or a toxic pesticide called chlorpyrifos, these children have become more susceptible to
developing asthma and overall health problems. This health decline has resulted in an
increase in emergency department (ED) visits and absences from school (“San Joaquin
County”, 2016). In order to decrease these rates, we propose an asthma education
program to aid in providing education to farmworkers, parents, and school personnel.
Community Assessment
The San Joaquin Valley has a current population of 745,424 residents. Over the
past 19 years, San Joaquin has experienced a change in population majority. The
Hispanic/Latino population went from 30.9% to 41.6% and the Caucasian population
went from 47.7% to 31.8% (“San Joaquin County”, 2019). Therefore, a visible change
can be noted in these two ethnic groups.
San Joaquin County has the highest poverty and unemployment rates compared
to other counties in California. 17.3% of the population have an income below 100%
federal poverty level, 11.7% of the population is unemployed, and 11.7% of the
population is uninsured (“San Joaquin County”, 2019). These statistics illustrate the
economic background of the residents living in San Joaquin. Economic security is an
important contributing factor to the overall health and wellness of these residents. It
affects their access to insurance, education, healthy food, and safe living conditions
including the avoidance of outdoor respiratory hazards (“San Joaquin County”, 2016).
1
2
Written under the direction of Dr. Lorrie Desena and Professor Marcantonio.
This research paper was presented at a Sigma Sponsored Poster event for NR 472.
50
�In 2001, 15.8% of children and adolescents were diagnosed with pediatric
asthma in San Joaquin Valley and 13.6% were diagnosed in California as a whole
(Hernandez, Sutton, Curtis, Carabez, 2004). Today, the rate has more than doubled to
34.3% in San Joaquin and has only slightly increased to 14.5% in the rest of California
(“San Joaquin County”, 2016).
Since 2001, San Joaquin has experienced a change regarding the use of a
specific pesticide known as chlorpyrifos. Chlorpyrifos is a toxic, organophosphate (OP)
insecticide used in the production of fruits and vegetables throughout the United States
(Sellen, 2017). It has many toxic effects that can trigger asthma attacks, exacerbate
asthma, and increase the risk of developing asthma (Von Glascoe & Schwartz, 2019). For
this reason, chlorpyrifos was banned for residential and indoor use in 2001. Despite the
ban, the Environmental Protection Agency (EPA) has continued to allow chlorpyrifos use
in agricultural fields, with more than a million pounds applied annually in California
(Sellen, 2017). Continued use of chlorpyrifos in San Joaquin could be a reason for the
increase in pediatric hospitalizations.
Problem
Pediatric asthma among Mexican-American children has become a major health
problem in the San Joaquin Valley. California’s San Joaquin Valley is one of the most
prosperous agricultural regions in the world, containing seven of the top ten agricultural
counties in the United States (Von Glascoe & Schwartz, 2019). A majority of San
Joaquin’s air pollution comes from agricultural operations. Due to the heavy agricultural
setting of the Valley, children are regularly exposed to aerial spraying of pesticides and
are at an elevated risk of developing respiratory problems (Von Glascoe & Schwartz,
2019). San Joaquin ranks the fourth highest in agricultural pesticide use among all the
counties in California. San Joaquin uses 7,726 pounds of pesticides per square mile,
whereas the rest of California uses 1,183 pounds per square mile. These statistics show
the major impact that pesticide use has on the respiratory health of the San Joaquin
community (“San Joaquin County”, 2016).
Children are considered to be the most vulnerable population in the San Joaquin
Valley. Compared to adults, children are believed to be more susceptible to pesticide
exposure. Children absorb environmental toxins at a higher rate than adults. This is due to
their small size and their differences in physiology (Von Glascoe & Schwartz, 2019).
According to the American Lung Association in California, 105,000 children are affected
by pediatric asthma and 1.2 million children under 18 are affected by the Valley’s air
pollution (“State of the Air”, 2016). Children also carry particularly high levels of
chlorpyrifos. According to a CDC study, chronic exposure levels were 4.6 times the
51
�“acceptable” level for children and 3.0 times the “acceptable” level for youth
(“Chlorpyrifos”, 2020).
The Valley houses the largest number of Mexican immigrant farmworkers in
California. Children of Mexican farmworkers in the San Joaquin Valley have
exceptionally high rates of asthma compared with children of Mexican descent in both
the United States and Mexico. Poverty and marginal living conditions increase their
vulnerability to environmental health hazards and non-communicable diseases. This
population resides in areas closer to the agricultural fields for economic and convenience
purposes. Living near these fields is beneficial for the population because it is more
affordable and allows them to be closer to their place of work. However, it has left a
health impact on many of the worker’s families. In 2014, a study found that Latino
children in California were 91% more likely than white children to attend schools near
fields that used the highest amount of hazardous pesticides, including chlorpyrifos
(“Chlorpyrifos Alternatives in California”, 2017). On non-school days, most children
accompany their parents to work in the fields and are exposed to the pollutants for a
grave amount of time. According to a qualitative study, while parents work, children
play hide and seek in the grape fields. Rogelio, a Mexican farm worker living in San
Joaquin, reported that children as young as five years old “just grab bunches of grapes
and eat them along with all the chemicals” (Von Glascoe & Schwartz, 2019). This
anecdotal observation, along with marginal living conditions, makes it clear that Mexican
children are exceptionally vulnerable to the air pollutants that contribute to pediatric
asthma (Von Glascoe & Schwartz, 2019).
The effects of pediatric asthma on this population becomes evident when
looking at the rates of ED visits in San Joaquin Valley. According to California
Healthline, the counties in the San Joaquin Valley consistently have some of the worst
rates in the state (Rowan, 2018). Fresno County topped the records in 2016, with 143 ED
visits per 10,000 kids (Rowan, 2018). Another resource showed similar evidence of this
worsening rate. The California Health Interview Survey found that 30.6% of children
visited the ED or urgent care for asthma compared to 12.6% for the rest of California
(Alcala, Capitman, & Cisneros, 2017). These statistics show that pediatric asthma in San
Joaquin has adverse effects on Mexican children and the community as a whole.
According to the American Lung Association, the San Joaquin Valley has the
highest pediatric asthma rates in all of the nation (Childers, 2017). It remains home to
some of the most polluted air in the United States, in terms of both ozone and particle
pollution (State of the Air, 2016). Compared with California as a whole, asthma
prevalence and hospitalization rates are greater in San Joaquin (“San Joaquin County”,
52
�2016). Recent studies demonstrated that residents of the eight counties experience worse
overall health and shorter life expectancies than other Californian regions (Lessard,
Alcala, & Capitman, 2016). San Joaquin residents breathe some of the nation’s dirtiest
air, and about 1 in 4 children have asthma. According to the California Health Interview
Survey, this ratio makes San Joaquin the region with the highest proportion in the state
(Rowan, 2018).
Solution
The proposed solution for pediatric asthma among Mexican children in the San
Joaquin Valley is to reduce asthma morbidity and mortality levels by providing
education. An education-based program, called “Kids against Asthma”, will be created in
each of the eight San Joaquin counties. The goal of this program is to decrease the rates
of asthma related ED visits, school absences, and the amounts of pesticides used by the
farm workers in the San Joaquin community. Dr. Nola Pender’s Health Promotion Model
(HPM) is used as a framework for this program. By following Pender’s HPM, “Kids
against Asthma” provides an educational program to increase knowledge about achieving
optimal health through interaction with San Joaquin’s surrounding environment and
community. The HPM guided the following learning objectives that will be covered by
this innovative program:
•
To help parents of affected children and school personnel to understand the
triggers of asthma and how they can be avoided.
•
To educate affected children about prescribed medication regimens to prevent
exacerbations of asthma.
•
To educate farmworkers on the use of alternative techniques to reduce pesticide
use without disrupting the agricultural production in the San Joaquin Valley.
“Kids against Asthma” was proposed on evidence-based practice. Evidence
based research was done to create a holistic educational program to help San Joaquin
residents understand how to decrease their community’s asthma rates. Pender’s HPM was
combined with evidence from two existing programs to create the proposed solution
named, “Kids against Asthma.” Fresno County’s Asthma Coalition Program and
Louisiana’s Asthma Friendly Schools were researched to blueprint the objectives and
strategies contributing to this program.
Fresno County developed an asthma education program that dramatically
improved asthma awareness. The Asthma Coalition contains members that contribute
their time to meet and strategize approaches to provide opportunities for asthma
53
�education throughout the community (“Fresno County Asthma Coalition”, 2017). Fresno
also founded the Asthma Impact Model which was created to decrease ED visits.
Through this model, affected families are given a care coordinator to help manage asthma
triggers and to personalize strategies to reduce exposure inside their home and outside in
the environment (Childers, 2017). Louisiana developed a statewide program known as
Asthma-Friendly Schools (AFS). Schools were provided with a Louisiana Asthma School
Management Plan, which included protocols for treating students with asthma when
school nurses were unavailable (Nuss et al., 2016). 60% of school nurses reported fewer
students checking out of school with asthma-related symptoms and perceived a reduction
in asthma-related absenteeism (Nuss et al., 2016).
According to the National Resources Defense Council, California is the
country’s top user of chlorpyrifos, using close to a million pounds per year (RotkinEllman, 2019). This pesticide must be banned in San Joaquin in order to successfully
decrease the asthma rates among Mexican - American children. Governor Newsom’s
administration has started the process to ban chlorpyrifos and announced a proposal of
$5.7 million to support the transition to safer and more sustainable farming in California
(Rotkin-Ellman, 2019).
To combat the pesticide and chlorpyrifos use in the San Joaquin Valley,
alternative methods were researched when creating “Kids against Asthma.” Integrated
and ecological pest management could be introduced to replace the usage of toxic
pesticides (“Chlorpyrifos Alternatives in California”, 2017). Integrated pest management
(IPM) focuses on long term prevention of economically significant pest damage. Leasttoxic products, like those used for organic production, are preferred and highly-toxic
insecticides are avoided. Ecological pest management (EPM) takes a holistic approach
and focuses on healthy crop growing with little to no ecosystem disruption. This strategy
focuses on maintaining healthy soil to meet the greatest resistance against pests and
disease. According to the Pesticide Action Network (PAN) farmers have been able to
adopt IPM or EPM practices successfully, without relying on the usage of chlorpyrifos.
Not only do these strategies devoid the use of chlorpyrifos, they also provide organic
certified crops with higher premium value. Furthermore, San Joaquin farmers can
economically benefit from the adoption of the IPM/EPM strategies (“Chlorpyrifos
Alternatives in California”, 2017). This crucial and vital information regarding
chlorpyrifos and pesticide use in California will be provided to the residents of San
Joaquin Valley. The people must be educated and “Kids against Asthma” will provide
that through mobilized education.
54
�Dr. Nola Pender’s Health Promotion Model encourages professionals to provide
resources to help motivate individuals to engage in behaviors directed towards enhancing
their health (Pender, Murdaugh, & Parsons, 2015). When applying this model to San
Joaquin, healthcare professionals will educate affected residents in the community. The
program will provide weekly educational seminars throughout the community, by means
of a mobile van. The purpose of this van is to ensure that accessible healthcare
opportunities are readily available to all San Joaquin residents.
On board the van will be 1-2 Spanish speaking nurses, and preferably of
Mexican descent, who will offer free asthma screenings, education, and asthma tools like
peak flow meters. They will also provide further education regarding ways to avoid
asthma triggers: the importance of removing pesticide-filled clothing and shoes before
entering homes, the significance of keeping doors and windows closed when possible to
avoid pollution coming indoors, and the avoidance of children playing in pesticide
infested fields. The most common asthma triggers include: environmental tobacco smoke,
outdoor air pollution, dust mites, mold, cockroach allergen, and pets (“Common Asthma
Triggers”, 2020). According to the American Lung Association, there is no singular or
specific asthma medication that is “best” for asthma. Asthma is an individualized disease
with patient specific symptoms and exacerbations. Bronchodilators relax the muscles
around the airways, making it easier for a patient to breathe. Short-acting
bronchodilators, like albuterol, should be only used for an acute attack where symptoms
need to be relieved quickly. Long-acting bronchodilators, like salmeterol, can be
combined with anti-inflammatories to manage asthma and prevent exacerbations
(“Understanding Your Asthma Medication”, 2020). “Kids against Asthma” will provide
San Joaquin residents with the necessary individualized verbal and written instructions on
how to self-administer the proper medications to decrease pediatric ED visits and asthma
exacerbations.
The education provided by the “Kids against Asthma” program would be
provided by means of the mobile van and distribution of educational pamphlets, in the
Spanish language and dialect, throughout the community. This educational program will
also strive to create a community center where all children can play. In this center,
children will be away from the pesticides and will be monitored by nurses and healthcare
workers. “Kids against Asthma” will be funded by San Joaquin County. It is our hope
that county representatives will see this program as a public health necessity that will
benefit the overall health and well-being of the community.
Pediatric asthma among Mexican - American children in San Joaquin Valley,
California has grown to become a major health problem over the years. Mexican -
55
�American children are the vulnerable population in this community due to their
physiological makeup and familial relations to San Joaquin’s farmworkers. Due to the
community’s agricultural lifestyle, these children are exposed to grave amounts of
pesticides on a daily basis. The parents and surrounding residents are also unaware of
other asthma triggers that could be harmful to the overall health and well-being of these
children. “Kids against Asthma” is an innovative program, based on evidence, that will
help San Joaquin residents gain better knowledge about pediatric asthma and strategies
on how to reduce exacerbations of this chronic disease. The program will be instituted in
all eight of the San Joaquin Valley counties and work to motivate all residents to gain
knowledge on “Niños contra el Asma!”
References
Alcala, E., Cisneros, R., & Capitman, J. A. (2017). Health care access, concentrated
poverty, and pediatric asthma hospital care use in California’s San Joaquin Valley: A
multilevel approach. The Journal of Asthma: Official Journal of the Association for the
Care of Asthma, 55(11), 1253–1261. https://doi.org/10.1080/02770903.2017.1409234
Bureau, U. S. C. (n.d.). American FactFinder—Results. Retrieved November 14, 2019,
from
https://factfinder.census.gov/faces/tableservices/jsf/pages/productview.xhtml?src=CF
Childers, L. (2017, March 23). Driven By High Asthma Rates, Central Valley Tries to
Improve Indoor Air Quality. Retrieved November 14, 2019, from California Health
Report website: https://www.calhealthreport.org/2017/03/23/driven-by-high-asthmarates-central-valley-tries-to-improve-indoor-air-quality/
Chlorpyrifos. (n.d.). Retrieved from http://www.panna.org/resources/chlorpyrifos-facts
Chlorpyrifos Alternatives in California. (2017). Retrieved from
http://www.pesticidereform.org/wp-content/uploads/2017/08/CPF-alternatives-2017CA.pdf
Common Asthma Triggers. (2020, May 7). Retrieved from
https://www.cdc.gov/asthma/triggers.html
Fresno County Asthma Coalition—RAMP. (n.d.). Retrieved November 14, 2019, from
http://www.rampasthma.org/archives/6986
56
�Hernandez, R., Curtis, K., & Carabez, R. (2004). Struggling to Breathe the epidemic of
Asthma Among Children and adolescents in the San Joaquin Valley. 33.
Lessard, L. N., Alcala, E., & Capitman, J. A. (2016). Pollution, Poverty, and Potentially
Preventable Childhood Morbidity in Central California | Elsevier Enhanced Reader.
https://doi.org/10.1016/j.jpeds.2015.08.007
Nuss, H. J., Hester, L. L., Perry, M. A., Stewart-Briley, C., Reagon, V. M., & Collins, P.
(2016). Applying the Social Ecological Model to Creating Asthma-Friendly Schools in
Louisiana. The Journal of School Health, 86(3), 225–232.
https://doi.org/10.1111/josh.12369
Pender, N. J., Murdaugh, C. L., & Parsons, M. A. (2015). Health promotion in nursing
practice (Seventh edition). Boston: Pearson.
Petiprin, A. (2016). Pender’s Health Promotion Model. Retrieved November 14, 2019,
from Nursing Theory website: http://nursing-theory.org/theories-and-models/penderhealth-promotion-model.php
Rotkin-Ellman, M. (2019, May 9). California to Ban Pesticide Toxic to Kids. Retrieved
from https://www.nrdc.org/experts/miriam-rotkin-ellman/california-ban-pesticide-toxickids
Rowan, H. B. (2018, October 4). Dirty Air And Disasters Sending Kids To The ER For
Asthma. Retrieved November 14, 2019, from California Healthline website:
https://californiahealthline.org/news/dirty-air-and-disasters-sending-kids-to-the-er-forasthma/
Roy Rosenzweig Center for History and New Media. (2016) Zotero [Computer software].
Retrieved from www.zotero.org/download
San Joaquin County 2016 Community Health Needs Assessment. (n.d.). Retrieved from
https://healthiersanjoaquin.org/pdfs/2016/2016_CHNA_full_documentnarrative_and_health_profiles.pdf
57
�San Joaquin County 2019 Community Health Needs Assessment. (n.d.). Retrieved from
https://www.dignityhealth.org/-/media/cm/media/documents/CHNA/CHNA-St-JosephsStockton.ashx?la=en&hash=CA343949D9F647E7FE0721ACADAD18C8D608D80D
Sellen, J. (2017). Alternatives to Chlorpyrifos. Retrieved from
http://www.pesticidereform.org/2017/08/03/alternatives-to-chlorpyrifos/
State of the Air 2016. (n.d.). Retrieved from https://www.lung.org/localcontent/california/documents/state-of-the-air/2016/sota-2016_ca_san-joaquin-fact.pdf
The “Ecophyto 2018” Plan. (2015, May 6). Retrieved from French Food in the U.S.
website: https://frenchfoodintheus.org/916
Understand Your Asthma Medication. (2020). Retrieved from
https://www.lung.org/lung-health-diseases/lung-disease-lookup/asthma/living-withasthma/managing-asthma/understand-your-medication
Von Glascoe, C. A., & Schwartz, N. A. (2019). Bad Lungs/Bad Air: Childhood Asthma
and Ecosyndemics among Mexican Immigrant Farmworkers of California’s San Joaquin
Valley. Human Organization, 78(2), 110–121. https://doi.org/10.17730/00187259.78.2.110
58
���Emma Goldman: The True Pioneer Behind Birth Control
Jolie Lenox (Physician Assistant) 1
During the early 1900s, birth control had become a relevant, yet controversial,
topic in American politics. As recorded by most historians, Margaret Sanger had been the
pioneering woman who first brought the issue of birth control to New York City’s
Bohemian scene. Taking all things into consideration, this is nowhere near the entire
story. While she did play a key role, Sanger was not alone in the radical movement that
eventually brought birth control into social acceptance. While Sanger’s efforts may have
ended up being the most memorable, history has seemingly failed to recognize the path
that Greenwich Village’s Emma Goldman strenuously laid out for the movements’ later
achievements. In fact, it had been long before Sanger was even a public figure that
Goldman had combined her individual beliefs with the insight she gained working in
maternal medicine to create her own position. Through the essays she published in her
popular magazine, Mother Earth, and her public lectures alongside Ben Reitman, she
made an incredibly profound impact on society even before her eventual guidance of
Margaret Sanger. Goldman had uniquely mixed anarchism with feminism to build the
foundation for the birth control movement. With a more specific focus on feminism
alone, Sanger later used Goldman’s work and personal direction to jumpstart her own
career. In reality, birth control’s roots in the U.S. can be traced back to Goldman’s work
in Greenwich Village far more than what many remember.
When Goldman moved to Greenwich Village in 1903, women had extremely
little knowledge of birth control options. Consequently, this resulted in large families and
high infant mortality rates. This was especially an issue within the lower classes, which
struggled to support more mouths to feed 2. A vital lack of awareness of birth control had
been largely due to a negative societal attitude that built up over the years, but legal
obstacles existed as well. Passed in 1873, the Comstock Act had “prohibited both the
dissemination of information about birth control and the distribution of contraceptives” 3.
1
Written under the direction of Dr. Alison Smith. Final research project for Reflective
Tutorial LC 13 “Exploring the Global Roots of New York City”.
2
Ingrid Mundt, “Margaret Sanger, Taking a Stand for Birth Control,” History Teacher 1,
no. 51 (2017): 123.
3
Mundt, 123.
61
�While many challenges stood in their way, for the then self-proclaimed “modern
woman”, it was important to be conscious of the downfalls of unintentional pregnancy.
The radical thinking that took place in Greenwich Village encouraged women to be
enlightened on life’s purpose and overall value. As early as 1900, infant mortality rates
ranged from “23% for first-born children, to 60% for twelfth-born children” 4. In these
circumstances, bringing unwanted children into the world, if they survived, was unfair
considering the poor quality of life they would be doomed with. Yet, Bohemian New
York women were willing to break away from tradition, and many searched for ways of
accessing contraceptives that went unregulated.
Unfortunately, even if some women had the right connections to access such
obscure birth control methods, it was still inordinately expensive. Even if money wasn’t
an issue, the few options available, like “diaphragms, chemical contraceptives, condoms,
and menstrual cycle based family planning” 5, were extremely unreliable and often
dangerous. Nonetheless, having the means to attain birth control was far out of reach for
the majority of the female population, and without it, women were forced to put the
livelihood of both themselves and their families on the line.
Emma Goldman had seen these struggles first hand, and her work in medical
care allowed her to form an educated opinion on the issue. She had become “convinced
that birth control was essential to women’s sexual and economic freedom” while working
as a nurse and midwife in the Lower East Side during the 1890’s 6. She had years of eyeopening experience there, which “brought her into contact with the dire circumstances of
poor women’s homes” 7. Even after giving up her career to focus on touring as an activist,
she still “frequently visited the Nurse’s Settlement on Henry Street 35” 8, having kept the
image of the suffering modern-day woman fresh in her mind. Through experience, she
was able to apply her knowledge and beliefs in a time where there was an international
spirit of social reform. When given the opportunity, “she tested her ideas about
4
Mundt, 124.
Mundt, 124.
6
Candace Falk, “The Emma Goldman Papers: Birth Control Pioneer,” University of
California Library (June 2019): 1.
7
Kathy E. Ferguson, Emma Goldman: Political Thinking in the Streets (Lanham:
Rowman & Littlefield Publishers, 2011), 249.
8
Blanche Wiesen Cook, “Female Support Networks and Political Activism: Lillian
Wald, Crystal Eastman, Emma Goldman”, 36-53.
5
62
�reproductive rights while attending a Parisian “Neo-Malthusian” congress in 1900” 9. It
was there; having seen the fight for birth control in France, that she dreamed of a similar
movement in the United States. With high hopes, she immediately began “smuggling
contraceptive devices into the United States” 10. Goldman was one of the first American
women to be so progressive in her views of birth control, but Bohemian Greenwich
Village welcomed new ideas and accepted change. This served as the perfect setting for
her work as a writer and lecturer.
Being a woman herself, Goldman envisioned a brighter future for her female
peers and future generations to come. To her, fighting for birth control was part of a
“larger social revolution” 11 in the United States. She understood how powerful it would
be for women to be given the right to birth control options, and became an avid advocate
for the cause. Goldman was disgusted that in modern times, such primitive and sexist
ideas were still widely accepted. In light of her disapproval, Goldman wrote her 1916
essay, a later reflection of her work on the subject, “The Social Aspects of Birth Control”.
As featured in Peter Glassgold’s anthology Anarchy! An Anthology of Emma Goldman’s
Mother Earth, she stated that the fact it “should have taken so long a time for the human
race to realize the greatness of [birth control] is only one more proof of the sluggishness
of the human mind” 12. Goldman had viewed birth control’s groundbreaking significance
in a much broader social, political, and economic sense even before it had many public
supporters.
Although many did not see the movement’s greater potential at first, Ben
Reitman was convinced by Goldman’s pioneering work from the beginning. Reitman and
Goldman met in Chicago during 1908, when he reportedly “maintained a sporadic
medical practice but was more active in operating a shelter, information center, and
education formal” for the homeless 13. Learning more and more about her ideas after their
initial meeting, Reitman eagerly joined her in Greenwich Village “as both her lover and
manager”. There he began “doing advance work on her tours, [was] distributing and
selling anarchist literature”, and raised money for Mother Earth, in which Goldman wrote
her famously opinionated essays. Having supported Emma’s stance on birth control, not
9
Falk, 2.
Falk, 2.
11
Glassgold, 134.
12
Glassgold, 134.
13
Suzanne Poirier, “Emma Goldman, Ben Reitman, and Reitman’s wives: a study in
relationships,” Women’s Studies 3, no. 14 (1988): 280.
10
63
�only as her lover, but because of his own personal beliefs, he also gave lectures “on the
topics of birth control, venereal disease, and sexology” on his own 14. Within just months
of being romantically involved with her, Ben’s life had become motivated by preaching
his and Goldman’s beliefs, hoping that as a team, they could make a change.
While Goldman’s work as a nurse developed her eventual opinions of birth
control long before it even had a social platform, her beliefs were politically charged as
well. Notorious for being an anarchist, Goldman is also “credited with bringing feminism
to anarchism” 15. As stated by political theorist Kathy Ferguson, her “most original
contribution to anarchism lies in her weaving of sex and gender into the mix, a
conceptual innovation that may seem obvious now, but was largely unheard of at the
time” 16. Ferguson’s statement is exemplary of how Goldman took a stand on birth control
even when it went against the law and opposed basic social constructs.
In true anarchist fashion, Goldman theorized that capitalism was to blame for
the legal restrictions on birth control. She strongly believed that “political economists,
together with all sponsors of the capitalist regime, [who] are in favor of a large and
excessive race” controlled birth control in order to further their own agenda for the
country. In support of her conspiracy, she argued that limiting birth control would have
inevitably benefitted the nation militaristically and economically. With the power she
already had as a well-known controversial writer, she wrote essays that exposed such
corruptness. In her compelling essay, “The Social Aspects of Birth Control”, Goldman
observed that capitalism had “grown into a huge insatiable monster” 17. She reasoned that
“capitalism cannot do without militarism, and since the masses of people furnish the
material to be destroyed in the trenches and on the battlefield, capitalism must have a
large race” 18. She also targeted capitalist selfishness for craving an all-powerful
workforce, inferring that “they will have it that under no circumstances must the labor
margin diminish, else the sacred institution known as capitalistic civilization will be
undermined” 19. Goldman believed that birth control was made taboo with the intention of
giving capitalists control over the country’s supply of bodies for the armed forces and
14
Poirier, 280.
Ferguson, 249.
16
Ferguson, 249.
17
Peter Glassgold, Anarchy! An Anthology of Emma Goldman’s Mother Earth (Berkeley:
Counterpoint, 2012), 135.
18
Glassgold, 136.
19
Glassgold, 135.
15
64
�workforce. With that being said, Goldman’s work was undoubtedly powerful and radical
enough to set a much larger movement in motion.
While her anarchist tendencies may make it seem as though Goldman was
against how birth control was handled just to oppose the government, she consistently
acknowledged how the lack of birth control diminished the quality of life for families.
Setting aside her political activism, Goldman never failed to help people remember the
more simplistic meaning of her fight. There was a pure biological advantage and moral
righteousness to women having access to birth control that could not be ignored. By
raising too many children, many were left economically crippled and utterly unhappy.
She explained in the “Social Aspects of Birth Control” that “overworked and underfed
vitality cannot reproduce healthy progeny” and this has in turn resulted in an “increase of
defective, crippled, and unfortunate children” 20. She also acknowledged how “mothers
are compelled to work many hard hours in order to help support the creatures which they
unwillingly brought into the world” 21, and as “a woman wastes her substance in eternal
pregnancies, confinements, and diaper washing, she has little time left for anything
else” 22. Losing any enthusiasm for life, she argued, forced women to act on desperation.
In her own words, Goldman explained that “in their drab and monotonous existence the
only color left is probably a sexual attraction”, yet “without methods of prevention
invariably leads to abortions” which “thousands of women are sacrificed 23”.
Under ideal circumstances, and with the optimal concern for women’s
health, Goldman hoped that for women, access to birth control would “enable her to
recuperate during a period of from three to five years between each pregnancy, which
alone would give her physical and mental well-being and the opportunity to take better
care of the children already in existence” 24. In light of why modern women deserve these
rights, Goldman elaborated upon the idea that society had advanced to the point where
“never in the history of the world has woman been so race conscious as she is today” 25.
Race consciousness, a broad term for the newly human race concerned mindset of the
time, was especially common in Bohemian Greenwich Village. Women had begun to
share a general concern for the human race’s dependence on the availability of resources
20
Glassgold, 135.
Glassgold, 137.
22
Glassgold, 137.
23
Glassgold, 138.
24
Glassgold, 136.
25
Glassgold, 138.
21
65
�as well as the quality of life for their children. In effect, Goldman believed that such
practical thinking should at least be rewarded with the mere option of birth control
methods.
While Reitman had always considered himself an anarchist, incorporating birth
control into anarchism was something new that Goldman had introduced him to. Yet, he
immediately recognized the topic’s importance in society in the broader sense that she
did. Having appreciated Reitman’s loyalty, Goldman is said to have worked hard “to
accommodate Reitman’s unreliability into her own life so she could continue her
relationship with him without crippling her own personal and public existence” 26.
Nonetheless, Reitman was firm in Goldman’s beliefs, and was especially supportive of
her stance on birth control by being an advocate himself. Such devotion was evident
when he went to jail for the cause in 1916 – his “six-month sentence for public advocacy
of birth control was the longest jail sentence served by any birth control activist in the
United States before 1920” 27. On top of making his own sacrifices, Reitman had created
opportunities for Goldman to speak publically and publish her writings – giving her the
platform in the birth control movement that eventually inspired Sanger.
However, despite Goldman’s remarkable history and deeply emotional
connection to the birth control fight, she continues to get little recognition for her work.
Margaret Sanger seems to be the only name that’s associated with initiating the fight for
birth control. Rarely do people acknowledge that “Goldman was in fact Margaret
Sanger’s mentor” and “brought the young Sanger into the campaign against the
Comstock Law” 28. Just like Goldman, Sanger “began her career as a nurse in New York
City in 1900”, and “predominantly cared for women from the lower classes who lacked
contraceptive education” 29. Sanger’s experience also became a major turning point in her
life. Working in clinics, “birth control’s value became apparent as she treated women
who were relieved if there was a stillbirth, because they could not afford to raise any
more children” 30. While Sanger had a strong foundation for her later work, she hadn’t
taken the first steps on her own. It wasn’t until 1910, when she moved to Greenwich
Village and met Goldman, that she truly inhabited her famous role.
26
Poirier, 285.
Falk, 3.
28
Falk, 1.
29
Mundt, 124.
30
Mundt, 124.
27
66
�According to NYU professor and researcher Esther Katz, when they moved,
“the Sangers became immersed in the pre-war radical bohemian culture flourishing in
Greenwich Village. They joined a circle of intellectuals, activists, and artists that
included Max Eastman, John Reed, Upton Sinclair, Mabel Dodge, and Emma
Goldman” 31. Like Goldman, the couple considered themselves anarchists, and even
financially supported “the anarchist-run Ferrer Center and Modern School” 32 in New
York City. Having already a similar position on political issues, Sanger became instantly
“influenced by the ideas of anarchist Emma Goldman”. She argued that there was a need
for “family limitation as a tool by which working-class women would liberate themselves
from the economic burden of unwanted pregnancy” 33. By 1915, the two women had
united to work together on the issue, but as Sanger became a prominent figure on her
own, “she disassociated herself from anarchists like Emma Goldman” 34. She learned that
associating herself with anarchists would deter supporters, which she needed to fuel her
already radical campaign. This strategy proved useful in furthering her success, and she
“broke the friendship and the relationship of close mutual support” 35 shared with
Goldman. Despite Sanger’s choice to distance herself, a whole-hearted Goldman
continued to support her good friend up until Sanger was arrested later that year. In a
letter she wrote to Sanger while she was in prison in December of 1915, Goldman writes,
“hold out until I come back the 23rd of this month. Then go away with me for 2 weeks to
Lakewood or some place. I am terribly tired and need a rest. We’d both gain much and I
would help you find yourself” 36. In the end, a fresh-faced Sanger used every bit of
Goldman’s wisdom to get her where she needed to be, but shut her out of her life once
she had gained enough influence to fly solo in her career.
Ultimately, Emma Goldman deserves to be recognized as the true pioneering
woman responsible for the success of the birth control movement. She was the first, using
her voice as a radical public figure, to start the conversation in bohemian Greenwich
Village. The campaign eventually took off nation-wide, but Sanger was given all of the
credit as Goldman faded to the background. Yet, given Goldman’s long history, there
couldn’t have been the Margaret Sanger we all know if it weren’t for her. Not only did
31
Katz, 2.
Katz, 2.
33
Katz, 3.
34
Falk, 3.
35
Falk, 3.
36
Falk, 2.
32
67
�Goldman believe in Sanger as her mentor and later partner, but supported her as a close
friend as well. With all of the evidence that exists in Goldman’s defense, she should be
made a larger part of history as we know it.
Works Cited
Cook, Blanche Wiesen. “Female Support Networks and Political Activism: Lillian Wald,
Crystal Eastman, Emma Goldman”, 36-53.
Falk, Candace. “The Emma Goldman Papers: Birth Control Pioneer”. University of
California Library. June 2019: 1-3.
Ferguson, Kathy E., Emma Goldman: Political Thinking in the Streets. Lanham:
Rowman & Littlefield Publishers, 2011: 249-272.
Glassgold, Peter, Anarchy! An Anthology of Emma Goldman’s Mother Earth. Berkeley:
Counterpoint, 2012: 134-139.
Katz, Esther. Sanger’s Papers. New York University: University of Illinois Press, 2003,
1-4.
Mundt, Ingrid. “Margaret Sanger, Taking a Stand for Birth Control.” History Teacher 1,
no. 51 (2017): 123-129.
Poirier, Suzanne. “Emma Goldman, Ben Reitman, and Reitman’s wives: a study in
relationships,” Women’s Studies 3, no. 14 (1988): 277-295.
68
�For Their Own Safety, Oil and Water
Remain Separate: How Antony Navigates
Western and Eastern Values in Antony and Cleopatra
Holly Alexander (English and Government & Politics) 1
The issue with balance is that it is extremely hard to accomplish. William
Shakespeare’s Mark Antony dances between his duty and his desires throughout the play
Antony and Cleopatra where he indulges in one extreme or the other. Cleopatra, the
Egyptian queen and exotic feminine figure, and Egypt lie in the East which is ruled by
passion, pleasure and love. Antony, one of the triumvirs, and Rome are in the West which
is ruled by reason, discipline, and prudence. William Blissett writes that the play gives an
“impression of two incompatible worlds,” that he describes as a “cult of pleasure and
fertility,” in the East and the “combination of stoic apathy and assent to the political
juggernaut,” in the West (156). In other words, one is what the other is not and Antony is
tied to the West while he desires Cleopatra in the East. When he finally tries to hybridize
enjoying his pleasures in the East and satisfying his responsibilities in the West, he is not
successful. Cleopatra says to Antony, as he readies himself to depart for Rome, “Or thou,
the greatest soldier of the world, / Art turn’d the greatest liar,” (I, iii, 38-39) directly
juxtaposing Antony’s two worlds. These two lines suggest the paradox that to be the
greatest soldier, Antony must be a liar but also that he is no longer the greatest soldier
because he is a liar. In this sense, liar acts as a representation for the emotional side of
Antony, while being a soldier acts as the rational side of him. The conflict of who Antony
is, whether he is to be defined by his duty or by his love, arises throughout the play as he
seemingly tries harder to incorporate both parts of his world. Ironically, the more he tries
to do this, the less he remains the great man he once was.
Antony is referred to as a man who no longer is himself, by others and by
himself. How he handles his struggle to satisfy his public responsibilities and his private
desires is what this paper will focus on. Specifically, this analysis will look at the stages
Antony goes through; from the kind of general that Antony was, the ways he continues to
resemble that man, the ways he has changed since going to Egypt, and the effects of
trying to satisfy both ways of life he is leading.
1
Written under the direction of Dr. Anne Hurley for EN330: Shakespeare Survey.
69
�The play initially refers to the valiant general Antony to contrast it with what has
become of him since meeting Cleopatra. This stage is where the play allows for
reminiscing on the Antony of Rome. In these instances, it is clear that the man that
Antony is, or was, is seen as more than mere mortal. However, in each description, the
purpose of relishing Antony’s attributes is to then dismiss them as no longer present. In
the opening, Philo compares him to “plated Mars” suggesting that dressed in his armor
when he goes to war he is indestructible for Mars is the god of war (I, i, 4). This
characteristic once made him the greatest soldier but it is used now to emphasize how he
no longer is indestructible because he is flexible to the will of a woman. In the same
speech, Philo continues “… and you shall see in him / The triple pillar of the world
“transform’d” (I, i, 11-12). This reference creates the image of Antony’s grandeur by
placing him as, literally one of the three most impressive men in the world – not just in
Rome. However, it is completely invalidated by the word “transform’d” because a man
who is one of the pinnacles of the world should not need to transform as he has reached
his peak. Although Antony may still have the title as one of the triumvirs, this line
indicates that he is less untouchable and less perfect because he is no longer solely
focused on his responsibilities but now tainted by his persona desires for pleasure and
love.
“Sometimes when he is not Antony, / He comes too short of that great property /
Which still should go with Antony,” Philo says this meaning that Antony is a different
person and he cannot measure up to the respectable, former Antony (I, i, 56 -58). Each of
these references aims to present the greatness of Antony in the past tense. It is clear that,
in the eyes of those who knew Antony before he knew Cleopatra, the better man existed
prior to his trip to Egypt.
In the first half of the play especially, there are glimpses that Antony still
remains reasonable and honorable. This stage of Antony’s evolution is where he still is
able to be the responsible man of Rome he once was when snapped back to reality. Upon
news of all that has occurred in Rome, Antony knows that it is his responsibility to return.
He exclaims to Enobarbus that he should have never seen Cleopatra, for if he hadn’t, he
would have not become distracted by her and maybe Fulvia would not be dead.
Enobarbus implores Antony to remain in Egypt and not abandon Cleopatra. To this,
however, Antony responds “No more light answers. … but the letters too / Of many our
contriving friends in Rome / Petition us home” (I, ii, 176-183). These lines are indicative
that Antony realizes that his lust and Cleopatra’s need for him do not outweigh his
responsibilities. In this way he is displaying the qualities of the general he was before
Egypt.
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�In another instance, while in Rome with Caesar, Lepidus, and Pompey going
over the truce, Antony is respectful and reasonable the way a leader of his kind ought to
be. When Pompey reminds him that Antony’s mother was welcomed in Sicily and that he
has made no acknowledgement of that, Antony agrees with him that he should have said
thank you. “I have heard it, Pompey, / And am well studied for a liberal thanks, Which I
do owe you” (II, v, 47-49). This is a time, similar to how he addresses the messenger who
tells him of the bad news in Rome, where Antony is self-reflective about his demeanor.
“In his honest and self-critical reception of the messenger’s news, Antony shows another
reason why it is not absurd that the play should seek to establish him, in Cleopatra’s eyes,
as the greatest man in the world,” (Marsh, 4). This is in reference to Antony saying to the
messenger “When our quick winds lie still, and our ills told us / Is our earing,” by this he
means that criticism helps us to see our faults and correct them (I, ii, 110-111). This
highlights that there are still very Roman parts to Antony and he may be able to remain
this great man if he holds on to those parts.
Another example of this is when Antony reassures the messenger that he will
not be blamed for being the bearer of bad news. “When it concerns the fool or the
coward. On: / Things that are past are done with me. ‘Tis thus: / Who tells me true,
though in his tale lie death, I hear him as he flatter’d,” (I, ii, 96-99). The deliberate use of
the words “fool” and “coward” illustrate how reason is still a value of Antony’s because
they are words he would not want to be used to describe himself. The fact that Antony
not only says that he will not blame a messenger for the bad news, but also that he will
treat the news as if it is flattery, is indicative of his reasonable and honorable nature.
Ironically, however, it is in a similar situation later on that proves Antony’s
reason has dwindled. Antony, in moments like these, comes across as permanently
changed. In the third act, he orders an innocent messenger to be whipped for bringing
word from Caesar to Cleopatra. The line “Whip him, fellows, / Till like a boy you see
him cringe his face, / And whine aloud for mercy,” (III, xiii, 99-101) reveals the stark
difference between the man that Antony was and the man he has become. The descriptive
pain evoked from the words “cringe his face,” and “whine aloud for mercy,” are
illustrative of how Antony is being ruled by his emotions and his anger and not by
reason. In other words, he has succumb to the temptations of the East to not be rational in
thinking and in acting. Furthermore, the need to employ physical force indicates that
Antony is losing his power and control. It is a sign of weakness for a man of his stature to
need to abuse an innocent messenger. Another analysis of this is that Antony still has his
physical courage and that “It is only in his judgement that he is not the man he was,”
(Marsh, 6). Interestingly, for him to be a man of Rome, his judgement needs to be intact.
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�Another indicator that Antony is no longer the same man is that he makes
military decisions that are clearly not in his best interest. When Enobarbus advises him
not to go to war against Caesar at sea because Antony’s army is stronger on land, he
insists on going by sea. In this dialogue, Antony seems almost childish because he is
being so irrational. Enobarbus gives him lists of reasons why they will lose at sea: “Your
mariners are [muleters], reapers, people / Ingross’d by swift impress,” while Caesar’s are
“ … those that often have ‘gainst Pompey fought” (III, vii, 35-37). And even though he
emphasizes the obvious difference in strength, Antony’s response is “By sea, by sea,” and
when his advisor again asks him to be more cautious, all the great general replies is “I’ll
fight at sea” (III, vii). This dialogue is important because it portrays the discord that lies
between a man who puts his reason and intelligence first – Enobarbus – and a man who
puts his passion first – Antony. His responses to his most trusted advisor show that
Antony is not persuaded by his duty so much as his ego and need to match and defeat
Caesar. Because he is focused on the wrong things and is stubborn, Antony loses the
battle at sea because he thinks as a man in love and not as the world’s greatest soldier. In
other words, he thinks as a man of the East and not of the West when he allows
Cleopatra’s fleet to join the battle.
In another case, John Rees Moore critiques that “It never occurs to Antony that
he might abdicate his Roman office for the sake of the woman he loves. … [that he and
Cleopatra] can throw public affairs of state into confusion by putting their private
interests first” (652). Here, Moore highlights the selfishness that consumes the couple.
Instead of being responsible and relinquishing his role as one of the triumvirs, Antony is
determined to be Cleopatra’s lover as well as the greatest man alive. Furthermore, if
Antony were to abdicate, his lover would likely not find him as valiant or as worthy a
match for herself. This further displays the lack of Roman qualities in Antony as he
sacrifices remaining honorable and begins to sully his own name.
Antony enters periods in the play, more-so toward the middle and end of the
play, where he is in a state of trying to combine both his public duty and private desires.
Antony agrees to marry Caesar’s sister Octavia to reaffirm their alliance, but he is warned
by a soothsayer that he will not keep his vow. “I see it in my motion, have it not in my
tongue; / But yet hie you to Egypt again” (II, iii, 14-15). Antony affirms this when he
then says “I make this marriage for my peace, / I’ th’ East my pleasure lies” (II, iii, 40141). Both the fortune teller and Antony acknowledge that he is trying to satisfy his
responsibility as a triumvir and satisfy his desires. It is more than obvious that Antony’s
approach will not be successful because he is unable to realize that either his desires will
ruin his peace, or his peace will come from the sacrifice of his pleasures. Impractically,
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�Antony instead tries to equate his duties and his pleasures when he says his marriage is
for peace, but, regardless, his pleasures remain in the East. Because he cannot relinquish
his pleasures or accept that they will have to be found elsewhere, he has already failed.
Antony then tries to literally lace together both his interests in Rome and Egypt
when he goes to war against Caesar. As an experienced and many times victorious
military leader, Antony would not have gone to war on the seas when he knew his
chances were better on land. Further, he would have never confused his desires for a
woman with strategy. However, a man who believed that he could successfully achieve
the best of both worlds would do these things. Antony allows Cleopatra to command her
fleet of ships in the battle and when her ships leave the fight and Antony’s follow, the
battle is lost. Antony asks “O, whither hast thou led me, Egypt?” to which Cleopatra
replies asking for forgiveness and defends herself saying that she did not think that
Antony’s fleet would follow. In the line “Egypt, thou knew’st too well / My heart was to
thy rudder by th’ strings, / And thou shouldst [tow] me after,” it is perfectly illustrated
how Antony combined his two worlds as he tells Cleopatra that he followed her fleet as if
he were literally tied to her boats because his heart is tied to hers (III, xi, 51-58). “Egypt”
the name Antony uses in this dialogue acts as both the land so different from Rome, that
has figuratively lead Antony away from his Roman life, and as another name for
Cleopatra who literally led him into a lost battle. This is pivotal in displaying how
Antony completely confuses his duty and his desire because Egypt is where his desires
are, but in trying to take Egypt (Cleopatra) to his world of battle, he fails. The two can
only exist parallel to each other but they cannot meet and work together.
When Antony forgives Cleopatra and allows her again to command a ship, when
going into battle with Caesar, it becomes evident that he cannot accept that his desires
and his reason cannot co-exist; one overwhelms the other. When Cleopatra abandons him
and leads him to defeat again, Antony wants to take her life, which is absurd because he
loves her. This goes to show that he is, more than ever, ruled by his emotions. Antony has
become so passionate, like an Egyptian, that now, he even flip flops about his feelings
when it comes to Cleopatra. William D. Wolf writes about Antony that “He cannot
contain both love and valor within himself, and he therefore fluctuates wildly between
them” (330). He trusted her, was angered by her betrayal, forgave her quickly, trusted her
to join him in the battle again, and when she deserted him again, he decided that she was
a “foul Egyptian,” and “Triple-turn’d whore!” (IV, xii, 10-13). This illustrates how in
combining his two worlds, what he did was make each individually unstable for him live
in. Antony would have been smarter to choose and have one that lacked some parts rather
than trying to have both and have his world crumble.
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�“Antony violates his manhood … because he fails to keep his desire under the
yoke of reason” (James, 134). His inability to know that his duty comes first and so his
pleasures have to be done away with makes him a ruined man. If he truly wanted both his
rank in Rome and his desires in Egypt, he would have realized he could only have one
and chosen. Therefore, the fact that he thought he could have a hybrid of both, that he
thought he could intertwine them, means that he truly did not want his honorable life as
the greatest soldier in the world.
In not choosing, Antony – by default – chooses the East because the East
represents passion, and passion often comes with instability. As Antony’s efforts to
hybridize the two worlds crumble, he loses parts of himself. He says “now thy captain is
/ Even such a body, … / I made theses wars for Egypt, and the Queen, / Whose heart I
thought I had, for she had mine,” (IV, xii, 12-16) which suggests that now that he does
not have his honor nor his love, the captain is not himself and so he is lost. Another
indication that Antony is left to the East is the scene in act four where the soldier hear
strange music and make the claim that “ ’Tis the god Hercules, whom Antony lov’d, /
Now leaves him” (IV, ii, 16-17). If Hercules is abandoning Antony, this acts as a sign
that Antony’s hope to have both honor and pleasures is not met as, even if he has his
pleasures, he no longer has honor. By default, Antony has been left with the lifestyle of
the East.
Additionally, Enobarbus, his closest companion and advisor sees that Antony’s
mind is slipping and he is no longer suitable to be the general he once was. “A diminution
in our captain’s brain / Restores his heart. Where valor [preys on] reason, / It eats the
sword it fights with” (IV, ii, 197-199). These lines from Enobarbus indicate true sorrow
for Antony’s inability to choose and also highlight that by not being wise enough to
choose, he chose the East. Had he chosen Rome, that choice would have indicated the
choice of reason. Enobarbus’ realization that he must leave his general is paramount to
confirming that Antony has failed because Enobarbus had stayed with him through all his
irrational motives. Enobarbus loves Antony but he can no longer condone his
irrationality.
The stages Antony goes through are overwhelming and possibly exhausting. He
is unable to return to the man he was before Egypt, because he has been too submerged in
the pleasures by the time he realizes that. However, he is not satisfied by only the East, so
Antony returns to his duties for a short period of time. Then, the great military leader
seeks to enjoy both, but ultimately, Antony is already so influenced by the indulgent
behavior of the East that he isn’t able to see where he shouldn’t intertwine the two.
Antony is ruined by his knowledge of two kinds of worlds and his need to have them
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�both. “The price of the folly he has committed himself to is the loss of all ties with
“reality” – the life based on a more or less enlightened calculation of self-interest”
(Moore, 655).
Works Cited
Blissett, William. “Dramatic Irony in Antony and Cleopatra.” Shakespeare Quarterly,
Vol. 18, No. 2, Spring 1967, pp. 151-166
James, Max H. “‘The Noble Ruin’: ‘Antony and Cleopatra.’” College Literature, Vol. 8,
No. 2, Spring, 1981, pp. 127-143
Marsh, D. R. C. “The Conflict of Love and Responsibility in ‘Antony and Cleopatra.’”
Theoria: A Journal of Social and Political Theory, No. 15, 1960, pp. 1 – 27
Moore, John Rees. “The Enemies of Love: The Example of Antony and Cleopatra.” The
Kenyon Review, Vol. 31, No. 5, 1969, pp. 646 – 674
Shakespeare, William. “The Tragedy of Antony and Cleopatra.” The Wadsworth
Shakespeare, Second Edition, Boston, Wadsworth Cengage Learning, 1997, pp. 1395 1434
Wolf, William D. “’New Heaven, New Earth’ The Escape from Mutability in Antony and
Cleopatra.” Shakespeare Quarterly, Vol. 33, No. 3, Autumn 1982, pp. 328-335
75
�French Turn of the Century Puppetry
Dana Rudnansky (Theatre/Speech) 1
Throughout childhood and adolescence, many little children are exposed to the
art of puppetry through media such as Sesame Street and the Muppets. Although this is
the common representation of this art form, it actually started as entertainment for adults
in cabaret clubs by using shadow puppetry and marionettes. The art was not created to
inform children on how to behave or to define the difference between right and wrong.
Rather, it was created as an expression against political decisions, changing societal
habits, and an outlet for artists to bring joy to those taken over by depression and anxiety.
The most well-known French puppet theater, Le Chat Noir, was the main source of
ingenuity and creativity in its art form. Not only did the Le Chat Noir transform the
intention behind the artistry of puppetry, but it also gave rise to a new way of selfexpression through its development of shadow theater and hand puppets.
On November 18, 1884, Le Chat Noir was opened by Rodople Salis, who was
an unsuccessful painter. Looking to work his creative mind, he wanted to create a cabaret
where artists of different disciplines could “state, write, and draw” and feel as if they
were a part of a larger community (“Le Chat Noir”). Even though the central focus was
not puppetry, the conglomeration of art forms inspired the exploration of different
mediums for puppets. Because these artists were exposing each other to different
aesthetics, values, and viewpoints, there was a great mix of new work being created. It
gave rise to an expanded art field. The interest that artists had in this theater was so large
that it required the entire cabaret to be moved to a larger location. This new and improved
site gave artists an upstairs area to create, and a theater downstairs where this new form
of French puppetry was truly born (“Le Chat Noir”).
The creation of this new art form was influenced by three men who all had
different aesthetic and personal backgrounds, which birthed these new forms of
entertainment. George Auriol, Henry Somm, and Henry Rivière have been seen as the
three main leaders for the popularization of Le Chat Noir. Auriol was an artist who was
one of the main editors and leaders of this famous French theater. His major contribution
is found through the creation of the “shadow theatre” which is based in the use of shadow
1
Written under the direction of Drs. Morowitz and Urbanc for AH326/EN310/FR310
Cities and Perversities: Art in Turn of Century Paris, Vienna, Berlin, and Barcelona.
76
�puppets. Much of the art that he created inspired many fin-de-siècle printmakers who
then created decorative covers for magazines and flyers for the theater and the outside
sleeves for the musicians of the cabaret’s sheet music (“Auriol, George”). An interesting
aspect of Auriol’s work is its connection to the “Belle Epoque”, The Age of Beauty. His
art, according to a review by John Anzalone, was combined with the genius of Rivière to
create “le look” that drove the age of beauty and its aesthetic (277). His art may not be
widely known or recognized, but it seen as an establishing artifact for a new artistic
movement in France.
Auriol’s aesthetic combined a likeness of the Art Nouveau style to that of the
decorative arts, causing there to be a great connection between all art forms at once. His
connection was so effortless that he had the ability to draw people of every background
into the cabaret and create a new look that was replicated by his peers (Anzalone 278).
His intense understanding of French art allowed him to envision this up and coming style.
In turn, this inspired him to install the puppet stage, also known in French as “le castelet”
in Le Chat Noir (“Le Chat Noir”). Undoubtedly, he is the reason that puppetry began to
blossom in this cabaret. Without his innovation, there would not have been such a focus
on creating these new stories through puppets. These dolls were already a part of French
culture but Auriol used them in a new way to capture the imagination of audience
members. Although many families could be seen in public gardens seeing the classic
shows of Punch and Judy, there was never a real puppet show or story geared specifically
for adults (Ink, Social). Through his collaboration with other artists like Somm, he
created beautiful pieces of art while tapping into adult humor.
To further understand Auriol’s contributions, it is important to investigate his
main inspiration for his aesthetic. Many puppet traditions stem from Asian culture,
specifically Japanese tradition. When looking at Auriol’s print-making that was presented
and featured in his cabaret, there is a great deal of reference to what is referred to as
japonisme (Anzalone 277). This term was coined by the French culture in an attempt to
encapsulate the newfound obsession for Japanese and Western art, as well as making it a
central part of French artistic endeavors. As stated before, Auriol worked to create a
cohesive mesh between various art forms by utilizing the inspirations of the popular
aesthetics surrounded him. Not only did this japonisme encapsulate the ideas of
impressionism and modernity, but it also attached itself to the Art Nouveau culture that
he helped establish (Anzalone 277). With the work of Henry Rivière, Auriol was able to
create a new form of art that gave rise to not only entertainment but also an innovation in
expression.
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�Henry Rivière was an artist, associated with Le Chat Noir. Known for his
paintings, he utilized his knowledge in color and design to work with other like-minded
intellectuals to create a new kind of puppet. Similar to Auriol, his works evoked the
japonisme and Art Nouveau styles while still creating an avant-garde look at shadow
theater (Anzalone 277). In addition to these styles, Rivière’s works utilized the idea of
fumisme, which was a main component of all art created in the cabaret theater. This style
was self-described by the artists as “practical jokers”; there was the underlying senses of
skepticism and other political blows (Wright 46). Although these innovations are seen as
impacts on future puppetry styles and riots, at the time these artists were seen as being on
the fringe. Rivière was even more involved in this culture because he had created such a
new style of puppetry.
Before Rivière came into the picture for this art form, most puppetry was based
in crude hand puppets, who were created merely for slapstick comedy and outlandish
acts. Many times, these puppets would be seen with large mallets and other assorted
weapons and engage in ridiculous arguments that would leave the character in danger,
and in turn, then becoming injured. It was comedy that was mindless and created to allow
families to leave theaters laughing over something absolutely ridiculous and silly. Rivière
changed this idea of puppetry. To him, these dolls were more artistic than playful.
Drawing from the classical Japanese traditions, he utilized the concept of silhouettes to
dive into the world of shadow theater in the modern world (Ink, Social).
As stated in The Spirit of Montmarte found on the Alamut website, “The climate
was certainly right for investigations into the artistic effects of silhouettes. Thanks to the
newly developed photomechanical relief- printing processes, which easily and
inexpensively reproduced high-contrast black-and-white drawings (...) artists and writers
of the Chat Noir group were collaborating on publications related to Rivière's aesthetic
interests.” Because he had decided to take a step back from the bright colored puppets of
Auriol and Somm, Rivière was able to revert to the natural state of being through a
neutral color palette (Sterling). He created an entire landscape by cutting out animals,
plants, humans and other piece needed to create a new two-dimensional style of theater.
He could utilize smaller versus larger silhouettes by playing with not only size of the cut
outs, but also how close the figures were to the screen onto which the shadow was
projected (Ink, Social). He was able to create pictures without letting the audience see the
mechanism of the actual puppeteer. This started a new revolution of mystery in puppetry.
Rivière’s puppets were not made of the classic fabric, foam, and wood found in
the current popular form. Not only did his shadow genre change how puppets were
utilized, but it changed the materials and methods of construction. In the beginning, he
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�started with cardboard (Ink, Social). When many young Americans today create shadow
puppets, the first medium used is generally cardboard, because of its accessibility and
ease of being molded. However, Rivière moved away from this texture to utilize a very
different material: zinc. His first full show utilizing this component was performed in
1887 and was a full-scale production of L’Epopée, or The Epic (Ink, Social). This show
has been seen as the start of Le Chat Noir’s success, as a result of its innovative aesthetic
(“Le Chat Noir”). A main inspiration for these bright colors used in the zinc puppets was
his expertise in color lithography, woodblock prints, and japonisme (Anzalone 277). He
added colored transparent silk paper and tulle to further enhance the new style that he had
started to create (“Le Chat Noir”). His understanding of color patterns as well as art as a
medium to reinspect everyday life inspired much of his new style.
Even though the zinc helped to create a new aesthetic, it was also incorporated
for practicality. Because the material could be cut to create more expressive edges and
shapes, puppeteers could manipulate their puppets with much more ease (“Le Chat
Noir”). Rivière’s melding of function and form created a desire in audience members to
see his modernization of this theater genre. Another new element added was glass panels
with transparent colors to create different kinds of backdrops. The light source was an
oxyhydrogen flame, that created the shapes of the silhouettes. Not only was this style
unique to Rivière, but it also inspired Toulouse-Lautrec’s work in 1891 (Ink, Social). The
color, texture, and composition gave him a new perspective for the Moulin Rouge posters
and promoted this new medium of shadow theater. Additionally, Rivière’s works fostered
the idea of a creating a team to put on a show. Many puppet shows before had only
needed the puppeteer itself, who was in charge of using different voices and dolls at the
same time. However, shadow theater required backstage assistance to change backdrops,
intensity of the flame, and provide music (Sterling).
Before this point, music was not integrated into puppet shows, unless one was to
travel to an Asian culture and see the classical puppetry of the area. These shows usually
were based in the sole puppeteer making sound effects with their own body, causing the
entire show to be placed upon that one person’s shoulders. However, Rivière
incorporated the music as he progressed in his career. Later in 1887 after his success with
his first shadow puppet show, he premiered La Tentation de saint Antoine also known as
The Temptation of Saint Anthony which was considered a “fantasy extravaganza in two
acts and forty tableaux” (Ink, Social). His piece included music by Albert Tinchant. This
was one of the most popular productions at Le Chat Noir and has stood as an influence
for many different modern puppet shows today (Sterling).
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�La Tentation was made up of forty scenes that followed the hermit life of Saint
Anthony through his struggles of temptation produced by the Devil. Instead of making it
authentic to when the story really took place, Rivière included modern-day Paris, through
the creation of Les Halles, the meat market, and La Bourse, the stock market (Sterling).
Not only was this a modern way of looking at this piece, but it also helped give rise to the
fumiste idea. These plays were created in order to be a form of political satire. Many
modern puppet companies such as Bread and Puppet in the United States have been
inspired by this French movement. Rivière was not the main artist behind this genre,
however. His subtle utilization of France in his plays inspired other artists to look beyond
the fantastical elements found in the fairytales that they normally were producing and
inspired a new way of thinking. A main creator in this field was Henry Somm (Sterling).
Henry Somm was a painter who worked in intense collaboration with George
Auriol. When he began at Le Chat Noir, he morphed his passion for painting into a
movement in the puppetry field by combining his understanding of japonisme, fumisme,
and humor to create art that inspired many artists, including Toulouse-Lautrec (Menon
“Henry Somm” 3). His style showcases directly the influence of Japanese art in France.
He was excited by this new outburst of interest but at the same felt as if Parisian artists
were exploiting the authenticity of the real art in Japan. The style born out of the melding
of these contrasting viewpoints “juxtaposed Japanese motifs with those of Paris and then
overlaid them with his personal views about modern society, often resulting in startling
images that belong to the Symbolist aesthetic” (Menon “Henry Somm” 4). It was not to
be seen as a sort of absurd cry against certain political decisions, but more an observation
of the current societal patterns. (Wright 46).
Somm started working at Le Chat Noir by having an exhibition where he was
trying to deal with the issue of whether he should be considered Impressionist, Symbolist,
or even Japoniste (Menon “Henry Somm” 8). His career took a shift in 1886, around the
time that it was decided to move to a building where the artists could have a larger
theater. Somm was the first person to present a show, which was entitled L’Éléphant or
The Elephant. Following this production, three other shadow plays along with a normal
traditional stage play were produced (Menon “Henry Somm” 17). Not only did he serve
as a catalyst for these shadow productions, but it became one of his main focuses when
he worked at this cabaret. Because so many of the audience members enjoyed this
“imitation of Chinese shadow plays” and had started to exoticize these Eastern cultures,
Somm had filled the gap (Menon “Henry Somm” 17). He incorporated the cut-out
figures, light source, and story-telling to evoke a similarity to the entertainment found in
the Asian countries.
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�An important play that Somm created was named Jamais trop tard pour bien,
translated to Never Too Late to Make Good. This was first presented at the old building
of Le Chat Noir in 1885, in the time leading up to the big move. There is a debate that
this play was not intended to be a shadow play, but Somm’s love for Japanese culture and
shadow theater inspired him to change the style (Menon “Potty-Talk” 59). The story was
quite unconventional, because it takes place in a public toilet, that those who need it pay
to use. This is a common structure in European culture, and its use showcased Somm’s
connection to the real world. In the play, it is kept by a widow, Mme Gardetout, and her
eighteen-year-old daughter, Léocadie. The owner tells users which stall to go to and,
interestingly enough, the stage directions state that there were sound cues and effects in
the form of “intestinal noises” (Menon “Potty-Talk” 59). Crude as this was, it showcases
Somm’s fearlessness to poke fun at every-day society.
The story established that the two women are of a lower class early on, but they
hold a great deal of power over those who come to use the bathroom. Not only do they
tell where the next person can defecate, but Mme Gardetout even makes comments
demanding the newspaper from her clients. It is a direct contrast to what is expected from
her actual class in society. Instead of creating extremely submissive lower-class women,
the play explored having dominant, powerful females who do not focus upon their
societal position (Menon “Potty-Talk” 59).
The story moves on to a young man named Cantoisel falling in love with the
young Lèocadie and preceding to ask for her hand in marriage. Mme Gardetout denies
the marriage, because she suffers from constipation, the largest irony Somm could create.
The only way that the couple could be married is if the man her daughter takes, suffers
from the same illness. She even says “Léocadie will only marry a constipated man, with
whom no unwanted noises will trouble the intimacies of our house” (Menon “Potty-Talk”
60). Although this story seemed disturbing and comical from first glance, Somm was
creating a deeper political meaning within the text.
Menon states that Somm used the characters to say that “the family prefers life
in a pay toilet to the increasingly industrialized and bourgeois-ridden world outside”
(“Potty Talk” 60). Not only did Somm create characters who were in the lower working
class, but he wanted to portray that not everyone was focused on social-climbing.
Because of such a distinct class divide in fin-de-siècle France, there seemed to be a great
deal of disdain stemming from the upper class towards to lower classes. The story in this
puppet theater celebrates the lives of the workers, giving hope to those actually living the
plot in the real world. Additionally, there was a deeper meaning attached to intestinal
noises and constipation. Because Mme Gardetout requires her daughter to marry a man
81
�who is afflicted with constipation, she is essentially advocating for her daughter to marry
within the same class. The intestinal noises were attached to the “rich and fattening foods
of the upper and upper middle classes” meaning that the two women never experience a
full bowel movement (Menon “Potty Talk” 60). The constipation represents their struggle
as lower-class members of society, and keeps them tied to their business.
In conjunction with this idea, Mme Gardetout does mention that she will pass
the business down to Léocadie. Her insistence of keeping a familial line of work attaches
an important meaning of significance to the idea of defecation (Menon “Potty Talk” 60).
Only those with money will be able to feel a sense of release, because they have the
means to make it happen. Those in the lower classes must take what they can get, so to
speak, creating a lack of perfect health and overall happiness. Interestingly enough, the
entire play ends with Lèocadie marrying Cantoisel and Mme Gardetout being presented a
powder by a patron that relieves her constipation (Menon “Potty Talk” 60). Not only does
the marriage showcase the change of class, but the relief of the bowel disease drives the
point home. Because she has received the remedy for her illness from a person of higher
status, she can finally feel the relief that those in the upper classes experiences
consistently. The play itself commented on this definitive divide between societal rank
and how it can easily merge.
To coincide with the “reviews” of the other plays from Le Chat Noir, the
reviews were more advertisements in different journals. There have not been any true
reactions to this play being produced, but it does obviously veer in style from the typical
shows of puppetry during this era (Menon “Potty-Talk” 60). Instead of having a comedy
without any subtext and driven on physical jokes, this play was written in order to take a
closer look at the structures of society. It shed light on what the class divide in France
actually meant, and how it affected accessibility for any necessity between classes. It
additionally had a sense of pride when it came to the lower classes, which was something
not regularly seen. Although the majority of artists during this period were penniless,
there was not always a sense of pride in their own societal status. This play utilized
classical marriage courting with class shifts to examine the differences in status.
Much of Somm’s creations have been seen as influences on modern puppetry.
Although Le Chat Noir closed its doors in 1897, the pieces created there impacted the
future generations of artists through the ideas of political rebellion and avant-garde looks
at the issues of society (Ink, Social). It has been debated whether the club could be
successful today, as there is still a great deal of critique about class structure and then in
turn, the great divide between each class. However, the attack on celebrity culture would
backfire and there would be a great deal of feuding between the establishment and the
82
�famous figure (Wright 46). Even though this could be made similar to a comedy club, it
would easily be seen as a place that assaulted many people’s reputations as well as their
lifestyles.
Although the cabaret would probably not survive in the modern day, specifically
the United States, it did inspire the French student rebellion in May of 1968. In the
United States at this point in history, citizens were experiencing the Civil Rights
Movement as well as the womens’ movement, the rise of hippie culture, student
rebellion, and peace movements (Schoemaker 366). In France, similar movements were
forming, but it restructured the entire society, almost destroying the Fifth Republic.
Schools and factories were forced to close, life was halted and as the government tried to
pick up the pieces, students began to rebel (Schoemaker 366). On March 22, a group of
radical students who called themselves “les enrages” or “the wild ones” protested against
regulations that the Nanterre campus of the University of Paris began enforcing. Run by a
German radical named Daniel Cohn-Bendit, the group wanted to destroy the uniformity
of French education (Schoemaker 367).
During this upheaval, the shadow theater emerged and was one of the most
popular forms of entertainment. Jean-Pierre Lescot was the most popular performer of the
time, and has been called one the most influential and strongest voices that was produced
by the shadow theater. Lescot viewed himself as a dreamer, so his plays were then “a
language of images” that translated his dreams (Schoemaker 372). Schoemaker quotes
him saying in an interview,
“I believe that shadow theater found itself a little like these traditional images
that one rediscovers, and at the same time that one rediscovers but from which
one ascertains all the force, all the emotional force, and one realizes that with
only a little lamp, one can retrieve emotions as intense as if one were at a huge,
costly production” (374).
Not only does he emphasize the main points that are seen in Somm’s works, but he also
translates the integral points of shadow theater that Le Chat Noir preserved through its
plays. Because this avant-garde form of art was being seen as new, it opened the door for
emotional exploration.
Lescot found that the art form allowed him to create nontraditional pictures, that
could encapsulate the feelings of the nation. Not only did he use puppets to translate the
feelings of the students rioting, but he also created stories to appeal to the general
public’s feeling of chaos and despair (Schoemaker 375). Additionally, he utilized the idea
of incorporating the past, and the viewpoints from ancestors. With this added component,
he allowed these predecessors to have their voices heard once again, but still deal with
83
�modern issues. Although the style moved away from Somm’s drastically, it still had the
political and social mockery involved (Schoemaker 375). It grew from something larger
from the past that changed the viewpoints of many Parisians. He gave life to an ancient
form of theater while still keeping true to aspects of its traditions in France.
Although puppetry has been portrayed as “childish” and mainly for educational
purposes, fin-de-siècle France utilized the art form for political rebellion, commentary on
society, and an out for artists suffering from depression or anxiety. Instead of being filled
with joy all of the time, it was a means to bring light to the issues of society as well as
incorporating techniques from the cultures of the East. Le Chat Noir brought together
artists of diverse backgrounds to create life-altering theater that later impacted student
groups and other modern puppet theaters, in order to find a new way to express
frustration and doubt. Le Chat Noir opened the door for artists not versed in the art of
puppetry to try their hand at playwriting as well as puppet construction in order to find a
new sense of artistic catharsis.
Bibliography
Anzalone, John. “Henri Rivière and George Auriol. Henri Rivière, Graveur et
Photographe ARMOND FIELDS F. FOSSIER F. HEILBRUN P. NEAGU.” NineteenthCentury French Studies, vol. 18, no. 1/2, 1989, p. 277-79.
Brand, Jennifer Ellen. “Le Chat Noir and the Musical Mainstream in Late NineteenthCentury Paris.” University of Calgary, 2003.
Ink, Social. “THE CHAT NOIR PUPPET AND SHADOW THEATER.” Grey Art
Gallery, greyartgallery.nyu.edu/exhibition/counter-culture-111798-011699/devil/.
Jeanne, Paul. Les Théâtres d’ombres de Montmartre de 1887 à 1923 [The Shadow
Theatres of Montmartre from 1887 to 1923]. Paris: Presses modernes, 1937.
“Le Chat Noir.” World Encyclopedia of Puppetry Arts, 17 May 2016,
wepa.unima.org/en/le-chat-noir/.
Menon, Elizabeth K. “Henry Somm: Impressionist, Japoniste or Symbolist?” Master
Drawings, vol. 33, no. 1, 1995, pp. 3–29.
Menon, Elizabeth K. “Potty-Talk in Parisian Plays: Henry Somm’s La Berline de
l’émigré and Alfred Jarry’s Ubu Roi.” Art Journal, vol. 52, no. 3, 1993, p. 59-64.
84
�Schoemaker, George H. “Mai ’68 and the Traditionalization of French Shadow
Theater.” Journal of American Folklore, vol. 107, no. 425, Summer 1994, p. 364-377.
Sterling, Bruce. “RIVIERE'S THEATRE D'OMBRES.” Alamut,
www.alamut.com/subj/artiface/deadMedia/shadowTheatre.html.
Wright, Bruce N. “Le Chat Noir and the Spectacle of Public Art.” Public Art Review,
no. 39, Fall/Winter2008 2008, p. 44-46.
85
�Psychological Factors that Motivate
Bystander, Perpetrator, and Rescuer Behaviors
Megan Chiu (Nursing) 1,2
Pockets of defiance across Europe were populated by networks of resisters and
rescuers, distinguished from bystanders and perpetrators of genocide. These ethics
involve grappling with where the line is drawn between safety and moral consciousness,
and often involve freedom to listen to one's sense of self. When faced with atrocity such
as genocide, some stand beside and watch, confused on the appropriate reaction, while
others risk their lives and families to save neighbors or even strangers. In the following
essay, three questions will be explored extensively through psychological analysis of
several works of research and personal accounts that draw on different aspects of
psychology: (1) what causes ordinary people to engage in and support genocide; (2) how
do bystanders, rescuers, supporters and perpetrators of genocide differ from one another;
and (3) why do resisters rescue? Personal accounts of Nazi guards in Auschwitz, Jewish
survivors of concentration camps, and Muslim rescuers of Jews among others will be
evaluated throughout this essay.
Ordinary People Engaging in Genocide?
At a group level, social psychological explanations, in particular, social identity
theory’s emphasis on the ingroup/outgroup dynamic, are central to understanding how
ordinary people have either some shared, direct, or indirect responsibility for the
Holocaust. To understand how social identity is important to the development of such
responsibility and engagement, it is critical to discuss the theory itself. Social identity is a
person’s sense of who they are based on their group membership(s). Henri Tajfel
proposed that the groups which people belong to are an important source of pride and
self-esteem. 3 Groups give us a sense of social identity, a sense of belonging to the social
world. In order to increase our self-image, we enhance the status of the group to which
1
Written under the direction Dr. Lori Weintrob for HI280-HO: Holocaust in Film,
Theater, Video, and Arts.
2
The author thanks Dr. Weintrob for her guidance in writing this paper. She also wishes
to express her appreciation for suggestions for revision made by Dr. Amy Eshleman.
3
Henri Tajfel, Human Groups and Social Categories: Studies in Social Psychology (New
York, N.Y.: Cambridge University Press 1981), 10.
86
�we belong. We can also increase our self-image by discriminating and holding prejudiced
views against the outgroup (the group we do not belong to). Therefore, we divide the
world into “them” and “us” through a process of social and cognitive categorization (i.e.
we arrange individuals into groups). This is known as the ingroup (us) and outgroup
(them) dynamic. Prejudiced views between these groups may result in cultures of racism;
in its extreme form, racism can result in genocide, such as that which occurred in
Germany with the Nazis and the Jews. Henri Tajfel proposed that stereotyping (i.e.
placing people into groups and categories) is based on a normal cognitive process: the
tendency to group things together (cognitive categorization). 4 In doing so we tend to
exaggerate the differences between the groups and the similarities within an outgroup.
This exaggeration can lead to dehumanization and thus give rise to a justification for
racism/genocide.
Social categorization gives society the ability to set the moral tone for
individuals; for example, a child might justify “joking around” and name calling another
child with disrespectful undertones because other children are doing the same, and then
progress to stealing lunch money or physical harassment; they begin to accept unethical
behavior as the norm. This concept of cognitive stretching is a process in which the
previously unimaginable becomes gradually accepted as the norm. In the case of Nazi
Germany, many Jews were targets of derogatory signs, violence on the streets that
included hitting and graphically shaming, and general extreme hostility, blamed for
Germany’s defeat in the First World War and the financial hardships that ensued
following the defeat. They became the routine targets of stigmatization and persecution,
from public burnings of books written by Jews at the beginning of the Holocaust to the
testing of mass killing methods on Jews in the concentration camps. Luckily, the violent
behavior set off a trigger in some because “the horror [was] so unimaginable that the
imagination refused to accept its reality. Something fails to click and some conclusions
are simply not drawn.” 5 Individuals who cannot accept the new moral tone either resist
(as rescuers did) or retreat into psychic numbing, as unresponsive bystanders did during
the doubling phenomenon noted among Nazis, experienced as “a form of desensitization .
. . an incapacity to feel or to confront certain kinds of experience, due to the blocking or
absence of inner forms or imagery that can connect with such experience.” 6 The
“psychological cutting off of one’s sense of reality” properly follows the concept of
4
Tajfel, Human G, 1981, 10.
Kristen Monroe, “Cracking the Code of Genocide: The Moral Psychology of Rescuers,
Bystanders, and Nazis during the Holocaust,” 705.
6
Robert Jay Lifton, “The Life of the Self: Toward a New Psychology,” 1976, 27.
5
87
�cognitive stretching; in Nazi Germany, the process whereby an individual is confronted
with some political act so far outside the ordinary frame of reference that there literally
has to be a widening of the cognitive boundaries before the individual can grasp what is
occurring. This stretching thus includes the “doubling” (perpetrators who behave as a
dual self, with one part of the self-disavowing the other) and the denial from both
bystanders and perpetrators who insist they “were innocent cogs in a giant machine
whose purpose was unknown to them.” 7
Ironically, bystander and perpetrator testimony reveal “victims” rationalizing
doubling phenomenon and cognitive stretching. Wives of Nazi supporters describe
happily remaining “officially” in the dark despite suspicions about what their husbands
were doing. Basically, then, bystanders and - to a certain extent perpetrators - live in a
“self-willed, protective twilight between knowing and not knowing, refusing full
realization of facts because they are unable to face the implications of these facts.” 8 As
Primo Levi wrote in The Reawakening, “those who knew did not talk; those who did not
know did not ask questions; those who did not ask questions received no answers; and so,
in this way, the average German citizen won and defended his ignorance.” 9 Both
survivors and scholars note that bystanders frequently pretend to be ignorant to dodge
responsibility. Both bystanders and perpetrators resort to denial, rationalization, and
righteous anger at the victims for causing the mess in the first place. 10 Gradually, the
stages of reasoning discussed help explain why ordinary people can engage in and
support genocide.
An intriguing personal eyewitness account that is important to include is the
testimony of former Auschwitz guard, Oskar Groening. In 1942, when he was twenty-one
years old, Groening was posted to Auschwitz. He “couldn’t understand that an SS man
would take a child and throw its head against the side of a lorry … or kill them by
shooting them and then throw them on a lorry like a sack of wheat.” 11 Groening,
according to his story, was so filled by “doubt and outrage” that he went to his superior
officer and told him: “It’s impossible, I can’t work here any more. If it is necessary to
7
Kristen Monroe, Ethics in an Age of Terror and Genocide: Identity and Moral Choice
(Princeton, N.J.: Princeton University Press, 2012), 24.
8
Leni Yahil, The Holocaust: The Fate of European Jewry (New York, N.Y.: Oxford
University Press, 1990) 545.
9
Primo Levi, The Reawakening (New York, N.Y.: Simon and Schuster, 1965), 381.
10
Lifton, “The Life of Self: Towards a New Psychology,” 90-100
11
Laurence Rees, "The Life of an Auschwitz Guard." Politico, 1.
88
�exterminate the Jews, then at least it should be done within a certain framework.” 12 His
superior officer, listening to Groening’s complaints, reminded him of the SS oath of
allegiance he had sworn and said that he should “forget any idea of leaving Auschwitz.”
He also offered some assurance; he told Groening that the “excesses” he saw that night
were an “exception,” and that he himself agreed that members of the SS should not
participate in such “sadistic” events. But this was not enough to fully convince Groening;
documents confirm that Groening subsequently put in a request for transfer to the front,
which was refused, so he carried on working at Auschwitz.
It is significant to note that Groening did not complain to his superior about the
principle of murdering the Jews, merely its practical implementation. When he saw
people in front of him, he knew were going to die within hours in the gas chambers, he
said his feelings were “very ambiguous.” He said:
How do you feel when you’re in Russia, there’s a machine gun in front of you,
and there’s a battalion of Russians coming running towards you and you have to
pull the trigger and shoot as many as possible? I’m saying it on purpose like this
because there’s always behind you the fact that the Jews are enemies who come
from the inside of Germany. The propaganda had for us such an effect that you
assumed that to exterminate them was basically something that happened in war.
And to that extent a feeling of sympathy or empathy didn’t come up. 13
Hints as to how it was possible that Oskar Groening felt helpless women and children
were “enemies” who had to face “extermination” can be found in his life before he was
posted to Auschwitz. He was born in 1921 in Lower Saxony, son of a skilled textile
worker. Groening’s father was a traditional conservative, “proud of what Germany had
achieved.” After Germany’s defeat in World War I, Groening’s father joined the rightwing Stahlhelm (Steel Helmet), one of the many ultra-nationalist organizations that
flourished in the wake of what they proclaimed was the humiliating peace of Versailles.
His father’s anger at the way Germany had been treated grew more intense as his
personal circumstances became more strained — lacking capital, his textile business went
bankrupt in 1929. In the early 1930s young Oskar joined the Stahlhelm’s youth
organization, the Scharnhorst.
Nothing felt more natural for Oskar Groening, who was only 11 years old when
the Nazis came to power in 1933, than to ease from the Stahlhelm’s Scharnhorst into the
Hitler Youth. He adopted the values of his parents and judged that the Nazis “were the
12
13
Laurence Rees, "The Life of an Auschwitz Guard." 2.
Rees, "The Life of an Auschwitz Guard," 2.
89
�people who wanted the best for Germany and who did something about it.” As a member
of the Hitler Youth, he took part in burning books written by “Jews or others who were
degenerate.” And he believed that, by doing so, he was helping rid Germany of an
inappropriate, alien culture.
Oskar Groening’s personal experience from Auschwitz was that it was a
“normal” concentration camp for the detaining of political prisoners or other “enemies of
the state,” despite the fact that it was one where the rations for SS members were
particularly good. But, as he began his task of registering the prisoners’ money, he
learned for the first time about the additional, “unusual” function of Auschwitz. “The
people there [working in the barracks] let us know that this money didn’t all go back to
the prisoners —Jews were taken to the camp who were treated differently. The money
was taken off them without them getting it back.” Groening asked, “Is this to do with the
‘transport’ that arrived during the night?” His colleagues replied, “Well, don’t you know?
That’s the way it is here. Jewish transports arrive, and as far as they’re not able to work
they’re got rid of.” Groening pressed them on what “got rid of” actually meant, and,
having been told, says that his reaction was one of astonishment.
It was a shock, that you cannot take in at the first moment. But you mustn’t
forget that not only from 1933 [Hitler’s acquisition of power], but even from
before that, the propaganda I got as a boy in the press, the media, the general
society I lived in made us aware that the Jews were the cause of the First World
War, and had also ‘stabbed Germany in the back’ at the end. And that the Jews
were actually the cause of the misery in which Germany found herself. We were
convinced by our worldview that there was a great conspiracy of Jewishness
against us, and that thought was expressed in Auschwitz… The enemies who are
within Germany are being killed — exterminated if necessary. And between
these two fights, openly at the front line and then on the home front, there’s
absolutely no difference — so we exterminated nothing but enemies. 14
As indicated in his story, Groening shields himself from taking full responsibility for
playing a part in the extermination process by constantly referring to the power of the
propaganda to which he was exposed, and the effect of his ultra-nationalistic family
atmosphere in which he grew up had on him. It is hard not to be cynical about such a
coping mechanism. Evidently, he could have chosen differently — he could have rejected
the values of his community and resisted. He could have deserted from Auschwitz
(although there is no record of any member of the SS doing so as a result of refusing on
14
Rees, "The Life of an Auschwitz Guard," 4.
90
�moral grounds to work in the camp). It would have taken an exceptional human being to
act in such a way, however, and the essential — almost frightening — point about Oskar
Groening is that he is probably one of the least exceptional human beings one is ever
likely to meet. A study of the historical-sociological profile of the SS in Auschwitz, based
on statistical records, found that “the SS camp force was not exceptional in its occupation
structure or in its levels of education. The camp staff was very much like the society from
which it was drawn.” Inferably, the Nazis enlisted the most ordinary of people to engage
in genocide because they do not have the exceptional characteristics to resist propaganda
and their societal norms. Oskar Groening clearly illustrates how and why ordinary people
become engaged in genocide.
Difference between Bystanders, Perpetrators, and Rescuers
After studying in-depth the potential for ordinary people to become perpetrators
of genocide, it is now necessary to distinguish the difference between bystanders,
perpetrators, and rescuers. An interpretive analysis of interviews conducted by Kristen
Monroe with bystanders, former Nazis, and rescuers of Jews during the Holocaust
revealed the importance of psychological factors in explaining behavior during
genocides. 15 Her findings underline the importance of cognitive categorization and the
way participants see themselves in relation to others and their identity. They show
contrasts in their self-concept, worldviews, and cognitive classifications, exploring
different values held, the power of moral salience and trauma, and divergent social
categorizations. For the purposes of this topic exploration, the aforementioned are
defined as follows: values are what each group considers important in terms of principles
or standards of behavior; moral salience is the theory that the fear of death motivates a
wide range of judgments and behaviors to support each group’s faiths in their worldviews
and self-worths; trauma is defined as the response to a deeply disturbing event that causes
severe psychological and emotional distress; and categorization is defined as the process
of classifying people into groups based on similar characteristics, such as nationality, age,
and ethnicity. These concepts are associated with both lack of choice and their divergent
responses to the suffering of others. When describing bystanders, they see themselves as
passive people, lacking in control and low in efficacy. 16 At several points during one
narrative, Beatrix (a pseudonym, bystander) states she is not a nice person, is alone, and
would not know what to do if her children did not now take care of her. It is significant to
15
Kristen Monroe, “The Moral Psychology of Rescuers, Bystanders, and Nazis during
the Holocaust,” 700.
16
Monroe, “The Moral Psychology of Rescuers, Bystanders and Nazis,” 711.
91
�note that this self-image described is in response to solely the request to “tell me about
yourself.”
BEATRIX: I don't like so much to say it, but I am always doing the wrong
things.
Q : Always doing the wrong things. What do you mean by that?
BEATRIX: Just what I say.... I don't think I am a very easy woman.... I am not
aggressive. I am-shy is not the right word but I am not very sure. I don't know
how to say ... I think to do the right things, and then always do them the worst
things. 17
Throughout her narrative, Beatrix describes herself as someone adrift, without direction
or purpose. In contrast to the passive bystander self-image, ironically, the Nazi self-image
is that of a victim who needs to protect themselves and their community of threats to their
wellbeing. They frequently used the metaphor of disease, with Nazi perpetrators making
genocide a sort of immunology, designed as a “preemptive action to rid the body politic
of unclean elements.” 18 In one interview from two unrepentant Nazis, they reveal the
Nazi self-image as victims threatened by Jews:
FLORENTINE: Read the Talmud and you read what the Jews think about us.
They say we are nothing!
Q : We are nothing?
FLORENTINE: Oh no, we are animals.
YOUNG NAZI: We are animals in human form. We are nothing. They can
crook us; they can steal from us, anything. They can never lend us money without getting
a credit interest. To a Jew, they are not allowed to do this, but to the Christian goyim, no
problem. We are animals. When you understand what the Jewish think of us, then you
can understand why they treat us like this.
Q : So you think the Christians have treated the Jews too, uh, too well
throughout history? Is that what you are saying?
YOUNG NAZI: We are too nice. We are defenseless against them. If you see all
the people hanged at Nuremberg, I think then you know it! So I believe Hitler. I believe
in Hitler. We are so open! We have worked with people who haven't been lying, with
people who did not spread hate. Oh, it was terrible. They (Jews) want to hang the
Germans at Nuremberg on Purim as proof of their own people's power. They are
17
18
Monroe, “Moral Psychology during the Holocaust,” 712.
Monroe, “Moral Psychology during the Holocaust,” 712.
92
�powerful. They made up the Holocaust! But this is a religion nowadays. Ya. Nobody
thinks anymore about other people. Only Jews died in the war, it looks like. (He turned to
lecture me.) You be careful you don't tell the world these truths or it will be hard! It will
be too much for you. 19
On the other hand, rescuers consider themselves connected to all human beings through
bonds of a common humanity. 20 The rescuers' idealized cognitive model of what it means
to be a human being is far more expansive and inclusive than the model employed by
bystanders and Nazis. 21 In Monroe’s interview with Tony (a rescuer), when asked “tell
me about yourself,” it is clear in his answer that he had a strong sense of self as a person
who has a connection to others:
TONY: I was to understand that you're part of a whole; just like cells in your
own body altogether make up your body, in our society and community, we all are like
cells of a community that is very important. Not America. I mean the human race. You
should always be aware that every other person is basically you. Always treat people as
though it is you. That goes for evil Nazis as well as for Jewish friends in trouble. Always
see yourself in those people, for good or for evil both. 22
As a whole, through psychological analysis, we become cognizant that these groups
integrated different values into their basic sense of self. Bystanders and Nazis placed
higher value on personal community and utilized ingroup/outgroup distinctions. Rescuers
employ broader categories and are inclusive, not exclusive in their classification system.
Beyond this, the personal losses and trauma experienced by rescuers made them more
sensitive to the unfortunate situation of others; similar losses led bystanders and Nazis to
retreat into themselves and adopt a defensive position.
The worldviews of the different groups created similar distinctions. Both
bystanders and Nazis exhibited worldviews shadowed by a sense that human beings are
controlled by the winds of history (external locus of agency). 23 This shadow is related to
their perceived lack of choice in terms of helping others. Passive self-images and an
external locus for agency resulted in individuals accepting whatever life brought them
and the impression that the suffering of others was something over which they had no
control. Although rescuers expressed a similar lack of choice, their sense of agency and
19
Monroe, “Moral Psychology during the Holocaust,” 713.
Monroe, “Moral Psychology during the Holocaust,” 720.
21
Monroe, “Moral Psychology during the Holocaust,” 712.
22
Monroe, “Moral Psychology during the Holocaust,” 711-712.
23
Monroe, “Moral Psychology during the Holocaust,” 713.
20
93
�the psychological mechanism driving their choice differed dramatically. The rescuers’
choices and options were determined but limited by their strong sense of human
connection and a cognitive classification process in which all human beings are placed in
the same category, and thus equal and worthy of the same treatment. 24 Because of their
strong sense of human connection, rescuers deemed others’ suffering directly relevant to
them; this perception left them no option but to try to help strangers, even when doing so
threatened the rescuers’ own safety or wellbeing. This lack of choice is a key element of
Monroe’s research, showing that the identity of each individual constrained their choices,
in that, for example, rescuers felt they had no choice but to save people:
Q : You used the phrase, "You had to do it." Most people didn't do it though.
How did you feel you had to do it, when other people did not?
JOHN: I had to do what everyone should do. (John shrugged.) I do it.
Q : But why did you have to do it?
JOHN: Because I have to help those in need, and when people need help, then
you have to do it.
Q : When you say you had to do it, that implies to me that there wasn't a choice
for you. Did you ... (John interrupted)
JOHN: No. There is no choice. When you have to do right, you do right. (John,
Dutch rescuer) 25
For John and other rescuers, their lack of choice came from their view of themselves as
connected to all humankind. Later on, John tells Monroe in their interview that their
actions embodied a “natural reaction from the inside.” 26 Much of the rescuers’ narratives
suggest that it was not a lack of choice, but rather a refusal to compromise their identity,
which is perfectly described in another interview: “When [the rescue] happened, then I
had absolutely a compulsion to do it. The hand of compassion was faster than the
calculus of reason.” 27 This universal boundary of entitlement (the moral perspective that
assumes all people are entitled to certain humane treatment simply because they are born
human 28) and fellow feeling (the belief of a shared humanity that motivates moral
24
Monroe, “Moral Psychology during the Holocaust,” 713.
25
Monroe, “Moral Psychology during the Holocaust,” 713.
26
Kristen Monroe, The Hand of Compassion: Portraits of Moral Choice During the
Holocaust, 2006, 112.
27
Monroe, Portraits of Moral Choice During the Holocaust, 90-91.
28
Monroe, Portraits of Moral Choice During the Holocaust, 243.
94
�action 29) is further developed and examined in another study of moral psychology done
by Monroe in 2006.
What Causes Ordinary People to Rescue Others?
Much of the research found highlights the importance of identity or self-image.
To clarify, identity is the distinguishing character or personality of an individual; there
are many factors that contribute to one’s identity, and hereinafter will discuss how those
factors make particular individuals different rather than similar. At the individual level, a
key personality factor that survivor Nechama Tec identified in 1986 was the importance
of a sense of self. Tec argued that rescuers had a strong sense of individuality or
separateness and were motivated by moral values that did not depend on the support or
approval of other people so much as on their own self-approval. 30 The first important
systematic analysis of rescuers established personality as the critical force driving rescue
behavior. The Altruistic Personality was the largest survey of rescuers ever conducted,
including 406 rescuers, 126 non-rescuers, and 150 rescued survivors throughout the Third
Reich. Samuel Oliner, a professor of sociology, and his wife, Pearl Oliner, a professor of
education, both at Humboldt State University, isolated the importance of identity,
particularly the kind of broad, inclusive identity that connects to a shared humanity. 31
This particular conceptualization of identity was essential for encouraging cooperation
and strong communal connections. An altruistic personality, in which habitual behavior,
encouraged by parents or other significant role models, led to habits of caring that
effectively became structured as an altruistic personality. 32 Kristen Monroe’s (20042006) work on rescuers also emphasized the self-concept, but highlighted the importance
of the rescuers’ perceptions of themselves in relation to others, suggesting it was not
simply character but also the rescuer’s perceptual relationship toward the person in need
that was critical. 33 She found identity perceptions created a sense of moral salience, the
feeling that another’s suffering was relevant for the individual, and hence demanded
action to help alleviate that suffering. She located the power of this psychological
phenomenon in the mind’s need to categorize and classify information, with people thus
29
Monroe, Portraits of Moral Choice During the Holocaust, 244.
Monroe, “Moral Psychology during the Holocaust,” 702-703.
31
Samuel Oliner and Pearl Oliner, The Altruistic Personality: Rescuers of Jews in Nazi
Europe, (New York: Free Press and London: Collier Macmillan: 1988), 415.
32
Oliner and Oliner, The Altruistic Personality: Rescuers of Jews in Nazi Europe, 420.
33
Kristen Monroe, “Moral Psychology during the Holocaust,” 703-704.
30
95
�being classified into friend or foe, member of an ingroup or an outgroup. For rescuers, the
boundaries of this classification system were broad and inclusive, including all humanity.
In one particular study conducted and later compiled into a book by Kristen
Monroe, she interviewed five rescuers from Germany, The Netherlands, Czechoslovakia,
Denmark, and Poland, analyzing their interviews and forming an intriguing theory about
rescuers’ psychology. She presents an outline of her moral theory through an analysis of
how identity and constrained choice form a complex interrelationship with character,
universal boundaries of entitlement, fellow feeling, and perspective and moral salience.
With each element of her theory, she presents excerpts and examples from the individuals
she interviewed. For character, Monroe states that our moral actions emerge from our
sense of who we are; certain actions will be eliminated immediately and others will be
already imposed based on the kind of person we believe ourselves to be. 34 Everyone has
some sense of core self, and this was a critical influence on the behavior of rescuers. For
universal boundaries of entitlement and fellow feeling (which combine in a cooperative
manner), Monroe states that the rescuers’ moral perspective seems to correspond to all
individual basic human rights, allowing for variation in individual differences and for
human failures. “It draws moral boundaries universally, rejecting the claims of groups as
the foundation for moral salience,” 35 a phenomenon previously discussed about how
ordinary people engage in genocidal behavior in relation to social identity theory of
ingroups and outgroups. For example, several of the rescuers Monroe interviewed could
have easily claimed special treatment because they were German, thus members of a
privileged group. However, they refused to do so. Other rescuers explicitly rejected the
kind of entitlements behind a “veil of ignorance,” arguing that even if they knew they
would benefit from special treatment, they would not be part of such a society because it
was morally wrong. 36 Monroe continues this examination through its connection to
perspective and moral salience. She writes:
The psychological process of helping another involves the recognition of
another’s need. It entails the [individual’s] belief that she can take action that
will alleviate another’s suffering. And it requires the acknowledgement of moral
salience, the recognition that another’s need is a concern to the
individual/rescuer. Making the connection between one’s self and the other,
identifying the relevance of another’s plight to one’s self, is a critical part of the
moral perspective… Moral salience probably explains why so many of
34
Monroe, Portraits of Moral Choice, 242-243.
Monroe, Portraits of Moral Choice, 244.
36
Monroe, Portraits of Moral Choice, 244.
35
96
�us - people who are reasonably ethical human beings in our everyday lives - do
so little to alleviate problems like the genocide in Bosnia or Rwanda-Burundi, or
even human suffering in our own country. Like [unresponsive bystanders], we
do not recognize the situation as something directly relevant for us. We then
conclude that it is not a situation that we can affect very much. 37
Rescuers during the Holocaust were able to identify the relevance of the needs of others
to themselves, and thus this acknowledgement of moral salience as an arena where one
can make a difference impels action.
Similarly, another important story that encompasses the idea of identity in
playing a vital role in rescuing is the story of the Muslims in Albania, the only country in
Nazi-occupied Europe that had more Jews in their country after World War II than
before. Owing partly to what locals call Besa, a local code of honor and neighborly
conduct, the rescue and survival of approximately 2,000 Jews by Albanians for decades
had remained largely unknown. In the 2012 documentary film “Besa: The Promise,” it
tells the story of Rifat Hoxha, who ran a pastry shop to which the Jewish Aladjem family
was taken by an Albanian police officer and arranged their shelter. The film follows the
unlikely story of how, a decade ago, Rifat Hoxha’s son, Rexhep, returned three Jewish
prayer books to members of the Aladjem family living in Israel. During the war, his
Jewish guests had given the prayer books to Hoxha for safekeeping after hiding at his
house for half a year. As with many other Jews who survived in Albania — most of them
refugees from neighboring Greece, Italy, Bulgaria and Serbia — the rescue of the
Aladjems was “an open secret,” Rexhep Hoxha, a father of two who was born in 1950,
told the Jewish Telegraphic Agency (JTA). 38 “Not only the police knew, but all the
neighbors knew as well. There was a circle of silence. It’s something connected to our
culture. You don’t betray your guest, and you certainly don’t betray your neighbor.” 39
According to Petrit Zorba, a meteorologist and director of the Albania-Israel
Friendship Society, the rescue of Jews in Albania was “a matter of tradition, and had very
little to do with religion.” Even Baba Mondi, the leader of the secretive Bektashi Shiite
sect, which is headquartered in Albania, says that religion’s role in the rescue was both
central and indirect. “In Albania there is a tradition of religious tolerance… I wouldn’t
mind my children marrying a Jew, a Christian, whoever. So while the rescue maybe
37
Monroe, Portraits of Moral Choice, 247-248.
Cnaan Liphshiz, “What made Muslim Albanians risk their lives to save Jews from the
Holocaust?” Jewish Telegraphic Agency, 2018, 1.
39
Liphshiz, “What made Muslim Albanians risk their lives to save Jews from the
Holocaust?” 3.
38
97
�didn’t come from a religious commandment, it grew out of a religious environment where
all fellow human beings are our brethren.” 40 The Muslim Albanians meet almost every
element of Monroe’s theory of moral perspective about rescuers’ motivation to save
Jews. Their identity was defined not by religion, but by tradition. Because of this
rejection of specific group categorization, they carried a universal worldview that
includes a broad and inclusive share of humanity, as noted when Baba Mondi added that
“all fellow human beings are our brethren.”
Using theories and aspects of social and moral psychology to analyze several
works of research and personal accounts/interviews, I was able to fully understand the
extent to which bystanders’, perpetrators’, and rescuers’ behaviors are explained through
psychological factors. These findings speak more generally to the underlying psychology
of how individuals respond to the suffering of others. They suggest what motivates us to
act beyond generalized feelings of sympathy, sorrow, or even outrage to a sense of
morality, a feeling that another's distress is directly relevant for us to require intervention
and assistance. They suggest why some people take positive action to help, when most of
us ignore others' misery, providing indirect or direct support for the conditions that
caused misfortune. In a broader context of research on moral choice, it can bring into
focus how we treat others. The evidence found in the rescuers’ narratives highly support
the fact that human beings who want to be treated well must recognize and honor the
humanity of others.
Bibliography
Levi, Primo. 1965. The Reawakening. New York, N.Y.: Simon and Schuster.
Lifton, Robert Jay. 1976. The Life of the Self: Toward a New Psychology. New York,
N.Y.: Simon and Schuster.
Liphshiz, Cnaan. "What made Muslim Albanians risk their lives to save Jews from the
Holocaust?" Jewish Telegraphic Agency, January 16, 2018.
Mastroianni, George R. 2015. “Obedience in Perspective: Psychology and the
Holocaust.” Theory & Psychology, 25 (5).
Monroe, Kristen Renwick. 2008. “Cracking the Code of Genocide: The Moral
Psychology of Rescuers, Bystanders, and Nazis during the Holocaust.” Political
Psychology, 29 (5).
40
Liphshiz, “What made Muslim Albanians risk their lives,” 5.
98
�Monroe, Kristen R. Ethics in an Age of Terror and Genocide: Identity and Moral Choice.
Princeton: Princeton University Press, 2012.
Monroe, Kristen Renwick. 2006. The Hand of Compassion: Portraits of Moral Choice
During the Holocaust. Princeton, N.J.: Princeton University Press.
Oliner, Pearl M., & Oliner, Samuel P. 1988. The Altruistic Personality: Rescuers of Jews
in Nazi Europe. New York: Free Press and London: Collier Macmillan.
Rees, Laurence. "The Life of an Auschwitz Guard." Politico, July 15, 2015.
Tajfel, Henri. 1981. Human Groups and Social Categories: Studies in Social Psychology.
New York, N.Y.: Cambridge University Press
Yahil, Leni. 1990. The Holocaust: The Fate of European Jewry. New York: Oxford
University Press.
99
�
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Volume 19, Number 1
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Section I: The Natural Sciences & Quantitative Analysis -- Full Length Papers -- 3 Income Inequality in the United States and Its Effect on Consumers and Corporations / Adam Rotenberg Section II: The Social Sciences -- Full Length Papers -- 21 E-cigarette Use Among Adolescents in Staten Island / Lauren Dina Arslani, Kristi Simonetti, Jessica Verga -- 32 Satisfying the Growing Health-Conscious Consumer Market / Lauren Duffy -- 50 ‘Kids Against Asthma’ Educational Program for Pediatric Asthma in San Joaquin Valley / Jessica Diemer, Marlena Sokolska, and Lindsay Volpe -- Section III: Critical Essays -- Full Length Papers -- 61 Emma Goldman: The True Pioneer Behind Birth Control / Jolie Lenox -- 69 For Their Own Safety, Oil and Water Remain Separate: How Antony Navigates Western and Eastern Values in Antony and Cleopatra / Holly Alexander -- 76 French Turn of the Century Puppetry / Dana Rudnansky -- 86 Psychological Factors that Motivate Bystander, Perpetrator, and Rescuer Behaviors / Megan Chiu
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��EDITOR’S INTRODUCTION
The Wagner Forum for Undergraduate Research is an interdisciplinary journal which
provides an arena where students can publish their research. Papers are reviewed with
respect to their intellectual merit and scope of contribution to a given field. To enhance
readability the journal is subdivided into three sections entitled The Natural Sciences and
Quantitative Analysis, The Social Sciences, and Critical Essays. The first two of these
sections are limited to papers and abstracts dealing with scientific inquiries, business
research, clinical investigations and the use of mathematical/statistical modeling. The
third section is reserved for speculative papers based on the scholarly review and critical
examination of previous works.
Read on and enjoy!
Gregory J. Falabella, Ph.D.
Editor-in-Chief
Editorial Board
Dr. Annemarie Dowling-Castronovo, Nursing
Dr. Donald E. Stearns, Biological Sciences
Dr. Amy Eshleman, Psychology
Prof. Andy Needle, Art
Dr. Lori Weintrob, History
��Section I:
The Natural Sciences &
Quantitative Analysis
Full Length Papers
3
The Antimicrobial Effects of Peppermint Oil, Cinnamon Oil, and
Chamomile Oil on Staphylococcus aureus and Escherichia coli
Alexandra Ruth Elder
33 The Effects of Corporate Sustainability on Corporate Financial
Performance
Graham Schmelzer
Section II: The Social Sciences
Full Length Papers
57 The Epidemic of Depression in National Collegiate Athletic
Association Student-Athletes
Maria D’Amico, Nicole Doherty and Iman Eulinberg
Section III: Critical Essays
Full Length Papers
69 The Structure of Repression and Trauma in Slow River
Gina LaRosa
75 Changes in Sino-British Relations from the Opium Wars to the
Taiping Rebellion
Jeanine Woody
112 How Misrepresentations of Transgender People in Film and TV
Affect Society
Paige Tolbard
����The Antimicrobial Effects of Peppermint Oil,
Cinnamon Oil, and Chamomile Oil on
Staphylococcus aureus and Escherichia coli
Alexandra Ruth Elder (Microbiology)1
The use of essential oils as antimicrobial agents have increased in popularity for reasons
such as the rise in antibiotic resistant strains of pathogenic bacteria. The essential oils of
interest in this research project were chamomile oil, cinnamon oil, and peppermint oil.
All of which are known for their wide range of health benefits as well as their
antimicrobial effects. The antimicrobial ability of these essential oils were tested on
Escherichia coli, a known Gram-negative species, and Staphylococcus aureus, a known
Gram-positive species. Three different techniques such as agar-well diffusion, agar
dilution, and broth dilution, were used to determine the effectiveness of each oil at six
different concentrations. The minimum lethal concentration and the minimum inhibitory
concentration were established for each oil on each microbe. It was found that higher
concentrations of oil were more effective at inhibiting growth of both species of bacteria
than at lower concentrations across each method. It was also found that cinnamon oil had
the greatest inhibitory effects on E. coli while chamomile had the least inhibitory effects.
Furthermore, chamomile oil had the greatest inhibitory effects on S. aureus, while
peppermint oil had the least inhibitory effects. The results also suggest that overall,
Gram-negative species of bacteria are more resistant to the antimicrobial effects of
essential oils than Gram-positive species.
I. Introduction
Essential Oils
Essential oils have been used for centuries as a natural way to treat human
illness and disease. Essential oils are obtained through the distillation of plant materials
such as leaves or bark and were first used in Egypt, India, and Persia (Guenther, 1947). In
1660, essential oils became widely used in mainstream medicine and grew in popularity
(Buckle, 2014). It wasn’t until the 1800s that scientists began to look at the chemical
1
Research conducted under the supervision of Dr. Kathleen Bobbitt in partial fulfillment
of the Senior Program requirements.
3
�makeup of essential oils, and with this came the start of drug development. The naturally
occurring active compounds found in plants are known as phytochemicals.
Phytochemicals produced by plants play a role in plant growth and defense (Martinez et
al., 2017). These phytochemicals are also seen in essential oils and are attributed to their
bioactive properties. One of the pioneers of the use of essential oils in medicine was
Rene-Maurice Gattefore, who discovered aromatherapy in 1910. He used oils such as
clove, chamomile, lavender, and lemon oil to treat the wounds of soldiers injured in
World War I (Buckle, 2014). Gattefore used these oils to stop infections from progressing
and accelerating the healing process.
Less than two decades later, Alexander Fleming discovered penicillin in 1928
(Buckle, 2014). This ground-breaking discovery paved the way for modern day drug
therapy and at the same time temporarily put a hold on further research of essential oils.
Today, however, the use of essential oils in the clinical setting are growing in popularity
because of the increase in antibacterial resistance. Essential oils in recent years have also
risen in interest because of negative consumer views of synthetic and artificial
preservatives used across several industries in America (Chouhan et al., 2017). It is also
important to note that in people in developing countries throughout the world do not
always have access to modern medicine and advances therefore, they rely heavily on
traditional methods such as essential oils. It was noted by the World Health Organization
that the majority of the world’s population depends on traditional medicine for primary
healthcare (Prabuseenivasan et al., 2006). The ideology that essential oils can not only be
used as a natural alternative to artificial preservatives but as an active member in the fight
against antibiotic resistance is a main focal point in the research being conducted on them
today.
Antibiotic Resistance
Antibiotic resistant pathogenic bacteria have made the treatment of bacterial
infections difficult and in some cases, impossible. The overuse and misuse of antibiotics
have created a global health crisis by causing a rise in antibiotic resistance. Antibiotic
resistance is the ability of a microorganism to grow in the presences of antibiotics that
would have once limited their growth or killed them (Tenover, 2006). Antibiotics have
different mechanisms in which they kill bacteria such as interference of the cell wall,
inhibition of protein synthesis, and inhibition of metabolic pathways (Tenover, 2006).
Some species of bacteria are naturally resistant to certain types of antibiotics and can
render them ineffective because they produce certain types of protein. However, some
species become resistant to antibiotics because of a random mutation that occurs in their
4
�DNA. These mutated genes increase the bacterial survival when in the presences of such
antibiotic and thus are passed on to their progeny. Antibiotic resistance genes can be
found on the bacterial chromosome or on a plasmid. A plasmid is a piece of selfreplicating extrachromosomal DNA that can be transferred to competent bacterial cells
via conjugation. Bacteria can also transfer genes from one another through a process
called horizontal gene transfer (Hoek et al., 2011). Bacteria have the ability to rapidly
mutate and change to fit their environment due to their high growth rate.
One of the biggest concerns when it comes to antibiotic resistance is multidrug
resistance strains of bacteria. Such bacteria have not only become resistance to a single
antibiotic that would have once killed them, but they have become resistant to several
types of antibiotics. While the degree of multidrug resistance can vary from a few
antibiotics to many antibiotics, these microorganisms pose a major threat to society. This
is because if a patient becomes infected with a multidrug resistant bacteria, such as
Methicillin-resistant Staphylococcus aureus, health care providers have a difficult time
treating the infection because it is resistant to several types of antibiotics commonly used
to treat it. Species such as Staphylococcus aureus, Enterococcus, Enterobacteriaceae,
Pseudomonas aeruginosa, and Acinetobacter are of main concern because of their
prevalence in the hospital setting (Margiorakos et al., 2011). The number of antibiotic
resistant strains of bacteria are increasing, causing scientist to turn to alternative methods
to treat bacterial infections. Essential oils prove to be a promising candidate in the fight
against antibiotic resistance.
Staphylococcus aureus
Staphylococcus aureus is a round shaped, Gram-positive pathogenic bacteria
that belongs to the Staphylococcaceae family. Staphylococcus aureus is found in the
environment and is often part of human normal flora on the skin and mucosa membranes
(Taylor and Unakal, 2019). Staphylococcus aureus is known to cause bacteremia,
infective endocarditis, many skin and soft tissue infections (e.g., cellulitis, acne, boils,
scolded skin syndrome, and others), pulmonary infections, urinary tract infections, toxic
shock syndrome, gastroenteritis, meningitis, and osteomyelitis (Taylor and Unakal,
2019). Even though S. aureus is commonly seen as normal flora, it poses a major threat
in the hospital setting and treatment is often difficult. Staphylococcus aureus infections
have become difficult to treat because of multi-drug resistant strains such as MethicillinResistant Staphylococcus aureus (Taylor and Unakal, 2019). Typically, the drug of
choice to treat S. aureus is penicillin or vancomycin (Taylor and Unakal, 2019).
5
�However, many strains have become resistant to these drugs forcing health care providers
to turn to alternative methods.
Escherichia coli
Escherichia coli is a Gram-negative bacillus that belongs to the
Enterobacteriaceae family. Escherichia coli is found in the intestinal tract of animals and
humans as part of their normal flora (Gossman et al., 2019). E. coli is an important food
and waterborne pathogen that causes diarrhea, dysentery, hemorrhagic colitis, and
hemolytic-uremic syndrome in humans (Gossman et al., 2019). Pathogenic strains of E.
coli have several virulence factors that can cause severe illness in the host. One of the
most virulent strains of Escherichia coli is E. coli 0157:H7, an enterohemorrhagic E. coli
that uses a toxin that attacks small blood cells. This enterohemorrhagic E. coli kills the
intestinal cells and causes diarrhea and severe abdominal cramps (Blount, 2015). Most
patients recover from E. coli 0157:H7 infections without antibiotic treatment in a week to
ten days, however antibiotics are given in persistent cases. Antibiotics may not be
effective in all cases due to the rise in antibiotic resistant strains of enterohemorrhagic E.
coli in countries such as the United States, United Kingdom, Iran, Singapore, and Brazil
(Croxen et al., 2013) The increase in these strains have led to the interest in essential oils
to treat E. coli without antibiotic use.
Peppermint oil
Peppermint oil or, Mentha piperita, is part of the mint family along with
spearmint, water mint, and forest mint and is obtained by steam distillation of the Mentha
piperita plant leaves (Chumpitazi et al., 2018). Peppermint oil has been used for centuries
in countries like Greece, Egypt, and Rome as a natural stomach soother by decreasing the
calcium influx in the smooth muscle cells (Chumpitazi et al., 2018). The main
phytochemicals of peppermint oil are menthol and menthone, two known antiviral,
antibacterial, antifungal, and anti-inflammatory agents (Zaia et al., 2016). Peppermint oil
is also a common ingredient in household surface cleaners and is used to as a food
preservative.
Cinnamon Oil
Cinnamon oil is obtained from the bark of the Cinnamomum verum plant.
Cinnamon oil is commonly used in food flavoring, cosmetics, and in clinical settings.
Cinnamon oil has been used to treat medical issues such as gingivitis, acne,
gastrointestinal issues, and many others (Nabavi et al., 2015). In addition, cinnamon oil
6
�has been proven to have antibacterial, antifungal, and insecticidal properties (Nabavi et
al., 2015). The main components that are attributed to giving cinnamon oil its
antibacterial properties are the bioactive phytochemicals cinnamaldehyde and eugenol,
which have shown to prevent growth of both gram-negative and gram-positive species
(Baker and Grant, 2017).
Chamomile Oil
Chamomile or, Matricaria chamomilla, is a member of the Asteraceae family.
There are two main types of chamomile oil: German chamomile and Roman chamomile
(Srivastava et al., 2010). Chamomile oil has been used since ancient times and is known
for its therapeutic properties and wild range of health benefits (Srivastava, Shankar, and
Gupta, 2010). Chamomile oil has 120 chemical constituents that make it a versatile
compound. Components such as a-bisabolol and cyclic ethers are known antimicrobial
agents that are effective in killing both Gram-negative and Gram-positive bacteria
(Srivastava et al., 2010).
Objectives
The purpose of this research project was to observe the inhibitory effects of
peppermint oil, cinnamon oil, and chamomile oil on a Gram-negative bacillus species,
such as Escherichia coli, and a Gram-positive coccus species, such as Staphylococcus
aureus using a number of biotechnical methods. Staphylococcus aureus and Escherichia
coli are both pathogenic microbes that grow on selective and differential media such as
mannitol salt agar, and eosin methylene blue agar respectively. Different concentrations
of the oils were used in the agar-well diffusion, agar diffusion, and broth diffusion
methods to determine their antimicrobial effectiveness. Minimum inhibitory
concentrations as well as minimum lethal concentrations were determined for each oil for
each microorganism.
II. Materials and Methods
Biological Material
The two organisms used in this experiment were Escherichia coli (PI336),
which belongs in the Enterobacteriaceae family, and Staphylococcus aureus (PI4651),
which belongs in the Staphylococcaceae family. Escherichia coli, is a Gram-negative
bacillus species that appears as a pink rod shaped organism under a microscope when
gram stained. Escherichia coli can be identified by its green metallic sheen on Eosin
7
�Methylene Blue agar, as well being indole positive, methyl red positive, citrate negative,
and Voges-Proskauer negative in an IMViC test. Staphylococcus aureus is a Grampositive coccus species and will appear as round purple organisms under a microscope
when gram stained. S. aureus can be identified by its ability to ferment mannitol on a
mannitol salt agar, changing the color from red to yellow. S. aureus can also be identified
by its positive catalase test and is hemolytic on blood agar.
Preparation of Water Blanks
The water blanks were made by adding 9 ml of distilled water to 100 empty test
tubes using a sterile 10 mL pipette. The caps of the tubes were loosely placed on the
tubes and the tubes were then autoclaved for 15 minutes using the liquid cycle to ensure
they were sterile. These water blanks were used in the agar dilution method to make the
different oil dilutions.
Preparation of Nutrient Broth
The nutrient broth tubes were made by adding 1000 mL of distilled water to a
large Erlenmeyer flask using a graduated cylinder. Using a small scale, 25 grams of
nutrient broth, purchased from Sigma-Aldrich Corporation, powder was measured on a
weighing dish and was added to the 1000 mL of water. A stirring rod was added to the
flask and the mixture was put on a hot plate until the powder was completely dissolved,
this took about 10 minutes. Nine mL of nutrient broth was then added to 100 test tubes
using a sterile 10 mL pipette. Caps were placed loosely on the tubes and were then
autoclaved for 15 minutes using the liquid cycle to ensure they were sterile.
Preparation of Eosin Methylene Blue Agar
The Eosin Methylene Blue agar (Sigma-Aldrich Corporation), also called EMB
agar, was made by first adding 1000 mL of distilled water to a larger Erlenmeyer flask
using a graduated cylinder. Using a small scale, 37.5 grams of EMB powder was
measured on a weighing dish and added to the 1000 mL of water. A stirring rod was then
added to the flask and the mixture was put on a hot plate and brought to a boil. The top of
the flask was then covered with aluminum foil and was autoclaved for 15 minutes on the
liquid cycle. Once autoclaved the flask was then placed under the laminar flow hood to
cool slightly. An even amount of agar was then added to 100 sterile petri dishes. The petri
dishes were left to solidify and stored in the fridge until use.
8
�Preparation of Mannitol Salt Agar
The Mannitol Salt Agar (Sigma-Aldrich Corporation), also called MSA, was
made by adding 1000 mL of distilled water to a larger Erlenmeyer flask using at
graduated cylinder. 111 grams of MSA powder was then weighted out on a small scale
and added to the flask along with a stirring rod. The mixture was then placed on a hot
plate and was brought to a boil for 1 minute. The flask was covered with aluminum foil
and placed in the autoclave for 15 minutes on the liquid cycle. The flask was then placed
under the laminar flow hood to cool slightly. An even amount of agar was then added to
100 petri dishes. The petri dishes were left to solidify and were stored in the fridge until
use.
Agar-well Diffusion
The MSA and the EMB agar were both used for the agar-well diffusion test on
their corresponding microbe. First, six different 50 µl oil dilutions were made using the
three oils, 1 µl, 2µl, 4 µl, 8 µl, 16 µl, and 32 µl of peppermint, chamomile, and cinnamon
oil were used in this experiment. The plates were divided into two equal halves using a
marker and labeled following the different oil concentrations (i.e. each plate contained
two different oil concentrations). An aliquot of 0.1 mL of each microbe was added to its
corresponding plate using a sterile 1 mL pipette. The spread plate technique was used to
spread the microbe evenly throughout the plate. The end of a sterile 10 mL pipette was
used to make a small well in each half of the agar. Each well was then filled with 50 µl of
each oil concentration. One plate served as the control that contained water, which served
as the positive control, and alcohol, which served as the negative control, in the two
wells. The next plate contained 1 µl/ 2 µl in each well, the next plate contained 4 µl/ 8 µl,
and the last plate contained 16 µl/ 32µl. The plates were then incubated at 37 °C for 24
hours. After incubation, the zone of inhibition produced by each oil was measured using a
ruler in centimeters. This procedure was repeated in triplicate for each microbe.
Agar Dilution
Six ten-fold dilutions of each oil were made using water blanks. One mL of each
ten-fold dilution was added to sterile petri dishes. MSA and EMB agar were made using
the procedure described in the previous sections. Nine mL of each test agar was then
added to each plate using a sterile 10 mL pipette. The plates were then gently stirred to
allow the oil and agar to mix. The plates were left to solidify for 24 hours. 0.1 ml of each
microbe was added to each plate and was spread evenly using a sterile inoculating loop.
The plates were incubated at 37 °C for 24 hours and the CFU of each plate was
9
�determined by counting the number of colonies presence. Any colony count under 30
CFU was considered statistically insignificant. Any count above 300 CFU was
determined to be too numerous to count and were recorded as TNC. This procedure was
repeated in triplicate for each microbe.
Broth Dilution
The broth dilution method was performed using nutrient broth. Six ten-fold
dilutions were made of each oil using the nutrient broth. One mL of each microbe was
added to each dilution, as well as a water blank that served as a negative control, and
brain heart infusion broth, or BHI, that served as the positive control. The tubes were
incubated at 37 °C for 24 hours. After incubation, subculture inoculations were taken and
plated onto the test agars, MSA and EMB. The minimum inhibitory concentration, or
MIC, and minimum lethal concentration, or MLC, were determined by no growth after
the 24-hour incubation period and on the subculture inoculation plates. This procedure
was repeated in triplicate for each microbe in each oil dilution.
III. Results
Agar-well Diffusion
Results for agar-well diffusion test on Escherichia coli
The results of the agar-well diffusion test are below in tables 1-6. The zone of
inhibition around each well was measured in centimeters (cm) using a small ruler. The
mean and standard deviation of each concentration in all three trails are also shown.
Tables 1,2, and 3 show the results using Escherichia coli. Table 1 shows the zone of
inhibition around each well containing different concentrations of chamomile oil. The
zone of inhibition produced by chamomile oil was 0 cm across all trails. Table 2 shows
that cinnamon oil at concentrations 8 µl,16 µl, and 32 µl will create a zone of inhibition.
Table 3 shows that peppermint oil at 16 µl and 32 µl concentrations will create a zone of
inhibition. In any of the trials, concentrations of 1 µl, 2 µl, and 4 µl did not produce a
zone of inhibition.
10
�Table 1: The zone of inhibition created by chamomile oil on Escherichia coli on EMB
agar using the agar-well diffusion method.
Oil
Concentration
Trail 1
(cm)
Trail 2
(cm)
Trail 3
(cm)
Average
(cm)
Standard
Deviation
1 µl
0 cm
0 cm
0 cm
0 cm
0
2 µl
0 cm
0 cm
0 cm
0 cm
0
4 µl
0 cm
0 cm
0 cm
0 cm
0
8 µl
0 cm
0 cm
0 cm
0 cm
0
16 µl
0 cm
0 cm
0 cm
0 cm
0
32 µl
0 cm
0 cm
0 cm
0 cm
0
Water
0 cm
0 cm
0 cm
0 cm
0
Alcohol
No Growth
No Growth
No Growth
No Growth
0
Table 2: The zone of inhibition created by cinnamon oil on Escherichia coli on EMB
agar using the agar-well diffusion method
Oil
Trail 1
Trail 2
Trail 3
Average
Standard
Concentration
(cm)
(cm)
(cm)
(cm)
Deviation
1 µl
0 cm
0 cm
0 cm
0 cm
0
2 µl
0 cm
0 cm
0 cm
0 cm
0
4 µl
0 cm
0 cm
0 cm
0 cm
0
8 µl
0 cm
1 cm
0 cm
.333 cm
0.577
16 µl
1.1 cm
1.4 cm
0 cm
.833 cm
0.737
32 µl
1.9 cm
1.7 cm
2.1 cm
1.9 cm
0.2
Water
0 cm
0 cm
0 cm
0 cm
0
Alcohol
No Growth
No Growth
No Growth
No Growth
0
11
�Table 3: The zone of inhibition created by peppermint oil on Escherichia coli on EMB
agar using the agar-well diffusion method
Oil
Concentration
Trail 1
(cm)
Trail 2
(cm)
Trail 3
(cm)
Average
(cm)
Standard
Deviation
1 µl
0 cm
0 cm
0 cm
0 cm
0
2 µl
0 cm
0 cm
0 cm
0 cm
0
4 µl
0 cm
0 cm
0 cm
0 cm
0
8 µl
0 cm
0 cm
0 cm
0 cm
0
16 µl
0 cm
1 cm
1.4 cm
0.8 cm
0.721
32 µl
1.5 cm
2.6 cm
0 cm
1.36 cm
1.305
Water
0 cm
0 cm
0 cm
0 cm
0
Alcohol
No Growth
No Growth
No Growth
No Growth
0
Results for agar-well diffusion test on Staphylococcus aureus
Tables 4, 5, and 6 below show the diameter in centimeters of the zone of
inhibition around each well using Staphylococcus aureus. Chamomile at concentrations
of 4 µl, 8 µl, 16 µl, and 32 µl produced a zone of inhibition on S. aureus in all trials and
did not at concentrations 1 µl and 2 µl as seen in Table 4. Cinnamon oil produced a zone
of inhibition at concentrations of 16 µl and 32 µl and did not at 1 µl, 2 µl, 4 µl, and 8 µl
as seen in Table 5. Peppermint oil produced a zone of inhibition on S. aureus at
concentrations of 16 µl and 32 µl and no growth was seen on the plate. This oil was
unable to inhibit growth at concentrations 1 µl, 2 µl, 4 µl, and 8 µl.
12
�Table 4: The zone of inhibition created by chamomile oil on Staphylococcus aureus on
MSA using agar-well diffusion method
Oil
Concentration
Trail 1
(cm)
Trail 2
(cm)
Trail 3
(cm)
Average
(cm)
Standard
Deviation
1 µl
0 cm
0 cm
0 cm
0 cm
0
2 µl
0 cm
0 cm
0 cm
0 cm
0
4 µl
0 cm
2.2 cm
2.7
1.63 cm
1.43
8 µl
0 cm
2.5 cm
1.5
1.3 cm
1.25
16 µl
3.8 cm
3.8 cm
3.8 cm
3.8 cm
5.43
32 µl
3.8 cm
3.8 cm
3.8 cm
3.8 cm
5.43
Water
0 cm
0 cm
0 cm
0 cm
0
Alcohol
No Growth
No Growth
No Growth
No Growth
0
Table 5: The zone of inhibition created by cinnamon oil at different concentrations on
Staphylococcus aureus using the agar-well diffusion method.
Oil
Concentration
Trail 1
(cm)
Trail 2
(cm)
Trail 3
(cm)
Average
(cm)
Standard
Deviation
1 µl
0 cm
0 cm
0 cm
0 cm
0
2 µl
0 cm
0 cm
0 cm
0 cm
0
4 µl
0 cm
0 cm
0 cm
0 cm
0
8 µl
0 cm
0 cm
0 cm
0 cm
0
16 µl
0 cm
1.7 cm
2.7 cm
1.46 cm
1.36
32 µl
2.4 cm
3.3 cm
3 cm
2.9 cm
0.45
Water
0 cm
0 cm
0 cm
0 cm
0
Alcohol
No Growth
No Growth
No Growth
No Growth
0
13
�Table 6: The zone of inhibition created by peppermint oil at different concentrations on
Staphylococcus aureus using the agar-well diffusion method.
Oil
Concentration
Trail 1
(cm)
Trail 2
(cm)
Trail 3
(cm)
Average
(cm)
Standard
Deviation
1 µl
0 cm
0 cm
0 cm
0 cm
0
2 µl
0 cm
0 cm
0 cm
0 cm
0
4 µl
0 cm
0 cm
0 cm
0 cm
0
8 µl
0 cm
0 cm
0 cm
0 cm
0
16 µl
3.8 cm
3.8 cm
3.8 cm
3.8 cm
5.43
32 µl
3.8 cm
3.8 cm
3.8 cm
3.8 cm
5.43
Water
0 cm
0 cm
0 cm
0 cm
0
Alcohol
No Growth
No Growth
No Growth
No Growth
0
Broth Dilution
Results of the Broth Dilution test on Escherichia coli
The results of the broth dilution test are recorded in tables 7-12. The
effectiveness of each oil was determined by the presences or absences of growth in each
broth dilution tube as well as the subculture inoculations. Brain heart infusion broth, or
BHI, was used as a positive control, and water was used as a negative control. In every
trial, there was growth in every BHI tube, and no growth in every water tube. Table 7
shows that cinnamon oil inhibited the growth of E. coli at 10-3 concentration. Chamomile
oil did not have any effect on E. coli at all concentrations except for in trial 3 where it
inhibited grow at the highest concentration as seen in Table 8. Peppermint oil did not
have any effect on E. coli at all concentrations across all three trials.
14
�Table 7: The growth and subculture inoculation count of Escherichia coli in different
concentrations of cinnamon oil using the broth dilution method.
Oil
Dilution
Trial 1
Subculture
inoculation
Trial 2
Subculture
inoculation
Trial 3
Subculture
inoculation
10-1
Growth
TNC
Growth
TNC
Growth
TNC
10-2
Growth
TNC
Growth
TNC
Growth
TNC
10-3
No
Growth
6 CFU
No
Growth
No Growth
No
Growth
No Growth
10-4
Growth
TNC
Growth
TNC
Growth
TNC
10-5
Growth
TNC
Growth
TNC
Growth
TNC
10-6
Growth
TNC
Growth
TNC
Growth
TNC
BHI
(positive
control)
Growth
TNC
Growth
TNC
Growth
TNC
Water
(negative
control)
No
Growth
No Growth
No
Growth
No Growth
No
Growth
No Growth
Table 8: The growth and subculture inoculation count of Escherichia coli in different
concentrations of chamomile oil using the broth dilution method.
Oil
Subculture
Subculture
Subculture
Trial 1
Trial 2
Trial 3
Dilution
Inoculation
inoculation
inoculation
No
10-1
Growth
TNC
Growth
TNC
TNC
Growth
10-2
Growth
TNC
Growth
TNC
Growth
TNC
10-3
Growth
TNC
Growth
TNC
Growth
TNC
10-4
Growth
TNC
Growth
TNC
Growth
TNC
10-5
Growth
TNC
Growth
TNC
Growth
TNC
10-6
Growth
TNC
Growth
TNC
Growth
TNC
BHI
(positive
Growth
TNC
Growth
TNC
Growth
TNC
control)
Water
No
No
No
(negative
No Growth
No Growth
No Growth
Growth
Growth
Growth
control)
15
�Table 9: The growth and subculture inoculation count of Escherichia coli in different
concentrations of peppermint oil using the broth dilution method.
Oil
Dilution
Trail 1
Subculture
inoculation
Trail 2
Subculture
inoculation
Trail 3
Subculture
inoculation
10-1
Growth
TNC
Growth
TNC
Growth
TNC
10-2
Growth
TNC
Growth
TNC
Growth
TNC
10-3
Growth
TNC
Growth
TNC
Growth
TNC
10-4
Growth
TNC
Growth
TNC
Growth
TNC
10-5
Growth
TNC
Growth
TNC
Growth
TNC
10-6
Growth
TNC
Growth
TNC
Growth
TNC
Growth
TNC
Growth
TNC
Growth
TNC
No
Growth
No Growth
No
Growth
No Growth
No
Growth
No Growth
BHI
(positive
control)
Water
(negative
control)
Results of the Broth Dilution test on Staphylococcus aureus
Tables 10, 11, and 12 show the effects of the different oil concentrations on the
growth of Staphylococcus aureus. Chamomile oil inhibited the growth of S. aureus at
concentrations 10-1, 10-2, 10-3, 10-4 in all trails as seen in Table 10. Cinnamon oil inhibited
the growth of S. aureus at 10-3 concentration in all trails as seen in Table 11. Peppermint
oil inhibited the growth of S. aureus at concentrations 10-1, 10-2, 10-3, and 10-4 as seen in
Table 12.
16
�Table 10: The growth and subculture inoculation count of Staphylococcus aureus in
different concentrations of chamomile oil using the broth dilution method.
Oil
Dilution
Trail 1
Subculture
inoculation
Trail 2
Subculture
inoculation
Trail 3
Subculture
inoculation
10-1
No
Growth
No Growth
No
Growth
No Growth
No
Growth
No Growth
10-2
No
Growth
No Growth
No
Growth
No Growth
No
Growth
No Growth
10-3
No
Growth
No Growth
No
Growth
No Growth
No
Growth
8 CFU
10-4
No
Growth
No Growth
No
Growth
No Growth
No
Growth
No Growth
10-5
No
Growth
No Growth
Growth
TNC
Growth
TNC
10-6
Growth
TNC
Growth
TNC
Growth
TNC
BHI
(positive
control)
Growth
TNC
Growth
TNC
Growth
TNC
Water
(negative
control)
No
Growth
TNC
No
Growth
TNC
No
Growth
TNC
17
�Table 11: The growth and subculture inoculation count of Staphylococcus aureus in
different concentrations of cinnamon oil using the broth dilution method.
Oil
Dilution
Trial 1
Subculture
inoculation
Trial 2
Subculture
inoculation
Trial 3
Subculture
inoculation
10-1
Growth
TNC
Growth
TNC
Growth
TNC
10-2
Growth
TNC
Growth
TNC
Growth
TNC
10-3
No
Growth
No Growth
No
Growth
No Growth
No
Growth
No Growth
10-4
No
Growth
18 CFU
Growth
TNC
Growth
TNC
10-5
No
Growth
No Growth
Growth
TNC
Growth
TNC
10-6
No
Growth
TNC
Growth
TNC
Growth
TNC
BHI
(positive
control)
Growth
TNC
Growth
TNC
Growth
TNC
Water
(negative
control)
No
Growth
No Growth
No
Growth
No Growth
No
Growth
No Growth
18
�Table 12: The growth and subculture inoculation count of Staphylococcus aureus in
different concentrations of peppermint oil using the broth dilution method.
Oil
Dilution
10 -1
10-2
10-3
10-4
Trial 1
No
Growth
No
Growth
No
Growth
No
Growth
Subculture
inoculation
Trial 2
Subculture
inoculation
No Growth
Growth
TNC
No Growth
No
Growth
14 CFU
No Growth
Growth
TNC
No Growth
No
Growth
No Growth
Trial 3
No
Growth
No
Growth
No
Growth
No
Growth
No
Growth
Subculture
inoculation
No Growth
No Growth
No Growth
28 CFU
10-5
Growth
TNC
Growth
TNC
10-6
Growth
TNC
Growth
TNC
Growth
TNC
TNC
Growth
TNC
No Growth
No
Growth
No Growth
No Growth
Growth
BHI
(positive
control)
Growth
TNC
Water
(negative
control)
No
Growth
No Growth
No
Growth
Minimum Inhibitory Concentration and Minimum Lethal Concentration
The minimum inhibitory concentration, or MIC, and the minimum lethal
concentration, or MLC, were established for each oil on both bacterial species. The MIC
and MLC were determined using the broth tubes and the subculture inoculation plates.
The lowest oil concentration that did not shown turbidity, or cloudiness, in the broth
tubes and showed no growth on the subculture inoculations was considered the MIC. The
MIC of cinnamon oil was 10-3 for both E. coli and S. aureus. The MIC of peppermint oil
for S. aureus was 10-4 and no MIC was found for E. coli as growth was seen at all
concentrations. The MIC of chamomile oil for E. coli was also not found because growth
was also seen at all concentrations. The MIC of chamomile for S. aureus was determined
to be 10-4. The MLC was established by the highest concentration of essential oil that did
not show growth in both the broth tubes and the subculture inoculations. The MLC of
19
�cinnamon oil for E. coli was 10-3. The MLC for both chamomile oil and peppermint oil
for E. coli were not established because growth as seen at all concentrations. The MLC of
chamomile oil and peppermint oil for S. aureus were both 10-1. The MLC of cinnamon
oil was 10-3.
Table 13: The MIC and MLC of chamomile oil, peppermint oil, and cinnamon oil for
Escherichia coli.
Essential oil
MIC
MLC
Chamomile oil
N/A
N/A
Cinnamon oil
10-3
10-3
Peppermint oil
N/A
N/A
Table 14: The MIC and MLC of chamomile oil, peppermint oil, and cinnamon oil for
Staphylococcus aureus.
Essential oil
MIC
MLC
Chamomile oil
10-4
10-1
Cinnamon oil
10-3
10-3
Peppermint oil
10-4
10-4
Agar Dilution
Results of the Agar Dilution test on Escherichia coli
The results of the agar dilution test are recorded in tables 15-20. The number of
colonies on each dilution plate was counted to determine the effectiveness of each oil at
different concentrations. A plate containing no oil served as the control in which growth
was seen in each trial. Tables 15, 16, and 17 show the number of colonies of Escherichia
coli present at each oil concentration. Chamomile oil inhibited the growth of E. coli at 103 and 10-4 in two of the three trials. It also at inhibited growth across all trials at 10-6 as
seen in Table 15. Cinnamon oil at the highest concentration inhibited the growth of E.
coli across all trails as seen in Table 14. It was unable to inhibit growth at all other
concentrations in two of the three trials. Peppermint oil showed to inhibit growth at 10-1
20
�and 10-6 concentrations. It did not inhibit growth at all other concentrations in two of the
three trials as seen in Table 17.
Table 15: The number of colonies of Escherichia coli in different concentrations of
chamomile oil using the agar dilution method.
Oil Dilution
Trial 1
Trial 2
Trial 3
10-1
No Growth
TNC
TNC
10-2
No Growth
TNC
TNC
10-3
No Growth
No Growth
TNC
10-4
No Growth
No Growth
TNC
10-5
TNC
TNC
TNC
10-6
No Growth
No Growth
No Growth
No oil (control)
TNC
TNC
TNC
Table 16: The number of colonies of Escherichia coli in different concentration of
cinnamon oil using the agar dilution method.
Oil Dilution
Trial 1
Trial 2
Trial 3
10-1
No Growth
No Growth
No Growth
10-2
No Growth
TNC
TNC
10-3
No Growth
TNC
TNC
10-4
TNC
TNC
TNC
10-5
TNC
TNC
TNC
10-6
TNC
TNC
TNC
No oil(control)
TNC
TNC
TNC
21
�Table 17: The number of colonies of Escherichia coli in different concentrations of
peppermint using the agar dilution method.
Oil Dilution
Trial 1
Trial 2
Trial 3
10-1
No Growth
No Growth
No Growth
10-2
No Growth
TNC
TNC
10-3
TNC
TNC
TNC
10-4
TNC
TNC
TNC
10-5
TNC
TNC
TNC
10-6
No Growth
No Growth
No Growth
No oil(control)
TNC
TNC
TNC
Results of the Agar Dilution test on Staphylococcus aureus
The tables below show the number of colonies of Staphylococcus aureus on MSA
agar with different oil concentrations of cinnamon oil, chamomile oil, and peppermint oil.
Chamomile oil inhibited the growth of S. aureus at concentrations of 10-1 and 10-2 as shown
in Table 18. Cinnamon oil inhibited the growth at concentration of 10-1, 10-2, and 10-3. The
plates containing peppermint oil show growth at all concentrations as seen in Table 20.
Table 18: The number of colonies of Staphylococcus aureus in different concentrations
of chamomile oil using the agar dilution method.
Oil Dilution
Trial 1
Trial 2
Trial 3
10-1
No Growth
No Growth
TNC
10-2
TNC
No Growth
TNC
10-3
TNC
TNC
TNC
10-4
TNC
TNC
TNC
10-5
TNC
TNC
TNC
10-6
TNC
TNC
TNC
No oil(control)
TNC
TNC
TNC
22
�Table 19: The number of colonies of Staphylococcus aureus in different concentrations
of cinnamon oil using the agar dilution method.
Oil Dilution
Trial 1
Trial 2
Trial 3
10-1
No Growth
No Growth
No Growth
10-2
No Growth
No Growth
No Growth
10-3
No Growth
No Growth
No Growth
10-4
TNC
TNC
TNC
10-5
TNC
TNC
TNC
10-6
TNC
TNC
TNC
No oil(control)
TNC
TNC
TNC
Table 20: The number of colonies of Staphylococcus aureus in different concentrations
of peppermint oil using the agar dilution method.
Oil Dilution
Trial 1
Trial 2
Trial 3
10-1
TNC
TNC
TNC
10-2
TNC
TNC
TNC
10-3
TNC
TNC
TNC
10-4
TNC
TNC
TNC
10-5
TNC
TNC
TNC
10-6
TNC
TNC
TNC
No oil(control)
TNC
TNC
TNC
IV. Discussion
The results obtained during this research showed that chamomile oil, cinnamon
oil, and peppermint oil had inhibitory effects on both a Gram-positive species
Staphylococcus aureus, and a Gram-negative species Escherichia coli. In all three of the
23
�methods preformed, it was shown that each of the oils were more effective at inhibiting
the growth of both species of bacteria at a higher concentration than at a lower
concentration overall. However, each oil had its own effect on each of the bacteria. In
some oils, a higher concentration permitted growth while some lower concentration
inhibited it. In other oils, an intermediate oil concentration inhibited growth while all
others did not. Both cases will be discussed in greater detail below. Overall, chamomile
oil had the lowest inhibiting ability on E. coli, while cinnamon oil had the greatest
inhibitory effects. Using S. aureus, chamomile had the greatest inhibitory effects while
peppermint oil was observed to have the lowest inhibitory effects. It was also shown that
overall, E. coli, a Gram-negative species, was less susceptible to the antimicrobial effects
of the essentials as compared to S. aureus, a Gram-positive species.
Phytochemicals and Antimicrobial Activity
Phytochemicals are known as the chemicals that are naturally produced by
plants. All essential oils are derived from plants via distillation of plant leaves, bark, or
other plant material. Plants produce these phytochemicals to protect themselves however,
many phytochemicals have been found to protect humans against diseases as well. The
phytochemicals produced by a plant can vary despite being the same species. This is
because of several factors such as harvest time, where the plant was grown, and
environmental factors. This variation can alter the antimicrobial effectiveness of an
essential oil. Cinnamaldehyde and eugenol, two phytochemicals of cinnamon oil are two
known antimicrobial agents. A study conducted by the Department of Biotechnology at
Alagappa University showed that eugenol increased the permeability of the membrane of
Salmonella typhi, a Gram-negative species. Cinnamaldehyde has also shown to act as a
membrane irritant by Nabavi et al. In chamomile oil, phytochemicals such as β-faresene
and a-bisabolol have been identified as antimicrobial agents. A study conducted by De
Lucca et al., showed that a-bisabolol was able to inhibit growth of S. aureus and
Pseudomonas aeruginosa. Peppermint oil is known to contain the phytochemicals
menthol and menthone. According to a study conducted by Reddy et al., these two
phytochemicals have antimicrobial effects on both Gram-negative and Gram-positive
species. The phytochemicals found in these oils are an important part of this experiment
because they allow us to analyze and compare how each of them effects Gram-negative
and Gram-positive species. The three oils effected the growth of S. aureus and E. coli
differently. For example, chamomile oil had the greatest inhibitory effects on S. aureus,
24
�while it had the least inhibitory effects on E. coli, which may be contributed to the
antimicrobial activity of the phytochemicals found in these oils.
Nazzaro et al., suggests several mechanisms of actions in which essential oils
can take against microbes. One of those mechanisms is that essential oils can affect both
the external envelope of the cell as well as the cytoplasm which disrupts bacterial
homeostasis. According to Nazzaro et al., essential oils are typically hydrophobic and
that this characteristic is responsible for the disruption of bacterial cell membrane
because of an increase of permeability of the cell membrane. The hydrophobicity of
essential oils resembles the hydrophobicity of the cell membrane therefore, there is an
inability to separate the essential oil from the bacterial membrane (Nazzaro et al., 2013 ).
This disruption in the cell membrane leads to a disruption to the cells metabolic processes
and overall homeostasis. According to Nazzaro et al., the hydrophobicity of essential oils
to penetrate the cell wall and disrupt cell function could be a contributing factor as to why
essential oils are generally more effective against Gram-positive bacteria as opposed to
Gram-negative bacteria. This concept of how Gram-negative and Gram-positive bacteria
are affected differently will be discussed in greater detail in a following subsection.
Several other ways in which essential oils can affect bacterial growth is that they can
affect the fatty acid profile of the cell membrane, proteins, ATP and ATPases, and cell
morphology (Nazzaro et al., 2013)
Agar Dilution
The agar dilution test was used to determine the effectiveness of each oil at six
different dilutions by counting the number of colonies on each plate after a 24-hour
incubation period. Mannitol salt agar and eosin methylene blue agar were the test media
of choice for all experiments in this project because they are both selective and
differential. Staphylococcus aureus changes the color of MSA from red to yellow due to
its ability to ferment mannitol, while E. coli produces colonies with a green metallic
sheen on EMB agar. These two agars made it easy to count the number of colonies
present on each plate as well as ensure that no other species of bacteria were present. A
plate with no oil was used in each trial as a control to compare to each dilution plate.
Growth was expected on these plates because there was nothing present to inhibit
bacterial growth. The effectiveness of each oil was determined by the number of colonies
present on each plate. A colony forming unit, or CFU, was used to determine the number
of viable cells in a given sample. Any number less than 30 CFU is considered
insignificant, and any number greater than 300 CFU is considered too numerous to count,
25
�or TNC. The fewer the colonies on the plate meant the oil used had a greater inhibiting
activity. Overall, higher concentrations of oil produced plates with fewer or no colonies.
Escherichia coli was inhibited at some concentration by each of the three oils
using this method. Chamomile oil had the highest inhibitory effects followed by
peppermint oil, and cinnamon oil had the least effect. While using this method, two of the
oils, peppermint and chamomile, allowed growth a higher concentration but, inhibited
growth at lower concentrations. Chamomile oil inhibited the growth of E. coli at
concentrations 10-3, 10-4, and 10-6, and allowed growth at concentrations 10-1, 10-2, and
10-5 as shown in Table 13. Peppermint oil inhibited growth at concentration 10-1 and 10-6
and allowed growth at all concentrations in between as seen in (Table 17). A possible
explanation for this is that at high concentration these oils promote growth while at lower
concentrations they can inhibit it. Another possible explanation for this could be
experimental error or design. Experimental error or design is more likely the cause since
this occurrence was not typically supported by other research.
Staphylococcus aureus was inhibited at some concentration by two of the three
essential oils, chamomile oil and cinnamon oil. Peppermint oil was unable to inhibit the
growth of S. aureus at any concentration. These findings are not supported by the data
collected in the other two methods in which peppermint oil was effective at inhibiting
growth of S. aureus at several concentrations. A causative factor of this could have been
because towards the end of this research project, the peppermint oil used in the previous
methods had run out. Peppermint oil capsules had been used in its place which could
have caused this inconsistency in results. Cinnamon oil had the highest inhibitory effects
as it was able to inhibit grow at concentrations 10-1, 10-2, and 10-3, while chamomile oil
was only able to inhibit grow at 10-1 concentration in two of the three trails. Using this
method, S. aureus was more resistant to the essential oils as compared to E. coli.
However, this was not seen in the other two methods in which E. coli proved to be more
resistant than S. aureus.
Agar-well Diffusion
The agar-well diffusion test was used to determine the susceptibility of S. aureus
and E. coli to each oil at different concentrations by measuring the zone of inhibition
around each well. In this experiment, a well with water served as a control in which a
zone of 0 cm was observed. This was expected because water has no known
antimicrobial components allowing the bacteria to grow. A well with alcohol served as a
negative control as it inhibited bacterial growth in all trials. This was expected because
26
�alcohol is known to inhibit bacterial growth. The essential oils that had antimicrobial
effects inhibited bacterial growth and showed a zone of inhibition around the well. In
addition, essential oils with a greater inhibiting ability produced a larger zone of
inhibition. This was demonstrated throughout the experiment and can be seen on Tables
1-6. Six different oil concentrations were used to determine at which concentrations each
oil would be able to inhibit the growth of both bacteria. Overall, it took concentrations
over 4 µl to effectively inhibit bacterial growth in all oils.
Tables 1, 2, and 3 shows the zone of inhibition of E. coli caused by the different
concentrations of each oil. It was shown throughout all three trails that chamomile oil did
not have any inhibitory effects on E. coli, while cinnamon oil and peppermint oil did.
Cinnamon oil was able to inhibit growth of E. coli at concentrations 8 µl, 16 µl, and 32
µl. While peppermint oil inhibited growth at 16 µl and 32 µl. For both cinnamon and
peppermint oil, it took concentrations over 8 µl for the oil to be able to inhibit growth. S.
aureus was inhibited by each oil at some concentration across all three trials. Chamomile
oil had the highest inhibitory effect on S. aureus using this method as it was able to
inhibit growth at 4 µl, 8 µl, 16 µl and 32 µl. Peppermint oil and cinnamon oil had the
same inhibitory effects at concentrations of 16 µl and 32 µl as shown in Tables 5 and 6.
Both oils completely inhibited the growth of S. aureus as no growth was seen on these
plates. At concentrations lower than 16 µl and 32 µl these oils were unable to inhibit
growth and did not produce any zone of inhibition. While E. coli was inhibited by
peppermint oil and cinnamon oil, the zone of inhibition around the wells in each trail
were small as compared to the zone of inhibition created by these oils on S. aureus. For
example, the average diameter of the zone of inhibition created by peppermint oil on E.
coli at the 32 µl concentration was 1.9 cm, while the average zone of inhibited created by
the same oil on S. aureus was 3.8 cm. This shows that while cinnamon oil and
peppermint oil did have inhibitory effects on E. coli, the effects were greater on S.
aureus. This also tells us that E. coli is slightly more resistant to these two essential oils
than S. aureus.
Chamomile was the only oil seen to be ineffective at inhibition E. coli at all
concentrations. Chamomile oil is known for its health benefits and therapeutic properties.
It is also known to have components such as a-bisabolol and cyclic ethers which are
known antimicrobial agents, according to Srivastava et al. Therefore, it was expected to
have inhibitory effects on both bacterial species using this method. In E.coli species,
chamomile oil showed to have no inhibitory effects at any concentration. A study
conducted by Sakkas et al., tested the antimicrobial effects of five different essential oils,
27
�one being chamomile, on four types of Gram-negative bacteria, including E. coli.
Similarly, they found in their study that chamomile oil did not have any inhibitory effects
on E. coli (Sakkas et al., 2016). This study supports the data recorded in this experiment.
Broth Dilution
The broth dilution method was used to determine the minimum inhibiting
concentration, or MIC, and minimum lethal concentration, or MLC, of each oil. The six
different oil concentrations were added to nutrient broth and inoculated with each
microbe. After a 24-hour incubation period, a subculture inoculation of each tube was
taken to determine the MLC and MIC of the oil. The MIC was established by
determining the lowest oil concentration that did not show any growth in the broth tubes
as well as on the subculture inoculation plates. While, MLC was established by
determining the highest oil concentration that did not show any growth in the broth tubes
and subculture inoculation plates. Again, MSA and EMB agar were used for the
subculture inoculations. Brain heart infusion broth or, BHI, without oil was used as the
positive control and a water blank was used as the negative control. In all trials, no
growth was seen in the water blank tubes and growth was seen in all tubes containing
BHI. In addition, no growth was seen on any of the subculture inoculation plates of the
water blanks. A colony count that was too numerous to count was seen on all the
subculture plates of the BHI tubes in all trials both of these outcomes were expected.
The MLC and MIC of cinnamon oil was only able to be established in E. coli as
the other two oils did not inhibit growth at any concentration. The MLC and MIC of
cinnamon oil were both established at a concentration of 10-3 as that was the only
concentration that inhibited growth of E. coli. On the other hand, the MLC and MIC were
both able to be established for each oil for S. aureus. Chamomile oil and peppermint oil
both had the same MLC and MIC of 10-1 and 10-4 respectively. Both oils were able to
inhibit the growth of S. aureus at concentrations 10-1, 10-2, 10-3, and 10-4. Cinnamon oil
had the lowest inhibitory ability on S. aureus with its MLC and MIC both being 10-3.
This method showed that while peppermint oil and chamomile oil are effective at
inhibiting growth of S. aureus at four of the six concentration, these oils did not have the
same inhibitory effects on E. coli as they did not inhibit growth at any concentration. This
further shows that Gram-negative bacteria are more resistant to the antimicrobial abilities
of essential oils than Gram-positive species.
28
�Gram-Negative VS Gram-Positive
Throughout the course of this experiment, it was shown that overall Escherichia
coli, a Gram-negative species, was more resistant to the three essential oils than
Staphylococcus aureus, a Gram-positive species. Although, this did vary slightly in some
trials. In all three of the experiments performed, it was shown that it took a higher
concentration of oil to inhibit grow of E. coli as opposed to S. aureus. According to
Nazzaro et al., generally Gram-negative bacteria are more resistant to essential oils than
Gram-positive species. They attribute this to the different cellular makeup of the cell wall
of Gram-negative and Gram-positive species. Gram-positive bacteria have a thick cell
wall made of peptidoglycan and other molecules such as teichoic acid and lipoteichoic
acid in which hydrophobic molecules can easily penetrate (Nazzaro et al., 2013).
According to Nazzaro et al., phenolic compounds found in essential oils show high
antimicrobial activity against Gram-positive and can interfere with enzymes as well as
denature proteins at a higher concentration. The Gram-negative cell wall is composed of
lipopolysaccharides, or LPS, a peptidoglycan layer, and a periplasmic space. The LPS is
composed of a Lipid A, oligosaccharide core, and the O-antigen which allows Gramnegative bacteria to be more resistant to essential oils. Porins allow small hydrophilic
molecules to pass through the outer membrane of Gram-negative bacteria but does not
allow hydrophobic molecules in, which Nazzaro et al., attribute to the greater resistibility
of Gram-negative bacteria. This could be a possible explanation as to why S. aureus was
more susceptible to the essential oils. A study conducted by Farag et al., also showed that
overall Gram-negative bacteria have a higher resistance to essential oils than Grampositive bacteria. This study also found that E. coli had a higher resistance compared to
the other Gram-negative species they tested. Furthermore, a study conducted by Govec et
al, showed that peppermint oil demonstrated a higher effect on Gram- positive species
than it did on Gram-negative species. This study was consistent with the finding of this
experiment.
Future Research
Multidrug resistant strains of bacteria are increasing and are causing a global
health crisis among health care providers. Multidrug resistant strains of bacteria are
resistant to a large amount of antibiotics making them extremely difficult to treat and, in
some cases, almost impossible. However, there is promising research that shows that
nanoparticles functionalized with essential oils have a significant antimicrobial potential
against these multi-drug resistant strains of bacteria (Chouhan et al., 2017). According to
29
�Chouhan et al., these functionalized nanoparticles decrease the possibility of rapid
evaporation of the essential oils and minimize the degradation of the active compounds in
the oils. Chouhan et al., suggests that nano-encapsulation of essential oils along with the
relationship between antibiotics, essential oils, and the active components of essential oils
are a promising solution in the fight against multidrug resistant strains of bacteria.
Essential oils are volatile substances that are sensitive to oxygen, light and heat which
decreases their effectiveness. Therefore, nano-encapsulation of these oils is believed to be
one of the most efficient methods of essential oil delivery because it decreases the
likelihood of diminishing the oil (Chouhan et al., 2017). A study showed that components
of essential oils such as thymol and carvacrol had a synergistic relationship with
penicillin against E. coli and Salmonella typhimurium. This study also showed that
eugenol, a component of cinnamon oil, showed synergism with ampicillin and
gentamicin against various types of bacteria (Chouhan et al., 2017). Synergistic
relationships seen between components of essential oils and commonly used antibiotics
have been demonstrated in multiple studies. These relationships can be the future in the
fight against multidrug resistant strains of bacteria.
Methodical Aspects
As with all research, there were a few errors that could have led to some
inconsistencies throughout the experiment. One of the major issues that occurred during
this research was that towards the end of the experiment, the peppermint oil used had ran
out. Because of this, peppermint oil capsules were used as a replacement in which they
had to be dissolved in sterile water. This could have effected the results because it was a
different brand and type used. As discussed above, even though it was still peppermint oil
being used, the levels of the phytochemicals in the two types may have been different,
possibly leading to different outcomes. This could be seen in the results recorded in Table
20. Peppermint oil was unable to inhibit the growth of S. aureus using the agar dilution
method in which the peppermint capsules were used. Using the other two methods,
peppermint oil had successfully inhibited the growth of S. aureus. In addition, it would
have been beneficial if the chemical composition of each oil was known. Knowing the
level of each phytochemical in the oils would have allowed further analysis into why and
how each oil effected the two bacteria in the way that they did. This would have also
allowed us to dive further into phytochemicals and how they are isolated and used
independently as an antibacterial agent.
30
�V. References
Srivastava, J., Shankar, E., Gupta, S. (2010). Chamomile: A Herbal Medicine of the
Past with Bright Future Molecular Medicine Reports 3, no. 6: 895–901.
Zaia, M., di Orlando Cagnazzo, T., Feitosa, K., Soares, E. Faccioli, L., Allegretti, M.,
Afonso, A., and de Freitas Anibal, F. (2016). Anti-Inflammatory Properties of Menthol
and Menthone in Schistosoma Mansoni Infection. Frontiers in Pharmacology.
Taylor, T., and Unakal, C. (2019). Staphylococcus Aureus. In: StatPearls. Treasure
Island: StatPearls Publishing.
Nabavi, S, Di Lorenzo, A., Izadi, M., Sobarzo-Sánchez, E., Daglia, M., and
Mohammad Nabavi, S. (2015). Antibacterial Effects of Cinnamon: From Farm to Food,
Cosmetic and Pharmaceutical Industries. In: Nutrients 7, no. 9
Gossman, W., Wasey, A., and Salen, P. (2019). Escherichia Coli (E Coli 0157H7). In:
StatPearls. Treasure Island: StatPearls Publishing.
Croxen, M., Law, R., Scholz, R., Keeney, K., Wlodarska, M., and Finlay, B. (2013).
Recent Advances in Understanding Enteric Pathogenic Escherichia Coli. Clinical
Microbiology Reviews 26, no. 4: 822–80.
Chumpitazi, Br., Kearns, G, and Shulman, R. (2018). Review Article: The
Physiologic Effects and Safety of Peppermint Oil and Its Efficacy in Irritable Bowel
Syndrome and Other Functional Disorders. Alimentary Pharmacology & Therapeutics
47, no. 6: 738–52.
Blount, Z. (2019). The Unexhausted Potential of E. Coli. ELife 4.
Baker, B. (2017). Cinnamon & Cinnamon Oil Profile.
Buckle, J. (2014). Clinical Aromatherapy: Essential Oils in Healthcare. Elsevier Health
Sciences
Guenther, E. (1947). The Essential Oils. Lancaster Press, INC.
31
�Farag, R. S., Z. Y. Daw, F. M. Hewedi, and G. S. A. El-Baroty. (1989) Antimicrobial
Activity of Some Egyptian Spice Essential Oils. Journal of Food Protection 52, no. 9:
665–67.
Nazzaro, Filomena, Fratianni, F., De Martino L., Coppola R., and De Feo A. (2013).
Effect of Essential Oils on Pathogenic Bacteria. Pharmaceuticals 6, no. 12: 1451–74.
De Lucca, A, Pauli A., Schilcher H., Sien T., Bhatnagar D., and Walsh T. (2011).
Fungicidal and Bactericidal Properties of Bisabolol and Dragosantol. Journal of Essential
Oil Research - J ESSENT OIL RES 23: 47–54.
Magiorakos, A.-P., A. Srinivasan, R. B. Carey, Y. Carmeli, M. E. Falagas, C. G.
Giske, S. Harbarth. (2012). Multidrug-Resistant, Extensively Drug-Resistant and
Pandrug-Resistant Bacteria: An International Expert Proposal for Interim Standard
Definitions for Acquired Resistance. Clinical Microbiology and Infection 18, no. 3: 268–
81.
Chouhan, S, Sharma, K., and Guleria, S. (2017). Antimicrobial Activity of Some
Essential Oils—Present Status and Future Perspectives. Medicines 4, no. 3: 58.
Prabuseenivasan, Jayakumar, and Ignacimuthu, In Vitro Antibacterial Activity of
Some Plant Essential Oils.
VI. Acknowledgements
I would like to acknowledge Dr. Kathleen Bobbitt, my thesis advisor, for
guiding me through this research project. I would also like to thank the graduate
assistants and the rest of the Wagner College Biological Science department for
providing me with the materials necessary for this project.
32
�The Effects of Corporate Sustainability
on Corporate Financial Performance
Graham Schmelzer (Business Administration)1
This paper reviews the financial effect of implementing sustainability practices into
corporate business models. The text examines a variety of sustainability practices, as well
as the multiple financial implications of their implementation. The results show
corporations which engage in sustainability practices can derive several benefits,
including: increased stock market performance, reduced downside risk in turbulent
financial markets, and increased customer satisfaction. This thesis shows the dynamic
between external pressure on corporations for sustainability, and the effect of the
implementation of sustainable practices on corporate financial performance. This
research can be supplemented by further research into what specific sustainability
practices are the most effective and garner the most returns for effort/cost.
I. Introduction
As consumers are becoming more vigilant of the world around them and
watching how corporations affect the planet and society, reporting and quantifying the
effect of sustainability practices on corporate financial performance is increasingly
necessary. World governments and global media are emphasizing the importance of
sustainability. Corporations are adopting sustainable practices in different ways,
depending on their industry and objectives. For example, Nike, Starbucks, and Intel are
all Fortune 500 companies in different industries, but all have exemplary sustainability
practices. There is debate on whether corporations which engage in sustainable practices
benefit financially. This thesis dissects the interaction between corporate sustainability
efforts and financial performance. The insights learned will be useful for corporate
executives and regulators; corporate sustainability is prevalent throughout today’s major
industries and will continue to grow in influence.
1
Written under the direction of Dr. Shani Carter in partial fulfillment of the Senior Program
requirements.
33
�II. Literature Review
Aspects of Corporate Sustainability
The research used for this paper defines sustainability as meeting society’s
needs today without compromising future generations ability to meet theirs (Alshehhi,
Nobanee, Khare, 2018). This definition comes from the 1987 Brundtland Report, entitled
“Our Common Future,” where the term “sustainability” was originally coined. For
corporations, sustainability encompasses the environment, social impact, and governance
practices. There are references to the “Triple Bottom Line” approach: people; planet;
profit (Charter et al., 2006). This approach is intended to be used when c-suite executives
make difficult business decisions or plan strategy.
There is a noticeable difference in how companies around the world utilize the
Triple Bottom Line approach. In the United States, a highly competitive, capitalistic
society, corporate management places an emphasis on maximizing shareholder wealth
(Lumpkin & Bacq, 2019). This is contrasted by traditional business practices in places
like Japan, which endorse the stakeholder wealth ideology (Stikeleather, 2017).
Companies which embrace the stakeholder wealth ideology ensure firm earnings benefit
all stakeholders, as opposed to just shareholders (Stikeleather, 2017). Shareholder theory,
as practiced in the United States, does not account for all parties involved. American
corporations are focused on share price and maximizing shareholder wealth, disregarding
significant stakeholders such as employees and customers. In the long-term, practicing
shareholder theory is potentially detrimental to society, and the firm itself (Stikeleather,
2017). In order to appease investors and attract business partners and customers,
American companies are now adopting or creating customized sustainability efforts. For
example, the coffee empire Starbucks continually anticipates market trends and adopts
more sustainable practices. In 1997, the company invented the “hot sleeve,” a
replacement to the excessive consumption of “double cupping” (Kay, 2015). The efforts
to be sustainable go by different names and acronyms: Corporate Social Responsibility
(CSR); Corporate Sustainability (CS); Environmental, Social, and Governance (ESG);
Corporate Governance (CG), and more.
Corporate Social Responsibility (CSR)
CSR is a company’s commitment to manage the social, environmental, and
economic effects of its operations responsibly and in line with public expectations
(Business Development Bank of Canada, 2019). CSR manifests itself in many different
ways depending on the company and the industry. Some organizations, such as Nike,
enact policies which insist on working with partners who follow ethical business
practices (Porter & Kramer; 2006). Other organizations, such as Johnson & Johnson,
34
�reinvest profits in health and safety or environmental programs (Kelly, 2019).
Corporations, such as Bank of America, often choose to support charitable organizations
in the communities where they operate (Feeding America, 2012). CSR also includes
promoting equal opportunities for men and women at the executive level, as seen in
companies such as McDonalds (McDonalds Staff, 2019). CSR is a broad collection of
strategies which companies can apply in their daily business operations to increase
efficiency while enhancing their public image.
Environment, Social and Governance (ESG)
Environment, Social, and Governance (ESG) is the title which corporations and
investors have placed on corporation’s engagement with the broader term of
“sustainability” (MSCI, 2019). It is a measure of the integration, values, and impact of a
company’s sustainability efforts. ESG refers to a business’ impact on three specific areas:
the environment, society, and government mandated reporting (MSCI, 2019). In practice,
the term ESG is often used by the investment banks and financial firms of Wall Street
during discussions about the sustainability efforts of a company. It is important to
understand and recognize ESG as a technical term for a corporation’s engagement in
sustainable practices.
Corporate Governance (CG)
CG is a critical item on the agendas of investors, regulators, and policy makers
around the world. Because corporations have significant influence on a wide range of
socioeconomic activities, regulators and non-government organizations (NGOs) establish
best practices for corporations to follow (Business Roundtable, 2016). These regulations,
such as mandated quarterly financial reports, are required of publicly traded American
firms. These types of regulations add to the costs and complexity of overseeing and
managing a corporation’s business activity, bringing new challenges from operational,
regulatory and compliance perspectives. For example, the Securities and Exchange Act
governs corporate behavior; federal securities acts are carefully monitored and enforced
by the Securities and Exchange Commission (SEC). The regulations imposed by the SEC
are a framework of minimum requirements for publicly-traded companies; the regulations
give corporations the flexibility to implement customized practices that suit their needs
(SEC, 2019). In an attempt to be cognizant of changing market conditions and standards,
the SEC allows room for modification by trying to update regulations based on
corporations’ concerns/needs. However, some corporations find many of the regulations
restrictive and/or distracting (Business Roundtable, 2016). CG is often discussed
internally or from an investment perspective.
35
�Corporate Sustainability (CS)
CS is the all-encompassing term for ESG, CSR, CG, and more (Eccles, Ioannou,
Serafeim, 2014). Many modern corporations have a global profile; they interact with
investors, suppliers, customers, and governments around the world at different points
throughout the supply chain. The modern corporation’s global exposure is all done in an
era in which instant communication is the norm. Corporations are forced to be hyper
aware of their business activities and their potential impacts at all times. Corporations are
expected to deliver value to their customers, invest in their employees (as well as foster
diversity, inclusion, and respect), deal fairly and ethically with suppliers, support the
communities in which they work, generating long-term value for shareholders, and
commit to transparency and effective engagement (Porter & Kramer, 2015). Corporations
willingly engage in corporate sustainability practices to accrue various kinds of
competitive advantage (Porter & Kramer, 2015). CS as a term is used internally and
externally when comparing CS practices and financial performance (Eccles, Ioannou,
Serafeim, 2014).
Sustainability’s Relationship to Corporations
The United Nations Sustainable Development Goals (SDGs) are 17 goals for
humanity set by the United Nations in 2015; the aim is to achieve these goals by 2030
(United Nations, 2015). The 17 goals include: No Poverty; Zero Hunger; Good Health
and Well-Being; Quality Education; Gender Equality; Clean Water and Sanitation;
Affordable Clean Energy; Decent Work and Economic Growth; Industry, Innovation, and
Infrastructure; Reduced Inequalities; Sustainable Cities and Communities; Responsible
Consumption and Production; Climate Action; Life Below Water; Life on Land, Peace;
Justice and Strong Institutions; Partnerships. These goals are widely held as the standard
for corporations and governments to adhere to (United Nations, 2015). In theory, all
corporations and governments should consider these goals when making decisions,
planning strategy, or reviewing business activity. The SDG’s are all-encompassing; they
are broad, yet detailed and based in science.
The publication of the 17 SDGs occurred the same year as the 2015 Paris
Agreement, otherwise known as the United Nations Framework Convention on Climate
Change (UNFCCC). The UNFCCC’s central aim was to encourage a global response to
the threat of climate change by keeping the global temperature increase below two
degrees Celsius above pre-industrial levels (United Nations, 2015). UNFCCC is an
actionable step to addressing goal number 13, Climate Action, from the United Nations’
17 SDGs; by bringing all nations from around the world together and getting
36
�commitments from world leaders and developing nations, it set a precedent for
corporations to follow in suit. In some cases, governments are partnering with
corporations to create lasting innovations. In other situations, governments are enacting
regulations, which come into effect along a specific timeline (U.S. Department of Energy,
2019). For example, the United States automotive industry is greatly impacted by State
and Federal government regulation. Automobile emission standards are reviewed and
updated annually; those car models which do not meet standards are forbidden to be sold
in specified regions (U.S. Environmental Protection Agency, 2018). The UNFCCC is
designed to be a motivator for governments and corporations alike, but it does not have
any enforcement protocols (United Nations, 2015).
The United Nations has done a comprehensive job of outlining areas of
improvement and has enabled many governments and institutions to take action. Business
Roundtable, the premier non-profit organization on corporate regulation and oversight,
hopes to expand upon the United Nation’s vision. Specifically, Business Roundtable has
been creating “Purpose of a Corporation” annual reports since 1997. These reports
outline principles of CG which aim to protect value for stakeholders. This non-profit
works to ensure more inclusive prosperity by committing to a free market economy and
setting a standard for business practices (Business Roundtable, 2012).
Sustainability Rankings
Corporate sustainability performance (CSP) measures the extent to which a firm
embraces the United Nations’ 17 SDGs. It attempts to quantify how corporation factor
CS into their operations as well as the ultimate impact a corporation exerts on the
environment and society (Endrikat, 2016). The financial industry is shifting corporations
towards corporate sustainability by placing and selling ratings of sustainability
engagement (Endrikat, 2016). This process of CSP being measured and displayed is
known as sustainability ratings.
Asset owners often rely on their consultants and managers to collect and analyze
ESG data publicly released by corporations (Endrikat, 2016). Recently, third-party
resources have emerged, which conduct their own sustainability investigations and
summarize their findings; these reports provide investors with unbiased data to make
better informed decisions about ESG investment (Lourenço, Branco, Curto, Eugénio,
2016). These third-party ESG research firms include MSCI ESG Research,
Sustainalytics, and Vigeo EIRIS. Their research covers all asset classes and provides indepth insight into multiple important ESG factors (MSCI, 2017). This easy access to data
informs investors and allows for convenient comparison between companies and
industries. More recently, some service providers are using big data, machine learning,
37
�and artificial intelligence to better analyze the ESG information of companies (MSCI,
2017). However, even with the leading ESG research firms such as MSCI, Sustainalytics,
and Vigeo EIRIS issuing quarterly reports, sustainability ratings are still in the early
stages of development. More transparency on behalf of corporations is necessary before
these ratings become truly reliable (Morgan Stanley, 2019). While investors currently use
SEC mandatory earnings reports to inform investment decisions, there is no comparable
required reporting for sustainability practices. Investors and clients still want portfolios
with ethical and responsible companies, leading to the rise of sustainability investing
(SEC, 2019).
Sustainability Investing
Sustainability investing is an investment discipline that considers environmental,
social, and corporate governance criteria to generate long-term competitive financial
returns and positive societal impact (Hoque, 2018). It entails evaluating an organization's
position concerning the environment, health and security, social matters, and governance
(Alpopi, Zaharia, Nicolescu; 2015). Sustainable investment strategies are being applied to
portfolios because investors are now including ESG issues as a part of their investment
analysis and selection process (Morgan Stanley, 2019). Sustainable investment practices
are relevant for individual investors and institutional fund managers for retirement plans,
corporations, educational institutions, philanthropic foundations, faith-based institutions,
family offices, labor funds, health care funds, and nonprofit organizations (Morgan
Stanley, 2019). Frequently, fund managers tailor portfolios for their clients who only
want to invest in sustainable companies (Morgan Stanley, 2019). This strategy was
confirmed in a study where 84% of global asset owners were pursuing or considering
pursuing ESG integration in their investment process, while 78% of global asset owners
sought to align their investment strategy with the United Nations SDGs (Morgan Stanley,
2019). Investors use multiple labels to refer to sustainable investing, such as: ESG
Investing; Impact Investing; mission-aligned investing; responsible investing; socially
responsible investing; values-based investing; among others (Morgan Stanley, 2019).
The key component of sustainability investing is the incorporation of ESG in
investment analysis and portfolio construction across a range of asset classes (Lourenço,
Branco, Curto, Eugénio, 2016). ESG incorporation can be done multiple ways: positive/
“best in class” screening involves selecting outstanding ESG performers relative to their
industry; or negative/ “exclusionary” screening uses certain criteria to remove poor
performers from ESG portfolios (Morgan Stanley, 2019). The variance in portfolio
selection comes from investor preference. Certain investors want their personal
philosophy to be reflected within their investment portfolio (Morgan Stanley, 2019).
38
�Common exclusionary screenings avoid investments which are exposed to climate
change, conflict risk (the risk of doing business in countries that have repressive regimes
or sponsor terrorism), tobacco, human rights, and board accountability issues. Disclosure
and management of corporate political spending and lobbying is also a major concern
(Hoque, 2018). Money managers seem to agree that climate change is the most pressing
ESG concern (Hoque, 2018). Nevertheless, sustainability investing is a growing financial
vehicle across all asset classes. There are sustainability centered mutual funds, indexes,
and ETFs. This recent trend has prompted corporations to be ever aware of their public
perception because of the consequences of stock price and market capitalization (Kumar
& Vinod, 2012).
Corporate Sustainability Marketing: Past, Present, and Future
There is an emerging trend of companies using corporate social responsibility
(CSR) communication in their marketing efforts to enhance their corporate image
(Parguel & Larceneux, 2011). Public relations and media campaigns inundate consumers
with ads and overwhelm their attention with self-proclaimed “sustainable” acts (Porter &
Kramer, 2006). This influx of “green marketing may be making publicized CSR
initiatives less effective (Parguel & Larceneux, 2011). Ethical corporate marketing is a
consumer concern, especially in the social media era, which allows for quick widespread
sharing of misinformation (Kumar & Vinod, 2012). Corporations are more concerned
with their reputation and satisfying external audiences than actual sustainability (Porter &
Kramer, 2006). The negative impact of this movement has been coined
“greenwashing”,which is the use of tactics to mislead consumers regarding the
environmental practices of a company or the environmental benefits of a product or
service (Parguel & Larceneux, 2011). To combat greenwashing, independent third-party
sources have been developing sustainability ratings (MSCI, 2017). These ratings allow
consumers to see an objective verification of a companies’ sustainability efforts and act
as a way to ensure that companies are actually practicing their claims. Irresponsible acts,
which cause negative effects in ESG, are known to negatively impact company reputation
and valuation (Endrikat, 2016). This change in consumer sentiment toward companies
and brands can be long-lasting. Strong CSR performance is crucial; it positively
influences consumer’s attitude towards a firm, as well as their purchasing decisions.
Research has found that consumers perceive hidden ulterior motives of companies which
focus too intently on its CSR claims (Parguel & Larceneux, 2011). They also found
consumers have difficulty evaluating the real impact of environmental innovations
(Parguel & Larceneux, 2011). Customer confusion and corporate deceit are both reasons
why sustainability ratings are valuable (Parguel & Larceneux, 2011). Sustainability
39
�ratings inform consumers by providing summarized stakeholder’s evaluations of CSR
efforts.
Corporations research emerging social trends and understand the effect of their
actions on stock price and market capitalization; this information leads them to tailor
their practices to emphasize the more public aspects of their ESG initiatives (ICEE,
2012). In other words, companies have adopted different marketing strategies of their
ESG practices in an attempt to gain competitive advantage and/or market share. There are
different titles and strategies for the various methods of marketing: social/societal,
ecological, green, and sustainability (Kumar, Rahman, Kazmi, Goyal, 2012). Each of
these methods has its own unique emphasis, which makes them appealing to companies
with different agendas and product offerings (Kumar, Rahman, Kazmi, Goyal, 2012). The
goal of using sustainability marketing is to gain a position in the market which is
“desirable, different, and defensible” (Kumar, Rahman, Kazmi, Goyal, 2012, p. 483).
Society has already realized the importance and effect of corporations on sustainability
issues; it is only a matter of time before engagement becomes a moral obligation
(Endrikat, 2016). Companies have the ability to create a win-win approach by
incorporating sustainability into products, services, and their marketing mix; the ability to
increase profits even after reducing their negative impacts on the environment and society
is a long-term competitive advantage.
Common CSR Implementation (Examples)
Case Study #1: Nike
Nike, Inc. is an American multinational corporation that is engaged in the
design, development, manufacturing, and worldwide marketing and sales of footwear,
apparel, equipment, accessories, and services. In December 1998, Nike’s stock price was
around $6.50; this is a stark contrast when compared to Nike’s stock price in December
2019 that hovered around $91.00 (Yahoo Finance, 2019). Nike has grown significantly in
the past 21 years, as shown by its rising stock price. Nike’s rise to athletic apparel market
leader can be attributed to many factors, however, the core of Nike’s business model has
always centered around innovation and low-cost manufacturing (Paine, Hsieh,
Adamsons, 2016). In 2001, the company created a Corporate Responsibility committee
spearheaded by the new Vice President of Corporate Responsibility and backed by Nike’s
Chief Executive Officer (Paine, Hsieh, Adamsons, 2016). This committee focused on
analyzing Nike’s supply chain and found solutions for problems. In particular, the
committee mainly addressed problem areas, such as poor labor practices and negative
environmental impacts (Paine, Hsieh, Adamsons, 2016). Nike supported projects such as
Project Rewire, which revolutionized the processes by which Nike made its shoes: using
40
�sustainable, ethically sourced materials, and humane manufacturing models (Nike, 2019).
Innovative efforts like these made the company more effective and efficient. Nike was
able to optimize manufacturing processes, consolidate its supply chain, and reduce their
workforce by 5% (Paine, Hsieh, Adamsons, 2016). Simple business knowledge shows
this increased production and reduced material/labor costs had a positive result on Nike’s
bottom line. This is only one example of Nike’s sustainability efforts, however, it serves
as a model for the company’s continuous efforts over the past two decades. Nike’s
Corporate Responsibility committee shows that with executive support, win-win
solutions can be created which benefit both society and the planet, as well as the sponsor
company.
Case Study #2: Starbucks
The Starbucks Corporation is an American coffee company and coffeehouse
chain. As of early 2019, the company operates over 30,000 locations worldwide
(Starbucks, 2019). In July 2018, Starbucks announced it would begin phasing out plastic
straws from its stores worldwide. The coffee company estimates it will prevent “billions”
of single-use plastic straws from entering waste bins around the world (Starbucks, 2019).
To replace the unwanted straws, Starbucks inventors created the new cold drink “Nitro
Lid”, which uses 9% less plastic than its predecessor (Starbucks, 2019). Starbucks is an
example of how corporation-lead technological innovations can change consumer
behavior and the default way of doing things.
Case Study #3: Intel
The Intel Corporation is an American multinational corporation and technology
company headquartered in Santa Clara, California. Intel supplies processors for computer
system manufacturers such as Apple, Lenovo, HP, and Dell (Intel, 2019). The Intel
Corporation employs over 100,000 employees in 46 countries; the company has a
significant impact on the environment and the communities it operates in because of the
chemical intensive processes of semiconductor fabrication (Intel, 2019). In terms of
corporate sustainability transparency, Intel is a leader in the semiconductor industry and
the group of Fortune 500 companies. Intel releases annual Corporate Responsibility
Reports which provide significant insight into its relevant sustainability efforts. In
particular, Intel highlights Environmental Sustainability, Supply Chain Responsibility,
Diversity/Inclusion, and Social Impact (Intel, 2019). Intel matches their reporting
schedule with the United Nations Sustainable Development Goals; these goals are based
in Science Based Targets (SBGs) (Intel, 2019). Intel’s goal to reduce water use on a per
unit basis to below 2010 levels by 2020 is currently on track: 2018 water withdrawals
41
�decreased by 23% from the baseline year 2010 (Intel, 2019). Intel exemplifies proper
sustainability reporting. Their above-board approach is beneficial to the company which
now has a deep understanding of their supply chain, and metrics to measure their impact
on the planet, and society.
III. Hypotheses
Corporations which engage in proper sustainability practices perform better
financially than companies that do not.
IV. Method
Measures
In order to prove that corporate engagement in sustainable practices can provide
increased financial outcomes, a clear definition of corporate sustainability and a proper
understanding of corporate financial performance (CFP) measures is necessary. This
paper analyzed multiple meta-analysis papers to summarize and conclude their findings;
the papers chosen for analysis use a variety of financial measures to understand
performance. For example, the stock price of publicly traded corporations is often used as
a measure of corporate financial performance (CFP) (Alshehhi, Nobanee, Khare, 2018).
Market capitalization (outstanding shares multiplied by stock price) is also commonly
used in the financial world to show overall firm size (Alshehhi, Nobanee, Khare, 2018).
Many studies use stock market sustainability indices (a segment of the stock market to
make performance comparison easier), such as the Dow Jones Sustainability Index
(DJSI), to measure the financial performance of sustainable corporations (Alshehhi,
Nobanee, Khare, 2018). Accounting based measures, such as return on assets (ROA),
return on sales (ROS), return on equity (ROE), return on investment (ROI), earnings per
share (EPS), and price to earnings (P/E) ratios are also used to compare financial
performance of sustainable versus unsustainable companies (Alshehhi, Nobanee, Khare,
2018). The peer-reviewed studies selected for this paper utilize all the mentioned
methods of measuring financial performance. The variety of methods allows for more
accurate results and conclusions.
Procedure
In order to find the optimal collection of data to study, research database tools
such as EBSCOHost, GoogleScholar, and OneSearch were used. To find relevant
sources, paired keywords such as “corporate social responsibility” with “corporate
financial performance” or “ESG practices” with “market value” were used as search
terms. These search terms garnered a collection of peer-reviewed research papers which
42
�presented results from meta-analysis studies on stock market performance. To gather
more sources about CFP’s relationship with sustainable practices, the term “sustainable
practices” was used loosely. The data used for this paper came from studies which used
terms such as “Corporate Social Responsibility (CSR)”; “Corporate Sustainability (CS)”;
“Environmental, Social, and Governance (ESG)”; “Corporate Governance (CG)”, and
more. This methodology of searching yielded positive results; this topic is currently a
popular subject in the financial realm. Many studies have been conducted by business
schools, research firms, and investment banks alike to understand more about
sustainability and its relationship with corporate financial performance. Due to the high
volume of peer-reviewed data, other researchers have created meta-analysis studies.
Meta-analysis papers summarize results from other peer-reviewed studies; researchers
create meta-analysis reports to highlight the majority opinion and glean recurring insights
which appear across studies. This paper uses these meta-analysis papers as the
groundwork and results for this thesis. The strategy to analyze meta-analysis papers
allows for exposure to the great variety of research results without exhaustive data
collection. By using a diverse group of sources through meta-analysis papers, there is
also a greater likelihood of finding accurate results. When choosing sources, only studies
which meta-analyzed the greatest number of papers were selected.
V. Results
CSR Positively Affects Stock Performance
Despite the differences in research methodologies and research subjects
(corporation size, industry, and market), 78% of 132 different peer-reviewed journal
publications (figure 1) report a positive relationship between corporate sustainability and
financial performance (Alshehhi, Nobanee, Khare, 2018). Although the studies each
measured the effect of sustainability on CFP in different ways, the results are
overwhelming: there is a positive relationship between sustainability practices and CFP.
Another study found sustainable funds at least match the returns of comparable
traditional funds (Morgan Stanley, 2019). This came from a performance analysis of over
10,723 mutual funds between 2004 and 2018. These results show there is no financial
trade off in the returns of sustainable funds compared to traditional funds (Morgan
Stanley, 2019). Morgan Stanley’s research also found differences in total returns between
sustainable and traditional funds are narrow and inconsistent (Morgan Stanley, 2019). In
Q4 2018, October 1st to December 31st, volatility in American markets rose
considerably; however, the median sustainable fund outperformed the median traditional
fund by 1.39% (Morgan Stanley, 2019). As the benefits of sustainable funds become
43
�more well known more investors are seeking to invest in ESG-focused funds, as shown in
Figure 2.
Figure 1: Impact of sustainability on corporate financial performace. Source: Alshehhi,
A., Nobanee, H., & Khare, N. (2018).
44
�Figure 2: The number of ESG-focused funds has grown 14.4% since 2004. Source:
Morgan Stanley. Sustainable Reality: Analyzing Risk and Returns of Sustainable Funds.
Morgan Stanley Institute for Sustainable Investing, 2019.
The results from another meta-analysis study indicate a positive relationship
across research in terms of positive market reactions to positive CSR-related events and
negative market reactions to negative CSR-related events (Endrikat, 2015). This research
paper included 32 studies which analyzed CSR-related events and stock performance
(Endrikat, 2015). The analysis concluded positive reactions to positive events and
negative reactions to negative events were both true (Endrikat, 2015). Interestingly,
reactions tend to be slightly stronger for non-US samples than for US samples (Endrikat,
2015). Evidence which align with Endrikat’s findings can be found in the stock market
reactions to a 2018 ESG-related event with the electric car company Tesla Motors figure
3). Tesla’s CEO, Elon Musk, sent a tweet which the SEC claimed “mislead” investors
(SEC, 2018). Upon the August 13th announcement of Musk’s charges, Tesla stock
dropped by 18.89% (Yahoo Finance, 2019). This is an example of a negative CSR-related
event and subsequent negative stock market performance.
45
�Figure 3: Tesla Interactive Stock Chart. Source: Yahoo Finance. (2019). TSLA
Interactive Stock Chart | Tesla, Inc. Stock. Retrieved 2019, from
https://finance.yahoo.com/chart/TSLA.
Of North American firms, research suggests negative CSP has significant
explanatory power for decreasing stock prices (Lourenço, Branco, Curto, Eugénio, 2016).
However, it is also shown that the market does not penalize all the corporations with low
levels of CSP. On the contrary, the market penalizes only those firms with incentives to
present a high level of CSP but do not actually engage in such a strategy (Lourenço,
Branco, Curto, Eugénio, 2016). The corporation’s size and profitability seem to matter in
market interpretation of CSP (Lourenço, Branco, Curto, Eugénio, 2016).
CSR Reduces Downside Risk in Volatile Markets
Findings suggest that investors penalize large profitable corporations with low
levels of CSP (Lourenço, Branco, Curto, Eugénio, 2016). Interestingly, an asymmetry in
the stock market reactions has been found; there are stronger reactions to negative CSPrelated events than to positive CSP-related events (Endrikat, 2015). Examples of negative
CSP-related events include negative environmental news, negative labor force news, and
violation of local or federal laws (Endrikat, 2015). The great negative reactions of the
46
�stock market expose non-sustainable companies to risk (Morgan Stanley, 2019). This is
why sustainable funds also reduce downside risk when compared to traditional funds in the
same industry (Morgan Stanley, 2019). In years of turbulent markets, such as 2008, 2009,
2015, and 2018, sustainable funds downside deviation (a measure of risk) was significantly
smaller than traditional funds (Morgan Stanley, 2019). As shown in Figure 4, sustainable
funds consistently show a significantly lower downside risk than that of the traditional
counterparts, regardless of the asset class held (Morgan Stanley, 2019). This result has
been quantified by a 20% reduction in downside deviation (Morgan Stanley, 2019).
How CSR Relates to Customer Satisfaction
Companies with good CS reputation are able to improve relations with external
actors such as customers, investors, bankers, suppliers, and competitors. (Lourenço,
Branco, Curto, Eugénio, 2016). They are also able to better attract prospective employees
and increase motivation for current employees. CSR can be much more than a cost, a
constraint, or a charitable deed - it can be a source of opportunity, innovation, and
competitive advantage (Porter & Kramer, 2006). The connection between good deeds and
consumer attitudes is so indirect it would be impossible to measure (Porter& Kramer,
2006). An organization's ethical climate (integrated sustainability practices) is positively
related to customer satisfaction and perceived organizational innovation (Moon & Choi,
2014). An organization's ethical business can provide a favorable image to customers and
develop a positive attitude toward the organization (Moon & Choi, 2014).
47
�Figure 4: Median Downside Deviation of Sustainable and Traditional Funds, 2004-2018.
Source: Morgan Stanley. Sustainable Reality: Analyzing Risk and Returns of Sustainable
Funds. Morgan Stanley Institute for Sustainable Investing, 2019.
VI. Discussion
This thesis is centered around understanding how corporations integrate
sustainable practices into their business models and the correlated effect on CFP.
Research suggests there is a positive relationship between corporate sustainability and
financial performance. Furthermore, the integration of sustainable practices reduces the
downside effects of turbulent markets. Since CFP can be defined and measured in many
different ways, it is surprising and reassuring that the results from the 20 plus sources
used all support the hypothesis. The various researchers who conducted studies on
sustainable practices and CFP seemed to agree that it is beneficial for corporations to
engage in sustainability efforts. Each individual study used as evidence is unique and
highlights different aspects of sustainability. The results of these studies also show
different sustainable practices benefitting a different measure of CFP.
48
�Investors look at CG as a measure of investment opportunity. Sustainability
ratings impact investor sentiment. Sustainability ratings are not perfect; they are often
created by different third party sources with limited amounts of data. The government
and the general public should place more pressure on corporations to publicize their
sustainability efforts. If corporations released their sustainability efforts publically, it
would allow for sustainable practices to be optimized. Public corporations sharing their
sustainable practices and implementation costs would allow companies to see which
processes are the most effective. The best approaches would be identified and eventually
adopted across industries. The mass adoption of sustainable practices by corporations
across industries would benefit society and the environment. Public disclosure of
sustainable practices would also allow for better informed investment decisions. More
knowledgeable investors make markets more efficient because the trading price is closer
to true value. Understanding how investors look at corporate sustainability is necessary to
predict how corporations will make strategic decisions moving forward.
Many corporations see the benefits of implementing sustainable practices into
their business model. Some companies, such as Nike, Starbucks, and Intel, have
implemented sustainable practices; others just claim to do so. Dishonest corporation’s
false advertising has led to distrust from customers and investors. In an age of instant
media, it is hard for consumers to tell which companies are honest, and which are not.
Dishonest corporations falsely advertise because they see the benefits of investor
perception of sustainable corporations. Corporate marketing strategies play to change
consumer perceptions.
CFP is largely dependent on how consumers and investors perceive the
sustainability of a corporation. This is why accurate marketing and full disclosure of
sustainable practices is necessary. Consumers which watch companies incorporate CG,
CS, ESG, and CSR into their business model are rewarded for their efforts. Corporations
which do not, suffer the short term and long-term consequences.
VII. Conclusions
Implications for Practice
The analysis of peer-reviewed studies examining CFP’s relationship with CS
practices have shown corporations who engage in sustainability practices gain multiple
benefits, including: increased stock market performance (Alshehhi, Nobanee, Khare,
2018) (Endrikat, 2015) (Lourenço, Branco, Curto, Eugénio, 2016), reduced downside
performance in turbulent markets (Morgan Stanley, 2019) (Lourenço, Branco, Curto,
49
�Eugénio, 2016) (Endrikat, 2015), and increased customer satisfaction (Lourenço, Branco,
Curto, Eugénio, 2016) (Porter & Kramer, 2006) (Moon & Choi, 2014).
Implications for Future Research
This research clearly shows the positive effects of sustainability practices on a
corporation. These findings can be supplemented by further research into what specific
sustainability practices are the most effective and garner the most returns for effort/cost.
There is a need to understand which specific sustainability practices garner the greatest
impact on the environment and society with the least financial impact on corporations.
An in-depth analysis of the overhead costs, maintenance costs, and operational costs for
sustainable practices will need to be conducted across corporations of all sizes, industries,
and markets. These metrics will create an accurate baseline. Corporations understand the
value of a good sustainability-related reputation; the benefits are overwhelming.
However, despite the unprecedented amount of evidence, corporations still knowingly
engage in negative sustainability practices. Corporate inaction is destructive to society
and the environment. More research is needed in how to reduce the costs of
implementing sustainability practices. If the entry threshold is lowered, more companies
will participate in sustainable practices. Research into sustainability and its effect on CFP
will always be valuable. New studies add to the large body of evidence which are used to
convince corporations to be more sustainable.
VIII. References
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����The Epidemic of Depression in National Collegiate
Athletic Association Student-Athletes
Maria D’Amico, Nicole Doherty and Iman Eulinberg1,2
Collegiate Sports in the United States is one of America’s favorite pastimes, not only for
the athletes participating but for spectators attending competitions, viewers tuning in on
national television and stakeholders in university programs. The National Collegiate
Athletic Association (NCAA) has developed a community of athletes and avid fans,
coining the term “student- athlete.” These elite athletes who have committed to compete
within the NCAA for their respective universities are contracted to abide by the laws of
their governing organization. Bylaws under the NCAA regulate academic integrity of
their athletes, and their athletic careers at a cost that could be detrimental to their health.
Unbeknownst to many, the “glamorous” life of the collegiate student-athlete, has taken a
darker turn for many who are unable to cope with stressors of their commitment. For
decades participation in athletics has given its members physiological and psychological
health benefits contributing to their overall well-being. In more recent years, this has
changed due to increased emphasis in athletics by the NCAA. Universities participating
in the NCAA must consider taking the time to protect the health of their student- athletes
to ensure a safe environment. Proposed solutions that athletic departments can choose to
implement to promote the health of the NCAA student-athletes include regulation of
physical and psychological screenings and therapy, as well as interdepartmental decrease
of practice times.
I. Introduction
The National Collegiate Athletic Association (NCAA) is the largest amateur
sports organization in the world, having more than 460,000 athletes participating each
year (National Collegiate Athletic Association, 2018). The participating athletes compete
across a variety of twenty-four sports under one of three divisions. The NCAA has coined
the term “student-athlete,” governing an association requiring full-time college students
Research presented at a Sigma Theta Tau sponsored research event on April 10th at
Wagner College.
2 Written under the direction of Prof. Tinamarie Petrizzo-Hughes in partial fulfillment of
the Senior Program requirements.
1
57
�to simultaneously practice and compete as athletes. Student-athletes are under binding
contracts with the institutions that regulate their lives on campus.
Athletes have been characterized as resilient, self-confident, driven, and high
performing people. The sustainability of the fixed and oversimplified image of a
“student-athlete” does not come without a cost, which oftentimes can lead to a strain on
the mental health of these young adults. Regulating the balance between education and
athletics was deemed necessary by the NCAA to help aid in the time management of their
student-athletes. The solution resulted in a weekly ratio of twelve classroom credit hours
to twenty athletic hours. The challenge of balancing and fulfilling highly demanding
academic and athletic requirements has contributed to an epidemic of depression in the
NCAA (National Collegiate Athletic Association, 2018).
Depression places student-athletes at an increased safety risk for the use of
ineffective coping mechanisms, and even suicide, as an answer to their fight with this
mental illness (Mayo Clinic, 2018). The rising diagnosis of depression within the studentathlete population of the NCAA has led to the demand for an intervention. Policies
regarding mental health interventions in the NCAA need to be prioritized for the safety of
this potentially vulnerable population.
II. Community Assessment and Analysis
On college campuses a diverse population of students is represented. Whether it
is age, gender, race, academic major or extracurricular activities, subcultures and
communities are formed. The student-athletes competing in the NCAA are widely
diverse; however, they come together to form a small and highly specified community.
Student-athlete ages on average range between 18-25 years, and the group consists of
men and women from multiple ethnicities and races (Rao & Hong, 2015).
Lapchick, Augusta, Kinkopf, and McPhee (2013) provide information about
gender and racial distribution amongst these athlete participants. In the 2011-2012
season, male participation was 13.4% higher than female participation: recording 56.7%
of participants identifying as male and 43.3% as female. The two most represented races
in the NCAA are Caucasian and African-American. Respective statistics in the 20112012 season reveal that Caucasian males make up 69.4% of the NCAA male athlete
population with only 16.2% of African-American descent. Comparatively, of the women
who participated, 76.2% were Caucasian and 8.6% African-American. The diversity of
the community has positively increased since the 2007-2008 season where the racial
profile of the top two most represented groups by gender were Caucasian 74.5% male
athletes and 83.6% female, 16.1% African American males and 6.8% females.
58
�Unique factors that arise in the athletic departments of colleges have a positive
influence on many of the athletes and the general student population. Athletic revenue
produced is used to not only benefit teams and coaches, but also facilities that the general
student population may use to promote their own health. The most notable benefit which
only athletes are eligible for is athletic scholarships. This, however, comes with a price
tag that one must conform to the NCAA’s definition of a student-athlete. The bylaws
presented by the NCAA committee regulate the academic schedules of students and
athletic demands of their participants. Guidelines, instituted by the organization, may lead
to the high prevalence of depression found in student-athletes and it could be a critical
problem within the community. The prevalence of depression in college-aged students in
the U.S. ages 18-25 is 8.7% with studies showing significantly higher prevalence rates
among student-athletes resulting in 15.6% to 21% reporting depression (Rao & Hong,
2015).
Depression has been studied and the evolution of risk factors for the disease
have been derived from low self-esteem, self-criticism, stressful events, financial
problems, genetics, history of mental health disorders, abuse of alcohol and drugs, and
chronic illness and pain (Lennon, 2015; Mayo Clinic, 2018). Every day, student-athletes
struggle with these risk factors and, if uncontrolled, have more to lose than students who
do not participate on NCAA teams, proportionally increasing their risk for depression.
The term student-athlete is dissected into two parts; the NCAA regulates both
academics and athletics. NCAA guidelines state to be considered a student; a person must
take at minimum 12 credit hours per term (National Collegiate Athletic Association,
2018). A full-time students’ schedule does not leave an extensive amount of time for
extracurricular activities. The NCAA has allocated a maximum of 20 hours per week for
mandatory athletic participation (National Collegiate Athletic Associations, 2018). The
stress of juggling class and athletics is heightened under the 2.3 Grade Point Average
(GPA) requirement student-athletes must achieve to continue to secure their roster spot
and obtain their financial scholarship allotted from the Athletic Department. While this
appears to be a minimal goal, it does not come easily during a week, when averaging 3.3
hours of practice daily can cause sleep deprivation and fatigue (Trojian, 2015). The
athletic demands have been shown to lead to injury, exhaustion, and fatigue (Rao &
Hong, 2015). Student-athletes may seek “easy fixes” in the form of maladaptive coping
mechanisms to handle the pressure and loss of equilibrium between the mind and body.
Binge drinking is one such mechanism. Its prevalence can lead to high-risk activities such
as substance abuse and depressive behavior, with effects can be as severe as suicidal
59
�impulsivity. Suicide is the fourth leading cause of death in student-athletes (Rao & Hong,
2015).
Those at highest risk are males, African-Americans, freshmen, and football
players (Rao & Hong, 2015). The participation in football increasing one’s risk for
depression is explained by the theory that violent sports have higher rates of
inappropriate behavior (Rao & Hong, 2015). The epidemic of depression does not come
from football alone as Title IX, which was implemented in 1972, established the Equal
Opportunities Act for all genders participating in NCAA sports (National Collegiate
Athletic Association, 2018). Title IX mandates that the monetary worth of athletic
scholarships and resources for teams between men and women remain equal. Freshman
students entering their collegiate academic and athletic careers are at high risk for
depression as they are a vulnerable population. Maturational crises are experienced in
those whose coping mechanisms are no longer adequate because of new stressors they are
encountering in their life cycle. Feelings of social isolation and loss of social
connectedness when removed from one’s family during freshman year, the holidays, and
summer vacation or athletic penalties such as suspension from a team due to injury,
increase the likelihood of experiencing depressive symptoms in these young adults.
Injuries have been shown to be a risk factor in the community causing feelings of
interrupted social structure and lowered self-worth (Rao & Hong, 2015, see also Maron,
Haas, Murphy, Ahluwalia, & Rutten-Ramos, 2014).
Scholarships play an important role in the level of stress felt by student-athletes.
The NCAA is not only a governing body for athletic participation but also a business.
The rules created by the NCAA are to help them remain sustainable as an organization
and many times overshadow the mental health needs of its participants. Student-athletes
who are not living up to their contracts in regards to performance and physical abilities
which include avoiding injury are in danger of losing their scholarships (Trojian, 2015).
The NCAA must balance scholarships in accordance with money earned off their
athletics. The continuum of the organization can only succeed under the generosity of
outside funding produced by the entertainment the athletes provide their fan base. For
many, this state of financial insecurity places them under mental strain. The opportunity
of college for many student-athletes was given to them due to their athletic talent.
Athletes who perceive their injuries as their bodies failing them increase the risk
of this mental health disease. The financial state of these student-athletes can be altered
with the immediate revoking of their scholarships which can result in the inability to
afford their college education. This is a life-altering consequence.
60
�This epidemic is an alarming community disease and solutions must be
implemented to improve the health of this population. The NCAA has begun studying the
rise of mental illness within their community thus initiating ways the NCAA can
effectively work with their associated colleges to provide a mentally healthy and safe
community (National Collegiate Athletic Association, 2018). The Mind, Body and Health
initiative created by the NCAA is designed to promote general well-being for their
athletes. Additionally, the NCAA has included community resources such as the student
health services under the care of nurses and psychiatrists, the team physician, an
orthopedic specialist, and physical trainers to evaluate student-athletes for depression
(Rao & Hong, 2015).
III. Problem in the Community
The prevalence of depression in the NCAA student-athlete community is
clinically relevant. Among non-athletic American adults aged 19 or older in 2016, it is
estimated that nearly 6.7% had symptoms of a depressive disorder or experienced
depressive episodes (National Institute of Mental Health, 2017). While comparing U.S.
adults to NCAA student-athletes, student-athletes show almost four times the number of
depressive symptoms than adults throughout the nation. In a survey-based study of 465
Division 1 athletes of all genders, races, and academic grade levels, “23.7% of athletes
scored a clinical level of depression with a CES-D >16 and 6.3% of athletes showed a
moderate to severe level of depression with a CES-D >27” (Wolanin, Hong, Marks,
Panchoo, & Gross, 2016) on the Center for Epidemiologic Studies Depression Scale.
“There was a significant gender difference in prevalence of depressive symptoms with
female athletes exhibiting 1.844 times the risk of male athletes for endorsing clinically
relevant symptoms” (Wolanin et al., 2016).
Although scientific experiments supported exercise to be a preventative
treatment for managing depression, becoming a college athlete does not guarantee
psychological wholeness. Many athletes are exhibiting depressive symptoms from the
intense psychological pressure they are held accountable for throughout the course of
being a student-athlete. Some consider it a full-time job due to the athletic scholarships
applied towards tuition. Students worldwide move to the United States to participate in
the NCAA for a better opportunity. These athletes are able to pursue their athletic and
academic careers at a fraction of the cost of their home countries.
Depression amongst NCAA Division 1 athletes is a problem that if left untreated
can be detrimental to the athletic community. The symptoms of depression may include
hopelessness, despair, anxiety, worthlessness, guilt, helplessness, anger, loss of
61
�concentration, inability to solve problems, decreased clarity, delusions, slowing of
psychomotor reactions, and agitation. Additionally, student-athletes experiencing
depression may encounter issues regarding grooming and hygiene, change in sleep
patterns, change in bowel habits, decline in sex interest, and vegetative states (Halter,
2018).
Clinically depressed college athletes oftentimes turn to drugs and alcohol as a
coping mechanism to deal with their depression. Depression amongst student-athletes
often goes unnoticed and is thought to be a sign of weakness. Untreated depression can
significantly impact one’s professional aspirations, quality of life and may even result in
suicide. Studies show that suicide is the number one leading cause of preventable death in
NCAA student-athletes with the highest prevalence in football, track, cross country,
baseball and swimming. Caucasian males are the most likely to kill themselves by
gunshot or hanging. As a requirement of the NCAA and academic institutions, studentathletes are held to a higher standard, they cannot fall behind in the classroom while
participating in sports. College athletes are required to take the same number of courses
and credits as a typical college student and they are also required to maintain a certain
GPA, as per school requirements, in order to be academically eligible to participate in
intercollegiate sporting events.
Risk factors often associated with depression in college student-athletes differ
from ones in non-athletes. Some predictors of risk include being a freshman, injury,
substance abuse, and academic stressors (Armstrong & Oomen-Early, 2009). The
demand of sports has increased alarmingly as indicated in the aforementioned survey of
465 Division 1 athletes. Student athletes are held at a high standard to excel on the field
as well as in the classroom, putting them at a greater risk to develop a mental health
disorder such as depression.
IV. Proposed Solution
Mental health awareness is currently at the forefront of the medical community.
It is important to have the necessary tools to recognize early symptoms of depression.
The NCAA would benefit from screening tools for early recognition of depression. The
PHQ-9 is a nine-question survey with a cut-off score of five or more; it has “95%
sensitivity and 88.3% specificity when scored with a cut point of 11” (Trojian, 2016).
The PHQ-9 test could be given during pre-season for a baseline and then again midseason
and postseason. As an increased effort to ensure safety, any athlete that endures serious
injuries during a season will also be screened. The main point of giving the PHQ-9 is to
be proactive and to identify any changes between tests so that they could be addressed
62
�prior to harmful effects. If any student athlete receives a score of five or above, then they
could be evaluated with a second screening called the Beck Depression Inventory (BDI).
“The BDI-II has good sensitivity and specificity and excellent reliability” (Trojian,
2016). It is desirable for the Athletic Department to be equipped and ready to properly
handle student-athletes who are showing signs of depression. Given the reluctance of
student-athletes to report challenges with mental well-being, coaches, team physicians,
and athletic trainers are a good potential line of defense in encouraging their athletes to
seek help when needed (Davoren & Hwang, 2014). If students fall under a depressive
category on the BDI, then a care plan should be implemented to help alleviate depressive
symptoms.
For years, athletes were expected to “rub some dirt on it and keep playing” and
their mental and physical health needs were ignored. Maslow’s Hierarchy of Needs
supports the proposed solution by showing the necessary needs that must be met for a
student-athlete to be successful on and off the field. Physiological needs are at the bottom
or base of the pyramid. These needs include food, water, shelter, and rest. Studentathletes are not only expected to wake up early and perform on the field, but also
expected to perform in the classroom immediately following practice. On some days they
are lucky to grab food to eat while sitting in lecture. Following lecture, they are expected
to study for hours and do any homework before bedtime so they can hopefully get some
rest to do it all again the next day. This cycle goes on six days a week for in-season
athletes. Sleep deprivation has numerous consequences like a weakened immune system,
memory issues, lack of concentration, and mood changes. The next rung in the pyramid is
safety needs. Athletes are expected to push their bodies to their maximum limits with
every practice, weight lifting session, and game. The risk for injury is very high. The
following level on the pyramid is belongingness and love needs. Being on a team of
course has its benefits, but it also comes with negatives. Athletes are with their
teammates more than most others on campus, thus, there is social isolation from nonathletic students due to their rigorous schedules. Many athletes may try to “fit in” on the
team. If an individual is not getting along with their teammates, they are at risk for
loneliness and further isolation. Second from the top of Maslow's hierarchy of needs is
self-esteem. Many individuals who are recruited for college sports were highly successful
in high school. However, when they come to college, they are not guaranteed to be the
best anymore and for many that is an enormous adjustment. This may affect their selfesteem as they once started and played many minutes and now they are on the bench.
Many athletes associate sports as a large part of their identity, and without playing they
may feel lost or have an identity crisis which can lead to an increased loss of self-esteem.
63
�At the peak of the pyramid is self-actualization needs. Without achieving all of the
aforementioned needs listed, a human being will not effectively achieve selfactualization.
One innovative health program that all athletic departments should adopt is to
hire a sports psychologist. Although sports psychologists are relatively new in the world
of sports, they are an extremely beneficial addition to every athletic department. Another
health program schools should incorporate is mental health basic training. Athletic
departments should mandate that all coaches and sports staff attend training on how to
recognize and manage athletes who are showing signs of depression. Early recognition is
crucial. When coaches are able to recognize an issue, they can require screening and
appropriate interventions for these students, which will enable a healthy, happy, and
productive student-athlete.
Mandating screenings and staff training is cost effective, beneficial, and a
realistic solution to implement across the country. As part of their contract with the
NCAA institutions, sports staff would be required to utilize online modules before the
start of each season to recognize the early signs and symptoms of depression. The goal is
to detect the symptoms early. The PHQ-9 scale in addition to trained sports staff creates
two lines of defense to prevent the detrimental effects of depression. We all share a
common goal of maintaining a safe and productive environment with which our studentathletes can grow and thrive.
V. References
Armstrong, S., & Oomen-Early, J. (2009). Social connectedness, self-esteem, and
depression symptomatology among collegiate athletes versus nonathletes. Journal of
American College Health, 57, 521-526. doi:10.3200/jach.57.5.521-526.
Davoren, A. K., & Hwang, S. (2017, July 11). Mind, body and sport: Depression and
anxiety prevalence in student-athletes. Retrieved from http://www.ncaa.org/sportscience-institute/mind-body-and-sport-depression-and-anxiety-prevalence-studentathletes
Depression (major depressive disorder). (2018, February 03). Retrieved November 19,
2018, from https://www.mayoclinic.org/diseases-conditions/depression/symptomscauses/syc-20356007
64
�Flanagan, L. (2014, March 21). When college athletes face depression. Retrieved
November 19, 2018, from https://www.theatlantic.com/education/archive/2014/03/whencollege-athletes-face-depression/284484/
Halter, M. J. (2018). Varcarolis foundations of psychiatric-mental health nursing: A
clinical approach (8th ed.). St. Louis, MO: Elsevier.
Lapchick, R., Augusta, R., Kinkopf, N., & McPhee, F. (2013, July 10). The 2012 racial
and gender report card: College sports. Retrieved November 19, 2018, from
https://www.ncaa.org/sites/default/files/Final 2012 College RGRC.pdf
Lennon, M. (2015, June 03). Mental health in swimming: A silent struggle – One of
many. Retrieved November 19, 2018, from https://swimswam.com/mental-health-inswimming-a-silent-struggle-one-of-many/
Maron, B. J., Haas, T. S., Murphy, C. J., Ahluwalia, A., & Rutten-Ramos, S. (2014).
Incidence and causes of sudden death in U.S. college athletes. Journal of the American
College of Cardiology,63, 1636-1643. doi:10.1016/j.jacc.2014.01.041
National Collegiate Athletic Association. (2018). Current. Retrieved November 19, 2018,
from http://www.ncaa.org/student-athletes/current
National Institute of Mental Health. (2017, November). Major depression. Retrieved
November 19, 2018, from https://www.nimh.nih.gov/health/statistics/majordepression.shtml
Rao, A. L., & Hong, E. S. (2015). Understanding depression and suicide in college
athletes: Emerging concepts and future directions. British Journal of Sports Medicine, 50,
136-137. doi:10.1136/bjsports-2015-095658
Trojian, T. (2015). Depression is under-recognised in the sport setting: Time for primary
care sports medicine to be proactive and screen widely for depression symptoms. British
Journal of Sports Medicine, 50, 137-139. doi:10.1136/bjsports-2015-095582
Wolanin, A., Hong, E., Marks, D., Panchoo, K., & Gross, M. (2016). Prevalence of
clinically elevated depressive symptoms in college athletes and differences by gender
and sport. British Journal of Sports Medicine, 50, 167-171. doi:10.1136/bjsports-2015095756
65
����The Structure of Repression and Trauma in Slow River
Gina LaRosa (Arts Administration)1
In Nicola Griffith’s Slow River, the dysfunctions in the van de Oest family force
each member to navigate deep psychological issues. The abuse and secrets in the family,
as well as the massive power of the family business, cause the three sisters Lore, Stella,
and Greta to suffer. Each of them withstands the family’s dysfunctions as well as abuse
from their mother, which ultimately cause them to lose a stable sense of themselves, and
for some, the ability to develop any mature adult relationships. These unresolved conflicts
in each of their lives cause them to behave in unhealthy ways. Lore is eventually able to
recover and develop a stable relationship with Cherry Magyar, but unfortunately Stella
and Greta do not reach such a moment. Lore, Stella, and Greta van de Oest develop
repressed trauma which reveals details about their lives, their sense of self, and their
anxieties.
After finally escaping her kidnappers and her dysfunctional family, Lore must
live with a slew of repressed wounds and fears which unconsciously motivate her to start
a life she knows she will hate. Lore repeatedly tells herself that her family has not paid
her ransom, as she has no way of knowing otherwise, and this hurts her. For Lore, this
means she can never return to them. Yet, Lore often catches herself thinking of her father
or her brother Tok, or talking wistfully of the family island estate, called Ratnapida,
unaware of her subconscious desire to resolve the conflict and reunite with them. On one
of her first nights at Spanner’s, she “tried to imagine she was at Ratnapida, lying on the
grass. The birdsong was all wrong” (Griffith 13). Because she believes the family will not
pay her ransom, and is freshly traumatized by strange kidnappers, Lore develops a fear of
emotional abandonment. This fear causes her to believe that her family does not care
about her and influences her to stay with Spanner for much longer than she might have if
she had felt the support of her family. Lore tries desperately to connect with Spanner, in
order to develop that same kind of supportive relationship she craves, but Spanner keeps
Lore at a strict distance and rejects almost every attempt Lore makes to learn more about
her. Without the same solid ground of support that she is used to, at least from her father
and brother specifically, Lore feels lost in her new path and stuck in a life of crime and
1 Written under the direction of Dr. Susan Bernardo for EN 212: Introduction to Literary
Analysis and Theory.
69
�degradation. As the novel progresses and Lore continues to stay with Spanner, she
becomes more and more disconnected from her former identity.
Lore also has a very unstable sense of self which stems from the juxtaposition of
her former life as a rich kid and her new life of struggle with Spanner. Lore feels ready to
forget her former identity and build a new one, but she struggles to create a sense of
herself while she is with Spanner. Lore believes that she must completely forget her
former self in order to create her new self, rather than accept all the different,
contradictory parts of herself, past and present, in order to create the truest version of
herself. Due to the unresolved conflict involving sexual abuse from her mother, ignorance
from her father, and the sudden death of her sister Stella and the questions surrounding it,
Lore unconsciously ignores these things so that she will not have to solve any of the
underlying issues. Therefore, Lore struggles with juggling different identities rather than
letting the past be a part of her current sense of self. She sees herself as having three
identities: the rich kid, the criminal, and the waste-water treatment worker. Lore views
these identities as completely separate from each other. She reflects, “I had an eerie sense
of multiplicity, of staring down at my reflection in the water and seeing three faces
instead of one” (282). Lore does not realize that, in order to accept herself and her past,
she must acknowledge that all three identities form one, true identity in which they are all
included. She does not realize this yet, and her identity therefore remains unstable.
Spanner too deals with repressed trauma which causes her to act in ways that are
not beneficial to herself. The suicide of Spanner’s mother, as well as Spanner coming to
the realization that her mother often lied to her, caused her to feel betrayed and
abandoned, leading to her becoming a lone wolf. Spanner only once speaks about this
childhood trauma to Lore, saying “it was then I realized that everyone lies. About
everything” (117). Spanner’s fear of intimacy as well as her low self-esteem cause her
relationship with Lore to be strained and distant. Spanner’s pain forces her to keep Lore
at an extreme distance, and because Lore is her only true companion, Spanner lashes out
at her whenever she is feeling sad or frustrated. Lore and Spanner are more similar than
Lore believes, especially in the way that they have both experienced the suicide of
someone close to them and their damaged relationships with their mothers. But, because
neither has confronted these issues, they are unable to connect through these similarities
or help each other heal. Lore also reflects on Spanner and Stella’s similarities, and their
“loneliness--no, their emptiness” which causes them to distance themselves from others
(94). Furthermore, Lore and Spanner both have unresolved conflicts as well as personal
issues, and this creates a toxic relationship. Each of these women creates a version of the
other they want her to live up to, one that would allow them to relive their repressed
70
�trauma while never actively dealing with it. Because of this dynamic, the relationship
does not work out, and Lore is able to face her issues only after she and Spanner separate.
Before she leaves, Lore tries to get Spanner to start this new life with her, and tries to
convince her that there is a better life to live. Spanner always refuses, and believes that
the low life she leads is what she deserves, and the only place she belongs (332).
Lore’s sister Stella also faces unresolved conflict, dealing with much of the
same abuse and dysfunction that Lore does. Stella, who faced much more frequent abuse
from Katerine than Lore, must deal with an ignorant and confused father in addition to
her abusive mother. Stella must remain extremely distant from the family in order to keep
herself safe and somewhat sane, which leaves her feeling lost and alone. In keeping this
distance from her family, Stella unconsciously keeps her trauma repressed. She
constantly travels, never remaining close to them for very long. Stella also develops a
seriously unstable sense of self, and because of the lack of relationship with her family, is
unable to form mature adult relationships. The constant changing of her hair color
represents the instability of her identity. Throughout the novel, Stella’s hair is an array of
colors (yellow, purple, black) and young Lore often wonders at this, asking herself how
Stella could ever know who she is, if she always looks different (52). Unconscious of
these conflicts, Stella travels from one country to the next, never giving herself enough
time to feel safe or secure. Her relationship with her friends is mostly superficial,
including a silly competition among the elite to see who can give away the most wealth.
The narrator never reveals who Stella’s friends are or even their names, showcasing her
emotional distance even from them. Even though Stella was constantly running, she
never could face her trauma and therefore could never escape it, and eventually she kills
herself. Lore reflects that she “escaped by dying,” never able to face her issues while
living (293).
Greta is the oldest, and therefore the sister who likely suffered the most abuse
from Katerine. Greta also has some of the core issues previously discussed, some which
remove her so distantly from the family that she feels no remorse in making Lore the
victim in order to get what she wants. Greta also suffers from an unstable sense of self, or
really, no true sense of self at all. Any sense of self she has is rooted in the company. In
order to keep her trauma repressed, Greta has created an image of herself that is
completely separate from the family, yet totally absorbed by the family company. This is
the only way young Greta could get away from Katerine in a major way. While Stella
keeps herself going by drinking and traveling, Greta makes herself numb. Lore notices
this about Greta from a young age, describing her as “gray,” with “a gray kind of attitude
to life” (67). Lore even admits that she thinks of Greta as more of an aunt than a sister,
71
�because “Greta, even when she’s around, seems so distant, withdrawn” (67). This
numbness and distance, gradually built up during several years of abuse from Katerine,
allows her to hurt Lore so deeply while feeling nothing. This is Greta’s way of dealing
with her trauma, and remaining numb allows her to keep the trauma unresolved and
repressed.
Greta acted in the name of the company, and was able to cause pain and commit
crimes because of her practiced numbness; but, Lore reasons, Greta, while still involved
in her mother’s company, also “would need to feel powerful” (317). Katerine made Greta
feel worthless and powerless, like an object. In order to run her abuser’s company, Greta
had to feel powerful in some way again. To do this, she reactivated Jerome’s Boys, taking
the future of the company and its affairs into her own hands. She committed crimes and
abused others; she ordered the kidnapping of Lore and kept the ransom, causing both
Lore and the rest of the family psychological pain. She did this in order to feel the power
that was stolen from her, and in this way repressed her trauma completely.
Katerine is ultimately the reason for these girls’ wounds, but, Lore and Magyar
conclude, the abuse they faced is no justifiable reason to continue to abuse others, as
Greta did. Katerine, like her daughters, has an unstable sense of self; her only identity is
her status as an executive in the company (she never speaks about motherhood and talks
to the girls only about business or water treatment systems), and her constant competition
with her husband, Oster. Katerine feels valid only when doing big business for the
company or making Oster feel inferior. This instability causes Katerine to be cold and
manipulative, keeping her daughters at a cruel distance, yet coming to invade their space
in the night when they are most vulnerable. Unstable on the inside, Katerine often focuses
on outer presentation, keeping up appearances of both herself and the family. Once, Oster
tells Lore, “She wanted you to have all the visible trappings of the rich and powerful”
(52). Although Katerine is often occupied with keeping up appearances, ironically, Lore
struggles to remember the color of her mother’s eyes. Because she is so invisible in
Lore’s life, Lore never puts it together that Katerine is the one coming into her room at
night. She much more readily believes that it is Oster, because he is more involved in
Lore’s life, even though she did not have any concrete evidence that he was the abuser.
In the end, Lore is the only one who is able to truly face her trauma and recover
from it. We see Lore, unlike the others, develop healthy habits and relationships toward
the end of the novel. Lore leaves her life with Spanner, gets an honest job, and begins to
pursue a romantic relationship with Magyar. This relationship, unlike the one with
Spanner, is full of beauty and deep connection, and Magyar even helps Lore face her
trauma (she is the one who points out that Katerine was the abuser) and regain a stable
72
�sense of identity. Near the end of the novel, as their relationship blossoms, Lore says her
own name aloud, and thinks “I knew who I was. Lore. And when I forgot or became
confused, Magyar would know” (320). Lore and Spanner never had such a connection,
and Spanner often made Lore feel ashamed or confused about her identity, rather than
more secure like Magyar. Pia Møller expands on this idea when she writes that “the fact
that Lore engages in a relationship with the sympathetic Magyar indicates her increasing
sexual and emotional agency” and notes the contrast between this relationship and the
one with Spanner, which was “characterized by exploitation and coercion” (Møller 147).
Lore’s ability to face her trauma and develop a mature sexual relationship are evidence of
her growth.
Finally, Lore is able to see her three separate identities converge into one
cohesive and inclusive sense of self. With Magyar’s help, she is finally able to process
her past, which helps her understand her present and prepare her for her future.
Unfortunately, the same is not true for Stella and Greta, or even Spanner. Each of these
characters’ conflicts remain unresolved and nothing changes for them, or they meet tragic
ends. The only escape Stella finds is in suicide. Greta remains a shell of a person and is
presumably forced to resign from her position in the company. The book ends with
Spanner still believing she deserves nothing more than the life she currently leads. Lore
reflects on the unresolved issues in the lives of these three toward the end of the novel:
“Stella had been a Van de Oest, and she had killed herself. Greta had been brought up as
one, and she had twisted and stayed twisted. You had to allow change, you had to want it.
You had to believe you deserved it. Spanner did not hate me; she hated herself” (Griffith
341). Lore recognizes that each of these characters were not as lucky as she and able to
work through their core issues, but she concludes that that was due to the choices each of
them made, and, ultimately, their attitudes towards themselves and their lives.
Overall, Lore, Stella, and Greta face deep personal issues which stem from their
lives, their sense of self, and their anxieties. Stella and Greta are never able to confront
their trauma, leading to Stella’s suicide and Greta’s complete disassociation from herself
and her family. Lore’s former lover, Spanner, is also unable to confront her conflict and
is never able to believe she deserves a good life. Lore’s mother, Katerine, is never able to
find an identity outside the family business and manipulates her loved ones because of it.
Lore, on the other hand, is eventually able to face her issues and resolve them. Lore
struggles with repressed trauma and unstable identity throughout the story, but with the
help of Magyar she is able to mentally sort everything out. Lore, unlike the others, is
willing to show someone else vulnerability, which ultimately helps her resolve her issues.
She is able to confront her trauma, her past, her family, and her anxieties. This allows
73
�Lore to meld all of her experiences into one truly fluid and all-encompassing identity that
she is proud of. Although Lore had been hurt in the past, she allowed herself to be open
to others, which ultimately set her apart from her sisters and allowed her to move on to a
better life.
Works Cited
Griffith, Nicole. Slow River. Ballantine, 1995.
Møller, Pia. “The Unsettled Undercurrents of Hedon Road: Power, Knowledge, and
Environmental Risk Management in Nicola Griffith’s Slow River.” Isle: Interdisciplinary
Studies in Literature and Environment, vol. 9, no. 2, 2002, pp. 133–153. MLA
International Bibliography.
74
�Changes in Sino-British Relations from the
Opium Wars to the Taiping Rebellion
Jeanine Woody (Mathematics and History)1
Britain and China differed culturally and ideologically in the mid-19th century.
The different perspectives on politics and trade caused tensions to rise between the two
nations. China was previously an isolated nation that used Confucius beliefs to create
their social and political structure. Britain wanted to interact with China to gain access to
certain goods, like silk, tea, and porcelain. To do so they initiated trade with China at,
Guangzhou, the Port of Canton. This was the only sanctioned trading port in China since
the Chinese were wary of foreigners. The differences between the two nations reached
its climax prior to The First Opium War, which began in 1839 and lasted until 1842.
Following this, China would become a weaker nation due to the “unequal treaties” placed
on them by Britain and America. One stipulation China had to follow in the “unequal
treaties” was to cede Hong Kong to the British. This led to Hong Kong becoming an
economic center vital to Eastern trade. Hong Kong also adopted certain principles from
the British, like capitalism, which changed their identity. The “unequal treaties,” an
agreement made between Western nations and China, would also play a role in starting
The Second Opium War, also known as the Arrow War of 1856-1860. The British
wanted to show their dominance in the region since they were an imperialist nation.
In terms of religion, British Protestant missionaries played a role in the
increasing tensions between the British and the Chinese, because when opium was
smuggled into China, British Protestant missionaries also smuggled in Bibles. This led aFa Liang to be exposed to the works of missionaries and later became the first Chinese
Protestant missionary.2 He wrote a manuscript of the teachings he learned; the first
version was destroyed by the Chinese government because China used Confucius beliefs
in their bureaucratic system. To become a member of the elite class one must take a civil
service examination, Jingshi, which was based on Confucian texts; the direct translation
of Jingshi is statecraft. Statecraft is the management of Chinese state affairs. The
Taiping Rebellion of 1850-1864 was founded on Christian beliefs because of the
Written under the direction of Dr. Alison Smith in partial fulfillment of the Senior and
Honors Program requirements.
2 In Chinese culture names are written as (last name, first) name so they have been
modified to reflect (first name, last name) for the purpose of this paper.
1
75
�dissatisfaction of the farmers, miners, and laborers with the social structure. One of the
goals of the rebellion was originally to educate others on the work of God, while another
goal was to break down the bureaucratic structure in place. This would lead to one of the
bloodiest civil wars in history, approximately 30 million would die by the end of the war.
The significance of this war stems from the earlier interactions between the British and
the Chinese which would also influence the current events in Hong Kong today.
In accordance to Chinese thought, societal unity can remain throughout times of
war with an importance placed on upholding tradition and respecting the past, which was
stronger than going to war. The influence of imperialism and capitalism from the British
would lead to a shift in Chinese culture through the Taiping Rebellion. These differences
are conveyed through the events of the First Opium War, the Arrow War, and the current
events in Hong Kong today. This is also observed through the introduction of Liang’s
notes on his conversion from Confucianism to Christianity, which influenced Xiuquan
Hong’s perception of Chinese society. 3 The introduction of missionaries emphasized the
cultural differences between the two nations which would ultimately create dissonance
once the war ended and Britain gained Hong Kong as a colony. The introduction of
Western and capitalist ideals combined with Protestant and Whig ethics culminated in the
Taiping Rebellion.
It was difficult to find primary sources discussing the Opium War and the
Taiping Rebellion since the Qing Dynasty destroyed a majority of the material. This is
partially because most materials written by the Taiping—people involved in the rebellion
against the Qing Dynasty—were destroyed following the rebellion. Some sources that
were discovered, have issues with their translations or the initial meanings were lost or
misunderstood. This occurred with the manuscript by a-Fa Liang—some sources say his
name is “Lin a-Fa” while others refer to him as Liang. This caused some confusion since
it led to discrepancies of whether this was the same person or if the translation was
reputable. This was found in different works especially when searching for verification of
the author’s names and checking for consistency in sources. The lack of original
documents made it difficult to search for and find primary sources. Another issue
encountered was that most of the documentation came from the British archives and
accounts so some of the material is biased.4
Throughout this paper I will refer to him as Xiuquan Hong because he is also referred to
as Hung Hsiu-chu’uan in other sources.
3
4 William Theodore De Bary et al., Sources of Chinese Tradition: From 1600 through the
Twentieth Century, 2nd ed., Introduction to Asian Civilization (Columbia University
Press, 1999), p. 170.
76
�To understand the differences between the East and West a close examination of
the early interactions between China and Britain is necessary. In the early 1800s, China
was an isolated nation that valued their economic and material self-sufficiency. A pivotal
moment in Chinese society took place during the Warring States period, in 475 BCE to
221 BCE, when the different Chinese provinces fought against each other for control of
the region. At this time, the feuding Chinese provinces were conquered to form one
Chinese Kingdom under the unification of one dynasty. Bureaucratic and philosophical
changes also occurred during this period based on input from philosophical thinkers. One
of the most prominent thinkers during the Warring States period was Confucius.
Confucius focused on intellectual cultivation in the lens of status, class, and hierarchy in
society. Once interactions with the British increased in the nineteenth century, Chinese
historians focused on following their traditional values including writing about the past as
dictating the events of the year instead of as a narrative, which was prominent in Western
society. One example used throughout Confucius’ work is the Chinese imperial system;
this system relied on Confucius concepts, which established the Tang Code between 618906 CE and implemented by the Tang Dynasty. The Tang Dynasty created a History
Bureau to record events that occurred during their time in power. Throughout this time,
history-writing dictated political functions. The use of Confucian concepts such as Yi, an
aspect of Confucianism that encompassed a sense of righteousness and justice, to justify
why certain dynasties lost favor with Tian, the God of Heaven is relevant to understand
their cultural identity in the new social order. This is observed in the traditional Chinese
judicial system and the regulation of domestic ideas and traditional values in the mid1800s.
The Chinese judicial system was best expressed through Confucius ideals and
beliefs, as well as a lack of the Western concept of nationalism since there was an
emphasis on familial ties rather than the individual. The concept of putting the individual
first was prominent in Western nations at this time. The Chinese judicial system was
implemented in the Tang Dynasty in 624 CE. The Tang code used “Confucianisation” to
represent societal views and law codes since the fundamental aspects of the religion were
deemed important by the dynasty. In turn, having a foundation in Confucian values led
to the lack of enforcement in the judicial system and reliance on law to maintain societal
structures.5 When the Manchus, a group of nomadic tribes from Manchuria who then
travelled towards China, conquered the Ming Dynasty in 1636; they established the Qing
Dynasty—the last dynasty of imperial China.6 The Qing government continued the
5
6
De Bary et al., Sources of Chinese Tradition, p. 170.
Francis K. Aldred, “China’s Struggle to Break with its Past the Adoption of Western
77
�practice of Yi and the Tang Code from the Ming Dynasty in the form of requiring
Confucian ideals. According to this belief, the state should not be involved in the lives of
commoners since they would carry out societal functions individually. This relates to the
implementation of Liji, the Confucian Code of Rites, which became the sole doctrine
dictating social order and action in 1644. This is important because there was an
increased focus on collectivism, doing one’s part to maintain the whole structure and
order. The magistrate could make decisions based on the situation by interviewing
commoners without a public hearing; this is an example of not disturbing the social order
throughout the Qing Dynasty.
According to the statute of Liji, the law can only be applied to those whose
actions go against social norms. The district magistrate of China would investigate the
crime by utilizing society to create acceptable boundaries.7 Magistrates during the Qing
Dynasty would also function as scholars by cultivating Confucian ideas in the form of
moral training and knowledge of Confucian literature, which influenced Chinese
historiography—studying the writings of history. In China, there was an emphasis on
morality and the importance of lessons. The bureaucratic officials of the Qing Dynasty
created a school of “evidential scholars”, which tended to be those who took the test to
become magistrates. “Evidential scholars” would analyze and evaluate historical sources
on the basis of tying them back to Confucian tradition.8 This led to the creation of NeoConfucianism, the philosophical application of the religious beliefs, which is referenced
in the fundamental aspects created in the Tang Code that were elaborated on when the
Qing Dynasty came to power.9
Yuan Wei was an “evidential scholar” loyal to the Qing Dynasty. He created
the concept of Jingshi and substantive learning to analyze the development of the Qing
Dynasty. Jingshi is based on Neo-Confucian beliefs like self-cultivation, governance,
human agency, practical affairs, and objectivity.10 The purpose of understanding the state
stems from knowledge about the self and human agency—a sociological principle
detailing engagement within a set social structure.11 According to Wei, “laws and
Ideas in the 19th and 20th Century,” The Journal of the West Virginia Historical
Association, vol 10, issue 1, (1986), p. 1-3.
7
De Bary et al., p. 172-173.
Jeremy Popkin, From Herodotus to H-Net: The Story of Historiography, (Oxford
University Press, 2016), p. 35
8
9
De Barry, et al., p. 176.
10De
11
Bary et al., p. 185.
De Bary et al., p. 202.
78
�systems are based on human agency” which are influenced by past historical events.12
An example of this is observed through the Qing Dynasty’s implementation of Jingshi
through a civil service examination to become a member of the upper class. Jobs became
available to scholars to dictate the importance of the Empire in relation to the West; since
this occurred scholars were part of the elites in Qing society. This is important to note
because it represented the rewriting of Chinese history in their favor. Wei attempted to
connect the Qing Dynasty to the bigger world context which was dominated by European
influences.
One of the fundamental principles of Neo-Confucianism focuses on selfactualization, Li, in relation to the God of Heaven, Tian; it is said to represent the
relationship between humanity and a greater being in hopes of becoming one with
Heaven. To encounter self-actualization, one must reflect on one’s role in the family and
one’s role in society. This relates to filial piety, a child’s relationship with their parents
and ancestors. The hierarchy created by filial piety led to a stronger connection to the
family and a lack of nationality. This virtue also placed an emphasis on embracing
Chinese culture by specifically focusing on opposing conflicts and war because there was
no sense of fighting for one’s country.13 This is because Neo-Confucianism focused on
ethics and morality in reference to social order and family responsibility.
Historians have called the period of Qing rule as the end of the Middle Kingdom
in Chinese Foreign relations, because China was the economic and cultural center of the
East at this time. By 1820, China’s gross domestic product (GDP) was roughly twenty
percent of the world market; in comparison to Britain’s GDP, which was fifty percent of
the world’s total economy.14 This is important because it represents how self-sufficient
the Chinese economy was since they did not need to rely on Britain for goods. The Qing
Dynasty implemented chaogong tizhi, the tribute system, because they believed they
were superior to the British in regard to their economic prosperity. The Chinese were
also wary of foreign traders since they tended to not partake in peaceful trade
negotiations. In turn, this would destabilize Chinese society and lead to political unrest
by promoting piracy and rebellion.15 This is also important to note because the British
12
De Bary et al., p. 185.
William Sin, “Confucianism, Rule-Consequentialism, and the Demands of Filial
Obligations,” Journal of Religious Ethics, vol 47, issue 2, p. 377-378.
13
“12 Facts on China’s Economic History,” The Globalist, November 10, 2014,
https://www.theglobalist.com/12-facts-on-chinas-economic-history/.
15 Wolfgang Keller, Ben Li, and Carol H. Shiue. “China’s Foreign Trade: Perspectives
from the Past 150 Years,” The World Economy, (2011), p. 858.
14
79
�considered the tribute system, a highly regulated trade system in China, to be archaic
even though China was self-sufficient, and their GDP was a substantial amount of the
world economy.
The Chinese implemented the tribute system to monitor interactions between the
East and the West in 1638 when the Manchus conquered the Ming. The system created a
sanctioned trading post at Canton, China, between Hong merchants and foreigners.16
Hong merchants were members of the trade monopoly in Canton during the Qing
Dynasty. This monopoly was the only exchange between the Chinese and the British;
trade was closely examined by the Qing government since they were wary of foreigners.
The Guild of Hong merchants was sanctioned to handle trade via an imperial edict
created by the Qianlong Emperor in 1760. This system was deeply rooted in NeoConfucian ideology since it follows the “Confucian World Order,” the idea that the
Chinese hierarchy is rooted in a Confucian social order portrayed by the belief that
humans are unequal in their moral standing.17 The tribute system is similar in principle to
that of the anthropological gift exchange, where goods are exchanged to reinforce social
and moral behaviors and social hierarchies. Those who participated in the tribute system
would have to pay respect to a superior by giving them material goods. In turn, the
superior would reward the giver with a higher status or backing in regard to familial
disagreements.18 This resembles the gift exchange since it is a form of status
reinforcement that is an endless cycle. This is significant because the Qing Dynasty
expected the British to pay tribute to them in the form of silver because the Qing believed
they were “superior” to the British.19
Britain had struggled to find which British goods would sell well in China
because of China’s background as an isolated and self-sustaining country that claimed
that they did not need outside goods. The British government under King George III
placed emphasis on the prosperity and security of trade with China and the effects of free
trade.20 Through this trade, Britain gained numerous goods like silk, porcelain, and tea.
16
See Appendix A, Figure 1.1
Hao Gao, “Going to War Against the Middle Kingdom? Continuity and Change in
British Attitudes towards Qing China (1793–1840)” The Journal of Imperial and
Commonwealth History, (2017), Vol 45, no 2, p. 210-212.
17
Paul Cohen, “Changes Over Time in Qing History: The Importance of Context,” Late
Imperial China, Vol. 37, No. 1 (June 2016): p. 10.
18
Cohen, p. 10.
Hao Gao, “Understanding the Chinese: British Merchants on the China Trade in the
Early 1830s,” Britain and the World, vol. 12.2 (2019), p. 160.
19
20
80
�British traders started to form relationships with unsanctioned Chinese merchants that
was later referred to as a form of “unauthorized trade.”21 This was established following
the Thirty Years War, which happened from 1618-1648. This system focused on
“sovereign equality and autonomy.”22 Originally, China demanded silver in exchange for
the goods provided but this was difficult for the British to obtain because they were
outsourcing the material from Africa and South America. Due to an increased demand
for Chinese silk, tea, and porcelain in the British market, the British attempted to find an
alternative good to replace silver to trade with China since trade between Britain and
China led to Britain incurring large amounts of debt.
In Britain, free trade was influenced by Christian reforms through the
Government of India Act in 1833, and the First Opium War from 1839 to 1842. The
Government of India Act extended the charter for the British-East India Company (BEIC)
for another twenty years; prior to this, the BEIC was a commercial body that was
considered a monopoly through the trade it had with China. After this act, the BEIC
became an administrative body. The abolition of the monopoly and regulations on opium
led to the smuggling of opium to increase by almost tenfold. The Whig Party, the leading
party in Britain, believed that a country like China who blocked free trade was not just
exercising sovereignty but was undermining modernization. This party thought that the
imposed regulations from the Qing Dynasty were taking away from British laborers
earning silver. The Whig Party also believed that Chinese traditions went against the
concept of free trade since Confucianism placed values on familial ties instead of on selfadvancement.23
To rectify this, a commodity grown in the British colony of India, known as
opium, would be a sufficient item to trade. The BEIC gained profits from growing
poppies and turning them into opium to sell. Opium was dried sap obtained from the
seeds of the opium poppy. It was used recreationally by mixing it with tobacco for
smoking or it was taken orally. The drug’s effects were stronger when smoked and it was
highly addictive. The British knew that the drug was addictive, so they banned the
smoking of opium in Britain under the rule of King George III in the 1600’s. The British
21
Gao, “Understanding the Chinese,” p. 160.
Yuan-kang Wang, “Explaining the Tribute System: Power, Confucianism, and War in
Medieval East Asia,” Journal of East Asian Studies, no 13 (2013), p. 207.
22
Colin Sargent. “The Big Loaf and the First Opium War: Capitalism and Domestic
Policies in the British Empire 1813-1846, Special Forum: Proceedings from North
Eastern University’s 2012 Graduate Student World History Conference on Empires and
Technologies in World History”, The Middle Ground Journal, no. 1, 2014, p. 5.
23
81
�then pushed for the trading of opium in lieu of silver because of its highly addictive
nature.24
Emperor Qianlong and King George III exchanged letters because of the
increased influx of opium imports in China. The letters show their respective biases
towards the tribute system. Emperor Qianlong’s letter to King George III is significant
since it represents the traditional mentality the Emperor had. In his letter, Emperor
Qianlong goes into detail discussing how Europeans who remained in China can do so
and they should adopt traditional Chinese customs and ideals. The Emperor shows his
dismay over the King’s belief that dynastic regulations would be modified to allow for
trade to continue in the East. Prior to this letter, King George III sent Emperor Qianlong
gifts to support their partnership since China was not accepting European trade. Emperor
Qianlong also mentions that there were a multitude of different countries in Europe so he
believes that submission to England would influence the peace and prosperity of China.
According to the Emperor, the demands presented by King George III “are not only a
contravention of dynastic tradition but would be utterly unproductive…”25 This quote is
significant since it represents the different cultural perspectives of China and Britain.
China embraced its more dynastic and traditional societal roles while Europeans viewed
China as a backward nation that was not modernizing. Historians view this as a cultural
difference that would eventually lead to increased tensions leading up to the First Opium
War.
Since the 1960s, historians have viewed the introduction of Western ideals in
China as an essential aspect of their historical identity. John K. Fairbank was one of the
first historians to examine the relationship between the Chinese and the British.26 He
based his analysis on Western and Chinese sources. A majority of his sources came from
the Washington Department of State archives, the customs archives from Shanghai, and
the British Consular archives.27 According to Fairbank, the First Opium War occurred
because of strong cultural differences between the East and the West. Fairbank’s
Alain Peyrefitte, The Immobile Empire—The first great collision of East and West—the
astonishing history of Britain’s grand, ill-fated expedition to open China to Western
Trade, 1792-1794, (New York: Alfred A. Knopf, 1992), p. 520-545.
24
E. Backhouse and J.P.P. Bland, “Emperor Qianlong’s ‘Mandates,’” Annals and
Memoirs of the Court of Peking, p. 323.
25
John K. Fairbank, Trade and Diplomacy on the China Coast: The Opening of the
Treaty Ports, 1842–1854. (Cambridge, Massachusetts: Harvard University Press) 1953,
p. 1-3.
27 Gao, “Understanding the Chinese,” p. 163.
26
82
�research found China to be a conservative nation that was tentative to opening its borders
to foreign nations. In turn, the British were a progressive nation pushing for capitalism
based on Whig ideals, like supporting the merchant class.28 The British were concerned
with the rising tensions between Chinese Commissioners, who were opposed to, and
attempted to stop the opium trade and British traders. British traders began trading
opium with Hong merchants in 1757 undermining the regulations the Chinese put in
place.29
The system led to increased tensions within China since the government was
unable to regulate trade because it exceeded the use of the Hong merchants—merchants
sanctioned by the Qing governemnt to trade with foreigners at the port of Canton.30
Britain’s need to reform and end the tribute system and instill free trade was a driving
force for the First Opium War. The Whig Party in Britain focused on the concept of free
trade, international exchanges without tariffs and other economic sanctions. This idea
differed from the traditional Chinese view since the British believed they blocked free
trade as a means of exercising sovereignty, which undermined modernization and
expansionism.31 Therefore, the British thought that Chinese traditions and policies went
against the concept of free trade, which was another factor that ultimately led to the First
and Second Opium War between Britain and China.
The Whig Party in Britain began in 1680 and continued to be prominent until
1850. They were the dominant party until King George III’s reign in 1760 when the
Tories regained power. The Whigs then regained control during the reign of Queen
Victoria in 1837. Their focus lay in supporting aristocratic families as well as Protestants
since they had a similar goal in expanding industry to other countries. A major
component of Whig ideas was held in the push for industrial growth. This is because the
Whig party gained support from the mercantile class. Since a majority of Whig
supporters were traders, there was a push by the party to increase capitalist interactions
with other countries like China. This is relevant to understand the introduction of Whig
thought in China. The Whigs attempted to introduce the concept of personal freedom,
which is different from the Chinese value of the family and collectivism. Another
Capitalism was called free trade by the Whigs. For the sake of consistency, I will refer
to free trade as Capitalism throughout the paper.
28
29
Fairbank, p. 5-9.
Zexu Lin. “Commissioner Lin’s Letter,” International Relations of the Chinese
Empire, vol 1, (Shanghai 1910), p. 137.
30
Dilip K. Basu, “The Opium War and the Opening of China: A Historiographical Note,”
Ch’ing-shih wen-t’i, Volume 3, Supplement 1, (1997), p. 5.
31
83
�important component of Whig thought was the move towards progress for the
Enlightenment of others. This is significant because there was now a focus on human
reason influencing society regardless of past events.32 Chinese historiography tended to
document past events as a means of understanding and recording what occurred.33 It was
not recorded with an in-depth analysis of the events, instead, Chinese historiography was
a list of recorded events, like battles and trade routes, that referenced an important part of
their history.
Fairbank believed the British East India Company (BEIC) played an essential
role in trade issues between China and Britain. The BEIC was a monopoly that pushed
for expanded trade in China even though the Chinese government wanted to isolate trade
to one location in Canton. In the eighteenth century, Chinese commerce with the BEIC
for opium made up almost two-thirds of the trade with the West in Canton. Fairbank
states that the interactions between the two nations became tense following the Governor
of Hong Kong’s push to use force against China to show that Britain had more power.
Fairbank also analyzes class struggle in China as a means of the implementation of
Confucian ideology. He cites the Neo-Confucian political, social, and economic order as
a means of influencing the negative attitudes the Chinese had towards the British.
Chinese scholars during this dynasty began to argue and justify certain claims to analyze
past events in relation to recent complications. The imperial system was modified to
include the Foreign Inspectorate of Customs, a group of Chinese officials that oversaw
trade, which was established during the Qing Dynasty. By 1858, the Foreign Inspectorate
of Customs oversaw all treaty ports.34
Fairbank also states that the creation of the Foreign Inspectorate of Customs was
one of the essential points that led to the push of Western imperialism in China because it
was based on a hierarchical system. Hong merchants were at the bottom of the social
order and were considered to be of low rank compared to scholars and civil servants who
were members of Jingshi.35 Within the social class structure, the hierarchy created was
based on the need to become a gentry-scholar and become a civil servant. This is
significant because the civil service examination, Jingshi affected the social class
structure by pitting the gentry-scholars against the agricultural peasants. The differences
Geoffrey Holmes, and Szechi, D., The Age of Oligarchy: Pre-Industrial Britain 1722–
1783, (Routledge: 2014), p. xi.
32
33
Popkin, p. 35.
34
Fairbank, p. 12-13.
35
Fairbank, p. 16-17.
84
�between those who were members of Jingshi, civil servants, and those who were peasants
relied mostly on their exposure to Western concepts and ideals. Hongmou Chen, a
Chinese scholar and Qing official created the concept of Jingshi in regard to the idea of
substantive learning—the critical analysis of philosophical, historical, and literary texts in
regard to Confucian ideals. Chen’s analysis focused on political-economic problems
since the Qing Empire was rapidly growing in these areas. He wrote a series of letters to
other Chinese intellectuals, following the Warring States period, discussing the
importance of statecraft and the necessity of remaining an isolationist nation.36 Fairbank
states that peasant society centered heavily on filial piety and other Confucius values,
while Chinese scholars relied heavily on Confucian texts to justify the tribute system.37
Fairbank does not go into further detail of what effects trade had on the two nations since
he focused more on cultural interactions.
Fairbank’s explanation of the causes for the Opium War differed from Professor
Chung Tan, University of Delhi India. In the 1970s, Tan debates the significance of
Fairbank’s claim that the war was caused by differing cultural ideologies. He states that
Fairbank “provided the occasion rather than the sole cause of the war.”38 This means that
Fairbank is looking more at the conditions surrounding the war, while Tan is looking at
the root causes of the war. Tan’s main argument was that the clash of socio-economic
interests around the opium question was the primary cause of the First Anglo-Chinese
War. According to Tan, the Opium War was fought to restructure the Chinese economic
and social system so it would reflect the British systems that were in place. He critiqued
Fairbank’s argument about the tribute system as stereotyping the foreign merchants as
those who were against Chinese traditions in relation to economic gain. He claimed that
Fairbank uses “Sino-centrism,” which refers to the ideology that China is the cultural,
political or economic center of the world, to justify the start of the war by labelling this
period as China’s Middle Kingdom. His main argument revolves around George
Macartney’s, a British diplomat, visit to China to speak with the Emperor in 1794. Since
Macartney refused kowtow, paying respect by kneeling down on the floor and bowing by
touching your head to the floor three times, he never received an audience with the
Emperor. According to Fairbank, if Macartney had been able to meet with the Emperor
to discuss trade conditions and terms, the Opium War may not have occurred.39 Tan
36
De Bary et al., p. 184–86.
37
Fairbank, p. 16-17.
Tan Chung, China and The Brave New World: A Study of The Origins of The Opium
War (1840-42), (Carolina Academic Press) p. 5-9.
39 Chung, p. 52-63.
38
85
�believed that the Macartney Embassy was indeed a factor that contributed to the war, but
he insisted that it did not play a major role in the impeding conflict.
The causes of the Opium Wars were re-examined again in 2017 when Professor
Hao Gao, University of Exeter in the United Kingdom, reevaluated the subject.40 He
utilized many of the same sources Fairbank and Chung used since he also critiques their
arguments. Gao stated that the concepts introduced by Fairbank and Chung were only
surface-level understandings that did not go in-depth on the actual causes of the war. He
scrutinized British attitudes towards the Chinese based on Sino-British encounters before
and during the opium trade. He also looked at the differing cultural representations and
policies they provided in China throughout this time and how they related to the outbreak
of war.41 Gao argues that the political acceptance of China occurred because political
actors, like Commissioner Zexu Lin and Macartney, influenced a shift in attitudes the
British held towards the governmental institutions of the Qing Dynasty in China. He
further states that there is a lack of evidence as to the exact reasons why Britain decided
to engage in war against China. He states that this could be because of the shift from
amicable to tense relations. Gao states that to understand the causes of the war, it is
necessary to examine the period before it. Under these circumstances, he claims that the
Macartney Embassy from 1793-1794, the Amherst Embassy from 1816-1817, the Napier
incident of 1834, and the opium trade from 1839-1840, led to a shift in Chinese ideology.42
In 1794, the Macartney Embassy was the first British diplomatic mission to
China. The mission was meant to focus on opening new ports for trade between Britain
and China, to establish a permanent embassy in Beijing, and to reduce trade restrictions
between British and Hong merchants at Canton. Despite the push by the British to
increase trade negotiations, the mission is considered to have failed because they could
not come to an agreement. Even though this occurred, Macartney stated in his diary that:
“our present interests, our reason, and our humanity equally forbid the thoughts of any
offensive measures with regard to the Chinese, whilst a ray of hope remains for
succeeding by gentle ones.”43 This is significant to note because Macartney believed that
it was necessary to preserve the current state of economic trade in China if Britain wanted
I had email correspondence with Professor Gao discussing primary source material.
He also provided specific sections of his research I could look into for my
historiographical analysis. I would like to thank him for his input.
41 Gao, “Going to War Against the Middle Kingdom?” p. 210-212.
40
42
43
Gao, “Going to War Against the Middle Kingdom?” p. 213-218.
Gao, “Going to War Against the Middle Kingdom?” p. 219-223.
86
�to gain lucrative assets; it would be important to avoid war since China did not have the
necessary assets to hold their own against Britain.
Twenty-two years later, William Amherst was sent to China to establish a new
embassy. After the Macartney Embassy failed the hope was to establish a better, more
secure, and equal trade protection for the two countries. Amherst stated in a letter to the
King that the Qing Emperor was not agreeable in terms of his treatment and expectations
of the British. He did not participate in kowtow because he felt that the British had been
treated unfairly by the Emperor. This negative experience caused the travelers of the
Amherst mission to suggest that Britain should adopt a firm stance against the trade
regulations put in place by the Chinese. Gao claims that following the Amherst mission
there were increased tensions between Britain and China due to the uneasiness and lack
of trust, which was observed through the introduction of opium to China even though it
was banned by the Qing Emperor. These tensions increased in the 1830s and would lead
to a conflict between Britain and China.44
According to an anonymous British merchant’s experience with the opium trade
in China, the exchange of opium went against the laws of the Chinese empire. His
account was written in approximately 1830. Even though the British considered opium
poison, the Britsih merchant believed that the laws set forth by the empire contradicted
the need for international trade and reciprocity. The British merchant viewed the Chinese
government’s attempt to stop the opium trade as an injustice to the process of
international trade. He mentioned “the people in the Western world poison themselves
with wine…the Chinese should be poisoned with opium.” This is significant because the
British viewed the Chinese as a subservient community that was full of prejudice since
they denounced the wholesale trade of opium within their borders.45
This supports a firsthand account by an American merchant in Canton. The
American merchant explains that the opium trade was a moral issue. The American
merchant referenced the Chinese as “healthy, active, hard-working, and industrious
people.”46 This tends to contradict the personification of the Chinese since Europeans
believe they are addicted to opium. Those who smoke habitually do not share the traits
the American merchant used to describe the merchants in Canton. The American
merchant also states that he has lived in “Canton, Macao, and Hong Kong” for forty years
and the use of smoking opium was not present throughout these cities up to the end of the
first Opium War. 47
44
Gao, “Going to War Against the Middle Kingdom?” p. 223-225.
45
“A British Merchant’s Answer,” The Chinese Repository, Vol V, p. 407-412.
“A British Merchant’s Answer,” p 409.
46
87
�These two merchants differed in their understanding of Chinese culture based on
their own experiences with trade. The British merchant’s perspective stems from the
Whig concept of free trade and that the Chinese were going against this principle.
Through British and Chinese interactions, it can also be noted that the British looked
down on the Chinese because of the negative interactions they experienced. This differs
from the experience of the American merchant because America and China did not have
negative trade interactions prior to the First Opium War. The first interaction between
the Chinese and the Americans occurred in 1783, when American sailors came to China
to get access to tea. They arrived on the ship, The Empress of China. Originally the
Chinese traders at the Port of Canton were skeptical about the trade; later on, the Chinese
did not perceive the Americans as a threat since they were on more equal footing during
trade negotiations.48 The varying perception and difference in attitudes is portrayed
through the different accounts by the merchants.
In 1811, Zexu Lin, a scholar of Jingshi, was appointed to a post in fiscal matters
and public works in Canton, China.49 Because of his background in statecraft and a strong
desire to eradicate the opium trade, he was promoted to Commissioner in the 1830s when
opium smuggling was at its peak. His first actions were against the Hong merchants and
Western traders—all crates of opium at the Port of Canton were subsequently destroyed.
During this time, Commissioner Lin wrote a letter to Queen Victoria of England
discussing his concerns over the opium trade and the present urgency for it to cease.50
Written in 1838, the letter detailed the hardships the Chinese encountered from
trade with Britain. He called the British merchants “barbarians” and “hypocrites” since
smoking of opium was illegal in England yet when the Chinese wanted to ban opium it
became an ethical problem for the British.51 Commissioner Lin believed that Britain was
only doing this for their own economic gain. According to the Commissioner, the
smoking of opium was banned in Britain which went against the push for Opium
consumption in China. He believed that if China were to cut off trade with countries like
W.C. Hunter, The Fan Kwae at Canton Before Treaty Days: 1825-1844, Shanghai,
1911, p 79-80.
48 Robert G. Sutter, U.S.-Chinese Relations: Perilous Past, Pragmatic Present, (Lanham,
Maryland, Rowman and Littlefield Publications Inc.: 2010), p. 32.
49 See Appendix A, Figure 1.2
50 Lee, Ji-Young (2017), China's Hegemony: Four Hundred Years of East Asian
Domination, Columbia University Press, p. 187.
51 Zexu Lin, “Commissioner Lin’s Letter,” International Relations of the Chinese
Empire, vol 1, (Shanghai 1910), p. 139.
47
88
�Britain, China would not suffer because of their prior isolationist nature. Instead, Britain
would suffer since they would lose access to products like silk. He goes even further to
state that a triple profit can occur because Chinese products can be sold to Britain and
later sold to other countries for consumption and use so Britain’s economy would flourish
by trading opium with China. The rhetorical question, “if the barbarians do not bring
opium, then how can the Chinese people resell it, and how can they smoke it?”, sums up
the point Commissioner Lin is attempting to make because he believes the root of the
problem stems from the trade itself.52 The Qing attempted to stop the sale of opium, so it
was then smuggled in by the British and the Hong merchants to attempt to make a profit.
As Commissioner of the region, he states that those who did not follow the rules would
be sentenced to death. This is important since it would increase tensions between the two
nations because Commissioner Lin claimed that those who partake in the opium trade
would be penalized with death. Historians claim that this source was the catalyst for the
beginning of the First Opium War. Instead, the document provides support for the
implementation of the capitalist system and the push for Westernization since the British
disagreed with the traditional aspects and dynastic relations provided. In turn, they
viewed China as a weaker nation that should rely on international trade to survive.
Commissioner Lin’s policies were based on Neo-Confucius ideas like reciprocity that are
present in the tribute system.53 His actions and derogatory tone in the letter to Queen
Victoria negatively influenced the tensions between Britain and China which would
ultimately be the catalyst for the First Opium War.54
The British Foreign Secretary, Lord Palmerston, sent a letter to Sir Henry
Pottinger, who was a member of the British envoy in China. Palmerston was a British
official who originally wanted to pacify China. Instead, the action of the destruction of
the crates of opium gave him the incentive to go to war against China. He states that the
Chinese government had banned the trade of opium and the punishment for trading the
product would be death. In this instance, Lord Palmerston believed that the Chinese
government was fully entitled to stop the trade but that the British should undermine the
government’s authority and continue to use the “unauthorized trade.” His letter was
shared with Baron Thomas Babington Macaulay, who served as the Secretary of War
from 1839 to 1841. Macaulay was an important Whig thinker and his writings
introduced Whig ideas to India. He discussed the push by the West to increase progress
52
“Commissioner Lin’s Letter,” p 139.
53
Lin, p. 138-144.
54
This is referenced in multiple sources I have examined for my argument.
89
�in the form of industry, and to have missionaries spread their beliefs so conversion could
occur. He believed that opium was an addictive substance that was damaging the
Chinese states. Despite this, he argued that Commissioner Lin’s letter was a form of
intimidation that backfired.55 Palmerston’s letter to Macaulay is said by some historians
to have influenced the decision to go to war against China.56
On August 29, 1842, Queen Victoria and Emperor Qianlong signed the Treaty of
Nanjing. Article III of the Treaty of Nanjing stated that the Island of Hong Kong was to
be ceded to the British. Another stipulation of the treaty was that China would have to
pay reparations and open up five treaty ports in addition to Canton.57 According to the
Treaty, the British would be able to reside in Hong Kong to continue their economic
pursuits.58 This treaty, among others, greatly weakened the Qing Dynasty’s dominance
in the East. America based The Treaty of Wang-hea on the Treaty of Nanjing in regard to
sanctions placed on China.59 The Treaty of Wang-hea was signed on July 3,1844. It was
negotiated by Caleb Cushing and Peter Parker from the United States, and also hindered
the existing tribute system in Canton since the United States would be of equal status
with Britain in terms of international trade. A clause of The Treaty of Wang-hea was that
Chinese subjects would be held accountable for their actions under Chinese law, while
American citizens would be held accountable by the American counsel in China. This
also applied to the British because Britain was listed as a most favored nation (MFN).
This meant that there would be equal trade advantages, such as lower tariffs and higher
import quotas that Britain would receive.60 These treaties became known as the “unequal
treaties” since the Qing Dynasty was forced to sign them and agree to the terms set forth
by Britain and America. The Qing Dynasty became weak and corrupt following China’s
Peter J. Kilson, “The Last War of the Romantics: De Quincey, Macaulay, the First
Chinese Opium War,” The Wordsworth Circle 49, no. 3 (Summer 2018), p. 148.
55
S. Couling, “Lord Palmerston’s Instructions to Sir Henry Pottinger respecting Opium,
May 1841,” Encyclopedia Sinica, London, 1917, p. 406.
56
57
See Appendix A, Figure 1.3
The Statistical Department of the Inspectorate General of Customs, “From the Treaty
of Wang-hea” China: Treaties, Conventions, Etc., Between China and Foreign States,
Vol 1 (2017), p. 351-356.
58
Some sources refer to the Treaty of Wang-hea as Wagnxia and Wanghia. Throughout
this paper I will be referring to the American Treaty as the Treaty of Wang-hea.
60 The Statistical Department of the Inspectorate General of Customs, “The Most-Favored
Nation Clause: Article VIII, Treaty of the Bogue,” China: Treaties, Conventions, Etc.,
Between China and Foreign States, Vol 2, (2017), p. 393.
59
90
�defeat at the hand of the British following the First Opium War. There was political
unrest since the elite members of the Qing government had begun to lose their position in
the social hierarchy. This was because domestic opposition to the old system emerged.
Western influence in Hong Kong increased during this period. Since Hong
Kong was now a British colony, there was more exposure to Western concepts like
capitalism. Hong Kong is approximately 6,000 miles from London; despite being a
British Crown Colony, ninety eight percent of the population were Chinese.61 The
presence of the British in Hong Kong influenced numerous factors of development. In
the colony’s early years there was a large influx of refugees who wanted to partake in the
financial success Hong Kong was incurring. In this sense, the drive to increase income
was similar to that of the West. This is because the focus lied in balancing life, making
money, and enjoying spending it, which were basic capitalist principles. Through these
principles Hong Kong became a world financial center.62 This is expressed through
statistics detailing the percentage of increase of trade in the region.
Following the First Opium War in 1842, Sir Henry Pottinger was promoted to
British Plenipotentiary. He was given jurisdiction over the colony of Hong Kong.
Pottinger used Hong Kong to expand trade networks in the East. He claimed that China
had the potential to increase stock prices for Britain because of its location and the
opportunity for an influx of goods to trade. The volume of goods traded in Hong Kong
increased drastically during this time since the colony was considered by historians to be
the bridge between the East and the West. This is important to understand the
relationship between Britain and Hong Kong based on the significance of trade relations.
Larger countries were less likely to trade with China through Hong Kong, instead the
region was favored by smaller countries that did not mind the exchange occurring
through an intermediary. Between 1865 to 1900, on average 41.36 percent of imports
and 26.94 percent of exports took place in Hong Kong. Compared to Great Britain, Hong
Kong experienced more imports and less exports.63 This is because the colony’s role was
to be an intermediary as part of the entrepot trade with China. Throughout this period,
trade between China and Britain increased greatly because of the use of Hong Kong as a
bridge between the two nations. From 1870 to 1950, Hong Kong was the entrepot for 50
percent of the trade of China’s exports. The opium trade with China gradually decreased
61
Jan Morris, Future Shock in Hong Kong. (New York: Random House, 1987), p. 3-5.
62
Morris, p. 4.
63
Wolfgang Keller, et al., “China’s Foreign Trade,” p. 870.
91
�and abruptly stopped in 1910. This is because other goods like cotton became a more
desirable commodity.64
The Second Opium War, also known as The Arrow War, began in October 1856
when Qing officials boarded the Chinese owned ship the Arrow, which was registered as
a British vessel. The ship was registered in Hong Kong with a British captain, so the
Qing were suspicious of the crew. Part of this is because of the “unequal treaties” signed
twelve years earlier. The American Treaty of Wang-hea contained a clause citing that it
would be renegotiated after being in effect for twelve years. Since America and Britain
were both of MFN status, Britain claimed that they should also have the opportunity to
renegotiate The Treaty of Nanjing. Based on the MFN status, Britain demanded that all
trading ports be opened to British merchant companies, that the opium trade is legalized,
and piracy is suppressed. Under this treaty, Chinese merchant ships were then registered
in Hong Kong as British merchant ships. In turn, Qing officials arrested most of the crew
of the Arrow because they thought that it was a pirate ship based on the conditions of the
Treaty of Nanjing. Since the ship was registered as a British ship, it was protected.
Negotiations regarding the release of the crew became heated and led to an eventual war
between China, Britain, France, Russia, and the United States. At this time the Qing
were fighting the Taiping and the Western powers, so they ceded to the West since they
did not have the resources to continue the battle.
Prior to interactions with the British and during the Opium Wars, Confucian and
Neo-Confucian thought was prominent in China. One well-known thinker from this
period is Xingyao Zhang. Zhang believed missionaries were harmless and should be
welcomed to China. He was a prominent scholar who published his book in Chinese
titled An Examination of the Similarities and Differences Between the Lord of Heaven
Teaching [Christianity] and the Teaching of Confucian Scholar’s from 1702 to 1715.
Zhang equates the Lord of Heaven (of Christianity) to the Lord-on-High (from
Confucianism). He states that the five teachings from Confucianism strongly influenced
Chinese culture, as well as the ideas that spread from Christianity. He claims that
Confucianism will lead to being saved even if other religions follow one main God
instead of separate deities or ancestral lines.65
According to Zhang, Western missionaries only came to China to educate and
save the world from sin. This aligned with the idea that all religions focus on Heaven and
Earth and will lead to an eternal life if one avoids sin. The focus on all forms of religion,
as a means of enlightenment and not as a threat to societal customs is referenced in
64
65
Wolfgang Keller, et al., “China’s Foreign Trade,” p. 874.
De Bary et al., p. 153–54.
92
�Zhang’s understanding of the foundational views of different religions. This is important
since prior accounts would show the superiority of Confucianism over Christianity.
Religion was perceived as a strong nationalistic and isolationist view for the Chinese
since it led to the creation of a collective culture. Zhang focuses on three major points to
show the similarity between the two different religions. The two religions support each
other in regard to basic premises. The points are that the harmonious ideas observed
through Confucius’ teachings, and the fact that Confucius would have wanted there to be
a relationship between the Lord’s teaching and the Lord’s scholars. In this case, the
Lord’s scholars also refer to Christian missionaries.66
The interaction between the Chinese and Jesuit missionaries in the 19th century
increased tensions between the East and the West, which is best expressed through the
1811 statute of the Great Qing Code, titled “Prohibitions Concerning Sorcerers and
Sorceresses.”67 The statute declared that Europeans who preached about the spread of
Catholicism would be sentenced to death in China. Following this, British Protestant
missionaries entered China in an attempt to convert them to Protestant Christianity and
introduce them to Western ideals. This occurred in approximately 1807 and coincided
with the Second Great Awakening. The Second Great Awakening was a Protestant
religious revival during the early 19th century. These missionaries hoped that a
distinction would be made between Jesuit Catholicism and Protestantism so the statute
would not apply to them since Jesuit Catholics were mentioned by name.68
In the 1980s, Peter Fay critiqued both Fairbank and Chung’s perspectives on the
opening of China for trade. He claimed that the determination of Protestant missionaries
to ‘open up’ China was crucial to the outbreak of the war. According to Fay, at the
beginning of the nineteenth century, China remained untouched and closed off to the rest
of the world. During this time there were limited sanctioned interactions between
merchants at Canton and the West, since the tribute system was in place. According to
Fay, the cause of the Opium Wars lay in the setup of the tribute system since the tensions
between Britain and China stem from differing concepts of trade. Fay examines the
Opium Wars without a focus on Western relations, but instead, he claims that the Chinese
were the ones who opened the country up to trade because of the influence of Western
Christian missionaries. Fay only used sources found in the British archives and his
66De
Bary et al., p. 153–54.
Will Slatyer, Life/Death Rhythms of Capitalist Regimes – Debt Before Dishonour: Part
III Forecast Dominance (Partridge Publishing Singapore, 2014), p. 20.
67
68
Slayter, p. 23.
93
�stance favored the British imperial perspective—that it was their duty to spread their
beliefs. Since Fay only focused on sources from British missionaries, he is lacking in the
influence of Chinese Christian missionaries like a-Fa Liang. Without examining the
Chinese perspective, he was unable to identify the connection between missionaries and
the Taiping Rebellion.69
Following the First Opium War there was an influx of British Protestant
missionaries in China. This led to an increased presence of Christian beliefs in the five
treaty ports, which would later spread throughout other areas of China. Liang, a farmer
in China, converted to Christianity and became the first Chinese Christian missionary.
He wrote a tract titled Good News to Admonish the Ages. This would be destroyed by the
Qing dynasty so Liang would re-publish the tracts that he had memorized which would
then be circulated throughout China. A copy would fall into the hands of Xiuquan Hong,
a poor farmer from the Guangdong region. Hong attempted to become a member of
Jingshi but after failing three times he fell into a period of depression. Once he fell ill, he
began to experience hallucinations of a man who he would later claim was God telling
him to fight back against the oppressive Qing Dynasty. To better understand his vision
there needs to be a close examination of Jingshi and the influence of Christian beliefs on
the region.70
Liang was one of the first converts to Protestantism in China. He was raised on
a farm and left his family to become an apprentice for a block cutter in a printing
establishment near the foreign factories in Canton. While working as a block cutter he
came into contact with Christian texts—though he did not initially understand their
meaning, two British missionaries, Robert Morrison and William Milne, helped to
enlighten him about the texts. Liang was poorly educated so he was unable to read
English, because of this the missionaries would share their teachings with him, and he
would write them down in Chinese. In 1816, he was baptized by Morrison and Milne.
Liang was the first recognized Chinese Protestant minister who became an ordained
minister in 1827 and later worked under the London Missionary Society—the
missionaries recounted their experiences in China. In 1830, the London Missionary
Society published in London, Good News to Admonish the World, detailing the
missionaries’ time in China and discussing converts like Liang. The text spanned five
hundred pages of collections of writings and Chinese periodicals. During this time Liang
Peter Ward Fay, The Opium War, 1840-1842: Barbarians in the Celestial Empire in
the Early Part of the Nineteenth Century and the War by which They Forced Her Gates
Ajar, (The University of North Carolina Press), p. 1-6.
69
70
Yu-Wen Jen, The Taiping Revolutionary Movement, (Yale University Press, 1973), p. 12.
94
�wrote his own manuscript titled, Good Words to Admonish the Age, being Nine
Miscellaneous Christian Tracts based on the work of the London Missionary Society—
there are currently only four known copies of the manuscript. Liang wrote his
manuscripts in Chinese, which is important to note since those who were not educated in
English were able to read his writings. The manuscript was comprised of pamphlets and
quotes that Robert Morrison translated from the Bible. It also included sections of the
Scriptures, short sermons, and the importance of the Bible.71 Earlier versions of the
manuscript were destroyed by the Qing Dynasty since they viewed Christianity a threat
and associated it with defeat following the First Opium War.
Xiuquan Hong obtained a copy of Liang’s manuscript when he was going to
take the Jingshi examination for the third time.72 The examination was based on The
Four Books or Four Canonical Books that was written during the Song Dynasty, 9601279 CE, as a basic introduction to Confucianism. These books were collections of
Chinese scriptures based on Neo-Confucian beliefs. The civil service examinations were
based on these texts. Hong was originally a poor farmer from the Guangdong region in
China. This region is in close proximity to the British colony of Hong Kong. In 1837,
the Reverend Issachar Jacox Roberts met Hong, who was looking for a Christian
missionary to decipher the dreams he was having. Roberts wrote a journal about his
experience in China and he explicitly mentioned the teachings he used to educate Hong
on Christianity. His writings detail his experience on the inside of the Taiping Rebellion
and the steps Hong took to create the rebellion.73 Roberts began his career in Chinas as
part of the ministry in Hong Kong in 1842, following the events of the First Opium War.
Hong “had envisioned himself as the second son of God.”74 When Roberts met with
Hong, he recalled that he and his companions had copies of the Bible in Chinese and
English translations.75 This is important because Hong had a fundamental knowledge of
Christian beliefs before he implemented them in society.
Eugene Powers Boardman, Christian Influence Upon the Ideology of the Taiping
Rebellion, 1851-1864. (New York: Octagon Books, 1972) p. 3.
71
Walter T. Durham, “A Tennessee Baptist Missionary in China: Issachar Jacox Roberts
and the Taiping Rebellion, 1837-1866,” Tennessee Historical Quarterly, Vol 72, no 2, p.
95.
72
Durham, p. 100-101.
Jonathan A. Seitz, A Critical Introduction to Liang A-Fa China’s First Preacher, 17891855, (Pickwick Publications, Eugene, Oregon), p. xiv-xv.
75 Boardman, p. 117.
73
74
95
�After failing the provincial examination to become a member of the gentry
under the Qing Dynasty, Hong fell ill for roughly forty days. While he was ill, one of his
visions was of a respected man with a white beard and blonde hair who revealed to him
that the human race was filled with sinners who have strayed from the work of God.
According to Hong, the figure handed him a sword and a seal to fight against the demons
in the world, in this case, the Qing Dynasty.76 He would later claim that he was the
younger brother of Jesus Christ. Hong thought that these visions were God’s message to
him to stop idolatry. He came to this realization after reading Good Words to Admonish
the Age, being Nine Miscellaneous Christian Tracts by Liang.
Hong’s analysis of his visions culminated in the Taiping Rebellion in 1850. His
anger at Qing society stemmed from being blocked out of the social hierarchy created by
the Qing. The Taiping became militarized and took action to regain areas of China in
their name. Since they began to fight back against the Qing Dynasty, the Qing attempted
to squash the rebellion through whatever means necessary. This led to the Qing Dynasty
asking the British for help to stop the immediate threat. This rebellion is significant in
the grand scheme of Chinese history since approximately twenty to thirty million people
died. Some historians claim that this was one of the bloodiest civil wars in history, yet
there is a lack of available sources due to the fact that the Qing Dynasty destroyed a
majority of the materials relating to the Taiping.77
Taiping beliefs, a branch of Christianity using most of the same concepts, was
founded by Hong using Liang’s manuscript which is said to have been the theological
source of the rebellion. One of Hong’s cousins informed him that Liang’s manuscript
was worth reading because of its relation to the disarray in the current state of the Qing
Dynasty following the First Opium War. The religious and moral ideas presented in the
manuscript helped to inspire Hong to apply these concepts to the Taiping Movement.78
Good Words to Admonish the Age, being Nine Miscellaneous Christian Tracts used its
foundation in the Christian religion and the theological vision Liang proposed about the
mixing of Chinese culture. Liang believed Christianity would co-exist within a new form
of Chinese society. Hong believed this version of society would be open to potentially
radical ideas like those that would later be presented by the Taiping. The mixing of the
two religions would make China a stronger country that would not be under the
tyrannical Qing Dynasty. Hong used this to justify the creation of the Society of God
Boardman, p. 119.
Jen, The Taiping, p. 10.
78 Sukjoo Kim, “Liang Fa’s Quanshi liangyan and Its Impact on the Taiping Movement,”
(PhD Dissertation, Baylor University 2011), p. 4-6.
76
77
96
�Worshipers, which would later be known as the Taiping Heavenly Kingdom. Hong
pulled aspects of Liang’s manuscript to justify his stance on why the Qing Dynasty
should fall. These aspects were Liang’s under Confucianism, his conversion to
Christianity by Morrison and Milne, the Ten Commandments, and the requirements of
being a Christian.
A companion of Hong, Yunshan Feng, created the Society of God Worshippers
in Guangxi region in 1844. Their original goal was to spread the ideas read about in
Liang’s manuscript. Feng was charged with treason in 1848 by a member of the local
gentry, Tsohsin Wang. The accusation was based on the scriptures of the Society of God
Worshippers; Wang claimed that “They have confused the people and have gathered
together several thousand men in order to follow the Old Testament of the barbarians,
rather than the law of the Qing Dynasty.”79 This quote is significant since it portrays the
division of loyalty between the elite and the poor. Since Wang was a member of the
elite, he claimed that the introduction of Christian values in relation to Chinese tradition
was blasphemous because they caused a disregard for the Qing Dynasty and their values.
In 1849, a majority of the members of the Society of God Worshippers were
“tenants, farmers, labors, and mine workers.”80 Of the several thousand members, most
came from the Guangdong province—this is noteworthy because there was animosity
between them and the Qing elites in the area. Frequent fights over money occurred
between the two groups. In 1850, the Qing Dynasty courts appointed Commissioner Lin
as the Imperial Commissioner to Guangxi. This was the beginning of Qing intervention
against the Taiping. The intervention by Commissioner Lin culminated in the peasant
uprising in Jintian Village on January 11, 1851, where the Taiping Heavenly Kingdom
and the Taiping Dynasty were established.81 Hong and his followers prepared for
potential conflict against the Qing Dynasty—even though Qing law stated that it was
illegal for citizens to possess weapons, the Taiping armed themselves by secretly
constructing weapons at a factory owned by a member of the rebel group.82 Weapons
Ho Chen-ch‘uan, ―A Treatise on the Establishment of the Heavenly Capital in Chinling, in The Taiping Rebellion: History and Documents, vol. 2, Documents and
Comments, ed., Franz Michael and Chung-li Chang (Seattle, WA: University of
Washington, 1971), p. 253.
79
80
Sukjoo Kim, p. 12.
81
Sukjoo Kim, p. 15.
82
Jen Yu-wen Papers (MS 1924). Manuscripts and Archives, Yale University Library.
This source was only accessible through a summary since I could not gain access to the
97
�were also smuggled in by the British to aid the rebels with their cause. Since the rebels
obtained weapons they were perceived as a threat to the status of the Qing Dynasty.83
Christianity was an important aspect of the Taiping Movement because their
initial beliefs about the formation of a new societal structure stemmed from missionaries.
Numerous missionaries like Marquis L. Wood, supported the rebel cause since they
believed their beliefs would help spread Christianity. Originally missionaries backed and
supported the Taiping Rebels. Wood, an American missionary documented his
experience in China throughout this period and the good he believed Hong was doing.
Hong founded the Taiping Heavenly Kingdom in southern China on the basis that he was
the “Heavenly King” or Jesus’ brother. Wood’s perspective of the Taiping rebels was
influenced by his Protestant religion since he believed that opening up China to
Christianity was justifiable even though the rebels were killing those who went against
them. Wood believed that as long as the Taiping were fighting in the name of
Christianity, they could continue to fight for their cause.84 Despite this, he was
prejudiced against the Chinese, which is customary of someone who was raised to believe
that their view was the correct and only view. Wood’s diary lacks a timeline of what
occurred throughout the rebellion, it tends to focus on his feelings and beliefs. Even
though his diary is vague in regard to retelling the events it is significant since it shows
the support missionaries initially gave the Taiping.
Important aspects of the Taiping Movement were the Ten Commandments as
well as the concept of repentance, the elimination of "perverted spirits," baptism, and
praying to God and Jesus Christ.85 Since this movement occurred following the Opium
Wars, there was an anti-Christian bias present in China. Christianity was linked to
foreign aggression and extreme defeat. In turn, the educated classes and the gentry
viewed Christianity as sacrilege since it went against Confucian traditions and was
considered a threat to Chinese culture by the Qing. During this time the gentry was
considered the “guardians of Confucianism.”86 Familial ties and heritage in the form of
actual document. The citation is copied from the Yale University Website Library. MS
stands for Manuscript.
Cheryl M. Lawrence, “The Taiping Rebellion as Seen Through the Eyes of Marquis L.
Wood,” Methodist History, Vol 44, no. 4, p. 3-5.
83
84
Lawrence, p. 7.
King-To Yeung, “Suppressing Rebels, Managing Bureaucrats: State-building during
the Taiping Rebellion, 1850-1864,” p. 68.
86 Robert P. Weller, Resistance, Chaos and Control in China: Taiping Rebels,
85
Taiwanese Ghosts and Tiananmen, (Seattle, WA: University of Washington Press,
98
�shrines and tablets were important in Chinese tradition because the concept of family and
worship went hand-in-hand in Confucian values. The Taiping rebels would vandalize
shrines and destroy ancestral tablets which greatly angered the gentry. The Taiping did
this in order to promote Christian monotheism.87 Without the events of the Opium Wars,
the hostility between the two groups would not have been as apparent. Even though the
Taiping did not claim that Confucianism should be eradicated, their actions against those
who followed Confucius beliefs drove a wedge in the social structure of society. This is
because Confucian officials lost the security previously held in their positions through the
Jingshi system. The Taiping removed Confucian officials and those with loyalty to the
Qing Dynasty from their positions.
As this was occurring, the Qing Dynasty fought against the Taiping army.
Ultimately, the Taiping ended up conquering the city of Nanjing, which would become
the capital of the Taiping Dynasty since they declared the region to be under their control.
The area they conquered was meant to be separate from the Qing Dynasty.88 A new
bureaucratic system was created under this new dynasty that was different from the social
structure in the Qing Dynasty. In turn, the Taiping believed Qing bureaucracy was in the
hands of those who monopolized money and power. There was a total of sixteen
commissioners in positions of power. One of these commissioners was Commissioner
Lin, even though his letter to Queen Victoria helped to initiate the First Opium War. The
commissioners served as commanders-in-chief for the Qing Dynasty to plan attacks
against the Taiping.89 These commissioners were part of the central control of the
dynasty since they played a key role in maintaining the Qing system of Jinghshi. From
1851-1856, 2.3 percent of those in bureaucratic positions in regions controlled by the
Taiping were dismissed or demoted. This differs from areas that were not under Taiping
control, which had a dismissal rate of approximately 0.5 percent. This reflects the need
for Taiping to construct a new social order that supports their agenda.90 The Taiping
Rebellion was not just a push for Christianity, it was also a push for a change to the
political and social structure of China.
1994), p. 39.
87
Weller, p. 43.
88
See Appendix A, Figure 1.4
King-to Yeuong. “Suppressing Rebels, Managing Bureaucrats: State-Building During
the Taiping Rebellion,1850-1864,” Dissertation, Rutgers, The State University of New
Jersey, 2007, p. 62-65.
89
90
King To-Yeung, Predicted Probability of Dismissal or Demotion in Rebellious Era:
Taiping vs. Non-Taiping Provinces, 2017. p. 117.
99
�Following this, missionaries began to denounce the Taiping Rebellion, which
stems from the signing of the Treaty of Tianjin between China, Britain, Russia, France,
and the United States. The treaty “assured the missionaries of a lawful status as long as
the Qing Dynasty remained in power.”91 This led to a shift in the relationship between
Christian missionaries and the Taiping since the missionaries stopped supporting the
efforts made by the rebels. The Taiping religion was not a branch of Protestantism, so it
was not considered a proper Christian religion.92
The emergence of the Hunan Army initially stemmed from the creation of
smaller armies in each province of China. Eventually, the Hunan Army would become a
united militia under Guofan Zeng, a retired Vice-President of the Board of Rites. Once
the provinces united to form one cohesive army, the breaking down of Confucian values
continued because this form of unity went against the initial Confucian views. Without
the combination of the different provinces into one army, the chances of defeating the
Taiping would have been slimmer. The emergence of a strong united militia in the form
of the Hunan Army helped to squash the Taiping Rebellion. In August 1860, the Taiping
decided they wanted to take over Shanghai which would expand their empire and region
of control. They were met with Qing troops commanded by Zeng, the leader of the
Hunan Army, and a British naval blockade. Zeng was also a Confucian scholar who was
a descendant of the philosopher Zengzi who was a student of Confucius. Through Zeng’s
experience learning about Confucianism, he applied it to his battle strategies.93
Zeng was appointed to the Qing Dynasty as Commissioner of the Militia of
Central China in 1852. He was tasked with arming approximately 17,000 men with
weapons and training. Under Neo-Confucian ideology the saying of the army during the
First Opium War was "Soldiers had no fixed commander, commander had no fixed
soldiers."94 This differed from the saying during the Taiping Rebellion, which was
“Soldiers followed the general, soldiers belonged to the general.”95 This shift shows the
Kenneth S. Latourette, The Chinese: Their History and Culture, 4th ed. (New York:
Macmillan Company, 1964), p. 280-81.
91
92
Latourette, The Chinese: Their History and Culture, p. 280-81.
93
Latourette, The Chinese: Their History and Culture, p. 280-81.
Jonathan Chappell, “The Limits of the Shanghai Bridgehead: Understanding British
Intervention in the Taiping Rebellion, 1860-62,” The Journal of Imperial and
Commonwealth History, vol. 44, no. 4, 2016, p. 539-541.
94
William T. Rowe, China's Last Empire: The Great Qing (History of Imperial China),
(America: 2009), p. 301.
95
100
�influence of the British in China because beforehand the Chinese saying reflected the
lack of unity in their militia; after the British got involved a uniform collective was
created. The prior saying also references the connection to familial ties and NeoConfucian values against war since there was no drive to fight for one cause. With
British intervention, the concept of a leader and personal gain was present in the set up of
the Chinese militia.
The battle for Shanghai continued through January 1862, when the Taiping were
ultimately defeated. This is because of resistance created by the Hunan Army supported
by troops commanded by Charles George Gordon, a British administrator and army
officer who was a member of the British Army. The army he commanded in China
became known as the “Ever Victorious Army” because it used British military tactics to
successfully destroy the Taiping rebels. The army was comprised of Chinese soldiers and
led by European officials. The “Ever Victorious Army” was only active from 1860 to
1864 during the Taiping Rebellion since the Qing Dynasty requested aide from Britain.
This is due to the fact that the Qing Dynasty did not have a structured militia and they
lacked aide since there was a lack of assets because of the reparations they were forced to
pay to Western nations. These reparations were placed on the Qing Dynasty from the
First and Second Opium War in the “unequal treaties.” Once the British sent aide to the
Qing Dynasty, their military leaders implemented European techniques, tactics, and
strategies to the training regimen. This played an important role in putting down the
rebellion because the Taiping were fighting using brutal tactics that were not uniformed,
it was similar to guerilla warfare. This is notable because the “Ever Victorious Army”
was the first Chinese army to utilize European techniques, tactics, and strategy.96 The
reconquest of areas under Taiping control slowly began with the command of Zeng and
by 1864, a majority of the areas were back under Qing control.
In May of 1862, the Hunan Army along with the “Ever Victorious Army” began
to surround Nanjing.97 Hong claimed that God would defend the capital, but the Hunan
Army cut off supply routes that led to the city, so the city was in turmoil. He died of food
poisoning directly following the low supply of food. Before his death, he was sick for
roughly twenty days and he continued to preach that God would protect his followers
despite the impending threat. Following Hong’s death, the Qing army overtook the city.
Four months before his death and the fall of the Taiping Heavenly Kingdom, Hong
handed the throne to his eldest son Tianguifu Hong at the age of fifteen. His
inexperience as a leader only hindered the Taiping Heavenly Kingdom. He was unable to
96
97
Bruce A. Elleman, Modern Chinese Warfare, 1795-1989. (Routledge: 2001), p. 52.
The Hunan army is also referred to as the Xiang Army in some sources.
101
�rectify street-fighting and other internal issues that helped lead to the fall of the empire.
Once the empire fell, Tianguifu and the other Taiping princes were executed to
extinguish the bloodline of the empire. Those who remained loyal to the Taiping kept
fighting until they were pushed to the “highlands of Jiangxi, Zhejiang, Fujian and finally
Guangdong.”98 Any Taiping supporters left were moved out of the prosperous areas of
the Qing Dynasty and back to the farmlands. Once defeated the Qing dynasty attempted
to erase the events of its history since it was one of the bloodiest civil wars. They
destroyed most firsthand accounts of the war. Roughly twenty to thirty million people
died during this rebellion.99 This is a historic number because the death toll because of
the influence it had on both sides. Approximately 100,000 people died in the last battle
that overthrew the Taiping Dynasty. In the end, the Qing victory led to the fall of the
Taiping Heavenly Kingdom. Despite this victory, the central government of Jingshi
weakened due to distrust of peasants and some officials based on the fact that the Taiping
were able to rise to power in the first place. This rebellion negatively affected the
perception the Chinese had of Christianity because of the radical views and actions of the
Taiping. Missionaries became unsure of their presence in China because Qing officials
no longer backed them.100
The relationship between the British colony of Hong Kong and China held fast
until Hong Kong was handed back to China in 1997.101 The British Governor of Hong
Kong at the time was Sir David Wilson—he was the 27th person to hold that title. During
this time, he was preparing to return Hong Kong to the Chinese since the contract made
in the Treaty of Nanjing of being a colony expired. Even though it was decided that
Hong Kong would be returned to China in 1984, the actual act of ceding Hong Kong
back to China occurred in 1997. The Chinese government agreed to allow the colony’s
capitalist system to remain unchanged once it was back under their control.
Despite Western influences in regard to the economic foundation of Hong Kong,
it was by no means a democratic society. Ideas like “free speech, thought, and
opportunity” were also present among the Hong Kongese.102 A hybrid culture existed
Richard J. Smith, Mercenaries and Mandarins: The Ever-Victorious Army in
Nineteenth Century China (Millwood, N.Y.: KTO Press, 1978), p. 24-29.
98
Stephen R. Platt., Autumn in the Heavenly Kingdom: China, the West, and the Epic
Story of the Taiping Civil War. (New York: Knopf: 2012)
99
Thomas Reilly, “Sectarian Conspiracy in the Taiping Rebellion: The View from the
Chinese Elite,” Department of History, Pepperdine University, p. 24-26.
100
101
102
Wolfgang Keller, et al., “China’s Foreign Trade,” p. 864, 870, 874-875.
Morris, p. 4.
102
�which focused on globalization, “the convergence of economic and financial systems
world-wide.”103 Once combined with the People’s Republic of China, the former colony
could maintain its capitalist economic system. Deng Xiaoping, the leader of the People’s
Republic in China from 1978 to 1992, coined the term as “one country, two systems.”
The original agreement was that Hong Kong would be left alone by China until 2040.
Since Hong Kong was economically sufficient due to the trading infrastructure created by
the British during the Opium Trade the people were more susceptible to British thought.
This led to a decline in traditional religious beliefs, as well as reducing the role of the
family—this was previously important under Neo-Confucian thought because of the role
of filial piety. In 1970, Hong Kong was mostly an affluent capitalist colony that did not
follow traditional Confucian beliefs such as order, self-control, and discipline. These
values were prominent in Chinese culture even following the fall of the Qing Dynasty
and the rise of Communism. The differing values of family ties and individualism
created dissonance between Hong Kong and China. This would lead to a cultural identity
crisis for the Hong Kongese because there was uncertainty surrounding if they were
British, Chinese, or their own people.104
This is relevant to understand the issues occurring in present day Hong Kong
regarding the protests. Without the influence of the British during the period of the
Opium War and their treatment as a British Crown Colony, the Hong Kongese would
never have created their identity based on economic success and individualization while
rejecting traditional Confucian values. In February 2019, Hong Kong’s Security Bureau
submitted papers that proposed a new amendment to the existing legislature. This would
provide for a case-by-case examination of extraditions, where one jurisdiction delivers a
person accused or convicted of committing a crime in another jurisdiction. In this case
those who committed a crime in Hong Kong would be sent to China whose jails were
much harsher than Hong Kong’s.
In March 2019, protesters went to the streets because of the possible extradition
bill. The bill stated that transfers of fugitives for all of China would occur and legal
assistance would be made between Hong Kong and other nations to catch the criminal.
There were five demands in place—they were: to withdraw the extradition bill; to look
into alleged police brutality; that protesters should not be referred to as rioters; to pardon
Kam Yi-Mak and Larry Harrison, “Globalisation, Cultural Change, and the Modern
Drug Epidemics: The Case of Hong Kong,” Health, Risk, & Society, vol 3, no. 1, 2001, p.
40.
103
Yi-Mak and Harrison, “Globalisation, Cultural Change, and the Modern Drug
Epidemics,” p. 50-55.
104
103
�protesters who were arrested; and to introduce a direct election for the governor and
assembly instead of the current system where forty to sixty percent were elected based on
profession.105 These demands were not agreed upon so civil unrest continued. The
ongoing conflict will surely heighten tensions between China and Hong Kong. The
public memory of being a British colony with certain freedoms led the people of Hong
Kong to look towards Britain and America for assistance in maintaining their freedoms.
Currently, revolts are still happening and at least one person has died. The impact these
revolts will have on Hong Kong is uncertain but the remembrance of them will surely
influence relations between China and Hong Kong in the future.
The introduction of Western values like individualism, capitalism, and Christian
religion influenced the development of Hong Kong while also introducing concepts that
were applied to the Taiping Rebellion. The First Opium War left China in shambles due
to the reparations placed on the country from the treaties that opened up more ports for
trade. This made China more susceptible to Western values. The interactions between
Britain and China during the First Opium War became the catalyst for Xiuquan Hong to
analyze his visions and status in Qing Society. To deal with his failure to join Jingshi, he
used Protestant Christian beliefs and Liang’s manuscript to create the Taiping Rebellion.
The Taiping’s tactics against the bureaucracy of the Qing Dynasty led to one of the
bloodiest civil wars in history. Despite this, the Taiping rebels were crushed once the
British intervened on behalf of the Qing. This foreshadows the influence of Western
beliefs on Hong Kong when it was a British Crown Colony. The culmination of the
differing values between Hong Kong and China led to the protests currently happening.
The influence of public memory of the First Opium War and the Taiping Rebellion is
relevant to understanding the current political climate in Hong Kong.
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Appendix A
108
�(Figure 1.1)
(Figure 1.2)
109
�(Figure 1.3)
(Figure 1.4)
110
�How Misrepresentations of Transgender
People in Film and TV Affect Society
Paige Tolbard1
Most people will live their entire lives without ever questioning their gender
identity. For a lot of humans, the way they dress and act is socially acceptable because it
matches the assumed behavior of the gender assigned by their genitals. But what if
wearing dresses as a person with a penis could get you killed? For many Americans, that
is the case. By October of 2019, nineteen transgender people had been killed due to
transphobic violence, and eighteen of them were women of color.2 The real number of
trans people killed is most likely larger, as many trans victims of violence are
misgendered in police reports. While nineteen may not seem like a large number, it is
nineteen people who were killed for exercising their freedom of speech and expression.
Why do transgender people evoke so much hate and discomfort from cisgender people?
The main cause of violence against any marginalized group is ignorance. Most
cisgendered people have met very few or never met a transgender person, or have never
learned what it truly meant to be transgender. This can leave people with the wrong ideas
about how transgender people live. When movies like Mrs. Doubtfire (1993), Ace
Ventura (1994), and Silence of the Lambs (1991) portray transgender people as liars, traps
for straight men, or killers, viewers of these films who know nothing about the real
transgender identity have nothing else to believe. Lack of accurate portrayal of
transgender people in film and TV contribute to the negative perceptions of transgender
people in society.
To be transgender means to have a different gender identity than the one you are
assigned at birth. Being transgender does not mean one is a pedophile, a psychopath,
deranged, nor does it mean one has a mental illness. In the 18th and 19th centuries, many
scientists declared that homosexuality and transsexualism meant the same thing. “Invert”
was the word they used to classify anyone with characteristics of the opposite gender.3
Written under the direction of Dr. Laura Morowitz for AH324-HO: Gender in the Visual
Arts.
1
2
Trudy Ring, “These Are the Trans People Killed in 2019” The Advocate Mag (OUT:
2019) https://www.advocate.com/transgender/2019/5/22/these-are-trans-people-killed2019#media-gallery-media-1.
112
�However, identifying as homosexual is classifying one’s sexual orientation, while being
transgender is classifying one’s gender identity. In the simplest of terms, being
homosexual refers to if someone is attracted to men or women, while being trans refers to
someone being a man or woman. The fact that it took so long for the two terms to be
distinguished from one another demonstrates the lack of understanding surrounding the
transgender experience. Even today, most people who are not transgender do not know
much about being transgender, or the process of transitioning.
Despite being a member of the LGBTQIA+ community, transgender people
often face discrimination from gay and queer people as often as they face discrimination
from straight and cis gendered people. In the beginning of the movement for gay rights,
many gays felt that transgender individuals represented a part of the LGBT community
that was “too transgressive,” and did not want to be associated with transgender people4.
In addition to outside criticism, many transgender people experience feelings of
internalized transphobia, where they feel that their identity and their feelings are morally
wrong and unnatural. With all of these societal pressures telling transgender people that
they do not belong in society, films and TV that support the transphobic notions only
make existing more difficult for trans people.
Many movies that have received awards and praise from critics actually include
harmful portrayals of transgender people. For example, the movie Mrs. Doubtfire (1993)
directed by Chris Columbus, casts Robin Williams as a father whose only way to interact
with his children is to dress up as a female housekeeper in his children’s home. Williams’
character was not even an identifying transgender woman, his character was simply
someone that used a costume to try and connect with his children. The scene where his
children found out about his actual identity is the controversial aspect about the film. One
of his sons sees him using the bathroom standing up while wearing a wig and a dress. To
the child, seeing a person who is feminine presenting stand up to use the bathroom is
unsettling. His son screams in fear of the person using the restroom, and refuses to talk to
Mrs. Doubtfire. The son calls Mrs. Doubtfire “he-she” to his sister, and proposes the idea
of attacking Mrs. Doubtfire in the scrotum.
While the son is only 10 or 11 years old, his first reaction to finding out
someone is transgender, is to attack them, despite never being harmed by the transgender
individual. Once the son finds out Mrs. Doubtfire is really his father, he asks his father,
3
Camden Goetz, “History of the Word: Transgender” (Point Foundation: 2019).
https://pointfoundation.org/history-word-transgender/
4
Ibid.
113
�“you don’t really enjoy doing this, right?”5 as a way to be reassured that his father is still
a “normal” person. William’s role and his son’s reaction perpetuate the idea that people
who are transgender are lying, hiding something, and are not to be trusted. It is marketed
as a family film, but includes scenes and dialogue that contribute to the
misrepresentations of transgender people.
Many lovers of the film Mrs. Doubtfire (1993) argue that the scene was simply a
part of a comedic film, and its meaning should not be exaggerated. The truth is that
scenes like this have the power to contribute to societal attitudes to the subjects they
portray. Take, for example, the issue regarding legislation on transgender people using
public restrooms. In 2016, the South Carolina legislature passed a bill that requires
individuals to use only the gendered bathroom that matched the gender one was assigned
at birth. The legislation was made right after President Obama’s term ended, and the
“Department of Education announced that under the Trump administration, the
department would no longer enforce Obama-era protections for transgender students to
use the restroom that aligns with their gender identities.”6 The change in legislation was
directly enacted to disenfranchise the transgender community of South Carolina.
Robin Williams as Mrs. Doubtfire
Many supporters of the bill argued that having people who identify with a
gender different from the one they were assigned at birth was unsafe for cisgendered
5
Mrs. Doubtfire (1993; Hollywood: 20th Century Fox, 1993), Dir. Chris Columbus.
6
Spencer Leland G, “Bathroom Bills, Memes, and a Biopolitics of Trans Disposability”
(Western Journal of Communication, 2019), 83:5, 542-559.
114
�people, as the individual’s presence put people at risk for sexual assault and harassment.
Basically, cisgendered people were scared that men who “dressed up as women” would
rape the women in the restroom. Rather than attempting to tackle the issue of rape culture
and sexual assault against women, South Carolina’s legislature decided this would be the
best way to “protect” its citizens. This reasoning subliminally implies that the transgender
people of South Carolina are not citizens, as the legislation was meant to protect the
states’ cisgender population and directly discriminate against transgender people.
Furthermore, the state legislature failed to recognize the disparities between violence
committed by transgender individuals rather than the violence committed against
transgender individuals. A survey done by the University of Hawaii about violence
against transgender individuals determined that “the most common finding across the
surveys and needs assessments is that about 50% of transgendered persons report
unwanted sexual activity.”7 The basis of the law was to protect cisgendered people from
sexual violence from transgender people. In reality, trans people face more sexual
violence from cisgendered people than they commit the sexual violence towards
cisgendered people.
Another film is the classic film Ace Ventura (1994). Jim Carrey plays a
character who has a love interest with a transgender woman. Jim Carrey’s character, Ace
Ventura, has to track down the criminal that took the Miami Dolphins team mascot, and it
turns out to be the team’s former kicker, Ray Finkle. However, at the time of Ace’s
discovery, Finkle no longer identified as a man, and was living as a woman named Lois
Einhorn. The love connection is quite pure, up until the point Jim Carrey’s character finds
out that the woman was born as a man. Once he realizes the woman he has kissed is
transgender, he furiously brushes his teeth and rinses his mouth out, disgusted by the idea
that he could ever have contact with a transgender person. The title of the scene is “she’s
a man.” The film is labeled as a comedy, and while Jim Carrey is attempting to rid his
mouth of any remnants of the transgender woman the audience is receiving the scene as
comedic relief. The disgust of being with a transgender woman is supposed to be
perceived as funny to the audience. Again, this adds to the idea that transgender women
are out to trick straight men. While there are underlying homophobic themes of the scene,
the main argument is that the woman who used to be a man was somehow lying to Ace,
and that their love is considered disgusting. In Ace Ventura (1994), when Jim Carrey
7Rebecca
L Stotzer, “Violence against Transgender People: A Review of United States
Data” (Violence and Aggression, 2009), 170–79.
115
�screams “she’s a man!”8 after discovering that the woman he kissed was born a man, he
misgenders Lois and deliberately disrespects her identity.
This scene contributes to the infamous “misgendering” phenomenon almost
every transgender person has experienced in their life. To misgender a person is to use
the incorrect pronouns to describe them; as in, calling someone who identifies as a
woman, “he” or “him.” Misgendering is incredibly disrespectful and undermining to
transgender individuals, as it discounts their attempts to be recognized as the gender they
feel most comfortable expressing themselves as. The Department of Psychology at the
University of California conducted an experiment where transgender individuals
documented the times that they were misgendered to examine the psychological effects of
misgendering. “Participants who reported more frequent experiences with misgendering
reported more identity importance, but less identity strength and congruence, than
participants who reported less frequent experiences with misgendering.”9 When a
cisgendered person refuses to use a transgender person’s preferred pronouns, it is an
attempt to ostracize the individual, and makes the transgender individual feel stigmatized.
Both films Mrs. Doubtfire (1993) and Ace Ventura (1994) fall under the film
category of “comedies,” but many classic horror films also include astoundingly
transphobic messages. Take for example, the timeless horror film Silence of the Lambs
(1991). The plot centers around a female FBI agent tracking down a serial killer named
“Buffalo Bill” who skins women and kills them. Buffalo Bill’s character is sadistic,
creepy, and coincidentally, gender queer. While his name is Buffalo Bill, the film
includes a scene of the killer dressing up in makeup, feminine clothing, and styling his
hair to that of a woman’s.10 It is obvious that Buffalo Bill does not conform to the typical
gender norms of a man, and to include that as a main characteristic for the film’s
notorious serial killer was an interesting choice of the film maker.
Buffalo Bill express himself with excessively feminine mannerisms and clothing
right before attempting to kill his final victim. This aspect of his identity was used by the
filmmaker to add to his disturbing nature, as it attempted to make the viewer even more
uncomfortable with Buffalo Bill. While there is no denying Buffalo Bill is a sinister
human, his gender expression should not contribute to his identity as a killer. The film
was made in the 1990’s, at a time when little to no characters on TV were transgender or
8Ace
Ventura: Pet Detective (1994; Hollywood: Warner Bros, 1994) Dir. Tom Shadyac.
9
Kevin McLemore, “Experiences with Misgendering: Identity Misclassification of
Transgender Spectrum Individuals.” (Self and Identity, no. 14, 2015): 51–74.
10
Silence of the Lambs, (1991; Hollywood: Orion Pictures, 1991). Dir. Jonathan Demme.
116
�gender queer. Portraying a serial killer as a transgender person creates a negative and
false representation of transgender people that had not been widely refuted.
Buffalo Bill in Silence of the Lambs
The same theme goes for Hitchcock’s famous horror film Psycho (1960)11. The
film revolves around a woman, Marion, on the run who stays at the character Norman
Bates’ motel. Bates’ and his mother have a complicated relationship throughout the film,
but the plot focuses on his relationship with Marion as he grows fond of her during her
stay in his motel. While showering in her room’s bathroom, Marion is killed by an
unknown figure. The scene of her death is incredibly jarring, and many critics have read
the scene as both a murder and a rape scene from the intentional camera angles used by
Hitchcock. As it turns out, Bates is actually the woman’s murderer. What was even
worse, was that he dressed as his mother while he killed the innocent woman. For this
reason, Psycho (1960) becomes yet another horror film portraying someone who dresses
as the opposite gender as a psycho and a killer.
Even though both films were created over 20 years ago, many of society’s
perceptions of transgender individuals have remained the same. In fact, many transgender
individuals avoid seeking help from healthcare professionals due to risk of being labeled
as a “freak” by the healthcare facility’s staff. A study done by the American College of
Emergency Physicians surveyed transgender and gender non-conforming individuals as
to what they believe would improve their experience as a gender queer patient in the
healthcare system. One of the participants stated that:
11
Psycho. (1960; Hollywood: Shamley Productions, 1960) Dir. Alfred Hitchcock.
117
�These types of experiences generated mistrust and lack of confidence in care
quality. Participant 22 (transwoman) asked, “Sort of makes you wonder, if they
can’t get your gender identity correct, what else along the way is being
misconstrued. What else are they screwing up behind the scenes that you don’t
know well? Or what other information isn’t getting passed along properly?”12
Negative stigmas surrounding transgender patients can affect not only the way they are
treated by the doctors, but also the quality of medical care they receive. With films like
Silence of the Lambs that represent transgender individuals as freaks, the stigmas become
even harder to debunk.
In conclusion, people who identify as transgender face prejudice from society
and transphobic people in their everyday lives. When films decide to cast cisgendered
individuals to portray the transgender experience or identity in a negative light, their role
reinforces the uneducated assumptions about transgender individuals. The assumptions
that people who are transgender are liars, freaks, or deceptive. Children who grow up on
movies such as Mrs. Doubtfire, that never meet a transgender person in real life, and are
never introduced to films representing transgender characters in a positive light, have no
reason to believe that transgender folks are not what Robin William’s played them as.
This ignorance is what keeps trans people from being able to use the restroom of their
choice, reach out to receive medical attention, or simply express themselves without
facing discrimination. To reduce the prejudice around transgender folks, the transgender
identity has to be normalized and destigmatized. To prove the negative stereotypes
wrong, more films that represent the concept of being transgender as normal and human
have to be produced. Recently, shows such as Orange is the New Black (2013) and Pose
(2018) have casted trans women to play the role of trans women, and highlighted their
experiences as trans individuals. Both shows include scenes about violence and
discrimination the women received for identifying as transgender, which give the viewers
who are not transgender, a chance to understand the difficulty of being transgender.
Unfortunately, both of those shows are relatively new to television screens, and have very
specific audiences viewing both shows. To reach out to viewers who would not be
inclined to watch shows centered around LGBT+ issues, positive portrayals of
transgender characters and experiences must be incorporated into mass media and
12
Elizabeth Samuels, Chantal Tape, Naomi Garber, Sarah Bowman, and Esther K.
Choo, “‘Sometimes You Feel Like the Freak Show’: A Qualitative Assessment of
Emergency Care Experiences Among Transgender and Gender-Nonconforming
Patients.” (Providence: Elsevier Inc, 2017)
118
�popular films and shows that a wide range of viewers watch. The task is not impossible to
complete, but it must include the work of cisgendered folks using their privilege to give
marginalized transgender people a platform. Society has to call out actors like Jim Carrey
who willingly play roles that are outwardly transphobic, and hold both the actors and
viewers to a higher standard.
Works Cited
Bao, Hongwei. “‘Shanghai Is Burning’: Extravaganza, Transgender Representation and
Transnational Cinema.” Global Media & China 3, no. 4 (December 2018): 233.
http://search.ebscohost.com/login.aspx?direct=true&db=edb&AN=133676515&site=edslive.
Booth, Tristan E. Queering Queer Eye: The Stability of Gay Identity Confronts the
Liminality of Trans Embodiment. Western Journal of Communication, No. 75. 2011.
https://www.tandfonline.com/doi/full/10.1080/10570314.2011.553876
Buffalo Bill (Online Image). Retrieved December 4, 2019, from
https://www.ecosia.org/images?q=buffalo+bill+silence+of+the+lambs#id=177292EFCF
B49DCEAEF031D1B2617594DD6B23FE
Capuzza, Jamie C., and Leland G. Spencer. “Regressing, Progressing, or Transgressing
on the Small Screen? Transgender Characters on U.S. Scripted Television Series.”
Communication Quarterly. 2017 https://www.tandfonline.com/doi/full/10.1080/
01463373.2016.1221438?scroll=top&needAccess=true
Columbus, Chris. Mrs. Doubtfire. 1993; Hollywood: 20th Century Fox, 1993.
Demme, Jonathan. Silence of the Lambs. 1991; Hollywood: Orion Pictures, 1991.
Goetz, Camden. “History of the Word: Transgender.” Point Foundation.
https://pointfoundation.org/history-word-transgender/
Hitchcock, Alfred. Psycho. 1960; Hollywood: Shamley Productions, 1960.
McLemore, Kevin A. “Experiences with Misgendering: Identity Misclassification of
Transgender Spectrum Individuals.” Self & Identity 14, no. 1 (January 2015): 51–74.
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�Mrs. Doubtfire (Online Image), Retrieved December 4, 2019, from https://is4ssl.mzstatic.com/image/thumb/Video62/v4/29/20/27/29202739-679e-a14b-a6c587e5dfa5eee7/source/1200x630bb.jpg
Samuels, Elizabeth A., Tape, Chantal. Garber, Naomi. Bowman, Sarah. and Choo, Esther
K. “‘Sometimes You Feel Like the Freak Show’: A Qualitative Assessment of
Emergency Care Experiences Among Transgender and Gender-Nonconforming
Patients.” Annals of Emergency Medicine71, no. 2 (2018).
Serano, Julia. Whipping Girl: A Transsexual Woman on Sexism and the Scapegoating of
Femininity. Berkley: Seal Press, 2009. ProQuest Ebook Central.
https://ebookcentral.proquest.com/lib/wagner-ebooks/reader.action?docID=679998
Shadyac, Tom. Ace Ventura: Pet Detective. Hollywood: Warner Bros. 1994
Solomon, Haley E. and Beth Kurtz-Costes. "Media’s Influence on Perceptions of Trans
Women." Sexuality Research & Social Policy 15, no. 1 (03, 2018): 34-47.
https://ezproxy.wagner.edu/login?url=https://search.proquest.com/docview/1992792646?
accountid=14865.
Stotzer, Rebecca L. “Violence against Transgender People: A Review of United States
Data.” Aggression and Violent Behavior 14, no. 3 (January 1, 2009): 170–79.
TheAdvocateMag. “These Are the Trans People Killed in 2019.” OUT, November 20,
2019. https://www.advocate.com/transgender/2019/5/22/these-are-trans-people-killed2019#media-gallery-media-1.
Ulaby, Neda. “On Television, More Transgender Characters Come Into Focus.” NPR.
NPR, April 23, 2014. https://www.npr.org/2014/04/23/306166533/on-television-moretransgender-characters-come-into-focus.
120
��
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Wagner College Forum for Undergraduate Research
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Wagner College, Staten Island, N.Y.
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Volume 18, Number 2
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Section I: The Natural Sciences & Quantitative Analysis -- Full Length Papers -- 3 The Antimicrobial Effects of Peppermint Oil, Cinnamon Oil, and Chamomile Oil on Staphylococcus aureus and Escherichia coli / Alexandra Ruth Elder -- 33 The Effects of Corporate Sustainability on Corporate Financial Performance / Graham Schmelzer -- Section II: The Social Sciences -- Full Length Papers -- 57 The Epidemic of Depression in National Collegiate Athletic Association Student-Athletes / Maria D’Amico, Nicole Doherty and Iman Eulinberg -- Section III: Critical Essays -- Full Length Papers -- 69 The Structure of Repression and Trauma in Slow River / Gina LaRosa -- 75 Changes in Sino-British Relations from the Opium Wars to the Taiping Rebellion / Jeanine Woody -- 112 How Misrepresentations of Transgender People in Film and TV Affect Society / Paige Tolbard
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��EDITOR’S INTRODUCTION
The Wagner Forum for Undergraduate Research is an interdisciplinary journal which
provides an arena where students can publish their research. Papers are reviewed with
respect to their intellectual merit and scope of contribution to a given field. To enhance
readability the journal is subdivided into three sections entitled The Natural Sciences and
Quantitative Analysis, The Social Sciences and Critical Essays. The first two of these
sections are limited to papers and abstracts dealing with scientific research, clinical
investigations and complex mathematical/statistical modeling. The third section is
reserved for speculative papers based on the scholarly review and critical examination of
previous works. As has become a tradition, the fall edition commences with a reprint of
the abstracts of papers and posters presented at the Eastern Colleges Science Conference.
Read on and enjoy!
Gregory J. Falabella, Ph.D.
Editor-in-Chief
Editorial Board
Dr. Annemarie Dowling-Castronovo, Nursing
Dr. Donald E. Stearns, Biological Sciences
Dr. Amy Eshleman, Psychology
Prof. Andy Needle, Art
Dr. Lori Weintrob, History
��Section I: Eastern Colleges Science Conference1
Abstracts
3
The Use of Open Source Docking and Alignment Software to
Evaluate the Dangers of Phthalate Induced Endocrine Disruption
Briana Bettencourt and Dr. Jonathan Blaize
3
Effects of Electroconvulsive Seizures on GABA Concentrations in
Mouse Models of Autism
Nicholas Buhta
4
Microbial Diversity Along Climate Zones in the Atlantic Ocean
Alexis Costa
4
Transient Exposure to 450 nm Light alters Phagocytosis by Retinal
Pigment Epithelium Without Compromising Viability
Joseph Fabozzi and Dr. Jonathan Blaize
5
The Antimicrobial Effect of Clove Oil, Tea Tree Oil and Lemon
Grass Oil on Klebsiella Pneumoniae and Enterobacter Aerogenes
Sarah McGee and Dr. Kathleen Bobbitt
5
The Effects of Xanthine Derivatives on Tooth Remineralization
and its Ability to Defend Against and Remove Staphylococcus Mutans
Sarah McGee, Kayla Diggs, Dr. Christopher Corbo, and Dr. Racquel DeCicco
6
Microbial Diversity Off the Antarctic Peninsula
Elizabeth Patton
6
Employing Green Chemistry Methods Towards the Synthesis of High
Efficiency Organic Dyes
Kelsey Savje and Dr. Racquel DeCicco
7
Accessing Diynes Containing Thiocyanate End-Groups En Route
towards Polydiacetylenes
Oskar Sundberg
1
Papers and posters presented at the 73rd Annual Eastern Colleges Science Conference held in
Riverdale, NY on April 6, 2019.
�7
Inhibition of Serum Amine Oxidase Prevents Polyamine Induced
Autophagy: A Cautionary Tale
Kaela Teele
Section II: The Natural Sciences & Quantitative Analysis
Full Length Papers
11 Fur-babies vs. Babies: A Study on the Consumer Behavior of Dog
Owners
Maria Humphries
Section III: The Social Sciences
Full Length Papers
49 Improving Resources for Survivors of Sexual Assault on Staten Island
Kathleen Leavey and Angela Zagami
Section IV: Critical Essays
Full Length Papers
61 Balancing Masculinity and Humanity in the Relationship Between
Macbeth and Lady Macbeth
Lindy Pokorny
66 “Her Lover, Her Husband, Her Brother, Her Father, Her Child”: Queering
Ender Wiggin’s Multi-faceted Identities in Orson Scott Card’s Speaker for
the Dead
L. Elise Whisler
���The Use of Open Source Docking and Alignment Software to Evaluate
the Dangers of Phthalate Induced Endocrine Disruption
Briana Bettencourt (Biology) and Dr. Jonathan Blaize (Biological Sciences)
Many physiological abnormalities that manifest within the nervous, reproductive and
digestive systems can be attributed to endocrine disruption. Treatment of the adverse health
effects born of exposure to endocrine disrupting chemicals (EDC's) cost the United States
approximately 340 billion dollars annually. Plasticizers including phthalates have long been
associated with induction of the forenamed conditions and have thusly been categorized as
EDC's. Diethylphthalate (DEP), a well-studied plasticizer, is suspected of dysregulating
estrogen signaling; this is particularly heinous as consequences include developmental
delays and physical deformation. More than twenty-thousand studies involving DEP are
indexed in the National Center for Biotechnology Information (NCBI/Pubmed), yet only
seven clinical trials evaluating DEP are available at the time of this submission
(Clinicaltrials.org), with fewer having been completed. While there is an increased
emphasis on elimination or reduction of phthalate usage and exposure, little is known about
preventing phthalate damage caused by pharmacological competition. To more critically
elucidate phthalate interaction with suspected targets we have employed computational
tools that simulate docking to identify plasticizer binding locations, estimate the affinity to
which they are bound (compared to natural ligands) and evaluate whether viable
alternatives can be used to outcompete EDC's. Our data shows staggeringly high docking
affinity of several common plasticizers, including DEP, to suspected targets within the
endocrine system and unsuspected targets throughout the body.
Effects of Electroconvulsive Seizures on
GABA Concentrations in Mouse Models of Autism
Nicholas Buhta (Biology)
Self-injurious behavior (SIB) is displayed in approximately one quarter of individuals with
autism spectrum disorder (ASD). Electroconvulsive therapy (ECT) has proven to be an
extremely effective treatment for self-injurious behavior in individuals with ASD.
Previous research has shown that GABAergic dysfunctions are strongly associated with
ASD and SIB phenotypes. Therefore, we hypothesize that the electroconvulsive stimulus
(ECS) delivered in ECT may modulate GABAergic systems to suppress SIB in ASD
patients. To better understand the effective mechanism in which ECT operates, this study
analyzes GABA concentration variations and behavioral changes in response to ECS of
two transgenic autistic mouse models, Shank3B-/- and Viaat-Mecp2-/y conditional knockout
3
�variants, which express behavior analogous to SIB. This study is not yet complete,
however, the data show that Shank3B-/- mice display a significant increase in striatal
GABA concentrations in response to ECS.
Microbial Diversity Along Climate Zones in the Atlantic Ocean
Alexis Costa (Microbiology)
Microorganisms can be found in all environments on Earth, including the oceans. Bacterial
community composition can vary from place to place in the ocean. One hypothesis is that
bacterial communities in tropical climate zones are different from those in temperate
climate zones. For this research, microbiome and metadata were obtained from a database
called VAMPS. VAMPS is an abbreviation for The Visualization and Analysis of Microbial
Population Structures. These samples were collected at 16 different locations in the Atlantic
Ocean, ranging from different climate zones. The computer program R was used, along
with various statistical packages, to determine if microbial communities from these two
climate zones were different. Using multivariate statistics to analyze the microbiomes, I
showed that climate zones have little effect on bacterial composition. Instead, specific
environmental variables such as phosphates, temperature, and silicates were correlated to
variability in microbiome composition. This may be because, below certain depths,
temperatures from each climate zone are actually similar. Future research can focus on how
specific environmental variables impact ocean microorganisms.
Transient Exposure to 450 nm Light alters Phagocytosis by Retinal
Pigment Epithelium Without Compromising Viability
Joseph Fabozzi (Biology) and Dr. Jonathan Blaize (Biological Sciences)
Phagocytosis of outer segments (OS) and reisomerization of chromophores by the retinal
pigment epithelium (RPE) are critical for maintaining visual health. Diseases of the retina,
including age-related macular degeneration (AMD), manifest when the aforementioned
processes are perturbed or RPE viability is compromised. Numerous factors, hereditary or
otherwise, have been implicated as contributors to RPE failure though none are as
paradoxical as light exposure since it is required for normal vision. While melanosomes
within RPE offer protection from photo-oxidative stressors, chronic irradiation contributes
to toxic biretinoid production and accumulation. N-retinyl-N-retinylidene ethanolamine
(A2E), a lipophilic cytotoxin, has been shown to reduce cellular viability, slow
phagolysosomal digestion of OS and hinder phagocytosis under certain physiological
conditions where oxidative phosphorylation mechanisms are stressed. The retina is
4
�particularly vulnerable to short electromagnetic wavelengths (<500 nm) and recent studies
suggest that increased mobile electronic device usage contributes to disease phenotypes.
Several laboratories have demonstrated photo-toxicity of blue light on RPE, though little is
known about the consequences of short-term exposure on phagocytosis. Our preliminary
results support a hypothesis of phagocytosis perturbation when cells are exposed to blue
light, (0.027 micromole), and that the duration and intensity of this exposure does not alter
morphology, induce apoptosis or change mitochondrial output.
The Antimicrobial Effect of Clove Oil, Tea Tree Oil and Lemongrass
Oil on Klebsiella Pneumoniae and Enterobacter Aerogenes
Sarah McGee (Microbiology) and Dr. Kathleen Bobbitt (Biological Sciences)
Essential oils such as clove, lemongrass, and tea tree have been known and used for their
antimicrobial properties. In the series of experiments of agar well diffusion, molten agar
tests, and broth dilutions, Klebsiella pneumoniae and Enterobacter aerogenes were used to
test these essential oils and the growth patterns were observed and recorded. The essential
oils had an effect in inhibiting the growth of both Klebsiella pneumoniae and Enterobacter
aerogenes, which was observed through zones of inhibition, as well as the lack of growth at
certain concentrations throughout different types of media. Clove oil was the most effective
in inhibiting bacterial growth as compared to lemongrass oil and tea tree oil.
The Effects of Xanthine Derivatives on Tooth Remineralization and
its Ability to Defend Against and Remove Staphylococcus Mutans
Sarah McGee (Microbiology), Kayla Diggs (Chemistry), Dr. Christopher Corbo (Biological
Sciences), and Dr. Racquel DeCicco (Physical Sciences)
Sodium fluoride (NaF) is a widely used remineralizing agent in dental care. Some
municipalities are going as far as incorporating NaF in water supplies, however there are
certain risks associated with the excess ingestion of NaF. In a series of experiments, we will
examine the remineralizing abilities of Xanthine derivatives including theobromine,
caffeine, and xanthine in comparison to NaF, particularly in the filling of scratches and
other surface deformities in eggshells. In parallel we will test the ability of the Xanthene
derivatives to defend against as well as remove Staphylococcus mutans, compared to NaF.
The porosity of the eggshells will be measured and examined using Scanning Electron
Microscopy. Previously reported work suggests that theobromine has equal if not more
potential in remineralizing enamel.
5
�Microbial Diversity Off the Antarctic Peninsula
Elizabeth Patton (Biology)
Microbial diversity in an ecosystem is important. In a marine environment, various factors
can have an impact on microbial diversity. Using a microbiome dataset downloaded from
VAMPS (Visualization and Analysis of Microbial Population Structures), this project
focused on both environmental data and microbiome data collected off the coast of the
western Antarctic Peninsula at four distinct locations. Through the use of RStudio, various
analyses were performed to determine if certain environmental factors significantly
influenced the diversity of microorganisms found in the samples. The factors that were
focused on in this project included the amount of chlorophyll, dissolved oxygen, dissolved
organic carbon, phosphate and total nitrogen, the depth of the sample, and whether the
sample was taken on or off the coastal shelf. Examination of correlation tests revealed that,
of the factors studied, only the depth category, chlorophyll, dissolved oxygen, phosphate
and total nitrogen were significant to the diversity of these microbiomes. Comparisons
between relative abundance charts and bar graphs quantifying the various significant
variables in each sample revealed correlations between similar samples in terms of the
diversity of microbes found.
Employing Green Chemistry Methods Towards
the Synthesis of High Efficiency Organic Dyes
Kelsey Savje (Chemistry) and Dr. Racquel DeCicco (Physical Sciences)
Dye-sensitized solar cells (DSSCs) have been the subject of much research in recent years,
as the employment of solar energy as a means of generating electricity has drawn increasing
interest especially due to it being a renewable green. Organic dyes are particularly
attractive, as organic molecules are easier to modify and are derived from more renewable
sources compared to metal-based dyes. This project explores the synthesis of conjugated
organic molecules that contain similar structural motifs to dyes reported to have high
conversion efficiencies. The targets are based on data from Harvard Clean Energy Project,
which lists molecules that have demonstrated high energy conversion based on
computational analysis. Multiple steps were completed in the synthesis and additional
experiments are being pursued as alternative routes towards target molecules that can
potentially serve as highly efficient organic dyes.
6
�Accessing Diynes Containing Thiocyanate
End-Groups En Route towards Polydiacetylenes1
Oskar Sundberg (Chemistry)
This research explores the synthesis of diynes with sulfur-containing end groups en route
towards accessing novel polydiacetylenes (PDAs), a class of conjugated polymers with
conductive properties. Diynes containing thiophene and thiocyanate end-groups have been
targeted, with the latter being the focus of this project. Thiocyanate (SCN) end-groups are
expected to impact the electronic properties of the polymerized system because of the
resonance-stabilization and electronic effects of these groups. Efforts to synthesize 1,4dithiocyanatobuta-1,3-diyne have produced interesting results. While the synthetic protocol
is producing consistent 13C NMR data, these do not entirely correspond with predicted
NMR spectra generated computationally with Gaussian, however IR spectroscopy confirms
the presence of alkynes. To further elucidate the structure of the synthesized compound we
designed many NMR simulations of various potential products using the general purpose
computational software Gaussian. Computationally generating NMR spectra has proven a
useful tool in our attempts to determine our exact product. Once the target diyne is obtained
and successfully characterized, polymerization efforts will commence.
Inhibition of Serum Amine Oxidase Prevents Polyamine
Induced Autophagy: A Cautionary Tale
Kaela Teele (Biology)
Polyamines putrescine, spermidine, and spermine are polycationic alkyl amines that are
multifunctional in eukaryotes, and one of their main functions is overall cell growth.
Therefore, polyamines can be used as a target for antineoplastic drug development. It has
recently been suggested that polyamines are critical players in the induction of autophagy.
However, all of the studies performed with mammalian cells occurred in the presence of
bovine serum, which contains serum amine oxidase. Serum amine oxidase oxidizes
polyamines into hydrogen peroxide, an aldehyde, ammonia and a simpler polyamine. The
peroxide and aldehydes cause cytotoxicity, thus subjecting cells to a toxic environment
when exogenous polyamines are added to media containing bovine serum. However, this
enzyme can be inhibited by aminoguanidine. Thus, to determine whether the toxicity was a
result of the stressful environment produced by the oxidation of exogenous polyamines, the
1 Received an award of excellence for outstanding presentation.
7
�effects of the addition of polyamines to media containing bovine serum +/- aminoguanidine
on markers of autophagy were examined in three cell types; WT HCTl16, p53-/-HCT116,
and A549. The concentrations examined were 0, 1, 5,10, 25, 50, 75, and 100 µM.
Significant toxicity was observed at 50 µM for both spermidine and spermine after 48-hour
exposure. However, when serum amine oxidase is inhibited by aminoguanidine cells were
resistant to polyamine addition. To determine whether inhibition of the serum amine
oxidase also reduced evidence of autophagy, the cell lines were treated with the polyamines
at concentrations of 0, 1, 25, and 50 µM over a 48-hour period and autophagy markers were
evaluated.
8
���Fur-babies vs. Babies: A Study on the
Consumer Behavior of Dog Owners
Maria Humphries (Business Administration)1,2
The pet industry has been on a continuously upward trend in the last two decades. There
is no clear-cut reasoning behind the growth of the industry. However, research shows
that the humanization of pets, especially that of dogs, has led owners to view them as
children. The intimate relationship between owner and dog is resulting in the purchasing
and creation of more dog-related products and services, which has aided in the growth of
the pet industry. This study will evaluate how the consumer behavior of dog owners is
related to an owner’s relationship with their pet. A literature review and an in-field study
of 100 dog owners between the ages of 19-65+ will assist in developing a thorough
understanding of how the humanization of dogs and viewing them as a child has allowed
for the pet industry to thrive. The understanding of the human-dog relationship will
prove to be important in assisting marketers to create stronger and more targeted
marketing campaigns to keep up with the growing industry.
I. Introduction
For approximately 10,000 years, dogs have been loyal companions to humans (Dotson
& Hyatt, 2008). Evidence from ancient tomb paintings, artifacts, and texts reveal that all
levels of society had dogs as loving pets and members of their family (Dotson & Hyatt,
2008). In present society, this trend continues to evolve at a more elevated level.
Research shows that over the last two decades, Americans have consistently spent more
than ever on their pets (American Pet Products Association, 2017). Bob Vetere of the
American Pet Products Association (2017) correlates this trend to the humanization of
pets. The humanization of pets, also known as anthropomorphizing, is the tendency of pet
owners to view their dog as a person and attribute human characteristics to them (Boya,
Dotson & Hyatt, 2015). This humanization has led dog owners to view their pet as a child
1
Honors thesis written under the direction of Dr. Mary Lo Re in partial fulfillment of the
Senior Program requirements.
2 Presented and received “Best Research Award” at the Staten Island Economic
Development Center's Annual Conference held on April 16th at the Hilton in Staten
Island, NY.
11
�which results in the purchasing of extravagant products such as human-grade dog food,
dog daycare, and more frequent veterinarian visits (Boya et al., 2015). To evaluate how
the consumer behavior of dog owners has changed over the years, an analysis of the
human-dog relationship is essential. This analysis can prove that owners, specifically
millennials and baby boomers, are substituting a child with a dog which results in an
increase in purchases in the pet industry. This analysis can also be beneficial to marketers
in the pet industry by assisting them in the prediction of future trends while helping them
to adjust their marketing strategies to reflect the changing demands.
Literature Review
Consumers are viewing their dog as an extension of themselves which is
resulting in a change in the consumption of pet-related products and services (Boya et al.,
2015). The notion of companionship, when associated with the human-dog relationship,
reveals a mutual sense of altruism suggesting that the dog and the owner are dependent
on each other (Ellson, 2008). Ellson (2008), conducted an observational study, utilizing a
storytelling approach, of dog ownership in order to understand the role consumer
behavior plays in the marketing of pet and pet-related products. Spending patterns on
healthier dog food, grooming, cremation services, and vacation services such as
kenneling, house sitting, and dog-friendly hotels, suggest that dog ownership is based on
the way owners wish to be viewed by others in society (Ellson, 2008). Ellson’s (2008)
results suggest that marketers must illuminate the personality influences of the devoted
dog-human relationship if they wish to have continued success within the industry.
Based on the devoted dog-human relationship the question of whether owners
“buy for their dogs the way they buy for themselves” arises (Tesform & Birch, 2010).
They targeted 1,300 dog owners with a questionnaire in regards to the owner’s personal
food behavior, dog’s food behavior, owner’s frequency of physician visits, and dog’s
veterinarian visits in order to understand why pet expenditure has increased over the
years. Their results found that dog owners view their dog as an extension of themselves
and, therefore, involve their dog in their consumption behaviors. It was identified that
the more committed an owner is to consuming healthy food for themselves, the more
likely they are to buy their dog healthy food. Additionally, they also found that a dog
owner who frequently visits the doctor is more likely to bring their dog for frequent
veterinarian visits.
This investment and expenditure on pets reflect the idea that owners and pets are
a unit that consumes together (Kylkilahti et al., 2016). They state that “consumers in
industrialized countries are investing more money in their pets and spending more time
12
�with them than ever before” (p. 125). In their study, an online survey of 2,500 dog
owners in addition to 40 fieldwork studies was used to identify how consumers interact
with their pets. The participant’s answers revealed that the existence of a pet creates an
area of consumption that would otherwise not be considered. Such areas include the
purchasing of dog food, dog treats, collars, and leashes. Otherwise known as coconsumption, pets are influencing their owners’ buying patterns because the pet’s
feelings, preferences, and needs are considered before making a purchase (Kylkilahti et
al., 2016). For example, finding the treats which a dog will consume can be a daunting
and expensive process for an owner, but it is performed out of love and care for the
animal. This finding further supports the identification that the relationship between a
dog and their owner is reciprocal.
The human-dog relationship of mutualism in which “the owner gives and
receives love and affection from their animal, and their pet serves as a confidant with no
risk of betrayal”, provides insight into the dog-related consumption experiences that arise
from this relationship (Dotson & Hyatt, 2008, p. 457). Dotson et al. (2008), surveyed
749 dog owners to classify seven dimensions that represent the various layers of dogcompanionship. They concluded that an owner’s perception of their dog is related to
their willingness to have a significant bond with their dog. They also discovered that
millennial women are the most likely to form a highly beneficial bond with their dog due
to their prolonging of having children and their commitment to displaying their innate
maternal instincts. Their results are consistent with the trends of delayed childbirth for
married couples, postponed marriages for singles, and an increase in empty nesters
having more dogs as being the driving force for the “dog craze”.
In Boya et al.’s 2012 interview and survey study on the relationship between
dog owners and their pets, various consumer behavior segments were identified. Based
on an in-depth series of questions, 75 dog owners described their daily interactions with
their dogs, their general lifestyle values and issues, and their spending patterns. Based on
the results, it was discovered that the more likely a dog owner is to anthropomorphize
their dog, the more likely they are to buy for their dog in a similar way to which they buy
for themselves. It was also observed that the way in which consumers are currently
bonding with their animals is the same way they would bond with their children. This is
attributed to the fact that “the average dog has the intelligence equivalent to a 2-year-old,
so having a dog in the home is like having an enduring bond with a young child” (p. 134).
Assigning a dog the role of a child results in owners increasing their spending on pet
products such as food, healthcare, pet insurance, and toys (Boya et al., 2012).
13
�Hill, Gaines, and Wilson (2008) reviewed various studies to uncover the
underlying meanings of the consumer behavior experiences of dog owners. The authors
identified that “Fido is no longer just an animal that sits by the kitchen table waiting for
scraps of food. Now, the household pet has worked its way up the family tree, in some
cases even winning a coveted seat at the dinner table” (Hill et al., 2008, p. 553). The
early domestication of dogs and selective breeding have allowed these animals to be
viewed as possessing childlike characteristics which emphasize the maternal and paternal
instincts of their owners (Hill et al., 2008). This bond results in the dog evolving into the
family’s routine and the family altering their routine to fit the needs of their pet. The
incorporation of a dog into the family characterizes the animal as a companion rather than
a possession (Tesform et al., 2010). A long-term commitment then grows into a loving
and intimate relationship which culminates in the pet being included in special events,
holidays, and activities (Hill et al., 2008). Food preparation, food consumption, gift
giving, and gift receiving are a few of the various activities a dog will become involved
in (Hill et al., 2008). Hill et al. (2008) found that this relationship is accountable for dog
owners purchasing products that are similar to those bought for a child. Such a
correlation leads to the development of a deeper understanding of the change in consumer
behavior of dog owners in recent years.
Understanding the Human-Dog Relationship
It has been observed that anything consumers would do for their child is being
done for their pets (Plenda, 2016). The humanization of animal companions has resulted
in the development of the term “fur-babies”. Otherwise noted as a pet acting as a
substitute or addition for a child. Due to the humanization of dogs, human-related
services and products such as grooming (haircuts), daycare, toys, snow boots in the
winter, raincoats in the fall, special soaps, fur and paw moisturizing cream, etc. are being
sought out by dog owners. Additionally, special accessories such as bandanas, leashes,
collars, and dog tags are being purchased, sometimes with the option of customization
(Plenda, 2016). The acquisition of such products and services reflects a similar
consumption pattern that is present when making purchasing decisions for a child.
The continuous growth of the pet industry is correlated with the changing
consumer behavior of pet owners and their relationship with their pets. As stated by
Ellson (2008), the dog-human relationship “reveals a biological sense of reciprocal
altruism between dog and dog owner” (p. 565). Dogs and their owners mutually offer
each other love, companionship, company, and affection (Lancendorfer, Atkin & Reece,
2008). However, humans have begun to internalize the values and expectations of their
14
�dog to reflect those of a young child. A dog’s personality and character are identified
when an owner speaks to each dog in an individualized way, utilizing baby talk (Ellson,
2008; Dotson & Hyatt, 2008). In fact, Dotson & Hyatt (2008) discovered that 99% of
their 749 survey participants believe that their dog comprehends what they are saying
when they are talking to them.
It is crucial to realize that a child can verbally express their desires while a pet
cannot (Chen et al., 2012). The inability to verbally communicate results in dog owners
often basing their pet’s consumption on their personal desires (Chen et al., 2012). It is
important to note that in comparison to a child, a dog will not grow up to be independent
and leave the home. This suggests that a dog can provide approximately 20 years of
companionship (Ellson, 2008).
The way an owner cares for their dog can be an expression of their ideas and a
perception of a lifestyle in which they want to be seen living (Ellson, 2008). Dogs are
viewed as an extension of their owner’s self, based on the formation of emotional, social,
and personal identities (Boya et al., 2015). The dog-human relationship can be viewed as
a biological, physical, imaginary, and human attachment. The various dimensions of the
dog-human relationship that were discovered by Boya et al. (2012) provide insight into
how a dog is an extension of their owner’s self. Based on the degree to which a dog is
humanized, a social hierarchy develops. A strongly attached dog owner will treat their
dog as if they are a child and themselves their pet’s parent (Boya et al., 2012). A strongly
attached dog owner will often spoil their dog, celebrate their birthday, seek out dogfriendly accommodations, and attribute various human characteristics to their dog. By
viewing their dog as a member of the family, dog owners tend to make purchases that
reflect this relationship, which can explain the growth of the pet industry over the years.
Dogs have been kept as members of human’s families for over 10,000 years
(Dotson & Hyatt, 2008). The strong attachment that humans have to dogs is often as
strong as the attachment that one would have to a best friend, spouse, or child. Such an
attachment greatly influences family dynamics. As a new member of the family, the dog
often becomes fully engulfed into the family routine allowing for family bonds to grow
around the daily needs of the pet (Hill et al., 2008). Responsibilities are distributed
amongst all members of the family in regards to taking the dog on walks, feeding them,
bathing them, and playing with them. In addition, children often view their dog as a
sibling, without rivalry (Ellson, 2008). The development of the dog into the family
dynamic becomes habitual and further promotes the desire for owners to care for them as
if they are a child.
15
�The responsibility of owning a dog results in various lifestyle considerations.
Owners tend to make sacrifices for their dog when it comes to finding a spouse, car,
profession, or dog-friendly living accommodation (Boya et al., 2012; Kylkilahti et al.,
2016). Most dog owners consider their pet in a majority of their lifestyle consideration
and are willing to make monetary sacrifices to include them (Kylkilahti et al., 2016).
Such monetary sacrifices include adjusting household accommodations such as updated
flooring, a fenced in backyard, landscaping, dog beds, and doggy doors. Such
expenditures are fulfilled because of the dog’s assumed need. Shared activities such as
jogging, watching TV, and sleeping on the same bed result in co-consumption
experiences which influence both the dog and the owner’s lifestyle. Additionally, pet
services such as doggy daycare, dog walking, pet-friendly hotels, pet-friendly airlines,
and travel accessories have allowed for dog owners to conveniently include their dog in
their mobile lifestyle (Dotson & Hyatt, 2008). The high involvement of a dog into the
family dynamic is allowing business owners to develop new product and service
offerings which contribute to the continuous growth of the pet industry.
Dog Owner Consumption Habits
It has been discovered that dog-related consumption is dependent on the
heightened involvement in the dog-human relationship (Boya et al., 2012). The
increased, time, money, energy, and effort people are spending on their dogs has led to a
growth in the pet industry (Dotson & Hyatt, 2008). Based on the mutual relationship
between owners and their dogs, it is important to understand what has caused consumers
to purchase additional and luxurious products for their animal companions.
Ellson (2008) stated that “human consumption becomes a metaphor for human
behavior” (p. 572). This statement is proven true when we examine the idea that dog
owners buy for their dogs in the same way they would buy for themselves, by having a
shared consumption experience (Tesform & Birch, 2010). Tesform and Birch (2010)
analyzed what 1,300 dog owners feed their dogs and how often they take their dog to the
veterinarian. They discovered that humans do in fact buy for their dogs in the same way
they buy for themselves. This is evident in the consumption of healthy food and medical
visits for owners and dogs alike. These findings are consistent with the fact that dog
owners view their pet as a member of the family. It is clear that if a dog owner views
their pet as a member of the family they are more likely to engage in behaviors that align
their dog with the family’s dynamic.
When a dog is considered a spoiled child and served through this metaphor, the
dog’s feelings, preferences, and needs are taken into consideration in the owner’s co16
�consumption experiences (Kylkilahti et al., 2016). The co-consumption experiences that
are encountered are oftentimes initiated by the dog’s willingness for adventure. Dogs
often motivate their owners to go jogging or watch TV together. These activities result in
manufacturers developing products that accommodate dogs and their humans on these
adventures. Portable dog bowls, sturdy leashes, and harnesses are a few of the
commodities that aid in dog owners bonding with their pets on a jog. Additionally, dog
owners who regularly watch TV with their dogs might consider buying a leather or
microfiber couch that accommodates their pet and reduces the accumulation of dog hair.
Clearly, the passionate relationship between dogs and their owners, due to an increase in
time, energy, and effort spent together, affects the purchasing behavior of consumers.
Second to food purchases, veterinary expenses are one of the largest purchases
made by pet owners (American Pet Products Association, 2017). Pet owners are spending
more on preventative care and are willing to acquire debt as a result of medical expenses to
save their beloved dog’s life (Hill et al., 2008). The American Pet Products Association
(2017) states that a dog will visit the veterinarian approximately twice a year. In fact, vet
care sales in 2017 exceeded $17 billion dollars (American Pet Products Association,
2017). The American Pet Products Association (2017) also states that 28% of dog owners
would buy an urn for their dog at death. The increase in veterinarian expenses, vaccines,
and the process of grief upon the death of a dog relate to similar practices that are
performed in human relationships. It is evident that a dog owner’s willingness to care for
their pet, as if they were a child, is reflected in the continuous growth of the pet industry.
Data from Sources
To truly understand how the consumer behavior of dog owners has changed, it is
important to analyze the various statistics of this demographic. The American Pet
Products Association (2017) conducts a yearly survey to compile data on pet owners.
The objective of the organization is to analyze changing consumer habits to assist in the
identification of short-term and long-term trends in the pet industry. As well as analyzing
pet ownership and the consumption of pet products and services. In 2017, they
conducted a screener and a detailed questionnaire of 22,202 pet owners. The results from
this survey are vital components of this research.
As of 2017, 68% of all United States households owned a pet, of which 48%
owned a dog (American Pet Products Association, 2017). This specifically means that
60.2 million United States households own a dog. The American Pet Products
Association (2017) and the American Veterinary Medical Association (2012) have stated
17
�that there has been a consistent upward trend in pet ownership over the last two decades,
as shown in figure 1.
From 1994 to 2017, the total expenditure in the pet industry has increased from
$17 billion to $69.51 billion. It is estimated that in 2018, spending will increase to
$72.13 billion (American Pet Products Association, 2017). In terms of demographics, the
largest generational makeup of pet owners has shifted from baby boomers (in 2014) to
millennials (in 2017). In addition, dog owners reported the highest level of marital status
(American Pet Products Association, 2017).
Figure 1:
Source: American Pet Products Association (2017).
Figure 2:
18
�Source: American Pet Products Association (2017).
In regards to pet-related expenses, dog owners report spending the most on
surgical veterinarian visits, emergency vet visits with boarding or kenneling, and
medications (American Pet Products Association, 2017). A graphical depiction of the
categories in which dog owners have the largest expenses is provided in Figure 3.
Figure 3:
Source: American Pet Products Association (2017).
19
�From the categories in which dog owners report spending the largest sum of money,
the American Pet Products Association (2017) classified the total sales in each of these
major categories. The categories are broken down into food (treats and food), supplies
(toys, beds, and blankets), veterinarian care (medications and all veterinarian visits), and
pet services (grooming and boarding). A graph of the above-mentioned sales is shown in
Figure 4.
Figure 4:
Source: American Pet Products Association (2017).
Despite the various pets that are owned, all pet owners, surveyed by the American
Pet Products Association, state that their pet provides them companionship, love,
company, and affection (American Pet Products Association, 2017). In addition, a
majority of pet owners state that their pets are a fun asset to their home, can help them
relieve stress, and are considered to be a member of the family (American Pet Products
Association, 2017). As a member of the family, dogs tend to receive the most gifts on
birthdays and Christmas, besides receiving a gift for no special occasion (American Pet
Products Association, 2017). The results on the percentage of pet owners who purchase
gifts for their pets is depicted in Figure 5.
20
�Figure 5:
Source: American Pet Products Association (2017).
On average, a dog owner will purchase five gifts a year at a cost of approximately $14
apiece (American Pet Products Association, 2017). In addition, 11% of dog owners
report that they will throw their pet a birthday or holiday party (American Pet Products
Association, 2017). On the contrary, dogs are less likely to receive gifts on Chanukah,
Easter, Halloween, and Valentine’s Day (American Pet Products Association, 2017).
The American Pet Products Association (2012) identified millennials as the
leaders in taking the pet industry to the next level. Millennials reported that they take
their pets to the veterinarian more often, provide their pets with flavored vitamins and
medications, pay for pet services such as daycare and boarding, take their dogs with them
on errands, buy their dogs gifts for special occasions and birthdays, own designer items
for their pets, and feed their dogs healthy, organic, and grain free food as they would
themselves (American Pet Products Association, 2017). The influx of millennial dog
owners (38%) compared to baby boomers (32%) leads researchers to uncover how the
consumer behavior of pet owners continues to evolve.
Various researchers have stated that many millennials are delaying having
children. Instead, some millennials are opting to get a dog to fill the parental void or
prepare for a child while still having the capability to act as a maternal or paternal figure
(Plenda, 2016; Ellson, 2008; Boya et al., 2012). In comparison, empty nesters, who no
21
�longer have their children living at home, are getting dogs as a replacement for their
grown children (Boya et al., 2012). A comparison of the average number of children per
family and the change in household size since the 1940s to the number of dogs per
household will assist in the analysis of the consumer behavior of dog owners. Two
graphs from the U.S Census Bureau, Figures 6 and 7, show the change in the number of
children per family and changes in household size negatively (U.S Census Bureau, 2018).
Figure 6:
Source: U.S Census Bureau (2017).
When the decrease in family households (Figure 7) and the number of children
per household (Figure 6) is compared to the increase in pet ownership (Figure 1) it can be
concluded that the decline in the number of children per household has been followed by
an increase in the number of pets per household.
22
�Figure 7:
Source: U.S Census Bureau (2017).
II. Methods
Participants
Participants in this study included 100 dog owners located in New York, New
Jersey, and Pennsylvania. There were 81 females and 19 males ranging from 19 years
old to over 65 years old. All participants in this study were voluntarily asked to fill out a
10-question survey for the purpose of analyzing the consumer behavior of dog owners
(questionnaire can be found in the appendix).
Materials
Fifty surveys were distributed to dog owners while at a dog park in New York
and Pennsylvania. The beginning of the survey explained the purpose of the research.
The researcher asked dog owners if they would be willing to fill out a quick 10-question
survey to analyze the consumer behavior of dog owners. The remaining fifty surveys
were distributed online, through Google Forms, to those in New York, New Jersey, and
Pennsylvania who have a dog.
The survey identified dog owners based on the demographics of age and gender.
The survey asked an open-ended question to determine how many adults, children, and
23
�dogs live in the participant’s house. The remainder of the survey asked multiple choice
and checkbox questions to uncover how participants view and interact with their dog.
The multiple-choice questions asked participants how much they spend on their dog
annually, if their pet influences their personal purchase and/or lifestyle decisions, and
how often they take their pet to the vet. The checkbox questions asked participants if
they have ever celebrated their dog’s birthday, included them in a family card, purchased
them clothing or accessories, chosen a place for its dog friendly nature (ex: outdoor
seating restaurant, parks with pet accommodations), taken them to daycare, taken them to
a groomer, outlined in their will what will happen to their dog, left the TV on for their
entertainment when left alone in the house, or gave them healthy food (grain free, human
grade, gluten-free, etc.). Additional checkbox questions asked what the participants
motivation is for engaging in the activities previously mentioned, and how often they
engage in the activities of talking to their pet, purchasing non-essential items for their pet
(ex: toys, treats, gifts, etc.), calling themselves their pets’ mom, dad, sibling, etc., and
attributing human characteristics to their pet (ex: thinking their dog is smiling because
he/she is showing their teeth). The frequency in which dog owners engaged in the
activities previously mentioned was identified as daily, weekly, monthly, few times a
year, or never. A copy of the survey can be seen in the Appendix.
Procedure
Testing occurred both in person and online. It took on average, 3 minutes to
complete the survey. Participants were individually approached, in person and online,
and asked if they were willing to fill out a short 10-question survey which will be used
for an analyzation on the consumer behavior of dog owners. For the in-person surveys,
the researcher was present and available to answer any questions that might have arisen.
Surveys that were answered at the dog park took place over two, four-hour days. One
day was at a dog park in Allentown, Pennsylvania while the other was at a dog park in
Staten Island, New York. The online surveys were distributed throughout a week to
various dog owners in New York, New Jersey, and Pennsylvania. Each participant that
was approached willingly and enthusiastically filled out the survey.
III. Survey
The survey sample size of 100 is an adequate representation of the general view
of dog ownership that correlates to the purpose of this study. The fifty dog owners that
were surveyed at dog parks demonstrate that they are owners who are willing to take their
dog’s out for play dates and exercise. It can be assumed that these owners care for their
24
�dog as if they are a child because of their active effort and involvement in taking their
dog out to play.
Each survey question was asked for the purpose of understanding the underlying
behavior of dog owners based on how they view their relationship with their pet and how
they consume for their pet. The question asking “do you consider your pet to be your
child” required a direct yes or no answer. Based on the participant’s age and answer to
this question an analysis on which generations view their pets as children will be
examined. In addition, the check mark questions which focused on what activities dog
owners have participated in for their pet provides insight into how the dog owner views
their relationship with their dog. Activities such as celebrating their birthday, including
them in a family holiday card, and purchasing them clothing or accessories, etc. are
activities that are frequently done by parents with their children. If a dog owner
participates in these same activities, it suggests that they view and treat their dog as a
child. Correspondingly, the check mark question which asks participants to rank how
often they participate in the activities of talking to their pet, purchasing non-essential
items for their pet, calling themselves their pets mom, dad, siblings, etc., and attributing
human characteristics to their pet provides further insight into how the humanization of
dogs leads to treating them as members of the family. Participants who ranked these
activities as daily, weekly, or monthly are more likely to purchase products and services
that serve their dog as if they are children that need to be looked after and cared for.
The question of “how much do you spend on your dog annually?” will be used
in connection to whether a participant views their dog as a child or not. If a participant
views their dog as a child it can be inferred that they will spend close to $1,000+ on their
pet annually. The same can hold true to the question of “how often do you take your pet
to the vet?”. The more likely a dog owner is to view their pet as a child, the more likely
they are to take their pet to the veterinarian more than once a year. Finally, by asking
whether dog owners consider their pet to influence their personal purchase and/or
lifestyle decisions provides insight into how owners view their relationship with their dog
and how they consume for and with them.
IV. Results
The last two decades have clearly shown an increasing trend of dog owners
spending more than ever on their pets (American Pet Products Association, 2017).
Researchers question, in what categories are dog owners spending more on their pets and
what is their reasoning behind it? The results from this questionnaire strive to uncover
25
�the reasoning behind why dog owners have increased their spending and if it can be
related to the perception of a dog as a child.
The 100 participants of this survey are broken down to 81 females and 19 males.
This makes the male to female ratio disproportionate. The largest age group surveyed
were millennials aged 20-36 (49%) followed by baby boomers (26%) and Generation X
(21%). The age groups that were least represented were those younger than 19 years old
in Generation Z (1%) and those older than 65 in the silent generation (3%). The
distribution of participants based on age and gender can be seen in Figure 8.
Figure 8:
Source: Humphries (2018).
One of the most crucial questions that participants were asked was if they
considered their pet to be a child. As predicted, a large percentage of participants
answered yes to considering their dog to be a child (86%) while only 14% denied this
statement. Based on gender, 90% of females consider their dog to be a child compared to
the 68% of men who said they view their dog as their child. When this data is broken
down to analyze the percentage of participants in each age group who view their dog as
their child, baby boomers agreed to this statement the most (92%), followed by
Generation X (90%), millennials (84%), and the silent generation (33%) (it should be
noted that Generation Z was not considered in this analysis because of the false
representation of only having one survey participant from this generation). If an owner
views their dog as a child it is then critical to analyze whether they have any children
living in their household.
26
�Understanding the household occupancy of each participant supports the
understanding of why an owner might view their dog as a child. The survey population
concluded that there was an average of 1.6 dogs, 2.71 adults, and 0.45 children per
household. Clearly, the dog owners that were surveyed had, on average, more dogs than
children living in their house. However, based on age, only Generation X came close to
having an equal proportion of children to dogs (1.4:1.5). On the other hand, millennials
and baby boomers had less than one child and more than one dog per household. A
graphical interpretation of these results is pictured below.
Figure 9:
Source: Humphries (2018).
It is predicted that the annual expenditure allocated for a dog can be related to
how an owner views their relationship with their pet. For this purpose, the question of
“how much do you spend on your dog annually” was asked with the choices of $0-$100,
$101-$500, $501-$1,000, and $1,001+. Almost half of the participants responded with
spending over $1,001 on their dog annually (48%). While only 16% reported spending
less than $500 on their dog annually. The results from all participants are shown in
Figure 10.
When these results are broken down by generation, baby boomers and
Generation X reported spending the most on their dogs, 54% of baby boomers and 52%
of Generation X spend over $1,001 on their dog annually. Less than 50% of millennials
stated that they spend over $1,001 on their dog annually (47%). Both Generation Z and
27
�the silent generation said that they spend between $501-$1,000 on their dog annually.
There were zero participants who reported spending less than $100 on their dog annually.
The annual expenditure per generation is pictured in Figure 11.
Figure 10:
Source: Humphries (2018).
Figure 11:
Source: Humphries (2018).
28
�When participants were asked if their pet influences their personal purchase
and/or lifestyle decisions 84% said yes, while 16% said no. Over 80% of participants
who stated that their pet influences their personal purchase and/or lifestyle decisions were
baby boomers, Generation X, millennials, and Generation Z. Of those in the silent
generation, 67% answered yes while 33% said no. As a general consensus, most
participants reported that their pet does, in fact, influence their personal purchase and/or
lifestyle decisions which can be related to their pets’ heavy involvement as a family
member. The data explained above is graphically depicted in Figure 12.
Figure 12:
Source: Humphries (2018).
Taking your dog to the veterinarian is an activity that is done by most dog
owners. The participants of this survey were asked the frequency of their dog’s
veterinarian visits for the purpose of understanding if taking a dog to the veterinarian
more often is related to how they are viewed within the family dynamic. A majority of
participants (40%) revealed that they only take their dog to the veterinarian once a year.
Generation X reported the highest frequency of taking their dog to the veterinarian more
than two times a year (38%) compared to 35% of both baby boomers and millennials.
Table 1 depicts the greatest frequency of veterinarian visits per generation in yellow.
The second to last question of the survey asked participants if they engage in a
series of activities with their dog. Of the nine activities that were questioned, over 80%
29
�of participants said that they have purchased clothing or accessories for their dog and
have given them healthy food. On the contrary, only 15% of participants said that they
have taken their dog to daycare and 17% of participants stated that they have outlined in
their will what will happen to them. As depicted in Figure 13, over 50% of participants
said that they have taken their dog to a groomer (71%), celebrated their dog’s birthday
(70%), left the TV on for their entertainment when left alone at home (65%), included
them in a family holiday card (63%), and chosen a place for is dog-friendly nature (61%).
Table 1: How Often Do You Take Your Dog to The Veterinarian?
Generation
Annually
Semi-annually
More than 2x a year
Generation Z
100%
0%
0%
Millennial
41%
24%
35%
Generation X
33%
29%
38%
Baby boomer
38%
27%
35%
Silent generation
67%
0%
33%
Source: Humphries (2018).
Figure 13:
Source: Humphries (2018).
30
�When the results to these questions are analyzed based on age, millennials had
the largest yes response rate to almost all questions. The only categories which
millennials did not have the largest yes response rate to were for leaving the TV on for
their entertainment and outlining what will happen to them in their will. Baby boomers
were more likely to leave the TV on for their dog’s entertainment and the silent
generation was more likely to have outlined in their will what will happen to their dog.
The results for those who responded yes to these activities is depicted in Table 2, in
which yellow highlights the generation with the largest yes response rate.
Table 2: Yes, I Have Participated in the Following Activities (based on age)
Millennials
Generation
X
Baby
boomers
Silent
generation
100%
73%
71%
65%
33%
100%
65%
2%
62%
33%
100%
88%
76%
88%
33%
100%
69%
57%
50%
33%
0%
22%
5%
12%
0%
Taken them to a groomer?
Outlined in your will what
will happen to them?
Left the TV on for their
entertainment?
100%
76%
57%
73%
67%
0%
20%
14%
12%
33%
100%
7%
57%
73%
0%
Gave your pet healthy food?
100%
92%
86%
77%
67%
Celebrated their birthday?
Included them in a family
holiday card?
Purchased them clothing or
accessories?
Chosen a place for its dogfriendly nature?
Taken them to daycare?
Generation
Z
Source: Humphries (2018).
The generation which answered no to a majority of these questions was the
silent generation. When asked if they have taken their dog to the groomer or outlined
what will happen to them in their will, the silent generation did not surpass the other
generations with the largest no response. Generation X responded the most to not taking
31
�their dog to the groomer (43%) while 100% of Generation Z responded to not outlining
what will happen to their dog in their will. The results for the percentage of participants
who answered no to these questions is given in Table 3. Yellow highlights the generation
with the largest no response rate.
When participants were asked what their motivation was for participating in the
above-mentioned activities, 88% said that they get joy out of providing for their pet.
Feeling guilty for leaving their dog alone all day was the motivation for 6% of
participants. Another 6% of participants stated that their motivation was due to keeping
up with what other pet owners are doing.
Table 3: I Have Not Participated in the Following Activities
Celebrated their birthday?
Included them in a family
holiday card?
Purchased them clothing
or accessories?
Chosen a place for its
dog-friendly nature?
Taken them to daycare?
Taken them to a groomer?
Outlined in your will what
will happen to them?
Left the TV on for their
entertainment?
Gave your pet healthy
food?
Generation
Z
Millennials
Generation
X
Baby
boomers
Silent
generation
0%
27%
29%
35%
67%
0%
35%
38%
38%
67%
0%
12%
24%
12%
67%
0%
31%
43%
50%
67%
100%
78%
95%
88%
100%
0%
24%
43%
27%
33%
100%
80%
86%
88%
67%
0%
33%
43%
27%
100%
0%
8%
14%
23%
33%
Source: Humphries (2018).
32
�The last question participants were asked was to rank the frequency of
how often they talk to their pet, purchase them non-essential items, call themselves their
pets’ mom, dad, etc., and attribute human characteristics to them. Participants ranked the
frequency as daily, weekly, monthly, a few times a year, or never. As shown in Figure
14, when asked how often they talk to their pet almost 100% of participants said daily.
Most participants reported purchasing non-essential items for their pet monthly
(43%). However, 48% of Generation X state that they purchase non-essential items for
their pet daily as compared to the 33% of millennials who have this same behavior. A
small percentage of participants’ report purchasing non-essential items for their pet only a
few times a year or daily.
Figure 14:
Source: Humphries (2018).
33
�Figure 15:
Source: Humphries (2018).
Figure 16:
Source: Humphries (2018).
The question of how often do you call yourself your pets’ mom, dad, sibling,
etc., resulted in an 80% engagement. The answers to this question were analyzed based
34
�on generation and found that a large majority of participants take part in this activity
daily, besides those in the silent generation.
Figure 17:
Source: Humphries (2018).
When asked how often participants attribute human characteristics to their pet, a
large majority of each generation said daily, as seen in the chart below.
Figure 18:
Source: Humphries (2018).
35
�The information gathered from this survey is useful in providing an explanation
for the growth of the pet industry. Analyzed in conjunction with the data from the
literature, these results will offer an understanding of the consumer behavior of dog
owners.
V. Discussion
The recent growth of the pet industry is said to be caused by the increased
humanization of pets (American Pet Products Association, 2017). The literature states
that the extent to which a dog is incorporated into the family dynamic impacts how
owners consume for their pet (Kylkilahti et al., 2016). The American Pet Products
Association (2017) found that the millennial generation owned the most dogs as
compared to baby boomers and Generation X. Based on this finding, as well as the
humanization of pets, millennials and baby boomers should be more likely to treat their
dog as a child and consume for them in a similar manner. This conclusion would help to
explain the consistent expenditure increase in the pet industry.
The results of this study show that millennials and baby boomers have a greater
number of dogs living in their house than children. Both millennials and baby boomers
have less than one child and more than one dog living with them. Additionally,
millennials reported participating in the greatest number of activities for their dog. Such
activities included celebrating their dog’s birthday, taking them to a groomer, buying
them clothes or accessories, including them in a family holiday card, and giving them
healthy food. Baby boomers reported purchasing non-essential items for their dogs such
as treats, toys, and gifts daily, as well as having the largest annual expenditure for their
dog. In addition, millennials and baby boomers stated that they call themselves their
dog’s mom or dad daily, 14% more frequently than Generation X.
On the contrary, Generation X lives with almost the same number of children
and dogs. Generation X reported taking their dog to the veterinarian more than two times
a year, more frequently than both millennials and baby boomers. Additionally,
Generation X reported the largest number of participants stating that they attribute human
characteristics to their dog and talk to them daily, 8% more than millennials and 25%
more than baby boomers. When asked how often they purchase non-essential items for
their dog, a large majority of Generation X reported that they engage in this activity
weekly. Millennials stated that they mostly engage in this activity monthly. Lastly,
36
�Generation X participants reported spending over $1,001 on their dog annually, 5% more
than millennials.
These findings are concurrent with the theory that baby boomers are more likely
to treat their dog as a child and consume for them in a similar manner. However, these
findings do not support the theory that millennials are more likely to treat their dog as a
child and consume for them in a similar manner. Instead, the results state that baby
boomers and Generation X are more likely than millennials to treat and consume for their
dog as if they are a child. This may be due to the fact that baby boomers and Generation
X are more likely to have already cared for a child, unlike most millennials, and have an
inclination to care for their dog in a similar way.
Research states that the millennial generation leads when celebrating their dog’s
birthday and buying them gifts (American Pet Products Association, 2017). The survey
conducted for this study reinforces how the celebration of dog birthday’s is done more
frequently by millennials, while the buying of gifts was seen to be done more frequently
by Generation X. Additionally, as a general consensus, the purchasing of non-essential
items such as toys, treats, and gifts were done on a monthly basis which is concurrent
with the fact that Hill et al. (2008) stated that gift giving and gift receiving are activities
that dogs are frequently involved in.
The literature also states that the humanization of dogs has led owners to treat
them as a child (Boya et al., 2012). The results from Dotson et al.’s (2008) survey
concluded that there is a consistent trend of delayed childbirth and an increase in empty
nesters having more dogs. Correspondingly, the results from this survey reinforce that
millennials and baby boomers do, in fact, have more dogs than children living in their
house. This can be due to millennials delaying having children and baby boomers
becoming empty nesters. This lifestyle change may result in their desire to maternally or
paternally care for a dog as they would a child. However, Generation X was seen to take
their dog to the veterinarian more frequently, talk to them daily, and purchase them nonessential items more so than any other generation. These findings suggest that consumers
are bonding with their dogs in the same way they bond with their children (Boya et al.,
2012). The fact that a dog has an equivalent intelligence level to a two-year-old can be
an explanation for why owners with children, especially in Generation X, treat their dogs
similarly by checking on their health, talking to them, and buying them products more
frequently (Boya et al., 2012).
Due to the fact that dogs are viewed as possessing childlike characteristics, an
owner tends to emphasize their maternal and paternal instincts (Hill et al., 2008). Owners
37
�call themselves their dog’s mom, dad, sibling, etc. almost daily which helps to expose
their parental instincts (Hill et al., 2008; Boya et al., 2012). It has been found that 90% of
dog owners who were surveyed talk to their pet daily. The literature states that dog
owners who talk to their pet do so by utilizing baby talk, which once again relates to
treating a dog like a child and exposing an owner’s parental instincts (Hyatt, 2008).
When comparing paternal instincts, women may be more likely to treat their pet as their
child due to their innate and strong maternal instincts. The results from this study show
that 90% of all surveyed women consider their pet to be their child, as compared to the
68% of all men. Strongly attached dog owners with innate paternal instincts will, in fact,
spoil their dog, include them in the family, celebrate their birthday, and seek out dogfriendly accommodations as seen in this survey and previous research.
The human-dog relationship is proven to be reciprocal (Boya et al., 2015;
Ellson, 2008). In fact, an owner’s relationship with their dog is due to their willingness
to have a significant bond with them (Dotson et al., 2008). This means that owners are
treating their dogs as if they are a child because they get joy out of providing for their pet
(Dotson et al., 2008). This study supports this finding because 88% of dog owners stated
that they engage in activities with and for their dog because they get joy out of providing
for them. However, the research also suggests that the extent to which an owner treats
and spoils their dog is related to how they want to be viewed by society (Ellson, 2008).
The findings from this study suggest that this is not a strong motivation for providing for
them. Only 6% of all participants stated that they provide for their dog in human-like
activities because they want to keep up with what other pet owners are doing. This
suggests that further research must be conducted to gain a greater understanding on this
topic.
Implications
Various limitations were addressed after the conclusion of this survey. Dog
owners mostly gave feedback on the question of how much they spend on their dog
annually. Participants stated that there could have been options for spending between
$1,000-$2,000 and $2,000+. This was stated because some dog owners felt that although
they spend over $1,000 on their dog annually, they do not view themselves as consuming
for their dog in the same way as someone who spends over $2,000 annually. This
statement raised the implication that owners may not be spending as much on their dog
due to their income. Those with a higher income may have the ability to spend more on
38
�their dog as compared to those whose income may not allow them to spend more than
$500 annually. This may apply to the millennial generation as they were seen to have the
largest percentage of participants spending $501-$1,000 on their dog annually, but yet
reported participating in the human-like activities of celebrating their dog’s birthday,
purchasing them clothing, taking them to the groomer, or leaving the TV on for them, etc.
To gain a better understanding as to why consumers consume the way they do for their
dog, the next study needs to calculate spending as a percentage of income.
The survey could have asked which specific areas, such as food, veterinarian
visits, gifts, grooming, etc., that dog owners have expenses. This would have provided an
opportunity for a deeper analysis of where dog owners spend their money, giving insight
into how their relationship with their dog affects their spending patterns. Additionally,
dogs of different breeds, ages, and sizes may require a larger annual expenditure. Older
dogs and puppies generally have more expenses than middle-aged dogs (Ellson, 2008).
Some breeds are naturally more high maintenance and require more expenses, such as a
cocker spaniel compared to a German shepherd (Ellson, 2008). If the survey asked
owners to specify their dog’s age, breed, and size, in addition to the areas in which they
spend money on their dog, the results could have allowed for a deeper understanding of
the various consumer behaviors of dog owners.
Understanding the process that an owner went through to obtain their dog can
potentially give further meaning to whether they view their dog as a child or pet. It can
be assumed that those who have gone through an arduous adoption process may be more
inclined to treat their dog as part of the family. On the contrary, owners who bought their
dog at a pet store may only view their dog as a pet. Additionally, analyzing the buying
behavior of those with children compared to those with only dogs, and those with dogs
and children, would have allowed for a deeper analysis of the similarities between buying
for children and buying for dogs.
It may be stated that the survey conducted contains some bias. This may be
stated because the survey was distributed to those who can be assumed to be strongly
attached dog owners. Owners who frequent the dog park and are known to be dog
owners may already have a strong desire to care for their dog and express to others how
important their dog is to them. Additionally, if there was an even number of participants
for each generation the analysis conducted might have been more accurate. Currently,
Generation Z is not a sufficient sample group because there was only one participant.
Similarly, the silent generation only had three participants as compared to almost half of
the participants being millennials. Despite the changes that could have been made, the
39
�survey provided valuable information that is beneficial in a thorough analysis of the
consumer behavior of dog owners.
Assisting Marketers in The Pet Industry
Based on the research in the literature and the results from this study, it is
important for marketers to understand the unique relationship that exists between owners
and their dogs (Boya et al., 2012; Ellson, 2008; Dotson et al., 2008). By understanding
the dynamics of this unique relationship, marketers have the potential to target their
customers more strategically, build relationships, and develop brand equity.
The largest specialty food manufacturer in the United States, Blue Buffalo
continues to be successful in creating marketing campaigns that emphasize the deep
attachment Americans feel for their dogs (Boya et al., 2012). Blue Buffalo continuously
runs campaigns that promote their mission of “when you love them like family, you treat
them like family” (Boya et al., 2012, p. 134). By striking an emotional chord with pet
owners who think of their dog in human terms, Blue Buffalo is among the successful pet
corporations that have a proven record of building customer relationships and developing
brand equity. The use of pervasive advertising has allowed Blue Buffalo to set
themselves apart from the competition and attract the most loyal millennial and
Generation X customers. (Boya et al., 2012).
Blue Buffalo has shown that developing a personality is vital in marketing petrelated products. Blue Buffalo is known for its commercials which show a dog happily
running through a field of grass towards their owner for a hug in glowing sunlight (Boya
et al., 2012). The utilization of attributing happy human characteristics to dogs allows
Blue Buffalo to make people yearn to be part of something bigger than themselves (Boya
et al., 2012). Another large pet corporation, Petco, introduced a canine CEO named
Buster in 2012. By utilizing an anthropomorphic theme which showed Buster’s
perspective on various products, the campaign communicated to dog owners that the
“healthy dogs” go to Petco (Boya et al., 2012). Through this campaign, Petco illuminated
the self-fulfillment that dogs bring to people and the internal focus that causes people to
seek out products to satisfy their dogs. The campaigns by Blue Buffalo and Petco prove
that marketers need to alter their marketing strategies to meet the emotional, social, and
psychological needs of dog owners (Boya et al., 2012; Lancendorfer et al., 2008).
By meeting the emotional, social, and psychological needs of dog owners,
marketers have come to identify that psychographic and lifestyle segmentation is more
beneficial than demographic segmentation (Boya et al., 2012). Traditional demographic
40
�segmentation, based on race, religion, ethnicity, etc., is no longer working in the dogrelated market because of the modern and heightened involvement between a dog owner
and their pet (Boya et al., 2012). Alternatively, by acknowledging the differences
between dog owners based on how strong their relational attachment is with their dog,
marketers can target their advertising campaigns towards their desired psychographic and
lifestyle segments. In addition, it has been stated that marketing strategies should focus
on persuading the moderately attached dog owner into becoming a strongly attached dog
owner. This can be done by utilizing social influence and highlighting the benefits of a
heightened human-dog relationship (Boya et al., 2012). Examples of the benefits of a
heightened human-dog relationship include caring for your dog as a child, spending more
time with them, seeing them become happier due to receiving new toys and treats, and
emphasizing the advantages of companionship, love, and affection.
By meeting the emotional needs of customers, corporations can develop a sense
of brand equity which can be highly beneficial for the creation of a lifetime customer and
growing sales for the company. Dog owners are not going to give their dog a treat or toy
they are not familiar with, they want to have trust in the product (Plenda, 2016).
Marketers must align with their customer’s lifestyle choices in order to succeed in the
ever-growing pet industry.
Additionally, the emphasis on the humanization of dogs and the continuous
growth in the pet industry allows small businesses that provide pet toys, food, boarding
and grooming, training, and health care for pampered pets a greater opportunity in the
market (Plenda, 2016). Dotson et al. (2008) address the fact that marketers once
discovered that if they did not make allowances for children, families went out and spent
less. The same can hold true for dog-owning households today. The development of
creative accommodations and a wider variety of activities has been proven to assist in the
development of a more highly attached dog owner who is treating their dog as a child
(Boya et al., 2012; Dotson et al., 2008; Ellson, 2008). In addition, by focusing their
efforts on the generations which spend the most on their dog, view their dog as a child,
and participate in human-like activities with their dog, marketers have vast opportunities
to emotionally connect with dog owners, develop brand equity, and make their companies
successful in the growing pet industry.
41
�VI. Conclusion
There is a clear indication that the intensity of an owner’s relationship with their
dog is a deciding factor when determining how they consume for their pet. Those who
are highly involved with their dog, and view them as a child, are more likely to make
extravagant and more frequent purchases. The recent view of a dog as a child, or
substituting a dog with a child, as seen by millennials and baby boomers, are responsible
factors for the continuous growth of the pet industry. The acquisition of more dogs and
the growing evolution of the intimate human-dog relationship will help the pet industry
continue to grow by allowing for the introduction of more products and services. With
the growth of the industry, marketers need to adjust their marketing strategies to reflect
the needs and desires of dog owners by segmenting them based on psychographic and
lifestyle behaviors.
VII. References
American Pet Products Association (2017). Pet Industry Market Size & Ownership.
Retrieved September 9, 2018, from https://www.americanpetproducts.org/
press_industrytrends.asp
APPA (2017). The 2017-2018 APPA National Pet Owners Survey. Retrieved Sept. 9, 2018,
from https://americanpetproducts.org/Uploads/MemServices/GPE2017_NPOS_Seminar.pdf
American Veterinary Medical Association. (2012). U.S Pet Ownership Statistics.
Retrieved October 3, 2018, from https://www.avma.org/KB/Resources/Statistics/Pages/
Market-research-statistics-US-pet-ownership.aspx
Boya, U. O., Dotson, M. J., & Hyatt, E. M. (2012). Dimensions of the dog-human
relationship: A segmentation approach. Journal of Targeting, Measurement & Analysis
for Marketing, 20(2), 133-143.
Boya, U. O., Dotson, M. J., & Hyatt, E. M. (2015). A comparison of dog food choice
criteria across dog owner segments: an exploratory study. International Journal of
Consumer Studies, 39(1), 74-82.
Chen, A., Hung, K., & Peng, N. (2012). A cluster analysis examination of pet owners'
consumption values and behavior - segmenting owners strategically. Journal of
Targeting, Measurement & Analysis for Marketing, 20(2), 117-132.
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�Dotson, M. J., & Hyatt, E. M. (2008). Understanding dog–human
companionship. Journal of Business Research, 61 (Animal Companions, Consumption
Experiences, and the Marketing of Pets: Transcending Boundaries in the Animal-Human
Distinction), 457-466.
Ellson, T. (2008). Can we live without a dog? Consumption life cycles in dog–owner
relationships. Journal of Business Research, 61 (Animal Companions, Consumption
Experiences, and the Marketing of Pets: Transcending Boundaries in the Animal-Human
Distinction), 565-573.
Hill, R. P., Gaines, J., & Wilson, R. M. (2008). Consumer behavior, extended-self, and
sacred consumption: An alternative perspective from our animal companions. Journal Of
Business Research, 61 (Animal Companions, Consumption Experiences, and the
Marketing of Pets: Transcending Boundaries in the Animal-Human Distinction), 553562.
Humphries, M. (November, 2018). Fur Babies vs. Babies: A Study on the Consumer
Behavior of Dog Owners. Unpublished Manuscript, Wagner College.
Kylkilahti, E., Syrjälä, H., Autio, J., Kuismin, A., & Autio, M. (2016). Understanding coconsumption between consumers and their pets. International Journal Of Consumer
Studies, 40(1), 125-131.
Lancendorfer, K. M., Atkin, J. L., & Reece, B. B. (2008). Animals in advertising: Love
dogs? Love the ad!. Journal of Business Research, 61 (Animal Companions,
Consumption Experiences, and the Marketing of Pets: Transcending Boundaries in the
Animal-Human Distinction), 384-391.
Plenda, M. (2016). The Market Power of FUR BABIES. Business NH Magazine, 33(10),
22.
Tesfom, G., & Birch, N. (2010). Do they buy for their dogs the way they buy for
themselves? Psychology & Marketing, 27(9), 898-912.
U.S Census Bureau (2017). Average Number of Own Children per Family. Retrieved
September 9, 2018, from https://www.census.gov/data/tables/time-series/demo/
families/families.html
43
�U.S Census Bureau (2017). Changes in Household Size. Retrieved September 9, 2018,
from https://www.census.gov/data/tables/time-series/demo/families/households.html
Appendix A: Survey Utilized in the Study
The purpose of this 10-question survey is to analyze how dog owners view their
relationships with their pets. The results from this survey will be used in relation to the
researcher’s senior year honors thesis.
1.
What is your age?
o Younger than 19
o 20-36
o 37-48
o 49-64
o 65+
2.
What is your gender?
o Male
o Female
3.
How many people and dogs live in your house?
Adults (18+) ________
Children (under 18) _________
Dogs__________
4.
Do you consider your pet to be your child?
o Yes
o No
5.
How much do you spend on your dog annually?
o $0-100
o $101-$500
o $501-$1,000
o $1,001+
6.
Would you say your pet influences your personal purchase and/or lifestyle decisions?
o Yes
44
�7.
o No
How often do you take your pet to the vet?
o Annually
o Semi-annually
o More than 2x a year
8.
Please mark all that pertain to you and your pet
o Celebrated their birthday?
o Included them in a family holiday card?
o Purchased them clothing or accessories?
o Chosen a place for its dog-friendly nature? (Ex: outdoor seating restaurant, parks
with pet accommodations, etc.)
o Taken them to daycare
o Taken them to a groomer
o Outlined in your will what will happen to them
o Left the TV on for their entertainment when left alone in the house?
o Gave your pet healthy food (grain free, human grade, gluten-free, etc.)
9.
If you do participate in the activities in question #8, what is your primary motivation
for doing so?
o I get joy out of providing for my pet
o To keep up with what other pet owners are doing
o I feel guilty leaving my pet alone during the day and want to make it up to them
o Other _____________________________
10. How often do you do the following activities (daily, weekly, monthly, few times a
year, or never)?
o Talk to your pet ________
o Purchase non-essential items for your pet (Ex: toys, treats, gifts, etc.) ________
o Call yourself your pets’ mom, dad, sibling, etc. ________
o Attribute human characteristics to your pet (Ex: thinking your dog is smiling
because he/she is showing their teeth, thinking your dog felt guilty when they
did something bad because of their facial expression, etc.) ________
45
����Improving Resources for Survivors
of Sexual Assault on Staten Island
Kathleen Leavey (Nursing) and Angela Zagami (Nursing)1
The Center for Disease Control states that sexual violence is a significant problem in the
United States, and defines it as, “A sexual act committed against someone without that
person’s freely given consent.” Survivors of sexual assault face physical, emotional, and
psychological effects after the trauma inflicted upon them and include, but are not limited
to: Depression; post-traumatic stress disorder; substance abuse; and increased suicide
rates. As nurses and as leaders in our communities, we must ask: Are we doing enough to
support survivors of sexual assault? The answer remains clear: No, we are not. Resources
available for survivors of sexual assault on Staten Island remain disproportionate when
compared to those available in other areas of New York City. Not all healthcare providers
are specifically trained to provide care for these individuals; and, not all hospitals on
Staten Island are equipped with the personnel and tools to provide quality healthcare to
survivors. Nurses and healthcare providers must be educated and encouraged to pursue
the role of Sexual Assault Forensic Examiners, so that all hospitals may provide thorough
care to survivors. Additionally, education must be centered around the dynamics of
consent so that incidents may be prevented.
Improving Resources for Survivors of Sexual Assault on Staten Island
According to the Rape and Incest National Network (2018), a person in America
is sexually assaulted every 98 seconds — and every 5 minutes, that victim is a child.
Although the awareness surrounding sexual violence has risen over the years through
activism and movements such as #MeToo and #TimesUp, the rate of occurrence has
remained stagnant and frightening (O’Neil, Sojo, Fileborn, Scovelle, & Milner, 2018). As
nurses and leaders in healthcare, and as committed members of our communities, we
must ask ourselves: Are we doing enough to support survivors of sexual assault?
The answer is clear: No, we are not. In Staten Island, survivors of sexual assault
lack the resources needed to cope from the trauma they have endured. More can and must
be done to support survivors of sexual assault, so that these individuals are able to cope
with the trauma inflicted on them. Nurses, and nursing students, must be educated on the
Written under the direction of Prof. Josephine Marcantonio in partial fulfillment of the
Senior Program requirements.
1
49
�role of the Sexual Assault Nurse Examiner (SANE) so that hospitals can provide
thorough, accurate, and complete care to survivors. In turn, hospitals must strive to
achieve SAFE status to optimize care for survivors in all communities. Education must be
expanded on sexual health and the dynamics of consent to further enhance sexual assault
awareness and prevention. Through these strategies, sexual assault survivors will receive
the adequate care they need.
Community Assessment and Analysis
Throughout the world, sexual assault has been a centralized topic of ethical
debate for a number of years. In the United States, it has become one of the most
prevalent topics of conversation. In addition to climbing sexual assault statistics, New
York City communities have faced many challenges and changes over the past 30 years.
As one of the largest melting pots in the United States, New York City is home
to people of all races, religions, genders, sexual orientations, economic statuses, and
cultural backgrounds. Certain areas of New York City have experienced gentrification in
recent years. Indeed, a spectrum, some areas have experienced gentrification in extreme
cases – while other areas remain relatively unaffected by this process.
According to the NYU Furman Center as part of its State of New York City's
Housing & Neighborhoods 2015 Report, areas are qualified as gentrifying neighborhoods
if they were relatively low-income in the 1990s, but have seen a dramatic increase in
median rent in the last 20 years. From this report, the areas with a Percent Change in Rent
above 40% from 1990-2014 include: Williamsburg, Brooklyn (78.7% increase); Central
Harlem, Manhattan (53.2% Increase); Lower East Side, Manhattan (50.3% Increase);
Bushwick, Brooklyn (44.0% Increase); and East Harlem, Manhattan (40.3% Increase).
Although sub-communities of every other borough in New York City are mentioned in
the report as experiencing gentrification in some capacity over the past 28 years, notably
missing from this report are the sub-communities of Staten Island (NYU Furman Center,
2015).
It is important to note that, according to the Furman Center Report (2015), along
with gentrification in housing and median household income also includes urbanization
in other forms. These include, but are not limited to: Establishment of hospitals and
healthcare facilities; updates to pre-existing facilities; advancements in technology and
equipment; and, improvements in public transportation accessibility and functionality. As
Staten Island remains low on the gentrification spectrum, access to quality healthcare
remains limited due to setbacks in transportation accessibility, and lack of health
insurance coverage in low-income households. (NYU Furman Center, 2015).
50
�As gentrification is a spectrum, the current economic environment of the
community remains inconsistent. Although some areas have experienced gentrification,
the Furman Report notes that this does not indicate that all members of that community
meet the median household income (2015). Some individuals might rise above the
financial income spectrum, while other community members indeed fall below the
financial average.
Additionally, Staten Island is home to three major College Campuses: College
of Staten Island, St. John’s University, and Wagner College. Wagner College aims to
educate the community on the dynamics of consent, as well as advertise their available
resources, prior to any incidents of assault occurring. This is achieved through posting
fliers in bathrooms with the “Ten Rules of Consent,” as well as other prevention
strategies, such as: Dynamic consent workshops with leaders from Safe Horizon; studentorganized workshops involving the It’s On Us campus pledge campaign; and, handing
out informational pamphlets on Title IX. This has expanded the community’s awareness
and support surrounding sexual assault prevention; however, there is more that must be
done to support survivors. (Dr. Ruta Shah-Gordon, personal communication, October 31,
2018).
While Wagner offers supportive services for survivors of sexual assault,
including the right to a thorough investigation, there are currently no health care
professionals employed in the school’s Center for Health and Wellness who are
specifically trained in completing an initial assessment on a survivor post-trauma.
Additionally, there has been a significant delay in survivor reporting– on average, three
to six months from the time of the incident to the time when school officials are notified.
This was likely the case in the two reported instances of rape in 2017, as stated on
Wagner’s College’s 2017 Clery Report. The delay in survivor-reporting contributes to the
inadequate resources for survivors, which in turn negatively affects the ability for a
survivor to effectively cope— especially in the immediate aftermath of the trauma. (Dr.
Ruta Shah-Gordon, personal communication, October 31, 2018).
Problem in the Community
The CDC defines sexual violence as, “A sexual act committed against someone
without that person’s freely given consent.” This includes, but is not limited to,
“Completed or attempted forced penetration of a victim, or situations when there was an
attempt to make the victim sexually penetrate a perpetrator without the victim’s consent.”
According to the World Health Organization, these acts of violence may or may not be
facilitated by drugs or alcohol.
51
�Additionally, according to the World Health Organization (2002), a victim of
sexual violence may also experience: Rape within marriage, forced abortion, denial of the
right to use contraception, demanding sex in return for favors, or forced prostitution. As
previously stated, according to the Rape and Incest National Network (2018), a person in
America is sexually assaulted every 98 seconds– and every 5 minutes, that victim is a
child. Of course, these statistics only include reported acts of sexual violence. Excluded
from these percentages are the vast majority of cases which remain unreported to law
enforcement agencies, hospitals, university and campus officials, spouses, family
members, and friends of survivors.
According to the Rape and Incest National Network, sexual violence can have
psychological, emotional, and physical effects on a survivor. One of the most common of
these is depression; which occurs in 1 in 3 survivors (2018). In addition to coping with
depression, survivors often deal with effects such as: Flashbacks; post-traumatic stress
disorder; sexually transmitted infections; pregnancy; substance abuse; dissociation; eating
disorders; and, sleep disorders. While these effects certainly have lasting impressions on
survivors, they are often managed with thorough counseling and guidance from trained
professionals.
Perhaps most importantly is that, according to the National Sexual Violence
Resource Center, survivors of sexual assault have increased suicidal ideations (55% more
than non-survivors). Additionally, survivors commit suicide at a rate of 13% more than
others in the community; which raises the national suicide statistic from 14% in nonsurvivors to 27% in survivors (NSVRC, 2018). These statistics directly reflect the
ineffective coping strategies survivors possess, which is largely in part due to the lack of
adequate resources available post-trauma.
A report released by the Department of Justice in February 2018 stated that the
NYPD investigated 122 rape claims that year, which is 39% higher than the 88 rape
reports from one-year prior in February 2017. Out of the 39 rapes reported in February
2018 alone, 38% of them were domestic (15 cases), meaning that the rapist was a spouse
or a family member. Another 56% were acquaintance rapes (22 cases), meaning that the
perpetrator was someone who the survivor knew. Only the remaining 6% were stranger
rapes (2 cases) (Bureau of Justice Statistics, National Crime Victimization Survey, 2014).
However, according to the National Joint Council, most cases of rape and sexual
assault go largely underreported (NJC, 2014). On average, only 33.6% of rape and sexual
assaults are actually reported to the police. The vast majority of occurrences in the United
States, 66.4%, remain silenced. Worldwide, victims may be less inclined to report their
sexual assault due to their societal norms and culture. According to the World Health
52
�Organization, “In some societies, the cultural ‘solution’ to rape is that the woman should
marry the rapist, thereby preserving the integrity of the woman and her family by
legitimizing the union.” This is actually reflected in the law, and allows the perpetrator to
be excused of the crime if he marries the victim.
Additionally, according to the World Health Organization, “Apart from
marriage, families may put pressure on the woman not to report or pursue a case or else
to concentrate on obtaining financial ‘damages’ from the rapist’s family.” Women may
also be hesitant to report sexual assault, in fear of rejection from their spouse. In some
countries, men reject their wives if they have been raped; or in extreme cases, they can be
murdered (WHO, 2002). In some instances, sexual assault may be less explicit: for
example, according to the World Health Organization (2002), free trade has caused an
increase in the movement of people and goods around the world, specifically women and
girls. These women are often used for labor, including sex work.
Unfortunately, sexual assault statistics have been climbing in recent years.
According to an SI Live report in 2017, “Police have witnessed a 71-percent increase of
alleged rapes on Staten Island so far this year, compared to the same time last year. Of
the 12 incidents reported from January 1st through the middle of March, all of the female
victims knew their alleged attackers” (Lawson, 2017). Lawson goes on to report, “Of the
12 rapes or attempted rapes reported so far this year, six were reported in the North
Shore's 120th Precinct. Two were reported in the 121st Precinct, and two each were
reported in the 122nd and 123rd precincts. Seven third-degree rapes have been reported
so far this year: Three in the 120th Precinct, two in the 122nd Precinct and two in the
123rd Precinct” (Lawson, 2017). In contrast, Lawson states that, “Seven rapes had been
reported at this time last year, according to NYPD statistics” (Lawson, 2017). The
climbing rate of sexual assaults on Staten Island is incredibly disproportionate to the
resources available to the survivors of these Staten Island communities.
The initial treatment of a survivor includes a thorough assessment, and the
completion of a Sexual Assault Evidence Kit (commonly referred to as a “Rape Kit”).
However, this assessment and collection of data can only be administered by specially
trained healthcare professionals, such as Sexual Assault Nurse Examiners (SANE’s) and
Sexual Assault Forensic Examiners (SAFE’s), at certain hospitals (RAINN, 2018).
As with other certifications and hospital-wide recognitions, such as “Magnet
Status,” institutions often strive to achieve “SAFE Status,” an acronym for the
recognition of a Sexual Assault Forensic Examination facility (NYC Department of
Health, 2017). SAFE status is achieved through adherence to certain principles and
guidelines. In New York State, hospitals must apply for recognition by delineating their
53
�services and setting forth a commitment to continuous quality improvement. Once SAFE
status has been achieved, hospitals must uphold their recognition through audits (NYS
Department of Health, 2017).
According to the Rape and Incest National Network, the data collected in the
preliminary assessment of a SAEK kit is necessary forensic evidence to support a
criminal investigation (RAINN, 2018). According to RAINN, these examinations must
be completed within 72 hours of a trauma in order to be analyzed by a crime lab –
however, evidence may be preserved for longer periods of time, should a survivor decide
he or she does not wish to pursue law involvement at the time of completion.
Yet, not completing this examination kit removes the possibility of collecting
forensic evidence, which is absolutely necessary in a criminal investigation. As such, if a
survivor is treated at a non-SAFE designated hospital following their trauma, the option
of completing this kit is not possible. Therefore, the option of pursuing a criminal
investigation supported by viable forensic evidence is thus eliminated (RAINN, 2018).
According to RAINN, the materials in a SAEK kit include: Paper bags and
paper sheets, hair combs, paper envelopes, detailed instructions, materials for blood
samples, swabs, and documentation forms. These examinations may take up to a few
hours, and are rather invasive. Although most of the examination is comprised of a
physical evaluation, there is an extensive health history intake. RAINN states that these
questions include: Recent medications, pre-existing medical conditions, information
pertaining to recent consensual sexual activity, as well as, “The details of what has
happened to help identify all potential areas of injury, as well as places on your body or
clothes where evidence may be located.” Medical care may also be targeted towards
pregnancy prevention, treatment of injuries, and STI screening and treatment prophylaxis
(RAINN, 2018).
In Manhattan, survivors of sexual assault have the option of being treated at
several SAFE hospitals throughout the Borough, following their trauma. According to the
Department of Health, these hospitals include: Bellevue Hospital; Mt. Sinai Beth Israel;
Lenox Hill Greenwich Village; Mt. Sinai Hospital; Mt. Sinai St. Luke’s; Mt. Sinai West;
Harlem Hospital Center; Metropolitan Hospital Center; Columbia University Medical
Center; and, Weill Cornell Medical Center.
Yet, the only SAFE designated hospital equipped to treat survivors on Staten
Island is Richmond University Medical Center, which is located on Staten Island’s North
Shore. According to Richard Ortiz, the Forensic Director of the RUMC Emergency
Department and a SANE himself, 15 nurses in the Emergency Department are certified
SANEs. Additionally, at least one SANE is scheduled to work per 12-hour shift (Richard
54
�Ortiz, RN-SAFE, personal communication, November 12, 2018). Yet, the lack of
accessible healthcare for survivors in all Staten Island communities remains inconsistent
as Staten Island University Hospital North (located in Midland Beach, Staten Island) as
well as Staten Island University Hospital South (located on the Island’s South shore) are
not SAFE designated institutions. This impacts survivors, especially in lower income
households, as the accessibility to quality healthcare remains limited (NYC Department
of Health, 2017). The inconsistent resources available for survivors on Staten Island
minimizes the care these survivors are entitled to receive, thus impinging on their ability
to cope following their trauma (NYC Department of Health, 2017).
In recent years, sexual assault survivors have been given a platform to advocate
for their rights, and to put an end to violent sexual crimes through movements such as
#MeToo and #TimesUp (O’Neil et al., 2018). Survivors of sexual assault from all across
the globe have come forward with accounts of trauma, both past and present. The world
watched as survivors of all walks of life shared their most vulnerable accounts, in an
effort to make a difference. However, there are skeptics who discount the validity of the
#MeToo movement and the stories of those who have come forward (O’Neil et al, 2018).
According to research conducted by Courtney E. Ahrens, rape survivors who
speak out about their assault experiences are often punished for doing so when they are
subjected to negative reactions from support providers (Ahrens, 2006). Ahrens goes on to
conclude, “Unlike other crimes such as burglary and assault, rape survivors must prove
not only that the crime did in fact occur, but that they had no role in its occurrence
(Ahrens 2006). When ‘experts’ doubt survivors, hold them responsible for the assault, or
refuse to provide assistance, survivors may question both the effectiveness of such
services and the usefulness of reaching out for help to anyone at all (Ahrens, 2006). As
such, survivors often feel ashamed of their trauma and hold back in reporting the incident
in fear of being misunderstood, disbelieved, or worse: Seemingly disproven. As leaders
in healthcare and in our communities, we must do more to support survivors.
Proposed Solution
More can and must be done to support survivors of sexual assault, so that these
individuals may cope with the trauma inflicted on them. The proposed resolution has
been formed around Madeleine Leininger’s Cultural Care Theory, which emphasizes
individualized care on the principles of one’s cultural background and upbringing, rather
than solely on their medical diagnosis (Lancellotti, 2008).
This theory is important for survivors of sexual assault, as many survivors often
blame themselves for the trauma inflicted on them. In certain cultures, sexual assault is an
55
�accepted behavior. These solutions aim to not only expand the awareness of preventing
sexual assault from occurring by exploring the dynamics of consent, but also to improve
the resources available to survivors by making treatment accessible to all.
A specific goal for the community is for Staten Island University Hospital,
North and South Campuses, to achieve SAFE recognition; and, to provide funding for
their nurses to become SANE certified. Additionally, a goal for Wagner College is to
employ a SANE certified provider on an on-call basis to tend to survivors in the
immediate aftermath of the occurrence.
●
●
●
Objectives
To educate the community on SAFE hospital locations,
To educate nurses and nursing students on the role of the SANE provider,
To educate survivors on the resources available to them.
The community must be educated on the locations of their SAFE hospitals prior
to any incident occurring. This primary prevention strategy seeks to inform the
community members and equip them with the knowledge needed for safety planning.
This education can be achieved through marketing strategies such as displaying
informative posters and fliers in schools, supermarkets, and other public areas; as well as
engaging in social media outreach efforts.
Additionally, nurses and nursing students must be educated on the role of the
Sexual Assault Nurse Examiner (SANE) so that they may pursue this valuable career
path. According to RAINN, these providers are not only specially trained to assess and
treat patients after sexual assault; but also to therapeutically interview the survivor to
facilitate coping and trusting relationships. According to RAINN, the responsibilities of a
SANE also include: Providing immediate medical care to the survivor; treating injuries;
completion of a SAEK kit; conduction of STD and pregnancy risk evaluations;
assessment of the patient’s emotional state to determine if additional evaluation or
treatment is necessary; and, to provide referrals to legal aid and advocacy groups.
In the event that a case involves criminal investigation, SANEs are also required
to testify in court. SANEs work as Registered Nurses in other areas of the hospital and
complete normal shifts; however, they are required to live within 45 minutes of the
facility and rotate through on-call shifts (RAINN, 2018). According to the International
Association of Forensic Nurses, “To become a SANE, registered nurses must take a
Sexual Assault Examiner Class comprised of 40 hours of classroom training, followed by
an average of 40 hours of clinical training” (IAFN, 2014). As more Registered Nurses
56
�and healthcare providers pursue this certification, care will be expanded for survivors of
sexual assault.
Additionally, hospitals and medical facilities will achieve SAFE status through
the expansion of the certifications of their personnel. As more hospitals strive to achieve
SAFE status, quality healthcare for survivors in all communities will be enhanced.
Further, there must be a continuity in care between members of a survivor’s healthcare
team to ensure that the survivor is equipped with the necessary coping skills after their
trauma (RAINN, 2018).
In combating sexual assault and violent crimes from occurring, more prevention
must take place. This can be achieved in many different ways, primarily through
educating our communities. Nurses and other trained professionals may hold workshops
on consent— not only to emphasize its importance, but to explore its dynamics. In doing
this, our community members will better understand all aspects of giving and receiving
permission. Additionally, bystander intervention training seminars may be held, in order
to increase our community members’ awareness on strategies to intervene in the case of a
sexual assault or violent crime taking place. These prevention measures may be
facilitated in conjunction with other community resource groups, such as Safe Horizon.
Through our research, we have confirmed that more resources must be available
for survivors of sexual assault. In advocating for the safety of our citizens, we ensure that
our communities, and all its members, thrive.
References
Department of Justice, Office of Justice Programs, Bureau of Justice Statistics, National
Crime Victimization Survey, 2012-2016 (2017).
International Association of Forensic Nursing. (2014). SANE Sustainability. Retrieved
from: https://www.nsvrc.org/sane-sustainability
Krug, E. G., Dahlberg, L. L., Mercry, J. A., Zwi, A. B., Lozano, R. (2002). World report
on violence and health. World Health Organization, 147-174. Retrieved from
https://www.who.int/violence_injury_prevention/violence/world_report/en/full_en.pdf?u
a=1.
Lancellotti, K. (2008). Culture Care Theory: A Framework for Expanding Awareness of
Diversity and Racism in Nursing Education. Journal of Professional Nursing, 24, (3)
179-183. https://doi.org/10.1016/j.profnurs.2007.10.007
57
�Lawson, K. (2017, March 24). NYPD: Rapes increase more than 70 percent on Staten
Island. SI Live. Retrieved from https://www.silive.com/news/2017/03/post_1555.html.
New York State Department of Health. (2018) Sexual Assault Forensic Examiner (SAFE)
Program. Retrieved from https://www.health.ny.gov/professionals/safe/
NYU Furman Center. (2015) State of New York City’s Housing and Neighborhoods in
2015. Retrieved from
http://furmancenter.org/files/sotc/Part_1_Gentrification_SOCin2015_9JUNE2016.pdf
O’Neil, A., Sojo, V., Fileborn, B., Scovelle, A. J., & Milner, A. (2018). The #MeToo
movement: An opportunity in public health? The Lancet, 391(10140), 2587-2589.
doi:10.1016/s0140-6736(18)30991-7
Dr. Ruta Shah-Gordon, Vice President of Internationalization & Title IX Coordinator,
Wagner College. (10/31/2018).
U.S. Department of Health & Human Services, Administration for Children and Families,
Administration on Children, Youth and Families, Children’s Bureau. (2018). Child
maltreatment 2016. Retrieved from: https://www.acf.hhs.gov/cb/research-datatechnology/statistics-research/child-maltreatment.
Wagner College (2017, 2016, 2015). Clery Report. Retrieved from:
http://wagner.edu/public-safety/files/2018/09/Copy-of-Clery-All-in-one-2015-2017publish.pdf
58
���Balancing Masculinity and Humanity in the Relationship
Between Macbeth and Lady Macbeth
Lindy Pokorny (Theatre/Speech)1
Manhood is a central theme in Macbeth. Throughout the play, the concretization
of what makes a man is constantly scrutinized. The word “man” is used incessantly, both
to examine masculinity and mankind. This is most prevalent in the relationship between
Macbeth and Lady Macbeth. At the beginning of the play, Macbeth is easily defined as a
masculine figure– an honored war hero, there is no doubting his status as a man.
However, with the introduction of the prophecy, his fear and hesitance prompt Lady
Macbeth to assert her own masculinity, changing the dynamic of their relationship. She
compels him to reassert his masculinity, and in doing so eventually seals her own fate as
the subordinate feminine counterpart. In turn, Macbeth’s excessive masculinity ends up
costing him his humanity.
Man is situated between God and beast in the Great Chain of Being
(specifically, between angel and beast). He has, beyond the brute strength of the animal,
the ability to reason. He does not have, however, the intuition or divine powers of the
angel or God. By confusing these abilities (for instance, by assuming the power to
challenge fate or converse with the dead), man can jeopardize his humanity, which is the
trap that Macbeth eventually falls into. Masculinity cannot be used as a substitute for
manhood; that requires a more even balance of the masculine and feminine, as well as a
balance of the four humors, to ensure that the ability to reason (which defines mankind) is
kept intact.
Masculinity is not inherently bad– the proper Elizabethan man is expected to
display more masculinity than femininity (without tipping the scales too far). However, it
is frequently defined too narrowly and transforms into a stereotype that disallows the
balance that femininity can provide. “The male stereotype is associated with violence
made socially and ethically acceptable through the ritual of warfare” (Asp 154). In the
opening of the play, Macbeth has undisputedly achieved this– he is “noble Macbeth”
(I,ii,67) to King Duncan by virtue of his glory in battle. Despite this, with the
introduction of the prophecy, Macbeth is eventually compelled to fulfill the male
stereotype to a disorderly degree by exhibiting violence not only on the battlefield but in
1
Written under the direction of Dr. Ann Hurley for EN 330: Shakespeare Survey.
61
�his personal life, even against the very man that he won his honor by defending.
Ironically enough, this transformation is encouraged and facilitated by his wife, Lady
Macbeth.
Lady Macbeth is a woman, and therefore is man’s subordinate by all
Elizabethan accounts, and should be particularly subservient to her husband, whom God
created her as a companion for. Yet Lady Macbeth is not a character many would dare to
describe as “subservient.” While she is not the first female character to display such
traits– not even Shakespeare’s first– she is a particularly clear example of an imbalance
of masculinity and femininity, not entirely unlike Macbeth, but made entirely more
inappropriate by the fact that she is a woman. Since we hear little of her character before
her appearance, we have no true frame of reference as to the balance she possessed before
the inciting action. However, we do know how she responded to the situation and to her
husband’s failure to act, and these are the examples we will focus on to examine her
character.
Lady Macbeth is often perceived as villainous, and the driving force behind her
husband’s eventual ruin. Particularly in older examinations of the text, she is arguably
given more blame than Macbeth himself for the events that transpire. In an article written
in 1887, Munro asserted that “She knew his strength and weakness, his hopes and fears,
and with a skill that is almost demoniac, and too horrible to conceive as existing in
woman, the weaker vessel and ministering angel, she played upon his nature with as
much ease as if she were fingering the strings of her native harp” (31). On the other hand,
Macbeth is seen as a pure and innocent soul who is corrupted not by his own ambition
but by his wife’s evil. Munro writes that “He was a genuine Celt, to whom reputation for
bravery was dearer than conscience, dearer even than life itself; and so he was goaded
and lashed by the “valor” of his wife's tongue into the doing of an act from which his soul
otherwise utterly recoiled” (32). He fails to address the existence of Lady Macbeth’s own
conscience, or the fact that by the end of the play Macbeth needs no urging from his wife
and is perfectly capable of committing unspeakable crimes all by himself.
While Lady Macbeth is given total blame, she still isn’t afforded
acknowledgement of her ability. Even though Macbeth’s decisions and actions are
supposedly her responsibility, Munro hypocritically deems her “so constituted as to lack
the muscular and nerve power needed for being such a great and persistent criminal as
her brother man. Her intentions may be equally bad, perhaps even more subtle and
diabolic, still she cannot carry them through as he can” (32). Her failure to act herself–
perhaps he is thinking specifically of her refusal to kill Duncan as he slept on grounds
that he looked like her father– is seen not as evidence of a conscience but rather as a
62
�womanly weakness. However, we can assess Lady Macbeth instead as a character who
willfully chose to disrupt her own internal balance and eventually came to regret it. One
of the most famous passages in Macbeth is where Lady Macbeth declares:
Come, you spirits
That tend on mortal thoughts, unsex me here
And fill me from the crown to the toe topful
Of direst cruelty! Make thick my blood,
Stop up the access and passage to remorse,
That no compunctious visitings of nature
Shake my fell purpose, nor keep peace between
Th’ effect and it! Come to my woman’s breasts,
And take my milk for gall” (I,v,40-48)
She asks that she be “unsexed” to aid her in helping her husband, which she can
do more readily with the masculine affinity for strength and violence at her disposal. “In
a society in which femininity is divorced from strength and womanliness is equated with
weakness, where the humane virtues are associated with womanliness, the strong woman
finds herself hemmed in psychologically, forced to reject her own womanliness, to some
extent, if she is to be true to her strength” (Asp 159).
Another early point of contention was her “demonaic” call to the spirits to alter
her God-given nature as a woman in favor of a man’s power. However, this was more of
an internal plea than one meant to conjure devilish spirits. Elizabethans believed that
melancholy was conducive to crime, aided by the presence of choler for courage (or
“gall,” in Lady Macbeth’s words) (Kocher 348). She asks that her blood be thickened, an
effect of melancholy, in order to “stop up the access and passage to remorse” (I,v,43-44)
to preemptively rid her of the torment that her conscience eventually wreaks upon her
anyway.
It is clear that she is not inherently evil and struggles with the morality of her
actions– if nowhere else, this is distinct in her eventual suicide. However, we see it earlier
in the play as well, particularly during her sleepwalking episode, where she famously
cried “Out, damned spot!” (V,i,35) She has an obvious reversal from her initial claim that
a “little water clears us of this deed” (II,ii,64) to her lament that “all the perfumes of
Arabia will not sweeten this little hand” (V,i,50-51). She, like Macbeth, is unable to
prevent her conscience from calling into question her humanity.
Their relationship goes through a significant shift through the course of the play.
It is apparent in the first act that Macbeth considers Lady Macbeth not only his wife, but
his confidant and advisor. He writes to her “This have I thought good to deliver thee, my
63
�dearest partner of greatness, that thou mightest not lose the dues of rejoicing by being
ignorant of what greatness is promised thee” (I,v,10-14). He affords her here an
importance that is not given to her by any other man in the play (and that no men give to
their wives). Macduff is a prime example. When Lady Macduff asks “what’s the
business” (II,iii,81) he responds to her by saying “O gentle lady, ‘Tis not for you to hear
what I can speak: The repetition in a woman’s ear, Would murther as it fell” (II,iii,8486).
Conversely, Macbeth relies upon Lady Macbeth for not only advice, but
physical aid in the implementation of plans which she initially makes for him. Lady
Macbeth takes on a masculine form, actively participating in violence and taking up the
slack when his conscience prevents him from fulfilling his manly role as she prescribes it.
She taunts him by pointing out his femininity and weakness, saying things such as “From
this time/ Such I account thy love” (I,vii,38-39). He responds by saying “I dare do all that
may become a man,/ Who dares do more is none” (I,vii,46-47) and makes it clear the
effect that her words have had on him. Less obvious is the contradiction that in order to
encourage Macbeth’s masculinity, Lady Macbeth must sacrifice her own and use the
more effective tool of femininity.
She uses images that actively refer to her female form, such as “I would…
/Have pluck’d my nipple from his boneless gums” (I,vii,56-57). Macbeth’s response,
although seemingly affirming her masculinity, ironically affirms her feminine, maternal
instinct, saying “Bring forth men children only! For thy undaunted mettle should
compose nothing but males” (I,vii,72-74). Asp asserts that “her dream of being partner to
his greatness is doomed by the very means she has used to insure that greatness. By
making him “manly” she has guaranteed that he will think of her as subordinate and
unworthy of truly sharing power” (162).
In the second half of the play, it becomes apparent that Lady Macbeth is no
longer her husband’s advisor or confidant. When she asks him “what’s to be done?” he
responds “be ignorant of the knowledge… till thou applaud the deed” (III,ii,45-46).
Effectively, he treats her exactly as Macduff did earlier with his wife, with no regard for
his initial claim that she was his “partner in greatness” or the aid that she inarguably gave
him. Even then, she continues to support him and encourage the masculinity that he feels
the need to continually prove. When he sees the ghost of Banquo at their feast, she covers
for him to the other guests, saying “Think of this, good peers, But as a thing of custom.
‘Tis no other” (III,iv,95-96) and privately challenges him by asking “Are you a man?”
(III,iv,57). He replies “Aye, and a bold one, that dare look upon that which might appall
64
�the Devil” (III,iv,58-59) which although she does not readily believe, is evidence that this
is a continuous point of contention between them despite his earlier assumption that he no
longer needs her as a partner. I would assert that it’s entirely possible that his dismissal of
her significance is a contributing factor in her eventual suicide.
When Lady Macbeth dies, she is mourned by the cry of women. She is
completely removed from the masculine world she tried to infiltrate that, in the end,
succeeded in excluding her. “A victim of her “thick-coming fancies,” she, like her
husband, loses touch with her humanity except within the ambiance of a dream world”
(Asp 167). Macbeth, in turn, sacrifices his humanity by choosing to ignore the balance of
masculinity and femininity in trying to fulfill some sort of unnatural, godlike potential.
“The more Macbeth is driven to pursue what he and Lady Macbeth call manliness– the
more he perverts that code into a rationale for reflexive aggression– the less humane he
becomes, until at last he forfeits nearly all claims on the race itself, and his vaunted
manhood, as he finally realizes, becomes meaningless” (Ramsey 286-287).
Perhaps Lady Macbeth’s simple question is the most significant in Macbeth:
“Are you a man?” It asks us to define what exactly makes a man– is it the balance
between masculinity and femininity? Is it the balance between the humors? Is it the
balance in a marriage? Regardless of the right answer, it’s tragically clear that Macbeth
and his wife never found it.
Works Cited
Asp, Carolyn. “‘Be Bloody, Bold and Resolute’:Tragic Action and Sexual Stereotyping
in Macbeth.” Studies in Philology, vol. 78, no. 2, 1981, pp. 153–169.
Kocher, Paul H. “Lady Macbeth and the Doctor.” Shakespeare Quarterly, vol. 5, no. 4,
1954, pp. 341–349.
Munro, Robert. “Lady Macbeth: A Psychological Sketch.” The Journal of Speculative
Philosophy, vol. 21, no. 1, Jan. 1887, pp. 30–36.
Ramsey, Jarold. “The Perversion of Manliness in Macbeth.” Studies in English Literature,
1500-1900, vol. 13, no. 2, 1973, pp. 285–300.
Shakespeare, William, et al. The Riverside Shakespeare. Houghton Mifflin, 1997.
Williams, Edith Whitehurst. “In Defense of Lady Macbeth.” Shakespeare Quarterly, vol. 24,
no. 2, 1973, pp. 221–223.
65
�“Her Lover, Her Husband, Her Brother, Her Father,
Her Child”: Queering Ender Wiggin’s Multi-faceted
Identities in Orson Scott Card’s Speaker for the Dead
L. Elise Whisler (Physics and English)1
Ender Wiggin plays a variety of roles in Orson Scott Card’s Speaker for the
Dead. His multifaceted identity blends into one compassionate, powerful, and knowing
man, yet his relationships with others define him further as lover, husband, brother, father,
mother, and child. Kelley Eskridge1 writes “queer functions as a meta-descriptor for me,
the word itself implying relativity, fluidity, defiance of categories … part of queer is the
expansion and reconstruction of meaning, including the meaning of queer itself” (Griffith
and Eskridge 46). With this understanding of queer not as LGBTQIA+ but as
reconstructing and differing from the norm, Ender Wiggin is indeed a queer character. He
experiences an array of sexual, asexual, romantic, fatherly, and fraternal loves, especially
with his female counterparts, Valentine, Jane, and Novinha. Additionally, his layered
identity as Ender, Andrew, and Speaker harkens to the queer experience of being in the
closet, being outted or coming out, and reclaiming ownership of a vulgarized identity.
While Ender is not an explicitly homosexual or queer figure, his relationships with Jane,
Valentine, Novinha and her children, and the Hive Queen blur gender, familial, and sexual
roles; thus, Ender is simultaneously mother, father, brother, and husband.
Beginning with his biological family, Ender’s love for his sister Valentine is
asexual, but their love is a foil for a much needed romantic relationship. They rely on
each other emotionally, and as they say goodbye, Valentine says she will be lonely
without him to talk to. Ender replies, “Jakt is your husband, not me” (Card 79), implying
that they have spoken with each other about things a husband and wife would, filling
those roles for one another. Their relationship is deepened with the understanding that
they are two-of-a-kind. Valentine and Ender are 3000-year-old humans with memories
and roles in the histories which their modern peers misconstrue. Ender addresses his pain
at losing Valentine hurrying his goodbyes, saying it is, “because it hurts me every time I
see you and Jakt growing closer and you and me growing more distant, even though I
know it’s exactly as it should be” (79). This also implies his own hunger for the
Written under the direction of Dr. Susan Bernardo for EN 323: Aliens, Cyborgs and
Time Travel in Literature and Film.
1
66
�emotional intimacy he used to share with Valentine. Thus, Valentine has stood-in as a
wife for him, asexually sharing the emotional intimacy of marriage. However, since he
has slowly lost her to Jakt, he hurries to leave for Lusitania, though they will mutually
mourn each other’s loss.
On the other hand, Ender’s love for Jane is simultaneously asexual, romantic,
fraternal, and paternal. Their romance is implied in their mutual understanding of one
another. After Ender turns off the communication interface they share, Jane mourns the
loss of “her lover, her husband, her brother, her father, [and] her child” (178). He is her
lover and husband through their years together and their emotional intimacy. Yet, he is
also her brother because of their shared experience as one-of-a-kind, products of the
military which trained Ender and built the Fantasy Game Jane came from. He is her
father because of the malfunction of the Fantasy Game—it centered on his psychology,
his experience, and his training; thus, the game files are a product of Ender, the same files
Jane’s forming consciousness centered upon, giving rise to Jane. And vice versa, Ender
was trained by the game, which formed so much of Jane’s consciousness, making him
also her child. All of these relationships coexist in the Jewel he wore in his ear. Thus, his
relationship with Jane is queer in its blending of roles, its expansion and reconstruction of
relationships and roles, and its redefinition of family and the origin of self. Furthermore,
while Jane has a feminine name and Card uses feminine pronouns, Jane lacks the latent
characteristics that define the sex and often define the gender of human beings. Jane
instead transcends gender as humans know it, and, being one-of-a-kind, cannot be
defined in a gender binary because she has no opposite. Thus, Ender’s love of Jane is not
strictly heteroromantic nor even strictly romantic. Their love expands and thereby queers
the definitions of husband, brother, father, and child to encompass an interspecies
romantic and parental love.
These asexual, romantic, and parental relations fill Ender’s need for a family
beyond Jane and Valentine. The narrator best explains Ender’s emotional dependency in
saying, “Jane and Valentine had been constantly with him. Even though they could not
begin to meet all his needs; but they met enough of his needs that he never had to reach
out and accomplish more” (180). Ender has never needed someone to know him as a wife
because Jane and Valentine filled all the roles of his family, as sisters, wives, and—in
Jane’s case—mother and daughter. However, when he is without Jane or Valentine while
traveling to Lusitania, Ender is frustrated, bored, and lonely (86). Yet later, once the
Ribeiras replace Jane and Valentine’s roles as mother, sister, wife, and child, Ender is not
bored, lonely, or even jealous without Jane and Valentine (368). This shows not only his
67
�development through the story, but also Jane and Valentine’s paramount importance to
him as asexual but deeply emotionally dependent family.
In contrast, Ender’s love for Novinha is sexual and emotional by the end of the
novel. However, it does not start that way. This love sees evolution throughout Ender’s
time on Lusitania as Ender’s connection to Novinha shifts from a bond based on
similarity to one based on romantic and sexual love. By way of introduction, Jane recites
facts of Novinha’s childhood to Ender who “knew her, and loved her, and his eyes filled
with tears for her,” and “in her brilliance, her isolation, her pain, her guilt, he saw his
stolen childhood and the seeds of the pain that lived within him still” (65). Ender’s initial
love of Novinha is a kinship in recognizing their shared status as outsiders and a silent
shared guilt. Having only seen a picture of her as an adolescent and heard the facts of her
biography from Jane, Ender loves and knows Novinha. Yet, that love is almost fraternal,
based on a shared childhood experience, the lack of true parenting and the trauma of
guilt. The narrator states that, “he loved her, as you can only love someone who is an
echo of yourself at your time of deepest sorrow” (83). Thus, their love story is queered
from the start: love at first sight, but not the butterflies-inducing normative love of fairy
tales, the love of a traumatized and lonely child recognizing their equal and their shared
experience. This kinship is almost like the love an audience feels for a character who
represents them, a queer person loving a gay icon or a person of color identifying with a
celebrity of color based only on the shared trauma of their identity.
Much like a celebrity to their fans, that brotherly love or kinship is one sided.
Novinha initially sees Ender as a threat to her family and way of life in the colony. She is
enraged, wondering, “How dare this speaker invade her house and open all the curtains
she has closed” (131). Of course, there are metaphorical curtains, barriers she had built
between herself and the happiness she believed she did not deserve. Thus, while Ender
sees Novinha as a reflection of his own guilt and trauma, she sees the Speaker as an
invader of her home. In addition, he is a self-righteous stranger who believes he can, in
one hour, bond with her children as she had not over the course of their entire lives (128).
At the same time, Novinha is well aware of the Speaker’s intent to heal her family. She
distrusts this stranger but seems innately to know he wants to heal her family, “stringing
[them] together whole again” (133). And moreover, she fears he will find her secrets in
the process. Novinha does not hate him because he is a stranger or a threat to her family’s
safety. Rather, she hates the Speaker because he is threatening to heal them and
deconstruct the barriers Novinha has carefully placed, the web of self-punishment she
constructed as retribution for having killed Pipo.
68
�Regardless of her distrust, Ender works his way into her home and heart. He first
approaches Novinha through her family. In under an hour, Ender knows, “I’m in the
family now. Whether you like it or not. Whether I like it or not” (121). He knows with
certainty that his compassion and understanding have lent him unique access to the
family. Though, in biological terms, Ender is male and Novinha is female, both have
traits commonly associated with the other’s gender. At the beginning of the text, Novinha
is far from nurturing and motherly. Instead, she takes a traditionally masculine role as
breadwinner of the family and goes so far as avoiding coming home even though Marcão
is not there to abuse her (124). She is characterized as cold and scientific, quite the
opposite of the heteronormative role of the wife and mother. On the other hand, Ender is
nurturing and empathetic to the Ribeiras. Ender is understanding and gentle (129), soft
and warm (133). His motherly qualities enable Ender to serve as mother to the Ribeiras
while he also fills the role of authority and father which the youngest child, Grego, needs
in his mourning. Thus, upon meeting, while he loves Novinha through kinship, he loves
the Ribeira children as family. Ender queers the heteronormative role of father, blending
it with that of minister for a funeral, mother, and friend.
His parenting does not end with the Ribeiras though. Ender is the nurturing
caregiver to the hive queen for 3000 years (or just 25 or so as he experiences them)
carrying her fetus-like cocoon. He carried it with him for years and was the sole
companion to the Hive Queen, much like a mother serving as the carrier and companion
to a child. The Hive Queen telepathically tells Ender, “In all our life, you are the first
person we’ve known who wasn’t ourself” (70), harkening to the Lacanian idea of the
mirror stage in which a child recognizes itself in their caregiver and the following stages
in which the child understands itself in context of the other. Furthermore, before planting
the Hive Queen’s cocoon Ender asks Novinha to develop food for the Buggers which
would prevent them from catching the Descolada (368), providing an immune support
and food source for the buggers much like a mother’s breast milk provides for a child. By
finding a place for the cocoon on Lusitania, he becomes a mother to all Buggers, a
maternal man. As mother to the Buggers and father to the Ribeiras, Ender blends the lines
of gender and parental roles, queering not only his role as parent but also the definition of
family, adopting the Ribeiras who are millennia younger and the hive queen, who is
anciently older, as family.
Family itself is sometimes called the “f-word” in the queer community. As
Bruce Gillespie explains, family values and the heteronormative idea of family has been,
“used to bash queer people and illegitimatize their relationships as something unnatural
for a long time” (7). Thus, “reclaiming the concept of family is an act of empowerment
69
�that is at once personal and political . . . [in reclaiming family queer people] realize what
adoptive families have always known . . . there’s an important distinction between whom
you’re related to and whom you consider your family” (7). This is to say that, not only
does Ender’s relationship to the Ribeiras, Jane, and the Hive Queen defy the normalized
definition of family, but Ender’s expanded definition of family also queers the term,
resonating with the queer community’s strife about the word family and the
heteronormative institution of monogamous marriage which family is founded upon.
His legal family at the end of the text is the Ribeiras, with the now warmer and
more traditionally feminine Novinha as his partner regardless of her previous
transgressive sexuality. This, in and of itself, is not the homosexual conclusion to a queer
tale one might expect. However, in order to find happiness with the Ribeiras, Ender has
to come out, in much the same way a queer person must come out, taking ownership of
multiple layers of identity. I have elected to refer to him as Ender because it is the name
which captures most of his identities in one, yet, I refer to him as the Speaker when that is
how Novinha perceives him. Ender is the name his siblings gave him as a child, unable to
pronounce Andrew; thus, Ender captures his role in his family and specifically his love
for Valentine. It also captures his role as the one who ended the Buggers. Ender becomes
synonymous with the Xenocide, a vulgar word, much as the words of the queer
community have been twisted into slurs and insults (such as queer itself). Furthermore,
he must adopt a separate persona as Andrew, and yet another as the original Speaker for
the Dead. Thus, Ender is closeted, and Andrew is passing, much like many queer people
who hide their identities in order to pass in public.
Maintaining secrets and closeted identities can be hard, both for Ender and for
queer people. While sharing an identity or facet of oneself can be empowering, it can also
lead to vulnerability. This vulnerability comes to hurt and help Ender as his secrets are
outted to the Pequeninhos via the Hive Queen and Rooter, and then to Ouanda and Miro
when Human outs him as the original Speaker for the Dead (Card 235-236). Similarly,
Valentine outs him to Plikt when the latter researches too deeply into his past (80). These
points of vulnerability are also points of connection--people in his adopted and biological
family who know Ender rather than knowing only Andrew. Thus, Ender is a secret and a
forbidden word to anyone who is not in his close circle of trust, just as a queer person’s
closeted identity is a secret, and sometimes a slur, to those outside their circle of trust.
However, once one is outted, we see empowerment and ownership in the reclamation of
an identity and term. We also see Ender reclaimed, to some small degree, just as some
slurs have been by the queer community. After his departure, Valentine’s family knew of
“their long-lost Uncle Ender, who was thought in every world to be a monster, but in
70
�reality was something of a savior or a prophet, or at least a martyr” (82). Thus, Ender is a
child, a brother, a fighter, a killer, a slur, a reclaimed term of endearment and identity, a
hero, and a martyr.
Ender’s layered identities and many roles in the families around him culminate
in the boundary defying, brave, and kind man he is. In Card’s Speaker for the Dead, we
see Ender closeted, exposed, and reclaimed, just as many queer people experience the
coming out process. Additionally, Ender’s relationships with Jane, Valentine, the Hive
Queen, and the Ribeiras, including Novinha, redefine romantic and familial love,
reconstructing and queering family and emotional dependency.
Note
1. Though Nicola Griffiths and Kelley Eskridge co-wrote the piece, they clearly denote
who wrote each section as their article includes biographical context; thus, this quotation
is attributed to Eskridge.
Works Cited
Card, Orson Scott. Speaker for the Dead. Tor, 1991.
Gillespie, Bruce. “Introduction.” A Family by Any Other Name: Exploring Queer
Relationships, Edited by Bruce Gillespie. TouchWood Editions, 2014, pp. 1-6. ProQuest
Ebook Central.
Griffith, Nicola & Eskridge, Kelly. “War Machine, Time Machine.” Queer Universes :
Sexualities in Science Fiction, Edited by Wendy Gay Pearso, Veronica Hollinger, and
Joan Gordon. Liverpool University Press, 2008, pp. 39-51. ProQuest: Ebook Central.
71
��
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Volume 18, Number 1
Table Of Contents
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Section I: Eastern Colleges Science Conference -- Abstracts -- 3 The Use of Open Source Docking and Alignment Software to Evaluate the Dangers of Phthalate Induced Endocrine Disruption / Briana Bettencourt and Dr. Jonathan Blaize -- 3 Effects of Electroconvulsive Seizures on GABA Concentrations in Mouse Models of Autism / Nicholas Buhta -- 4 Microbial Diversity Along Climate Zones in the Atlantic Ocean / Alexis Costa -- 4 Transient Exposure to 450 nm Light alters Phagocytosis by Retinal Pigment Epithelium Without Compromising Viability / Joseph Fabozzi and Dr. Jonathan Blaize -- 5 The Antimicrobial Effect of Clove Oil, Tea Tree Oil and Lemon Grass Oil on Klebsiella Pneumoniae and Enterobacter Aerogenes / Sarah McGee and Dr. Kathleen Bobbitt -- 5 The Effects of Xanthine Derivatives on Tooth Remineralization and its Ability to Defend Against and Remove Staphylococcus Mutans / Sarah McGee, Kayla Diggs, Dr. Christopher Corbo, and Dr. Racquel DeCicco -- 6 Microbial Diversity Off the Antarctic Peninsula / Elizabeth Patton -- 6 Employing Green Chemistry Methods Towards the Synthesis of High Efficiency Organic Dyes / Kelsey Savje and Dr. Racquel DeCicco -- 7 Accessing Diynes Containing Thiocyanate End-Groups En Route towards Polydiacetylenes / Oskar Sundberg -- 7 Inhibition of Serum Amine Oxidase Prevents Polyamine Induced Autophagy: A Cautionary Tale / Kaela Teele -- Section II: The Natural Sciences & Quantitative Analysis -- Full Length Papers -- 11 Fur-babies vs. Babies: A Study on the Consumer Behavior of Dog Owners / Maria Humphries -- Section III: The Social Sciences -- Full Length Papers -- 49 Improving Resources for Survivors of Sexual Assault on Staten Island / Kathleen Leavey and Angela Zagami -- Section IV: Critical Essays -- Full Length Papers -- 61 Balancing Masculinity and Humanity in the Relationship Between Macbeth and Lady Macbeth / Lindy Pokorny -- 66 “Her Lover, Her Husband, Her Brother, Her Father, Her Child”: Queering Ender Wiggin’s Multi-faceted Identities in Orson Scott Card’s Speaker for the Dead / L. Elise Whisler
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��EDITOR’S INTRODUCTION
The Wagner Forum for Undergraduate Research is an interdisciplinary journal which
provides an arena where students can publish their research. Papers are reviewed with
respect to their intellectual merit and scope of contribution to a given field. To enhance
readability the journal is subdivided into three sections entitled The Natural Sciences and
Quantitative Analysis, The Social Sciences and Critical Essays. The first two of these
sections are limited to papers and abstracts dealing with scientific investigations
(experimental, theoretical and empirical) and complex mathematical/statistical modeling.
The third section is reserved for speculative papers based on the scholarly review and
critical examination of previous works. This issue sports an updated cover which has the
refreshed version of the President's seal in place of the older one.
Read on and enjoy!
Gregory J. Falabella, Ph.D.
Editor-in-Chief
Editorial Board
Dr. Annemarie Dowling-Castronovo, Nursing
Dr. Donald E. Stearns, Biological Sciences
Dr. Amy Eshleman, Psychology
Prof. Andy Needle, Art
Dr. Lori Weintrob, History
��Section I: The Natural Sciences & Quantitative
Analysis
Full Length Papers
3
Accessing Diynes Containing Thiocyanate End-Groups En Route
towards Polydiacetylenes
Oskar Erik Sundberg
13 Effects of the Psychoactive Drug Caffeine on the Behavior of
Zebrafish (Danio rerio)
Kevin Lipton
Section II: The Social Sciences
Full Length Papers
31 Pink and Blue: How Stores are an Integral Part of Gender
Socialization
Victor Ruan
Section III: Critical Essays
Full Length Papers
39 The Theme of the “Sleeper” in the Works of Paul Gauguin
Beatrice DeMarco
47 A Physician’s Right to Conscience
Maya Barr
����Accessing Diynes Containing Thiocyanate
End-Groups En Route towards Polydiacetylenes
Oskar Erik Sundberg (Chemistry)
This research explores the synthesis of diynes with sulfur-containing end groups en route
towards accessing novel polydiacetylenes (PDAs), a class of conjugated polymers with
conductive properties.1 Diynes containing thiophene and thiocyanate end-groups have
been targeted, with the latter being the focus of this project. Thiocyanate (SCN) endgroups are expected to impact the electronic properties of the polymerized system
because of the resonance-stabilization and electronic effects of these groups. Efforts to
synthesize 1,4-dithiocyanatobuta-1,3-diyne have yielded promising results, with 13C
NMR spectra containing peaks that correspond to predicted spectra. Additional
characterization is needed to confirm isolation of this novel diyne before polymerization
conditions can be fully explored. Removal of trace solvents such as triethylamine has
proven troublesome, thus complicating initial polymerization efforts. However, recent
spectroscopic data indicates successful isolation of the diyne from residual solvents that
would facilitate future polymerization attempts.
I. Introduction
Polydiacetylenes
Polydiacetylenes (PDAs) are an extensive family of conducting polymers
(Figure 1). This class of polymers has been of interest to organic chemists since the
1960s.1 In 1976, Wegner and colleagues demonstrated the ability to topochemically
polymerize diacetylenes or diynes into a conjugated system of tethered double and triple
bonds.2 Diacetylene monomers can be polymerized through various techniques to form a
useful polymerized system that gives rise to many unique properties. It was relatively
early established that PDAs absorb light in the visible spectral region and that the
particular wavelength that is absorbed can change due to a planar non-planar backbone
conformation transition.3 This chromatic property of PDAs was further explored during
the 1980s and resulted in research indications that PDAs possess the ability to exhibit two
distinctly different colorimetric phases, one blue phase and one red phase. Furthermore,
Research conducted under the supervision of Dr. Racquel DeCicco in partial fulfillment
of the Senior Program requirements.
3
�the research also indicated intriguing fluorescent properties of the red-phase.4 In most
cases PDAs exhibit a blue color but exposure to certain external stimuli causes this
drastic colorimetric change, which is visible to the naked eye (Figure 2).1
Figure 1. General structure of polydiacetylenes
Diacetylene monomers have also been shown to organize and form
configurations in a variety of ways, while still conserving their chromatic properties, thus
further expanding the possible application of PDAs as an integral component of sensory
detection assemblies. Among the diverse physical conformations that PDAs can organize
in are vesicles, Langmuir monolayers, self-assembled films and single crystals.1, 5, 6
Furthermore, PDAs have demonstrated the ability to integrate as a component of other
host matrices such as inorganic materials, other polymers, and living cells.1 Because of
these intriguing properties, PDAs have the potential to be useful in various sensory
assemblies. Incorporating various PDAs within a sensory platform allows for the
recognition of a diverse set of molecules. Since the PDA side-groups are intrinsically
negatively charged there is an innate ability to detect positively charged amphiphilic
molecules, however, modifications of side-groups has allowed for the detection of
negatively charged molecules as well.1, 7, 8 Further studies have shown observable
colorimetric transformations occur within PDAs through the exposure to viral particles
such as the H5N1 strain of influenza.9 This versatility in detection possibilities has
attracted the interest of various industries that have an incentive to detect certain particles
or molecules.1
The unique ability of PDAs to undergo a colorimetric transformation visible to
the naked eye through external stimuli such as temperature changes, pH changes, and the
presence of certain biological molecules has drawn interest from industries that can
benefit from such sensory abilities.10 The food industry, for example, suffers large
economic losses estimated to be between $2.9-6.7 billion annually.10 These economic
losses are primarily due to medical costs and decreased productivity caused by food
pathogen related diseases. Recalls of compromised products also contributes to this
economic loss.10 Furthermore, there is also a large interest in better pathogen detection
4
�technology because many foodborne illnesses occur each year.10 Current detection
technology only allows for pathogens to be discovered after the problem has arisen. Since
PDAs can be integrated into solid supports such as plastic, their use would enable real
time monitoring during all the major steps from production to meal preparation.10 The
possibility for biosensor technology to be utilized for this purpose was demonstrated by
Sezgintürk and Dinçkaya who detected thiourea, a carcinogenic compound, in fruit
juice.11
Of all the interesting properties pertaining to PDAs, the colorimetric
transformation has attracted the most attention. The transformation that occurs causes
PDAs to absorb a wavelength of 500 nm (red-phase) rather than of 640 nm (blue-phase).1
The mechanism responsible for the transformation has yet to be elucidated entirely but is
generally attributed to a disruption of the conjugated network resulting in shorter electron
delocalization lengths (Figure 2).12 Studies strongly suggest a correlation between
induced structural reformation and the colorimetric change.12, 13 Moreover, interactions
between the attached side-groups have shown to play a prominent role in the
transformation through crystallographic and theoretical studies.12 The interactions
between specific functional groups on the PDAs have a great impact on the planarity of
the PDA backbone and consequently on the overlap between adjacent π-orbitals.13 The
significant impact of attached side-chains has caused a surge in research efforts to modify
the diynes that comprises the polymerized system, as is the goal of this research.
Figure 2. Colorimetric change of PDAs1
Polydiacetylene Formation
For PDAs to obtain their useful properties successful polymerization of the
diacetylene monomer must occur. The so called 1,4-polymerization of diacetylenes and
triacetylenes was for a long time only attainable when allowing the monomers to selfassemble and polymerize through UV-irradiation exposure.14 The method was working in
5
�these cases because certain monomers take on a solid-state structure that is pre-organized
at the distances and orientations that the final polymer also contains.(Figure 3).14 In
efforts to expand the scope of which conjugated diynes and triynes are able to undergo
1,4-polymerization, guest-host strategies were pioneered by Fowler and Lauher.14 This
general strategy utilizes a host molecule to generate the specific parameters that the guest
monomer requires to be responsive to 1,4-polymerization. As various monomers require
various distances and orientations, host molecules must be developed to satisfy the
particular parameters that the guest molecule requires.14
Figure 3. Parameters for 1,4-polymerization of diynes, r = ~4.9 Å, θ = 45º, d = 3.5 Å15
Certain diyne monomers, such as those which contain carboxylic acids, have
been shown to be able to arrange themselves to satisfy these parameters, and through
subsequent UV-irradiation undergo polymerization.16 It was, however, in this study also
concluded that shorter diacetylenes proved unable to polymerize under these conditions,
suggesting that smaller diacetylenes require a cocrystallization agent.16, 17 The
cocrystallization agent, also known as the host, allows a bond formation to occur between
the C1 and C4 atoms of the diacetylene molecules. The bond formation between these
carbons is possible due to hydrogen or halogen interactions between the functional
groups of the host molecule and the end groups of the diacetylenes.14 This reaction is
typically initiated by irradiation or heating and results in a polymer backbone oriented
along a well-defined lattice direction with a repeat distance of ~4.9 Å (Figure 3).18
II. Materials and Methods
Materials
N-bromosuccinimide, trimethylsilyl-acetylene, acetone, triethylamine, silver
nitrate, copper (I) chloride, diethyl ether, sodium sulfate, copper (II) sulfate, hexanes, and
deuterated chloroform were purchased from Sigma-Aldrich. Ammonium thiocyanate was
purchased from Acros Organics. Reagents were not purified prior to use, with the
exception of copper (I) chloride, which was purified according to standard methods to
remove any oxidized copper species.19 NMR spectra were obtained using a Varian 400
MHz instrument and deuterated chloroform as the solvent.
6
�In the synthesis of 1,4-dithiocyanatobuta-1,3-diyne only the overall yield was
calculated in order to minimize loss of product and to avoid hazardous intermediates.
NMR spectra were obtained for the diyne and the peaks will be reported in Section II.4.
Synthesis of 3-bromo-1-(trimethylsilyl)-1-propyne (Compound 2)
To 9 mL of acetone, 0.56 g (3.15 mmol) of N-bromosuccinimide and 0.6675 g
(1.053 mmol) of trimethylsilyl-acetylene 1 were added with 0.127 g (0.05 mmol, 5 mol
%) silver nitrate catalyst. The reaction was stirred at room temperature for 60 minutes to
yield 3-bromo-1-(trimethylsilyl)-1-propyne 2. Solvent was removed in vacuo and the
residue was extracted with two 15 mL portions of hexanes and washed with 15 mL
deionized water. The organic extracts were washed with a saturated sodium thiosulfate
mixture in order to remove excess bromine. The combined ether extracts were dried over
sodium sulfate and filtered. Removal of solvent in vacuo afforded compound 2 as a
brown oil.
Synthesis of 3-thiocyano-1-(trimethylsilyl)-1-propyne (Compound 3)
Ammonium thiocyanate 0.4941 g (6.3 mmol) was added via syringe to the a
round bottom flask containing compound 2 and 9 mL of acetone. The reaction mixture
was stirred for 60 minutes at room temperature. Solvent was removed in vacuo and the
residue was extracted with two 10 mL portions of ether and washed with 15 mL
deionized water. The combined ether extracts were dried over sodium sulfate and filtered.
Solvent was removed in vacuo to afford 3-thiocyano-1-(trimethylsilyl)-1-propyne 3.
Synthesis of 1,4-dithiocyanatobuta-1,3-diyne (Compound 4)
Alkyne 3 was subjected to Glaser coupling conditions using 0.0244 g (0.15
mmol) of copper(I) chloride and 12 mL triethylamine as the solvent. The coupling
reaction was left to run for 24 hours, which yielded diyne 4. Triethylamine solvent was
removed in vacuo and the diacetylene product was extracted with one portion of 15 mL
of ether, and the organic extract was washed with three 20 mL portions of aqueous
copper(II) sulfate, which afforded 0.08824 g (91.9 % crude) of brownish oil. 13C NMR
was used to characterize the product of this reaction. 13C NMR (400 MHz, CDCl3): δ
11.61, 46.25, 104.152, 107.021, 113.509. Many NMR spectra featured peaks at δ 11.61
and 46.25, which indicate presence of triethylamine traces.
7
�Figure 4. Synthesis of 1,4-dithiocyanatobuta-1,3-diyne
Polymerization attempts
Host-guest method:
Polymerization of diyne 4 was attempted using 5,5’-(oxalyldiimino)dipentanoic
acid (Compound 5, Figure 5) as the host molecule. 0.216 g (0.75255 mmol) of host
compound 5 and 0.0824 g (0.5017 mmol) of guest 4 were dissolved in 10 mL ethanol and
transferred to a crystallization dish. The dish was covered with perforated foil and solvent
was allowed to slowly evaporate over several days.
Figure 5: 5,5’-(oxalyldiimino)dipentanoic acid host (5)
Slow evaporation method:
Polymerization of diyne 4 was attempted using a solvent mixture of hexanes and
deuterated chloroform. The dissolved diyne was placed in a crystallization dish that was
covered in perforated foil. The solvent mixture was allowed to slowly evaporate over
several days.
III. Results and Discussion
Spectra
Throughout the course of this project, many variations of the general synthesis
procedures have been attempted and only the most successful efforts were described in
the previous section. Nuclear Magnetic Resonance (NMR) Spectroscopy was the primary
characterization method used to determine the identity of the product(s) obtained in each
reaction trial. The general procedure reported here has yielded diyne 4, which produced a
13C NMR spectrum that was compared with predicted spectrum obtained through
ChemDraw** (Figure 6 and Figure 7). The 13C NMR spectrum featured in Figure 6 is not
8
�reflective of the percent yield reported in the previous section Synthesis of 1,4dithiocyanatobuta-1,3-diyne. In order to obtain this spectrum multiple extractions and
washes had to be employed, which caused a significant loss of product. Therefore, the
percent yield would not be an accurate representation of the success of the synthesis and
was not reported. While there was significant variation in the chemical shifts for the
peaks in the alkynyl region, the peak corresponding to the nitrile functional group had
similar chemical shifts (~113 ppm) in both the experimental and predicted spectra. The
discrepancy between the chemical shifts for the sp-hybridized carbons serves as
motivation to pursue more advanced computational methods for generating NMR spectra
for compound 4 in the future. Over the time of this research many modifications such as
change of solvents, reaction times and work-up procedures have been made to the
procedure. These modifications will be discussed further in the next section.
Although 13C NMR alone cannot serve as sufficient evidence to guarantee
successful synthesis of 1,4-dithiocyanatobuta-1,3-diyne, further validation efforts will be
made in the next steps of this research. One possible route to further validate the
synthesis of the target product as mentioned previously is through the use of
computational chemistry. Through computational methods employing Gaussian***, NMR
spectra can be simulated and compared to those obtained in the synthetic route towards
1,4-dithiocyanatobuta-1,3-diyne. This computational approach will be explored in the
immediate future.
Experimental Modifications
Many modifications have been made to the general procedure in order to obtain
the target molecule. Initially acetonitrile was the solvent used throughout the synthesis.
However, overlapping peaks between the nitrile groups in the product and solvent
rendered this a less than optimal solvent. Since all reagents displayed a similar solubility
in acetone, this solvent was selected as the primary solvent for later trials as it was very
volatile and produced unique peaks in the NMR spectra that did not overlap with any of
the expected product peaks. Additional solvent issues were encountered during the Glaser
coupling reaction when NMR spectra revealed peaks corresponding to residual
triethylamine. The most efficient way in removing trace triethylamine proved to be
incorporation of a copper(II) sulfate wash during the extraction.
ChemDraw is a molecule editor software owned by PerkinElmer that offers a 1H and
NMR spectrum simulation feature
*** Gaussian is a general purpose computational chemistry package owned by Gaussian,
Inc.
**
13C
9
�*
*
Figure 6. Obtained 13C NMR spectra. * Indicate CDCl3 and TMS solvent reference peaks.
Figure 7. Predicted 13C NMR spectra for 1,4-dithiocyanatobuta-1,3-diyne
A crucial improvement to the general procedure was the change in order of
addition of reactants. Initial efforts were aimed toward replacing the bromine on Nbromosuccinimide with a thiocyanate group that could then be transferred to the
trimethylsilyl-acetylene, based on previous literature precedents.20 Many trials exploring
various reaction times, reaction temperatures, solvents and work-up procedures were
unable to produce the desired alkyne 3. Later trials attempted an addition of bromine to
trimethylsilyl-acetylene via N-bromosuccinimide, that could in a second step be replaced
with a thiocyanate group (Figure 4). This important modification in the general
procedure has allowed for a rather simple synthetic pathway to 1,4-dithiocyanatobuta1,3-diyne.
10
�Future Work
Percent yields for pure products and intermediates have yet to be determined due
to several factors. Initial trials typically yielded crude products that contained excess
starting material, solvents, and unwanted side-products as indicated by NMR spectra.
Since successful reaction conditions have finally been determined, all synthesis steps will
be repeated to obtain yields for each intermediate in the pathway towards diyne 4. This
will also allow for additional optimization of reaction conditions to be determined.
The presence of solvent together with the final product 4 also complicates
polymerization and characterization efforts because of the inability to crystallize in
solvent. However, promising NMR spectra do suggest more successful isolation of diyne
4, which would facilitate future efforts to both determine properties of this compound and
create polymers. Although the NMR spectra indicate efficient removal of trace solvents,
the high reported yield of 91.9 % corresponds to crude material that contained trace
amounts of solvents. This yield is rather high for a multi-step synthesis, thus further
efforts in solvent removal must be employed. Attempts towards forming polydiacetylenes
with thiophene side chains were inconclusive thus far, as there was no visible color
change and NMR spectra did not suggest any structural changes. The melting point and
solubility of the co-crystals will also be explored in future experiments.
IV. References
1. Jelinek, R.; Ritenberg, M. RSC Advances 2013, 3, 21192.
2. Tieke, B.; Wegner, G.; Naegele, D.; Ringsdorf, H. Angewandte Chemie International
Edition in English 1976, 15, 764–765.
3. Chance, R. R. Macromolecules 1980, 1, 396–398.
4. Olmsted, J.; Strand, M. The Journal of Physical Chemistry 1983, 87, 4790–4792.
5. Charych, D.; Nagy, J.; Spevak, W.; Bednarski, M. Science 1993, 261, 585–588.
6. Chakarborty, S.; Suklabaidya, S.; Bhattacharjee, D.; Hussain, S. A. Materials Today:
Proceedings 2018, 5, 2367–2372.
7. Charoenthai, N.; Pattanatornchai, T.; Wacharasindhu, S.; Sukwattanasinitt, M.;
Traiphol, R. Journal of Colloid and Interface Science 2011, 360, 565–573.
11
�8. Su, Y.-L.; Li, J.-R.; Jiang, L. Colloids and Surfaces B: Biointerfaces 2004, 39, 113118.
9. Jiang, L.; Dong; Luo; He. International Journal of Nanomedicine 2013, 221.
10.Pires, A. C. D. S.; Soares, N. D. F. F.; Silva, L. H. M. D.; Andrade, N. J. D.; Silveira,
M. F. A.; Carvalho, A. F. D. Food and Bioprocess Technology 2008, 3, 172–181.
11.113–118.Sezgintürk, M. K.; Dinçkaya, E. Food and Bioprocess Technology 2008, 3,
128–134.
12.Carpick, R. W.; Sasaki, D. Y.; Marcus, M. S.; Eriksson, M. A.; Burns, A. R. Journal
of Physics: Condensed Matter 2004, 16, 679-697.
13.Eckhardt, H.; Boudreaux, D. S.; Chance, R. R. The Journal of Chemical Physics
1986, 85, 4116–4119.
14.Lauher, J. W.; Fowler, F. W.; Goroff, N. S. ChemInform 2009, 40, 5167-5174
15.Baughman, R. H. Journal of Polymer Science: Polymer Physics Edition 1974, 12,
1511–1535.
16.Day, D.; Ringsdorf, H. Journal of Polymer Science: Polymer Letters Edition 1978,
16, 205–210.
17.Luo, L.; Wilhelm, C.; Sun, A.; Grey, C. P.; Lauher, J. W.; Goroff, N. S. Journal of the
American Chemical Society 2008, 130, 7702–7709.
18.Enkelmann, V. Polydiacetylenes Advances in Polymer Science 1984, 63, 91–136.
19.Tsopelas, C. Nuclear Medicine and Biology 1999, 26, 591–595.
20.Castanheiro, T.; Suffert T.; Suffert, J.; Donnard, M.; Gulea, M. ChemInform 2016, 47,
2588-2591.
12
�Effects of the Psychoactive Drug Caffeine
on the Behavior of Zebrafish (Danio rerio)1
Kevin Lipton (Biology)2
Caffeine, a psychoactive, plant-based alkaloid is found in a variety of food, which include
coffee and tea leaves. Caffeine acts as a stimulant that has the potential to cause
dependency if a large amount is ingested and is anxiogenic (anxiety causing). Zebrafish
(Danio rerio) is an ideal model organism for pharmacological studies and
neurobehavioral studies, due to the homology of their nervous system with that of the
human nervous system. This experiment was performed to gain a better understanding of
the behavior of zebrafish when exposed to caffeine. This study tested the behavior of
adult zebrafish with a concentration of 0.00625% caffeine. The behavior was quantified
by counting the number of lines each zebrafish crossed on a grid in 30 seconds, using
recorded videos. Out of all the fish that were tested, there was only one fish that was not
mobile and did not cross a single line, and this fish was in the experimental group. The
range of the number of lines crossed for both the control fish and the experimental fish
were similar, and the mean number of lines crossed between the two groups did not
significantly differ (control: 38.6; experimental: 36.0). The experimental fish mainly
swam at the edges of the bowl while the control fish were seen mostly swimming in the
center of the bowl, which may indicate increased anxiety in the fish exposed to caffeine.
I. Introduction
Caffeine (C8H10N4O2), also called 1,3,7-trimethylxanthine, is a plant-based
alkaloid found in a wide variety of food, including coffee and tea leaves (Turnbull et al.,
2017). Caffeine has been reported to be the most frequently consumed behavior-altering
drug in the world, with 85% of the U.S. population consuming at least a single
caffeinated drink each day (Turnbull et al., 2017). Ingested at low to moderate levels
(approximately 50 mg to 400 mg), caffeine has some positive effects such as increasing
mental awareness and decreasing the risk of developing Alzheimer’s disease. However,
This work was presented at the 2017 meeting of the Metropolitan Association of
College and University Biologists and the 2018 meeting of the Eastern Colleges Science
Conference.
2 Written under the direction of Dr. Brian Palestis in partial fulfillment of the Senior
Program requirements.
1
13
�too much caffeine exhibits detrimental effects, mainly on the cardiovascular system.
Some of these ailments include an increased heart rate and irregular pulse (Rodriguez et
al., 2014). Additionally, caffeine is a stimulant that can cause dependency if a large
quantity is consumed (Rodriguez et al., 2014). To get the most out of caffeine’s
therapeutic effects without experiencing any adverse side effects, it is suggested that
humans consume 300 mg each day, although it can be difficult to measure the exact
amount of caffeine ingested from food and beverages (Gracia-Lor et al., 2017).
Energy metabolism in the brain is elevated with the presence of caffeine, but
simultaneously the amount of blood flow to the brain is lowered, leading to
hypoperfusion (circulatory failure of the peripheral tissue) in the brain. These effects are
universal characteristics of caffeine, and are seen in many vertebrates (Nehlig et al.,
1992). The neurons that control noradrenaline are stimulated by caffeine, affecting the
release of the neurotransmitter dopamine (Nehlig et al., 1992). Caffeine also has
potential therapeutic effects on the central nervous system due to its ability to cross over
the blood brain barrier, and includes modulation of apoptosis and regulation of cell
metabolism (Khor et al., 2013). A vast majority of the noticeable caffeine effects come
from the role of methylxanthine on the neurons that control the neurotransmitter
serotonin. The behavioral processes of learning and memory are associated with the
effect of methylxanthine on arousal and fatigue (Nehlig et al., 1992).
Caffeine has also been reported to have anticancer benefits, and reduces the
likelihood of developing certain types of cancer, such as the highly lethal gastric cancer.
Gastric cancer accounts for approximately 60% of all cancer cases among the Asian
population, and caffeine decreases this form of cancer by nearly one-half (Liu et al.,
2017). Caffeine acts as an anticancer drug by its ability to suppress cell proliferation and
induce apoptosis in various organs, including the stomach, liver, and brain (Liu et al.,
2017).
This experiment was performed to investigate the following hypothesis:
Zebrafish exhibit increased movement when exposed to a specified concentration of
caffeine.
Zebrafish as a Model Organism
Zebrafish (Danio rerio) is a small, tropical freshwater fish most active during
the day (Figure 1), and inhabits an area from the Western Ghats of India to the Western
Himalayas (Arunachalam et al., 2013). In these regions, zebrafish are found in sandy,
slow-moving rivers and streams (Arunachalam et al., 2013), where they can be seen
feeding on zooplankton and insects (Spence et al., 2007). These fish exhibit shoaling
14
�behavior (swimming in groups), as observed in the wild (Hutter et al., 2010). Zebrafish
is a preferred species in pharmacological studies, because of its brief generation time,
quick reproduction rate, possibility of genetic sequencing, intricate social behavior, and
greater similarities with the genetic structure and function of the human nervous system
compared to Drosophila (Ladu et al., 2015).
Figure 1: Zebrafish swimming in test bowl.
Furthermore, zebrafish were determined to be favorable in neurobehavioral
studies (Wong et al., 2009). Due to the neuronal similarities between zebrafish and
humans, zebrafish have been used to study certain conditions that affect the human
central nervous system (Khor et al., 2013). Zebrafish share with humans the adenosine
receptors A1 and A2A that are directly involved in the inhibition by caffeine (Ladu et al.,
2015). Adenosine receptors function as homeostatic regulators in the central nervous
system, governing neuron firing, and when disrupted, can cause behavioral and
physiological changes (Bortolotto et al., 2015). A1, when inhibited, decreases the overall
speed of zebrafish, whereas the inhibition of A2A causes an increase in speed (Ladu et al.,
2015). These G-protein coupled receptors also function in cell signaling mechanisms.
Adenosine receptors are regulated mainly by ectonucleotidases, which is a group of
enzymes that produces adenosine from the breakdown of ATP (Bortolotto et al., 2015).
Caffeine is a nonselective antagonist of adenosine receptors that can generate seizures at
great doses in a wide variety of animals, including zebrafish (Wong et al., 2010).
Previous Studies of Effects of Caffeine on Zebrafish
Among distinct psychoactive compounds, acute caffeine treatment has been
used to induce anxiogenic (anxiety-causing) behavioral reactions in the novel tank diving
test and the light/dark box (scototaxis) test (Ladu et al., 2015). Trials that were
15
�completed showed that exposure to caffeine evoked certain anxiogenic behaviors such as
diving behavior and erratic movement in adult zebrafish (Ladu et al., 2015). In the
scototaxis test, adult zebrafish are placed in a black and white tank to determine
preference for lightness or darkness. The administration of caffeine decreases the time
spent in the white compartment of the tank, therefore increasing the time spent in
darkness, which is a sign of anxiety (Maximino et al., 2011). Due to this increased stress
caused by caffeine, elevated levels of the stress hormone cortisol were found (Ladu et al.,
2015).
In a study by Wong and colleagues (2010), adult zebrafish that were exposed to
caffeine experienced a decline in the number of shifts to the top of a novel tank and
exhibited a rise in their freezing behavior, but caffeine did not influence the time that was
spent at the top of the tank or their erratic locomotion. Additionally, caffeine decreased
the distance traveled and their speed but had no impact on their meandering and turn
angle. Contrary to the controls, zebrafish that were treated with caffeine experienced
intense seizure-like behavior, such as hyperactivity outbreaks, spasms, and circular
swimming. The observed behavior occurred after a caffeine administration of 250 mg/L,
equivalent to a 0.025% solution (Wong et al., 2010). Computerized software that traces
the zebrafish movement was also used to display the contrasting features between the
erratic swimming of the caffeine-treated groups and the control group. This experiment
was conducted by utilizing manual and video tracking modes of fish behavior (Wong et
al., 2010).
Emotional stress is portrayed in organisms that are affected by anxiogenic
disorders. Pharmacological analyses on adult zebrafish may help us to understand these
disorders (Ladu et al., 2015). Ladu et al. (2015) used the unification of robotics and
information theory to examine the impact of caffeine on the social behavior of adult
zebrafish. Varying caffeine doses were used on 40 wild-type zebrafish for 20 minutes.
Surprisingly, the average velocity of the focal subjects declined as caffeine administration
increased (Ladu et al., 2015). Comparisons show that fish treated with 25 mg/L and 50
mg/L swam at a reduced velocity compared to control individuals. Comparisons among
treatments also demonstrated that zebrafish that were administered the greatest
concentration of caffeine transitioned less often between the two halves of the tank (a
measure of locomotion) than individuals that were administered low and intermediate
doses (Ladu et al., 2015).
In a similar study, DeTomaso (2016) showed that caffeine-exposed adult
zebrafish swam at a decreased speed and exhibited more erratic movements when
compared to the control, which swam with almost no freezing time. Overall, zebrafish
16
�that were in the caffeine treatment group showed a decrease in the number of times they
crossed lines on grid, which also demonstrates the decreased locomotion of zebrafish that
were exposed to caffeine (DeTomaso, 2016).
Behavioral Responses to Caffeine Withdrawal
Behavioral reactions caused by abruptly stopping the consumption of caffeine,
like in humans, have also been observed in zebrafish. The possibility of adult zebrafish
becoming addicted to caffeine and the closeness of the genomes make it a particularly
good organism to study the effects of caffeine withdrawal in humans (Cachat et al.,
2010). The forebrain of zebrafish, which contain dopamine receptors, is very similar to
the mesolimbic system in mammals, which is involved in the addiction to drugs, such as
caffeine. Additionally, some regions of the zebrafish brain, such as the medial pallium,
correspond to the hippocampus in mammals (Karoglu et al., 2017). Some of the most
prevalent conditions that can occur in zebrafish due to the effects of caffeine withdrawal
include anxiety behavior and seizures (Cachat et al., 2010).
Significance of Research
These research projects are significant, because the data representing the effects
of caffeine on adult zebrafish could be used to predict and conclude how caffeine and
other drugs could also affect humans (Gupta et al., 2014). Furthermore, if future studies
are conducted, this research could potentially help develop treatments and therapies for
people that abuse substances, such as caffeine and other drugs, and also establish
strategies for dealing with withdrawal symptoms (Collier et al., 2014). Zebrafish offer
many practical advantages as a model organism in determining biological interactions
(Gupta et al., 2014). Current studies have shown the rise of adult zebrafish as a model for
neurobehavioral research since zebrafish exhibit learning, sleep, drug addiction,
locomotor behavior, and other neurobehavioral traits that are similar to those observed in
humans (Gupta et al., 2014). Also, the homology between zebrafish genes and human
genes make zebrafish a good organism to use to study these neurobehavioral traits (Tran
et al., 2015). Additionally, the organization of the zebrafish brain as a whole is
comparable to other vertebrates (Gupta et al., 2014).
Objectives
This experiment was performed to gain a better understanding of the behavior
and anxiety of zebrafish. The hypothesis that zebrafish exhibit increased movement
when exposed to caffeine was tested. Since the physiology of zebrafish and humans are
17
�similar, the effects of caffeine on zebrafish can increase knowledge and understanding of
human behavioral effects. The exposure of caffeine to zebrafish was expected to decrease
movement and increase erratic locomotion compared to the control. This experiment is
similar to the one conducted by DeTomaso (2016) in that most variables were kept the
same and only the concentration of caffeine and the amount of recording time differed.
DeTomaso (2016) exposed the zebrafish to 0.12% caffeine, equivalent to 1200 mg/L,
while this experiment used a much lower concentration at 0.00625%, equivalent to 62.5
mg/L. Since there were extreme deleterious effects found in other research using high
concentrations, this low concentration was chosen as a cautionary measure. Since
caffeine is a psychoactive drug, experiments like this one can also demonstrate the effects
of addiction and withdrawal symptoms of caffeine to zebrafish. Additionally, these
symptoms can be applied when studying human biology, due to the nervous system
similarities between zebrafish and humans. These trials utilize adult zebrafish, which
have not been experimented on as often as the embryos of zebrafish. Furthermore, the
results of this experiment can be used to compare the effects of caffeine on adult
zebrafish and zebrafish embryos. The results of this experiment can also be compared to
zebrafish exposure to other anxiety-causing substances. These experiments and similar
studies also provide a greater understanding of the effects of caffeine to the social
behavior of zebrafish, such as shoaling.
II. Materials and Methods
The zebrafish used in this study were purchased by the Wagner College
Department of Biological Sciences at Arcadia Pet Store in Staten Island, New York.
These fish were kept in three 10-gallon tanks of de-chlorinated water until they were used
in the experiment. The zebrafish were provided with daily feedings throughout the
duration of the experiment and kept in a temperature-controlled environment. The
experiments were conducted at the same time each day of the study.
This experiment was performed over a 10-week period. A large, circular bowl
with a diameter of 20 cm was obtained for use in this experiment. Dried anhydrous
caffeine powder from Sigma-Aldrich (model number: 27602-250G) was obtained each
week. Water from the fish tanks was used each day of the experiment. A Logitech video
camera attached to a desktop computer was used in this experiment to record the
zebrafish movement, as shown in Figure 2. Windows Video Maker was used to store and
edit the videos. A paper with 3cm x 3cm squares drawn as a grid was used.
18
�Procedure
Water was obtained from the fish tank, and a volume of 800 ml was measured.
The water was poured into a large, circular bowl. Dried anhydrous caffeine powder was
weighed, and 50 mg was dissolved in the water to reach the desired concentration of
Figure 2: The video camera that was used in this experiment. The camera was attached to
a wooden plank over a grid.
.00625% caffeine (same ratio used throughout experiment). One zebrafish was
transferred from the fish tank into the bowl with the solution, by using a net, and then the
bowl was placed on the grid. The zebrafish was left undisturbed in the bowl for three
minutes to limit any initial stresses that may have occurred due to the fish being placed in
a new environment. The fish was then recorded with a camera attached to a desktop
computer for 30 s. This process was repeated 63 additional times for a total of 64 fish
trials (experimental group). After all of these trials were completed, each line on the grid
that the zebrafish crossed were counted on the videos. When the caffeine treatment was
complete, the bowl was washed thoroughly and the 64 zebrafish without caffeine were
placed individually in the bowl and each was recorded for 30 s (control trial). Each line
that these control zebrafish crossed was also counted. The process for the experimental
and control zebrafish were repeated in the same manner each week until a total of 128
trials were completed (64 experimentals, 64 controls).
19
�Statistical Analysis
The mean, standard deviation and range were calculated using SPSS statistical
software on the computer. An independent samples t-test was used to test for a
significant difference in the number of lines crossed between the two groups at
significance level of α=0.05. A parametric test was used, because the distribution
approached a normal distribution.
III. Results
The 64 experimental fish and 64 control fish were all observed for the same
length of time. During this time, each fish was video recorded as well as observed to see
if any noticeable behavioral changes were seen. The number of lines crossed of each
experimental fish as well as the frequency of the lines crossed is represented as a
histogram and shown in Figure 3. The mean (± SD) of the experimental fish was 35.98
(± 12.90) lines crossed. Out of all the fish that were tested, there was only one fish that
was not mobile and did not cross a single line (the immobile fish was in the experimental
group).
Figure 3: Experimental group
20
�The number of lines crossed of each control fish and the frequency of lines
crossed is represented as a histogram and shown in Figure 4. The mean (± SD) of the
control fish was 38.63 (± 13.51) lines crossed. The range of the number of lines crossed
for both the control fish and the experimental fish were similar (Figure 3, 4).
Figure 4: Control Group
The groups were compared and an independent samples t-test was used to see if
the groups differed significantly. The number of lines crossed between the two groups
did not significantly differ (t = 1.13, df = 126, p = 0.26).
Each fish that was used in the experiment was also observed for behavioral
patterns that may have occurred. In the experimental fish trials, the overall pattern of
swimming was more erratic and less smooth compared with the control. The one fish
that did not swim that was in the experimental group was shaking vigorously throughout
the video recording, possibly exhibiting seizure-like behavior. Also observed was the
experimental fish mainly swimming at the edges of the bowl while the control fish were
seen mostly swimming in the center of the bowl.
IV. Discussion
Similar studies that have been conducted are essential to the understanding of
the behavioral and physiological effects of caffeine on zebrafish and other animals,
21
�including humans. The hypothesis that zebrafish exhibit increased movement when
exposed to an acute concentration of caffeine was explored. The experimental group was
predicted to have increased locomotion compared to the control. This prediction was
investigated due to the known hyperactivity effects caffeine has on humans (Merola et
al., 2017). The results were different from what was expected; the control group and
experimental group each crossed a similar number of lines, indicating similar locomotion
between the experimental and control (Figures 3, 4).
Methodological Aspects
This study, as well as others, usually have certain techniques that produce errors
that cannot be avoided. During the procedure, when counting the number of lines each
zebrafish crossed, there are some potential errors that can occur. Some zebrafish swim
fast and not in straight lines, and since the lines counted are done by the unaided eye and
not by an automatic device, there can be some issues that arise. There are many close
lines on the grid, and some fish change direction quickly, or stop half way between two
lines, which can present a problem when counting the lines on the recorded videos.
Other issues that can arise from using this method of data collection include the varying
interpretations of lines crossed by the zebrafish. Some people that use this method of
video recording count every line that the head of the zebrafish reaches, while others count
the lines once the whole zebrafish moves passed a line, including the tail. Since zebrafish
are social animals and prefer to be part of a shoal, studying the effects of caffeine on
individual zebrafish can alter their behavior, which may not be a direct effect of caffeine
(Maaswinkel et al., 2013).
Comparison with Results of Similar Studies
In a study conducted by Maximino et al. (2011), there were two caffeine
concentrations administered to zebrafish, 0 mg (control) and 100 mg. Similar to this
study, Maximino et al. (2011) handled the zebrafish during transportation from their
housing location to the study location and were given 3 min of acclimation time. The
trial was conducted for 900 s and the researchers found that the zebrafish exhibited
anxiogenic behavior but not a locomotor difference (Maximino et al., 2011). The effect
of no difference in locomotion can be due to the concentration of caffeine being too high,
which can cause detrimental effects, as noted earlier (Rodriguez et al., 2014).
There are other studies that have been conducted on the response of zebrafish to
habituation, a decreasing response to a constantly repeated stimulus, with 100 mg of
caffeine administered to them (Wong et al., 2010). The habituation trials lasted 6 min
22
�each and the researchers measured the number of transitions to the top of the tank, the
time spent at the top of the tank, the frequency of erratic movements, single-minute
habituation phenotype, and cumulative habituation (Wong et al., 2010). Consistent
through most studies involving caffeine, Wong et al. (2010) found a significant increase
in anxiety-like behavior, which was contrary to this study, and decreased movement
between the two halves of the tank. The study also found an increase in erratic
movements, consistent with this experiment, and decreased habituation behavior in the
caffeine group (Wong et al., 2010). Contrary to this study, Wong et al. (2010) used a 24hr light cycle, where the zebrafish tanks were under fluorescent light for 12 hours and in
the dark for 12 hrs. Light cycles can potentially influence the results of studies that
include them compared to other studies that do not use regulated light/dark cycles. Being
on a regular routine, like that seen with the light cycles and the consistent feeding times,
can possibly influence the behavior of zebrafish compared to not being on a regular
routine. Conducting experiments that involve inconsistent times, such as the times when
the animals are fed and the times when the study is being conducted, can potentially
impact the results of such studies.
In most studies involving zebrafish and caffeine, the caffeine concentration of
100 mg/L (0.01%) have been used. In a study by Egan et al. (2009), the researchers preexposed the zebrafish in a beaker filled with 100 mg/L of caffeine for 15 min. The
zebrafish was then transferred to a tank with the same caffeine concentration as the pretreated beaker, where the study was being conducted. A behavioral phenotype test that
measures anxiety in zebrafish, called the novel tank diving test, was performed. This test
by Egan et al. (2009), similar to the one by Wong et al. (2010), measured the latency to
the upper half of the tank, the total transitions to the upper half, the total time spent in the
upper half, and the erratic movements. Egan et al. (2009) found increased anxiety-related
behavior in the zebrafish, but did not find a significant change in their locomotion, a
possible effect of the pre-treatment with caffeine prior to the start of the study. Egan et
al. (2009) also examined the effects of caffeine on different strains of zebrafish. Wild
type (control), albino, leopard, and longfin strains were compared using the same
concentration of caffeine (100 mg/L). Latency to the upper half of the tank, total time
spent in the upper half, total distance traveled, and average velocity were examined (Egan
et al., 2009). The wild type strain was found to prefer the upper half of the tank, with
fewer transitions than the other strains. Preference for the upper half and transitions
between the two halves were the only statistically significant behavioral observations
seen, with the greatest difference between the wild type and leopard strains (Egan et al.,
2009). Among all four strains, the distance traveled and swimming velocity were similar,
23
�revealing no readily apparent motor or neurological differences between these strains
when exposed to caffeine. However, the baseline anxiety level is lower in wildtype
zebrafish than any other strain, which has to be considered when comparing the anxietyrelated behavior among the four strains (Egan et al., 2009).
Outlook of Future Studies
Caffeine is a popular drug that can be used in scientific studies to demonstrate
its effects on a wide variety of animals, including humans. This study can unlock many
key questions regarding the potential impacts caffeine has on zebrafish models, humans,
and other animals. Since this study failed to take into account the social behavior of
zebrafish, such as shoaling, other studies can be done to study the effects of caffeine on
shoaling behavior, with multiple zebrafish in the test tank, instead of observing one
zebrafish at a time. This study mainly observed the movement and locomotion of
zebrafish, mainly a neurological effect, but additional studies can examine cardiac and
developmental responses to caffeine. The majority of publications involving zebrafish
and caffeine have been done on embryos, not adults, which mainly study the growth and
teratogenicity of early exposure to caffeine (Rana et al., 2010). Further studies could be
conducted to compare differing caffeine concentrations and its effects on a single
organism and organisms of different species. Also, the effects of caffeine can be studied
over a range of exposure times or different concentrations, to determine if there are any
time-related effects or dosage effects on zebrafish behavior. These caffeine dosages for
zebrafish can be compared to a typical human’s caffeine intake to gain more of an
understanding about the quantity that zebrafish are exposed to. In a study conducted by
Silverman et al. (1992), humans consume an average of 227 mg of caffeine each day,
which is equivalent to approximately two and a half (8 oz) cups of coffee. Withdrawal
symptoms in humans are also well known and can be compared to zebrafish to see if any
consistencies occur (Silverman et al., 1992). In humans, symptoms have been observed
to occur in as little as a consumption of 100 mg each day for a month, and then abruptly
stopping, which is equivalent to one 8 oz cup of coffee. These symptoms are similar to
the symptoms exhibited by zebrafish, and include being over anxious, fatigued, mood
changes, lethargy, and, if an extremely high dose was given (greater than 600 mg) for a
month, seizures (Silverman et al., 1992). Since this study saw a decrease in movement
among the experimental zebrafish, it is essential for other studies to be conducted to test
the effects of caffeine using a full, comprehensive approach, to fully understand the role
of caffeine on the behavior of zebrafish.
24
�V. Acknowledgments
I would like to thank Dr. Brian Palestis, who served as the thesis advisor for this
research project and guided me along the way. I would also like to thank Prof. Linda
Raths, who served on my thesis committee and oversaw most aspects of the research.
This research project was funded by the Department of Biological Sciences at Wagner
College and the Biosocial Research Foundation, and I would like to send them my
deepest gratitude.
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Elkhayat, S. I., Bartels, B. K., Tien, A. K., Tien, D. H., Mohnot, S., Beeson,
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�de Voogt, P. and Castiglioni, S. (2017). Estimation of caffeine intake from analysis of
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dimorphic pattern in zebrafish (Danio rerio). Neurobiology of Aging 54: 10-21.
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�Nehlig, A., Daval, J. L. and Debry, G. (1992). Caffeine and the central nervous system:
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and cardiovascular health. Regulatory Toxicology and Pharmacology 89: 165-185.
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Rese
27
����Pink and Blue: How Stores are an Integral
Part of Gender Socialization
Victor Ruan1
The project involved the analysis of merchandise sold in retail stores and how
these stores are catalysts to gender socialization and defining both masculinity and
femininity. Visits to three different stores (H&M, Bath & Body Works, and JCPenney)
clearly show the gendering of merchandise and the targeted audience. Gender
socialization is an integral part of society, which has created expectations on how
children should act in a certain manner to be considered a boy or a girl (and leaving little
room for those who do not identify on this binary). Just like parents are guilty of, stores
also cue consumers on how to properly “do gender” (West & Zimmerman, 1987). You
could argue that stores are striving towards more gender-neutral products and many may
advocate towards such, but these stores still participate in the social construction. There is
validity that stores (Target) have established a more gender-neutral product line, but at
the same time, the majority of retail stores conform to the social constructions of
hegemonic as well as normative masculinity and normative femininity that we as a
society have created. Perhaps more importantly, the majority of manufacturers or CEOs
do not realize they are even gender socializing since we have grown up with these ideals
since birth, which makes these restrictive ideas normative. This then emphasizes the ideal
image for boys and girls how to be a man/woman when growing up. The fact that the
connection between gender and sexual orientation is emphasized so much in males and
females, suggests how closely gender conformity and heterosexuality (heteronormativity)
are linked within hegemonic constructions of masculinity/femininity (Kane, 2006).
Data and Methods
In order to analyze how stores gender their merchandise, I decided to visit
H&M, Bath & Body Works, and JCPenney. I chose these stores for the differences in
their merchandise and their intended consumers. With H&M being a clothing store, Bath
& Body Works a health and beauty store, and JCPenny being focused on children toys, it
provides a diverse data sample. Thus, the different sources of data strengthen the
analysis. The stores were examined in a span of two days. Starting at 10/17/18, I went to
1
Written under the direction of Dr. Bernadette Ludwig for SO320: Sociology of Gender.
31
�H&M from 1:30-2:00 pm and recorded my observations. Immediately after, I went to
Bath & Body Works from 2:15-3:00 pm. On 10/19/18, I collected data at JCPenny
between 7:00 and 7:30 pm. In ordered fashion, data were recorded in specific categories
of landscape/environment, merchandise products, imagery/color association, quantity and
price of products, and any presence of neutrality, if any. Also, during the collection of
data, I took pictures of specific products that either showcased gendered merchandise for
children and consumers.
Findings
Data collected from these three retail stores show that merchandise is gendered.
H&M was the most apparent as the first floor was entirely for women and the second
floor was split in half where the left side was for men and the right for women. This was
clearly stated throughout the store as imagery and color association implied the idea that
“x” is for females and “y” is for males. This seems to relate to the XY sex-determination
system, which defines a sex of an individual is determined by a pair of chromosomes.
Males typically have a pair of (XY) chromosomes, while females have (XX); and of
course there are intersex people. It seems like these retail stores are placing restrictions
that define what people should or should not wear just based on their sex chromosomes
and traditional masculinity/femininity. The prevalent division of “men” and “women”
products also highlighted the lack of gender-neutral merchandise. While observing the
products, there are definitely trends as to what society expects men and women to wear,
which is projected by H&M in their clothing merchandise. For men, the types of
merchandise consist of button-down shirts, jeans/khakis, plain t-shirts, hats
(caps/beanies), and sneakers. Also most of these clothes were not very “expressive.” In
order to discuss this, the types of products for women should be detailed. The
merchandise were mainly skinny jeans, t-shirts with images, boots/heels, revealing
clothing, and things like leggings or scarfs. Now, when considering the differences
between the “male” and “female” products, it is important to note the imagery and color
association for each respectively. At H&M, the male products did not focus so much on
imagery, but actually on the usage of colors and the division of gendered merchandise to
define the male section of the store. The majority of the clothes were very dark, neutral
types of colors like black, white, gray, blue, and sometimes red or green. As expected, the
color options were fairly limited. In comparison, the female clothes were very expressive
as many were of on the spectrum of pinks, purples, light blues, and also neutral colors
such as white, gray, and black. It is interesting to see that the store reflects the idea that
men should not be emotionally expressive as the main colors being sold of their clothing
32
�are very neutral, monotone colors. In addition, t-shirts and almost all of the other clothing
advertised to men were plain, while a good portion of the female t-shirts had some sort of
image or quote linked to some sort of emotion. Yes, obviously there are some
males/female clothes that bleed into the other, but they were not significant in number.
When considering the ratio of “female” and “male” products it is clear that there are
significantly more options available to women
I found Bath & Body Works, a health and beauty store, to be the most gendered
of the three stores I visited. Almost all of the store products are geared towards women
and the only section for men was a small display with colognes and hand sanitizers.
“Female” products had a wide range of products of skin care; lotions, hand/body soap,
hand sanitizers, perfumes, and other things that I did not even know existed, prior to
conducting this study. Essentially, this store very much caters to women and it seemed
very apparent. That even translated to the imagery and descriptions of the products. For
example, consider the perfumes where some of the names include “Love and Sunshine,”
“Sweet Pea,” and “Rose Fine Fragrance,” while the male colognes were only one-word
names like “Leakwood,” “Noir,” or “Bourbon.” This was also the same with the hand
sanitizer collection that included names and fragrances such as “Vanilla Berry Sorbet”
and “Paris Amour” for women, while those marketed to men had exactly the same name
as the colognes in the men’s collection. Clearly, there is gendering in this store, as it does
not expect men to shop in this retail store for themselves, since our society reserves
“beauty” and “pampering” for women. Surprisingly, despite the gendering of the
products, the prices for “male” and “female” products were generally the same.
In the third store, JCPenney, I focused on the children’s toys section. Just like
the other two stores, there was gendering of how the merchandise was marketed. The
“boy” products are mainly about strength and heroism. Marvel characters like Ant Man
or Black Panther were displayed in this section. These superheroes were only prevalent
among the “boy” products reflecting traditional ideals that men are supposed to be
physically strong in order to prove their masculinity status. The “girl” products were
heavily focused on princesses (Ariel, Moana, Rapunzel). There was also a toy called
“Baby Alive.” As the name suggests, it is a doll that aims to inspire young girls to take
care of it like a baby, feed, change, and put it to sleep. This clearly is related to traditional
perspectives that women are expected to be mothers be the primary caretakers.
Most toys included pictures that showed a little boy or girl playing with the
product. With the superhero toys, it was a boy and vice versa with the girl products.
These toys demonstrate how gender socialization starts at an early age and contributes
33
�that those who do not fit into the idealistic characteristics of normative masculinity and
normative femininity often feel less of a man or woman.
Analysis
The gendering of children and adult merchandise clearly reflects how much
society is concerned with gender appropriate behavior, clothing, etc. Merchandise
reinforces ideas around hegemonic masculinity as well as femininity. In addition, these
products leave almost no room for intersex or non-binary children and adults. Not only
are the children influenced on how they “should” act, but parents are also enforcing
normative gender expectation based on merchandise they buy. Clearly, there are
significant implications of gendering merchandise, most importantly sending a message
that individuals who do not conform to the traditional ideas of what is considered a
“man” (physically strong, void of emotions) or a “woman” (nurturing, frilly clothing),
will be considered less masculine or feminine (hooks, 2014 [1989]).
In order to address the implications of gendered merchandise, consider the
example of H&M. The clearly defined division throughout the store creates borders and
restrictions that make people believe they cannot cross and make them normalize these
gendered ideals. For example, the colors associated with “male” are neutral and
monotone (black, gray, white, blue) whereas “female” products tend to be more vibrant
(pink, purple, red, yellow) implying that men are less emotionally not very expressive.
The much more vibrant and bright colors of the female clothing seems to support the idea
that women are more inclined to express their feelings and emotions. This is also
synonymous with the idea that there seems to be parallels between the social interactions
between men and the challenges of creating male friendships. Consider a man cited by
Brody (2016) who exclaims that maintaining friendships “doesn’t come so easily to men”
(para. 1) as he contrasts this to his wife’s extensive friendships with other women. This
shows that many men believe that talking about emotions and opening up is not manly,
which often makes is harder to sustain intimate, long-lasting relationships (Brody, 2016).
Rather, they feel that being a man means emphasizing (physical) strength and being
reserved.
The idea of physical strength and mental toughness as essential elements of
masculinity are conveyed starting at an early age. The toy selection at JCPenney makes
this evident. Toys marketed for boys include, but are not limited to, different merchandise
around superheroes and nerf guns. These products are sending messages that physical
strength is a necessity to be considered masculine. These superheroes were created that
have extreme powers like being able to survive supernovas or cast godly thunder, once
34
�again emphasizing physical strength. Not surprisingly then, men use fights to bolster their
masculinity and if they fall short, have to find other ways of asserting their dominance
(Melzer, 2013).
And while boys are told to not show emotions, most toys advertised for girls
emphasize emotions around caring. For example, the “Baby Alive” toy is a simulation of
taking care of a child. That is a prime example of traditional femininity that tells girls that
they are expected to have children and being childless makes one less of a woman
(Blackstone, 2014). Similarly, princess and Barbie highlight that being “girly” means
wearing vibrant dresses, jewelry, and elegant accessories. Subsequently, girls and women
who do not fit this archetype may end up feeling insecure and less of a person and even
be labeled as a lesbian or manly (Ezzel, 2009).
Parents often sanction gender nonconformity, especially for boys. Kane’s (2006)
research revealed that the majority of parents (74%) expressed negative feelings when
their sons played with “girly” toys, liked wearing frilly clothing, painted their nails, and
liked ballet and Barbie dolls. Some of the parents, especially fathers, resented boys’
gender nonconformity because they fear that their sons will be viewed as gay (Kane,
2006). The fact that the connection between gender and sexual orientation is emphasized
so much as it relates, shows how closely gender conformity, heteronormativity,
homophobia and hegemonic constructions of masculinity are linked (Kane, 2006). In
contrast, parents often supported that their daughters embraced more “masculine traits”
since they argued that this made them more assertive and confident which would help in
their future careers (Friedman, 2013). But recall, if girls and women are perceived as too
masculine this can also backfire, as they may be labeled “aggressive” and/or “lesbian”
(Friedman, 2013; Ezzel 2009).
Conclusion
Gendered merchandise has created messages towards children that have lead to
implications on gender conformity. Whether it be the divisive color palate of clothes sold
at H&M or Bath & Body Works’ marketing primarily to women with products that are
aligned with normative femininity (e.g. delicate, sweet), stores’ part in gender
socialization is indisputable. This reinforces messages and expectations on what a
boy/man or a girl/woman should wear or play with it. Not only are these ideas unrealistic
but they also limit how people are allowed to express themselves. I experienced this first
hand when I wore a dress for a few hours to see how people would react to others who
breach gender norms. Not surprisingly, given that most stores advertise dresses
exclusively to women, my peers were less than supportive exclaiming that “You can’t be
35
�wearing a dress to school my man” and “bro, I can’t look at you the same again,” all
accompanied by laughs and expressions of shock. Despite being a confident young adult
these comments made me feel extremely uncomfortable, so I cannot even imagine how a
young boy would feel. Society’s continuing pressure to conform is a major problem.
Hopefully stores eventually start to include more gender-neutral products and support the
idea that a toy, a dress, a fragrance should not determine one’s gender identity.
References
Blackstone, A. (2014). Childless… or Childfree?. Contexts, 13(4), 68-70.
Brody, J. (2016, June 27). The Challenges of Male Friendships. The New York Times, p.
D5
Ezzell, M. B. (2009). "Barbie Dolls" on the Pitch: Identity Work, Defensive Othering,
and Inequality in Women's Rugby. Social Problems, 56(1), 111-131.
Friedman, H. L. (2013). Tiger Girls on the Soccer Field. Contexts, 12(4), 30-35.
Hooks, B. (2014 [1989]). Feminism: A Transformational Politic. In Rothenberg, P. (Ed.),
Race, Class, and Gender in the United States (9th ed.)(657-664). New York, NY: Worth
Publishers.
Kane, E. W. (2006). “No Way My Boys Are Going to Be Like That!” Gender & Society,
20(2), 149-176.
Melzer, S. (2013). Ritual Violence in a Two-Car Garage. Contexts, 12(3), 26-31.
Messner, M., & Oca, J. M. (2005). The Male Consumer as Loser: Beer and Liquor Ads in
Mega Sports Media Events. Signs: Journal of Women in Culture and Society, 30(3),
1879-1909.
West, C., & Zimmerman, D. H. (1987). Doing gender. Gender & Society, 1(2), 125-151
36
���The Theme of the “Sleeper” in the Works of Paul Gauguin
Beatrice DeMarco (Microbiology)1
Paul Gauguin believed in an art form that was free of limitation and restriction.
Art is the expression of what one truly feels, sees, and believes. He did not believe in
painting only what was there, but what was not there. The “Sleepers” in his works are
those who seem be restricted in that they do not have motility or comprehension in sleep.
However, as Gauguin portrays it, the true liberation is in slumber as it allows one to
access their own personal dream worlds. The closed eyes of the subjects in sleep suggest
a world beyond closed doors open to all possibilities and opportunities. The theme of the
“Sleeper” in Gauguin’s creations illustrate two distinct worlds: one of fantasy and one of
reality.
In this early works, Gauguin used his family and those closest to him as
inspiration. In The Little One is Dreaming, 1881, the child sleeping is his daughter, Aline.
The major themes in this work are life, death, and dreaming. The palette is muted and
subtle with the exception of the clothing on Aline and the jester doll. This is
representative of light and vibrancy that is found in the innocent life of a child. However,
the jester evokes feelings of ambiguity and presents a sense of eeriness to the work as a
whole. The wallpaper of the background consists of birds flying to and from a nest. This
adds a feeling of movement and energy to the work. These birds are representative of the
child’s fleeting dreams and an artist’s racing thoughts. The jester, in addition, gives
insight into the dreams of a young child (Maleuvre 198). This work clearly represents
Gauguin’s central theme of finding liberation in fantasy by exiting reality through
dreams.
Similarly, this sharp divide between fantasy and reality can be seen in The
Sleeping Child, 1884. The subject of this work is Gauguin’s son, Clovis. The fresh, crisp
colors of the palette are used to express the view of dreamscape through color. Behind the
closed eyes of Clovis, a vivid dream world ignites. This dream world consists of flying,
whimsical beings in a sea of bright blue. Other interpretations of this work state that
amongst the otherworldly creatures there are flowers that hold significance in the
Tahitian culture (Cotter 45). These flowers are known as tupapa’u flowers. They are a
sign that a ghost is thinking of you as they gleam in night of Tahiti (47). The physical
Written under the direction of Dr. Laura Morowitz for AH 321: The Madman and the
Savage.
1
39
�resemblance to this plant and the flowers illustrated by Gauguin in this work prove that
he always had a sincere appreciation for primitive, ethnic cultures. Further, the scaling of
the objects in the work also illustrate a world free of worldly ties as the ceramic container
on the tabletop next to Clovis is significantly larger than the child himself. Again, these
figures provide a sense of energy and movement that portray fantasy as a constantly
changing landscape where there is an absence of concrete reality.
The Sleeping Child, 1884
Moreover, the Vision after the Sermon (Jacob Wrestling with the Angel), 1888 is
one of Gauguin’s most celebrated works. The world of fantasy and religion are brought to
life in this work by artistic expression. The religious aspect is representative of a passage
from the Bible in which Jacob wrestled with God and was blessed with the new title of
“Israel” for having overcome the challenge (Buser 384). This work is vividly colored
with red being of the most distinct. Gauguin uses color in a completely abstract way. Red
is used as a symbolic color. It is used to illustrate violence, anger, danger and death
(Buser 385). Red defines the image as dreamlike and unreal. Color is stripped of its
original function of only being used in the natural world to one in which it is used
expressively to separate reality from fantasy. Gauguin gives a new meaning to color by
removing its restriction of only replicating reality.
In a letter to Van Gogh, Gauguin describes Vision after the Sermon (Jacob
Wrestling with the Angel), as “For me the landscape and the fight only exist in the
40
�imagination of the people praying after the sermon” (Herman III 415). The Breton
women in the work have their eyes closed in prayer portraying the dream world in which
the Biblical passage comes to life in the light of their imaginations. Japanese prints
served as a major influence to Gauguin in making of this work. The flatness of the
landscape is an aspect of Japanese art that he had come to attribute to his own paintings.
The lack of shadows provides the sense of illusion and fantasy. In addition, the branch
that separates the work horizontally, influenced by prints, serves as the physical
separation between reality and spiritual realm. However, this painting is not religious. It
provides more of a “spectator religious” experience in which the viewer is watching
others be religious; this was an extremely modern concept in the time this work was
created (420). Vision after the Sermon (Jacob Wrestling with the Angel) gives rightful
appreciation to the stylistic characteristics and abstract subjects that encapsulate Gauguin
as a legendary artist.
Gauguin’s world of abstract vision is illustrated in The Yellow Christ, 1889. In
this work, he expresses dreams and visions in vibrant color, form and composition. The
central figure of this work is based on a seventh-century wooden crucifix that hung in a
chapel in Brittany (Jarnes 30). The Christ figure is made in the image and likeness of
Gauguin with similar facial features. This can be interpreted as portraying a connection to
him and faith or as a means to display a higher level of spirituality that can be reached
through prayer as displayed by the women. The color yellow is prominent in this work as
Gauguin used it to convey primitivism and religion in the life of the Breton women. He
chose to create a strong yellow presence against a background of autumn harvest. In
Brittany, the harvest had deep religious meaning. The grain harvest was compared to the
Christian cycle of life: birth, life, death, and rebirth (33). The use of yellow and the
bleeding Christ figure can also be attributed to the time Gauguin spent with Vincent van
Gogh in Arles. Van Gogh is known as the “great painter of yellow”. During their time
together, the two artists left lasting influences on each other as seen in many of their later
works. The incident involving Van Gogh cutting off his ear may have influenced
Gauguin in the creation of the Christ figure to symbolize the way he left Van Gogh
bleeding in Arles (Collins 88). The Yellow Christ portrays a complete dismissal of reality
as the Breton women did not actually gather around a crucified Christ. This work is yet
another by Gauguin that portrays the expanse of the imagination that lies beyond closed
eyes. However, the true expanse of Gauguin’s idealistic dreamworld stemmed from his
experiences in Tahiti.
At his arrival in Tahiti in 1891, Paul Gauguin formed an image that was rooted
in visions of tropical bounty and primitive ethnic peoples. He imagined the country as
41
�microcosm of the start of civilization that has not yet been touched by societies of
Westernization. Gauguin saw Tahiti as an escape from all that is conventional
(Danielsson 230). He wished to live a pleasure-filled life, living off the land and
indulging with the people in paradise where he could want for nothing. Depicted in this
way, Tahiti was Gauguin’s dream and fantasy world. This world of lush bounty and
beautiful, savage people encompassed his thoughts and impacted all aspects of his life
until he reached the land of his imagination. Although Gauguin was disappointed to find
that Tahiti was not the lush, primitive heaven of his dreams, he created works while he
was there that depicted his longing for fantasy land absent of reality.
In The Spirit of the Dead Watching, 1892, Gauguin portrays a dreamscape that
comprises several motifs that illustrate his view of the primary fantasy world of Tahiti.
The subject of this work is Gauguin’s native wife, fourteen-year old, Teha'amana.
Teha'amana is lying on a bed, completely nude. The bed is covered in a wraparound skirt
that is traditionally worn by the Tahitian people. The inclusion of this detail in the work
demonstrates Gauguin’s appreciation for the vibrant colors and prints of the Polynesian
culture. Behind the bed, in profile, an older woman, a ghost figure watches over her.
Gauguin gave life to a haunting, eerie, and supernatural setting through the use of color
(Cotter 42). The color palette of this work evoke strong emotions in each aspect of the
painting. For example, the browns, golds, and reds used to illustrate the color of
Teha'amana’s skin present with a sexual, erotic overtone. The vibrant contrast of the print
on the bed portrays the vibrancy of the tropical landscape of Tahiti. More, Gauguin states
his main use for the yellow bed sheets was to present the feeling of suspense to the
viewer (43). The background of the work, behind the ghost figure, is expressive with a
bright color palette depicting the limitless dreamscape. Additionally, the purples in the
background emote the darkness of a nightmare, a “background of terror” (44). The
tupapa’u flowers present in the dreamscape serve as a sign that the ghost figure is
watching over Teha'amana (47). This painting is a prime example of how Gauguin used
color to express feelings and emotions.
Further, Teha'amana’s face is depicted in a way that evokes a strong sense of
fear. In a letter to his wife Mette, Gauguin states, “I painted a nude of a young girl. In this
position she is on the verge of being indecent. But I want it that way: the lines and
movement are interesting to me. And so, I give her, in depicting the head, a bit of a
fright” (Fraenkel 688). Initially, Gauguin, in another letter to Mette, stated that the source
of the girl’s fear was the old woman, ghost figure behind the bed. However, in his
memoir, Noa Noa, he made himself the subject of her fear (689). All of Teha'amana’s
fear is not attributed to her fear of the dark or belief in spirits. Her fears can also be
42
�attributed to Gauguin’s sexual aggressiveness which deems the look in her eyes as a
fearful, submissive one. His willingness to illustrate her facial features and eyes in such a
way demonstrate that he saw her submissiveness as a reward (Rose 262).
The theme of the “Sleeper” in The Spirit of the Dead Watching presents two
types of fantasies conveyed by Gauguin. First, although the physical imagery of sleep is
not presented in this work, an obvious dreamscape is created in the background. The bed
serves as the physical divide between reality and dreams. The fantasy world consists of
the ghostly figure and the tupapa’u flowers which breathe a certain movement and
energy into the work. Second, the presentation of the subject and ideas in this piece evoke
sadism and racism (Gilbert 263). His overt use of sleep can be seen as a way to depict
vulnerability in women (Beall 38). Teha'amana’s look and position can be viewed as
submissive without the ability to resist the domineering and aggressive sexual predator,
the white, middle-aged colonist. Gauguin’s portfolio is full of naked, young Tahitian
women in a variety of differing positions in a multitude of settings. These works are
categorized under “eroticism”, however, this term could be masking Gauguin’s true
nature as a pedophile (Mathews 55). Gauguin’s portrayal of women in all of his works is
often challenged as differing interpretations suggest disrespect and belittlement to various
cultures. Specifically, his works of naked Tahitian women considers a sexual and racial
fantasy that emerges from Gauguin’s position as a male colonist (56). The fantasy world
of Gauguin is not strictly limited to the vivid dreams of children or expansive religious
visions. Gauguin’s depiction of women in his works evoked a racially “erotic” fantasy
world in which his legacy is questioned.
The Spirit of the Dead Watching, 1892
43
�Furthermore, The Day of the God, 1984, tells the story of the Tahiti Gauguin
dreamed of, not the Tahiti he had come to know. The work is set in a Tahitian landscape
by the water and is divided into three parts. The top portion consists of island women
conducting a ritual near a Buddhist-type sculpture. Buddhist figures are a common theme
found in the works Gauguin created in Tahiti. It is hypothesized that he connected to the
Buddhist religion because of the tradition of meditation (Leithauser 68). Meditation
grants vision without the use of sight. It involves searching inward to find truths and
different perspectives about oneself. Gauguin believed dreaming provided the same
revelation as behind closed eyes the expanse of honesty and imagination takes flight. In
the middle of the work, there are two sleeping women and one woman posed to formally
resembled the Buddhist sculpture behind her. This woman is similar to other Tahitian
women Gauguin depicts as she is representative of an Eve in the Garden of Eden (Teilhet
110). The lower portion of the work is comprised of vibrant, brillant contrasting colors
reflected in water. The varying shapes of the reflections can be seen as a dismissal of
reality into a land of imagination similar to the light of paradise. Gauguin dreamed of a
lush paradise of endless indulgence in Tahiti. As the work depicts, he expected lush,
tropical landscapes, beautiful ethnic women, spirituality in culture, and limitless
opportunities in a world where he could never want again. The woman sleeping with her
eyes closed is representative of this immense fantasy and dream world he created.
Moreover, the overt themes of birth, life, and death are expressed in this work. Birth is
seen by the women holding a child in the top portion of the work. The color white is used
for their clothing to represent new life. Life is seen throughout the vibrancy of the palette
used. The bright coloring of the landscape and figures emote a sense of aliveness and joy
(Lennon 61). Death is represented by the figure with her back turned to the sea of color in
the middle of work. The face of this figure is not shown as to represent the end of
dreaming as darkness is now what is seen beyond closed eyes. The expanse of the fantasy
world is non-existent without the ability to dream and imagine. This Tahitian landscape
tells of the depths of Gauguin’s own imagination and the stretch of his colored world
behind closed eyes.
Additionally, The Nativity, 1896 portrays a religious fantasy created in the
dreamworld of a sleeping Tahitian woman. A young Tahitian woman is in a deep sleep
on bright yellow sheets. She is mostly clothed in a deep blue Tahitian print cloth. It is
speculated that she is clothed because she is part of a religious scene. This distinction is
made as it is Gauguin’s commonplace to depict Tahitian women in the nude. In the
background, there are two women, one of whom is holding a child. The print on the cloth
is a yellow star representative of the North Star described in the biblical story of the birth
44
�of Jesus. Both women are subtle in a pose of reverence and humility (Gayford 92).
Moreover, the background illustrates a barn scene with a herd of resting farm animals.
This scene is Gauguin’s representation of the Tahitian Nativity (93).
The sleeping woman’s head is encompassed in a yellow halo. The child’s head
is also surrounded by darker green shades resembling a halo. The woman in the far back
of the work has wings colored in a mix of bright yellow and darker greens, resembling
the angel Gabriel. The halo around the sleeping woman portrays her role as the Virgin
Mary. She serves as Gauguin’s Tahitian Madonna. The child is the Christ figure born on
the Holy Night in a manger. The edge of the bright yellow cloth on the bed separates the
real world from that of fantasy.
Gauguin’s Tahitian Madonna demonstrates his unorthodox religious views and
how prominent spirituality was in his everyday life. The world’s religions, mythologies,
and spiritual constructs were all united according to Gauguin (Price 22). He had strong
beliefs in the mystic themes of religion and combined them with the subjects of his life to
create the masterpieces that comprise his artistic career. Religion served as a major theme
in the fantasy worlds curated by Gauguin.
Paul Gauguin was one of the greatest unconventional artists known to modern
history. His bohemian, anti-Western approach to life created art that was unique and
otherworldly. Gauguin’s need for primitivism combined with limitless fantasy gave his
works the ability to encompass universal topics that held timeless messages about
religion, dreams, sexuality, life, and death. Gauguin’s inability to accept reality as a
concrete principle allowed him to share his influence with a myriad of religions and
cultures. His passion for the Tahitian culture, during the 19th century, demonstrates how
he was an open-minded and futuristic dreamer. His urge to assimilate with the culture and
create a united society in religion and culture depicts his roots into a world of
imagination. Gauguin spent his life exploring the world with his eyes closed using his
dreams and fantastical thoughts to dismiss the rigidity of reality. The works he created
serve as a living legacy of Paul Gauguin and his profound belief in the endless
opportunities and inspiration found in the world of fantasy.
Works Cited
Beall, John. “Gauguin’s Uncanny Nude: ‘Manao Tupapau.’” Rutgers Art Review: The
Journal of Graduate Research in Art History, vol. 11, Jan. 1990, pp. 37–51.
Buser, Thomas Reverend. “Gauguin’s Religion.” Art Journal, no. 4, 1968, p. 375-402.
45
�Collins, Bradley I. Van Gogh and Gauguin : Electric Arguments and Utopian Dreams.
Boulder, Colorado : Westview Press, 2001, pg 87-96.
Cotter, Holland. “Gauguin’s Paradise: Only Part Tahitian And All a Fantasy.” The New
York Times, 2004, p. 31-45.
Danielsson, Bengt. “Gauguin's Tahitian Titles.” The Burlington Magazine, vol. 109, no.
769, 1967, pp. 228–233.
Fraenkel, Michael. “Gauguin’s Letters to His Wife.” Nation, vol. 125, no. 3258, Dec.
1927, p. 688-690.
Gayford, Martin. (2015). Tahitian Madonna. Spectator, (9772), 92-103.
Herban III, Mathew. “The Origin of Paul Gauguin’s Vision After the Sermon: Jacob
Wrestling with the Angel (1888).” Art Bulletin, vol. 59, no. 3, Sept. 1977, p. 415-420.
Jarnes, Mark. “BRIEF: Van Gogh and Gauguin: Reality and Imagination.” Japan Times,
5 Oct. 2016, p. 28-35.
Leithauser, Brad. “Gone Native: Looking Back at the Reality behind Paul Gauguin’s
Luminous Dreams of Tropical Innocence.” Art & Antiques, May 1988, p. 66-78.
Lennon, Troy. “Bright Colours Masked Gauguin’s Dark Reality.” The Daily Telegraph,
(Sydney), 30 May 2018, p. 61.
Losch, Michael. “The Iconography of Sleep and the Life-Cycle: The Influence of
Theosophical Literature and the Art of Paul Gauguin on Georges Lacombe’s ‘Le Lit.’”
Nineteenth-Century French Studies, no. 3/4, 1996, p. 447-512.
Mathews, Nancy. “Paul Gauguin: An Erotic Life.” Virginia Quarterly Review, vol. 78,
no. 2, Spring 2002, pp. 55–56
Rose, Gilbert J. “Paul Gauguin: Art, Androgyny, and the Fantasy of Rebirth.” The
Homosexualities; Reality, Fantasy, and the Arts., edited by Charles W. Socarides and
Vamik D. Volkan, International Universities Press, Inc, 1990, pp. 259–270.
Price, Sally. “The Sleep of Reason: Primitivism in Modern European Art and Aesthetics,
1725-1907 Frances S. Connelly.” African Arts, no. 1, 1996, p. 18-24.
Teilhet, Jehanne H. “‘Te Tamari No Atua’: An Interpretation of Paul Gauguin’s Tahitian
Symbolism.” Arts Magazine (00044059), vol. 53, no. 5, Jan. 1999, p. 110.
46
�A Physician’s Right to Conscience
Maya Barr (Nursing)1
The purpose of this paper is to explore the ways that legal abortion affects the obligations
of providing doctors towards expectant mothers. Doctors that identify as religious tend to
present themselves as pro-life. A pro-life doctor, even if in the field of reproductive
health, may refuse to perform the abortion because they feel it is morally wrong. Prochoice advocates tend to believe that a pro-life doctor that wants to work in the field of
women’s health should not, because abortion is a procedure that may be involved in the
care of a patient. This is a topic of controversy because many doctors step into this field
with the idea of saving lives, not terminating lives. This paper will examine the ways that
president, Donald Trump, has addressed this concern, the effects on doctors, and the
patient, regarding maintaining a healthy conscience for doctors. If legal abortion causes
religious or moral controversy for providing physicians, then their right to refuse limits
access to an expectant mother wishing for an abortion. This paper adds a new dimension
about abortion in regards to the provider by exploring ways to protect the conscience of a
doctor while avoiding the possible limitation of access to healthcare or reproductive
services for the expectant mother.
I. Introduction
Abortion has been hotly debated in American politics in recent years. Most often
debated are the issues related to a woman’s reproductive rights, while the concerns
regarding a physician’s conscience rights are considered less often. But their protection is
equally as important. The settlement of Roe v. Wade supreme court case in 1973, sparked
the ongoing Pro-Life and Pro-Choice debate in America. In 1996, President George W.
Bush issued conscience protections for Pro-Life doctors that did not want to participate in
abortions. After President Barack Obama’s decision to revoke these protections, our
current President, Donald Trump, has further implemented these protections back through
the U.S. Department of Health and Human Services. These rights are included in The
Church Amendment and the Public Health Service Act section 245. This paper will
examine the ways legal abortion affects the obligations of doctors towards expectant
mothers.
1 Written under the direction of Dr. Abraham Unger for GOV103: American Government
& Politics.
47
�II. Literature Review
According to the U.S. Department of Health and Human Services, a health care
provider’s conscience rights are protected by federal statutes. Federal statutory health
care provider conscience protections include, but are not limited to, The Church
Amendments and The Public Health Service Act, section 245. The Church Amendments
which were enacted in the 1970s, were of purpose to “protect the conscience rights of
individuals and entities that object to performing or assisting in the performance of
abortion or sterilization procedures if doing so would be contrary to the provider’s
religious beliefs or moral convictions” (Office for Civil Rights, 2018). The Public Health
Service Act, section 245, was put into play in 1996. The act included the following
guidelines:
it prohibits the federal government and any state or local government receiving
federal financial assistance from discriminating against any health care entity on
the basis that the entity: 1) refuses to undergo training in the performance of
induced abortions, to require or provide such training, to perform such abortions,
or to provide referrals for such training or such abortions; 2) refuses to make
arrangements for such activities; or 3) attends (or attended) a post-graduate
physician training program, or any other program of training in the health
professions, that does not (or did not) perform induced abortions or require,
provide, or refer for training in the performance of induced abortions, or make
arrangements for the provision of such training. (Office for Civil Rights et al.,
2018)
Roger Severino, the Trump administration appointee who now leads the U.S. Department
of Health and Human Services civil rights office, has repeatedly stressed that
strengthening conscience protections for health care workers is a top priority for his
office. Because of this, there is also a new Conscience and Religious Freedom Office in
hospitals for Pro-Life healthcare providers so they don’t feel pressure about abortions.
This research shows that there is an effort to protect the conscience of doctors and nurses
that consider themselves to be Pro-Life, which is important in maintaining a healthcare
system of passionate individuals; who work and provide under the circumstances in
which they are comfortable.
An editorial from The New York Times, titled, “Abortion: Where are the
Doctors?”, reports on the shortage of doctors willing to perform abortions. It reported two
different cases in which physicians were murdered by anti-abortion activists, one “on
March 10, 1993,” in which, “a physician named David Gunn was killed in Pensacola,
Fla., by an anti-abortion activist.” This editor wrote that, “Dr. Gunn had divided his time
48
�among six abortion clinics in Georgia, Florida and Alabama.” The second murder
reported in this editorial was, “on July 29, 1994”, in which, “Dr. John B. Britton was also
killed by an anti-abortion activist. Dr. Britton regularly flew from his home elsewhere in
Florida to work at Pensacola's only other abortion clinic.” (Abortion: Where are, 1994).
These murders show that even the doctors who will perform an abortion are at risk of
judgement from others. The editorial goes on to explain that women are struggling to find
providers that will provide the service, and “in 83 percent of counties in the United
States, not a single physician is willing to provide abortion services,” (Abortion: Where
are et al., 1994). It continues to say that “even if there were no violence, many women
would still face a long search for an abortion provider. Recent graduates of medical
schools know little about the procedure. Only 12 percent of residency programs in
obstetrics and gynecology offer training in first-trimester abortions; even fewer offer
second-trimester training,” and the proposed solution to this problem is to, “return
pregnancy termination to the curriculum”, of medical schools and residency programs.
This data does not include the issues regarding the protection of a doctor’s conscience.
Although, women are facing an issue that they cannot find a doctor to perform an
abortion, the doctor’s protection of conscience is significant too. This source portrays the
problems at hand.
Doctors do not want to be referred to as abortionists, according to the journal
article titled, “The Abortion Problem as Doctors See It”, reviewed by Barbara Katz
Rothman. Rothman teaches in the sociology department at Baruch College City
University of New York, and quotes a doctor that was interviewed, “I don’t want to be
known as an abortionist. I want to be known as a mother who loves mommies and their
babies.” It is true that a doctor’s moral conscience or religious affiliations may affect the
availability of services to a patient. Rothman’s solution is an “alternative to physician
control”, and to “move abortion outside the private practice of medicine, and into the
clinic,” but “abortion is a problem for physicians,” and “the clinic [is] an incomplete
solution”. This is not a complete solution because there will still be only a small number
of doctors at the clinic, and the access for an expectant mother is still scarce, being that
the goal is to protect physician’s conscience as well.
“The US Surgeon General on the Health Effects of Abortion”, by C. Everett
Koop, is a journal article regarding the US Surgeon General’s concerns addressed to
Ronald Reagan in a letter during the time of his presidency. This is a source to
demonstrate the progress of the abortion issue through different times. “The type of study
the Surgeon General would consider satisfactory would be very costly,” and, “apparently
such a study would focus on an initial sample of nonpregnant women and follow their
49
�reproductive histories over time, such as during a period of five years” (Koop,1989). This
review suggests that one of the worries of, “pro-lifers” during this time was regarding the
negative health effects that abortion may cause on a mother. If enough evidence was
found, pro-life supporters were in hopes that it would overwhelm the population of
women and, “force the reversal of Roe v. Wade”. (Koop et al., 1989) This brings new
insight regarding some of the guilt that may have been felt by physicians. They would not
only feel guilty for terminating a pregnancy. Yet, they could possibly feel guilty to bring
upon a negative health effect to a patient, such as a psychological burden. This could be
another reason that doctors do not want to provide this service.
The 1973 U.S. Supreme Court decision of Roe v. Wade was intended to declare
a woman’s legal right to an abortion. It also caused some unintentional effects on the
lives of physicians. As reported by, “Unintended Consequences: Abortion Training in
The Years After Roe v. Wade”, this decision caused, “a shift in abortion provision from
hospital centers to nonhospital clinics,” which in turn, “produced a shift in the focus of
anti-abortion activists toward individual physicians and their clinics.” (Aksel & Fein &
Ketterer & Young & Backus, 2013). These authors stated that “anti-abortion activists
strove to intimidate and make pariahs of these health care professionals on a very
personal level.” In 1993, an anti-abortion group in Texas mailed a vulgar and menacing
pamphlet of jokes to thousands of medical students. One of the jokes was as follows, “Q:
What would you do if you found yourself in a room with Hitler, Mussolini, and an
abortionist, and you had a gun with only two bullets? A: Shoot the abortionist twice.”
(Aksel et al., 2013) Then later on that month, “David Gunn, an abortion provider in
Pensacola, Florida, was shot and killed in front of the clinic at which he worked.” (Aksel
et al., 2013) Due to this violence, many more medical students are becoming resistant to
performing, or to learning how to perform abortions. Since there are less providers
willing to follow through with the operation, there is a risk that women will look for, or
access, an unsafe method of abortion. That is not our goal.
Autonomy, meaning “self-rule”, raises ethical question concerning the
relationships between patients and their physicians. As stated in, “Patient and Physician
Autonomy: Conflicting Rights and Obligations in the Physician-Patient Relationship”,
moral conflicts emerge from maintaining a physician's claim to autonomy. Physician
autonomy is endangered in the realm of physician’s religious beliefs or moral values.
Although there is protection for nurses and doctors’ conscience, this only goes so far.
Edmund Pellegrino wrote, “applicants to medical schools are now frequently asked about
their views on abortion” and this, “question is asked so often that it seems unlikely to be
of only passing interest to interviewers”. (Pellegrino, 1994) This data does not show or
50
�confirm whether or not applicants are being denied due to their views on abortion.
Pellegrino then goes on to question, “does the autonomy of the institution or health policy
override the autonomy of either, or both, the patient and physician?” So, “which takes
precedence when conflict is unavoidable?” (Pellegrino et al., 1994). This source does not
answer this question but it can be further explored by questioning whether a physician
should risk his or her autonomy by aborting a fetus that was causing a situation that was
threatening the life of a mother. In other words, should a physician let the mother die,
because they will not abort the child in a dangerous situation? This data does not answer
these questions, although, these are deeper aspects of this ethical controversy regarding
physician’s rights.
For a long time, the provision of a referral fulfilled one’s professional
obligation. Due to this ongoing abortion debate, nurses, “have begun demanding not only
the same right of refusal [as doctors], but also - because even a referral, in their view,
makes one complicit in the objectionable act” (Charo, 2005). According to, “The
Celestial Fire of Conscience - Refusing to Deliver Medical Care,” the lines in which a
physician feels their conscience is morally protected is becoming blurrier. From this
journal review, it can be assumed that by this information, some doctors feel as though
making a referral to another doctor still goes against their moral conscience. This
provides more insight regarding how deep the issue is here. Some mothers cannot even
find a referral for an abortion, a direct effect of the doctor trying to protect his or her
moral conscience. With this comes the question regarding whether or not a professional is
obligated to give a referral, and what does it mean to be a professional in the United
States? Does professionalism include the rather old-fashioned notion of putting others
before oneself? Should professionals avoid exploiting their positions to pursue an agenda
separate from that of their profession? And perhaps, most crucial, to what extent do
professionals have a collective duty to ensure that their profession provides
nondiscriminatory access to all professional services? (Charo et al.,2005). With that in
mind, Charo answers these questions by saying that professional health care providers
will make this distinction between what is a medical service or nonmedical car. Binding
the wounds of a criminal before sending him back to the streets, is different then birth
control, abortion, etc. These professionals believe those are lifestyle choices, and not a
treatment for disease or illness. (Charo et al., 2005)
“Religion, Conscience, and Controversial Clinical Practices”, posted in The
New England Journal of Medicine, adds a new dimension about how physicians feel
about their ethical rights and obligations when such conflicts emerge in a clinical
practice. A cross-sectional study was performed and reviewed and “the primary criterion
51
�variables were physicians’ judgements about their ethical rights and obligations when
patients request a legal medical procedure to which the physician objects for religious or
moral reason.” (Curlin & Lawrence & Chin & Lantos, 2007). Sixty-three percent
responded to the survey. It was estimated that “most physicians believe that it is ethically
permissible for doctors to explain their moral objections to patients (63%). Most also
believe that physicians are obligated to present all options (86%) and to refer the patient
to another clinician who does not object to the requested procedure (71%)”. (Curlin et al.,
2007) This data suggests that many physicians feel that they are not personally obligated
to provide for “legal but morally controversial medical procedures”. (Curlin et al., 2007)
A patient that is looking to have such procedure done, will likely have to search
proactively for an accommodating physician.
Instead of a patient having to rely on a surgical abortion procedure, potentially
hard to receive care due to the fact that many doctors do not want to perform the abortion,
Paul Lombardo says in “How to Escape the Doctor’s Dilemma? De-Medicalize
Reproductive Technologies” that the solution is in pharmaceutical developments. These
developments continue to make the potential for de-medicalizing reproductive decisions
possible. In the early 1990s, mifepristone was determined to be safe and effective at
terminating a first trimester pregnancy. It showed to interrupt 50 to 85% of pregnancies
of less than 49 days. When combined with a follow-up prescription of prostaglandin, it is
almost 100% effective in terminating pregnancies. (Lombardo, 2015) The problem is that
these medications are tied to a professional licensure of a physician to prescribe the drug.
This could also harp at the moral conscience of a doctor, with the potential guilt that they
prescribed the means to a way of an abortion. With that being said, this data shows that in
order for a physician to be totally out of this dilemma, there must be a possible institution
of full and complete reproductive freedom, in which “women can access contraceptives,
abortion, and artificial reproductive technologies without the absolute need for a medical
gatekeeper” (Lombardo et al., 2015). This data does not address the details in which
would allow for this system to be possible in the United States, but it seems to portray a
possible solution.
This paper highlights the moral dilemma for physicians and nurses as they try to
honor the rights of their clients while honoring their own moral code. Identifying possible
solutions to this issue is important while respecting a woman’s right to choose and
maintaining a physician’s ability to adhere to their own moral code. Providing an option
for women to manage their own body and reproductive rights leaves the doctor out of the
process.
52
�III. Discussion
We discovered that prior to President Donald Trump and after President George
W. Bush, many doctors and nurses were at risk of feeling pressured to perform such
abortions. However, the doctors and nurses’ personal religious or moral values may have
been opposed to the medical procedure known as an abortion, which they were forced to
execute regardless of their beliefs. The U.S. Department of Health and Human Services
has made it clear that Donald Trump and his administration are pushing for the protection
of doctors’ moral conscience.
Two professionals at a major Catholic hospital stated, “ a Catholic institution
that does not perform abortions”, first hand insight was provided on this topic. (M.
Purchacki, Personal Communication, 2018) Melissa Purchacki, a registered nurse and
clinical educator at Good Samaritan Hospital Medical Center, was asked the question,
“Do you feel as though if a doctor or nurse does not want to perform an operation, such
as an abortion, because they do not feel it is morally right, they have chosen the wrong
occupation? Why?” she responded with, “No, I do not believe they have chosen the
wrong occupation. I believe clinicians have a right to not offer services for procedures
that go against their moral compass.” This demonstrates that she believes it is not one’s
obligation to provide in a way that will affect them, for they will perform best under the
circumstances in which they are most comfortable. When asked, “What do you suggest is
the best solution to protect the conscience of doctors, nurses, and the reproductive rights
of women?” Beth Intonato, another registered nurse at the same facility, responded with,
I think doctors and nurses always have to keep up to date with trends and needs
of patients. I think each patient should have the right to what happens to their
body however I think the patients have to be educated better out in the
community. Sexual education has always been a very touchy topic. Whether it is
a young pregnant teen or older woman, you never know what is going on in their
lives and the best tool we have is education!(B. Intonato, Personal
Communication, 2018).
Melissa Purchacki was asked that same question and had a different response, she
suggested that, “if you do not believe in abortions do not work for a facility that performs
them. As a healthcare provider you do not have to agree with a woman’s choice but you
should respect their right to choose what is best for them.” (M. Purchacki, Personal
Communication, 2018).
With that being said, it is important to note that with the suggestion made by
Paul Lombardo, author of, “How to Escape the Doctor’s Dilemma? De-Medicalize
Reproductive Technologies”, a nurse or physician would not have to choose where they
53
�work based on whether or not they perform abortions at the facility. Although Melissa
Purchacki believes this could be the solution, if abortion were to be taken care of with a
drug, a person with a job in healthcare would not have to feel that they had limited
options in where they could work comfortably. This is important in the same way in
which an expectant mother should not have to feel that there are limited facilities
available for abortion procedures. The drug would protect the availability for both the
patient and the doctor. These pharmaceutical developments continue to make the
potential for de-medicalizing reproductive decisions possible.
In sum, we discovered that just because a doctor or nurse has chosen a path in
healthcare, does not mean they are required to perform all operations. If they feel
uncomfortable to do so based on their religious or moral affiliation, they are protected in
a way which allows them to decide not to do so.
IV. Conclusion
This paper concludes that it is beneficial for abortions to become a procedure
that is totally out of the doctors’ responsibility and only that of the patient. This means,
that the issue of abortion would benefit from becoming a procedure that is only involved
in pharmaceuticals. A drug that can effectively abort a fetus, would be only from the use
of the mother, not a procedure that the doctor would have to perform. The doctor would
not have to make the choice against his or her own moral code. Because of all of the
ethical controversy, making abortions become a primarily pharmaceutical issue, the
patient would not have to feel worried at the lack of providers, yet they would be able to
feel comfort from the readily available supply of pharmaceuticals. Although the patient
would be risking his or her conscience, that is her choice. In theory, we can protect the
conscience rights of doctors and reproductive rights of women, all at once.
V. References
Abortion: Where Are the Doctors? (1994, October 13). New York Times. Retrieved from
http://link.galegroup.com/apps/doc/A174479099/SPN.SP01?u=nysl_me_wagner&sid=SP
N.SP01&xid=cde05bfd
Aksel, S., Fein, L., Ketterer, E., Young, E., & Backus, L. (2013). Unintended
consequences: abortion training in the years after Roe v Wade. American journal of
public health, 103(3), 404-7.
Charo, R. A. (2005). The celestial fire of conscience - refusing to deliver medical care.
The New England Journal of Medicine, 352(24), 2471-3. Retrieved from
54
�https://ezproxy.wagner.edu/login?url=https://search.proquest.com/docview/223931986?a
ccountid=14865
Curlin, F. A., M.D., Lawrence, R. E., M.Div, Chin, Marshall H,M.D., M.P.H., & Lantos,
J. D., M.D. (2007). Religion, conscience, and controversial clinical practices. The New
England Journal of Medicine, 356(6), 593-600. doi:http://dx.doi.org/10.1056/
NEJMsa065316
Intonato, B., personal communication. November 29, 2018.
Koop, E. (1989). The US Surgeon General on the Health Effects of Abortion. Population
and Development Review, 15(1), 172-175. doi:10.2307/1973425
Lombardo, P. A. (2015, Summer). How to escape the doctor's dilemma? De-medicalize
reproductive technologies. Journal of Law, Medicine & Ethics, 43(2), 326+. Retrieved
from http://link.galegroup.com/apps/doc/A427718721/AONE?u=brooklaw_main&sid
=AONE&xid=e4b13cf6
Pellegrino, E. (1994). Patient and physician autonomy: conflicting rights and obligations
in the physician-patient relationship. Journal of Contemporary Health Law and Policy.
Retrieved from https://scholarship.law.edu/cgi/viewcontent.cgi?article=1447&
=&context=jchlp&=&seiredir=1&referer=https%253A%252F%252Fscholar.google.
com %252Fscholar%253Fhl%253Den%2526as_sdt%253D0%25252C33%2526
q%253Dphyscians%252Bconscience%252Brights%252Babortion%2526btnG%253
D#search=%22physcians%20conscience%20rights%20abortion%22
Purchacki, M. personal communication. November 29, 2018.
U.S. Department of Health and Human Services, Office for Civil Rights. (2018, March
22). Conscience protections for health care providers. Retrieved from:
https://www.hhs.gov/conscience/conscience-protections/index.html#
55
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Volume 17, Number 2
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Section I: The Natural Sciences & Quantitative Analysis -- Full Length Papers -- 3 Accessing Diynes Containing Thiocyanate End-Groups En Route towards Polydiacetylenes / Oskar Erik Sundberg -- 13 Effects of the Psychoactive Drug Caffeine on the Behavior of Zebrafish (Danio rerio) / Kevin Lipton -- Section II: The Social Sciences -- Full Length Papers -- 31 Pink and Blue: How Stores are an Integral Part of Gender Socialization / Victor Ruan -- Section III: Critical Essays -- Full Length Papers -- 39 The Theme of the “Sleeper” in the Works of Paul Gauguin / Beatrice DeMarco -- 47 A Physician’s Right to Conscience / Maya Barr
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��EDITOR’S INTRODUCTION
The Wagner Forum for Undergraduate Research is an interdisciplinary journal which
provides an arena where students can publish their research. Papers are reviewed with
respect to their intellectual merit and scope of contribution to a given field. To enhance
readability the journal is subdivided into three sections entitled The Natural Sciences and
Quantitative Analysis, The Social Sciences and Critical Essays. The first two of these
sections are limited to papers and abstracts dealing with scientific investigations
(experimental, theoretical and empirical) and complex mathematical/ statistical modeling.
The third section is reserved for speculative papers based on the scholarly review and
critical examination of previous works. As has become a tradition, the fall edition
commences with a reprint of the abstracts of papers and posters presented at the Eastern
Colleges Science Conference.
Read on and enjoy!
Gregory J. Falabella, Ph.D.
Editor-in-Chief
Editorial Board
Dr. Annemarie Dowling-Castronovo, Nursing
Dr. Donald E. Stearns, Biological Sciences
Dr. Amy Eshleman, Psychology
Prof. Andy Needle, Art
Dr. Lori Weintrob, History
�Section I: Eastern Colleges Science Conference1
Abstracts
3
Effects of the Psychoactive Drug Caffeine on the Behavior of
Zebrafish (Danio rerio)
Kevin Lipton and Dr. Brian Palestis
3
Epithelial Lining Turnover in the Rodent Small Intestine Based on
Mitotic Indices in the Crypts of Lieberkühn
John Acquaviva
4
Arsenic and Selenium in Human Tissues: The Investigation of Arsenic
Contamination in Human Food and Urine Samples
Lejla Bolevic and Dr. Mohammad Alauddin
4
Walking on Eggshells: The Effects of Theobromine on Tooth
Remineralization
Anna Cios
5
The Effect of Peer-Comparison in Social Media on Food Selection
Lauren Taibi
5
Global CO2 Emissions: Sources, Historical Trends, and Links to
Economic Growth
Samantha Susi and Jack Leighton
6
Analysis of Climate Change Data and Predicted Impact on Japan and
Surrounding Areas
Mara Mineo, Tamar Amirov and Vinh Phuong
6
Dye-Sensitized Solar Cells
Kelsey Savje and Domenick Palmieri
7
Accessing Diynes Containing Thiocyanate and Thiophene End-Groups
En Route towards Polydiacetylenes
Oskar Sundberg and Iireyel Gittens
1
Papers and posters presented at the 72nd Annual Eastern Colleges Science Conference held in
Ithaca, NY on April 21, 2018.
�7
Effects of Diethyl Phthalate on the Development of Drosophila
melanogaster
Ellen Reidy
8
Global Sea Level Measurements: History, Current Status, and Future
Impact
Derek Avery, Zachary Pandorf and Michelle Hernandez
8
Antibacterial Properties of Functionalized Melamine
Piper Skinner
9
Analysis of Hurricanes and Cyclones in North America and Asia
Matthew Barreto and Victor Ruan
9
The Effect of Semi-Precocial Development on Movement of Juvenile
Common Tern (Sterna hirundo) from the Nest
Monica Valero
10 Chemistry in the Aerosol Interfacial Region: A Computational Study
Gent Prelvukaj
Section II: The Natural Sciences &
Quantitative Analysis
Full Length Papers
13 Thermal Stresses and Resistive Heating: A Computational Analysis
Adam O’Brien
Section III: The Social Sciences
Full Length Papers
39 The Role of Overprescription in Antibiotic Resistance among Adult
Hospitalized Patients
Cathryn Cantyne, Claire Johnson, Jacqueline Otake
�Section IV: Critical Essays
Full Length Papers
51 Beautiful Nude Girls: Art and Female Sexuality in Nazi Germany
(Reprint from Spring 2018 issue with correction)
Jordan Gonzales
64 Eréndira and her Heartless Grandmother: Gabriel García Márquez’s
Political and Social Allegory
Jacquelyn Thorsen
72 Nazi Cinema: Ideology and Politics in Romantic Melodrama
John Badagliacca
80 “A Luminous Language”: The Paradoxical Role of English as a Remnant
of Colonialism in Chimamanda Ngozi Adichie’s Half of a Yellow Sun
Elena Rotzokou
91 Genocide in Myanmar: The Plight of the Rohingya People
Ethan Meyer
98 “Nobody Returns:” Exploring the Limitations of Derrida’s Hauntology in
Edwidge Danticat’s Claire of the Sea Light
Glen MacDonald
���Effects of the Psychoactive Drug Caffeine
on the Behavior of Zebrafish (Danio rerio)
Kevin Lipton (Biology) and Dr. Brian Palestis (Biological Sciences)
Caffeine, a psychoactive, plant-based alkaloid is found in a variety of food, which include
coffee and tea leaves. Caffeine acts as a stimulant that has the potential to cause dependency
if a large amount is ingested and is anxiogenic (anxiety causing). Zebrafish (Danio rerio) is
an ideal model organism for pharmacological studies and neuro-behavioral studies, due to
the homology of their nervous system with that of the human nervous system. This
experiment was performed to gain a better understanding of the behavior of zebrafish when
exposed to caffeine. This study tested the behavior of adult zebrafish with a concentration
of 0.00625% caffeine. The behavior was quantified by counting the number of lines each
zebrafish crossed on a grid in 30 seconds, using recorded videos. Out of all the fish that
were tested, there was only one fish that was not mobile and did not cross a single line, and
this fish was in the experimental group. The range of the number of lines crossed for the
control fish was greater than the range for the experimental fish, but the mean number of
lines crossed between the two groups did not significantly differ (control: 38.6;
experimental: 36.0). This study, as well as other similar studies, can increase knowledge
and understanding of how anxiogenic substances affect humans.
Epithelial Lining Turnover in the Rodent Small Intestine
Based on Mitotic Indices in the Crypts of Lieberkühn
John Acquaviva (Biology)
The regenerative properties of the small intestine are mediated by a small group of intestinal
stem cells (ISCs) within the base of the crypts of Lieberkühn. However, the difficulty in
identifying these ISCs in contemporary research limits the information on the division and
migration of these cells. In this study, using random histological slides from the rodent
small intestine and by capturing digital microscopic images at 100x in oil immersion, the
dividing capabilities of the small intestinal cells were analyzed. The identification of mitotic
figures of dividing cells and differentiated enterocytes within the crypts allowed for the
calculation of the total mitotic index, which was found to be 6.1% for the analyzed tissue
samples. The average location of the mitotic figures from the luminal crypt mid-line was
11.916_m. Regarding the morphology of the mitotic figures, only prophase-like and
anaphase-like stages could be identified, suggesting a non-typical, amitotic division.
Unidentified, distinctive cells among the lamina propria and enterocyte lining of the crypts
3
�were also noticed. We hypothesize them to be intestinal stem cells migrating from the crypt
bases. Further research can focus on this type of cell.
Arsenic and Selenium in Human Tissues: The Investigation
of Arsenic Contamination in Human Food and Urine Samples
Lejla Bolevic (Chemistry) and Dr. Mohammad Alauddin (Chemistry & Physics)
Metabolic studies have shown that the chemical properties of selenium and arsenic counter
the toxicity of one another; therefore the intermolecular interactions between selenium and
arsenic has been utilized as a means to protect against the toxicity of arsenic. Through
dietary intervention of a group of human subjects in a controlled experiment, the antidote
characteristic of selenium was investigated. The determination of the exact levels of arsenic,
as well as, selenium in dietary intake was measured through Atomic Absorption
Spectroscopy. In a habitat where arsenic free domestic water is unattainable, a simple
addition of dietary supplements may ameliorate arsenic toxicity. Analytical research in the
ingestion of arsenic is significant in protecting against the widespread toxicity observed in
human populations exposed to arsenic through drinking water from contaminated tube wells
in West Bengal and Bangladesh. Recent findings from our own collaborative studies in
Bangladesh will be presented.
Walking on Eggshells: The Effects
of Theobromine on Tooth Remineralization
Anna Cios (Chemistry)
Theobromine, an extract of the cacao bean, has demonstrated a greater effect in the
remineralization of enamel compared to fluoride. The enamel of the tooth is naturally
demineralized by the onset of acidic plaques within the oral cavity. As the carbonated
hydroxyapatite mineral within the tooth structure is dissolved by the acidic plaques coating
the tooth, dental caries begin to form. Remineralization occurs when ions in the saliva
distribute over the tooth surface. To prevent dental decay, fluoride is added to toothpaste
and drinking water. Studies reveal dental and skeletal fluorosis, caused by excessive
ingestion of fluoride, lead to over-calcification of the bone with further detrimental
situations. Eggshells, primarily composed of calcium carbonate, were employed as enamelmimicking substrates. The shell fragments were treated with various toothpaste analogs
containing theobromine and other xanthine derivatives. The shells were analyzed using
Scanning Electron Microscopy before and after treating with the formulated toothpastes.
4
�The porous surface of each eggshell was surveyed for size and population, quantifying the
effectiveness of each xanthine derivative.
The Effect of Peer-Comparison in Social Media on Food Selection
Lauren Taibi (Biopsychology)
An independent group’s experiment was conducted to test the effect of peer-comparison via
Instagram on food selection. Participants included undergraduate women ranging from the
ages of 18-20 years old who were randomly assigned to view an Instagram account that
either induced peer competition, induced non-peer comparison, or that served as a control.
Participants were screened for social media use. Appetite, social comparison, body
dissatisfaction, and emotional eating were measured as was BMI. After viewing the feed for
five minutes, participants were asked to select foods from a buffet of food images that
consisted of 6 unhealthy items and 6 healthy items. Participants high in social comparison
who were randomly assigned to the PC condition were hypothesized to show different
patterns of eating behavior than other conditions by choosing less unhealthy items, taking
fewer bites of unhealthy items if chosen, or by having fewer total bites. It was also
hypothesized that those high in social comparison would have higher levels of body
dissatisfaction which would be reflected in the predicted food behaviors. Finally, it was
predicted that food choice would be predicted by emotional eating score because any stress
from the media might impact emotional eaters more.
Global CO2 Emissions: Sources, Historical
Trends, and Links to Economic Growth
Samantha Susi and Jack Leighton
Throughout Earth's history, there has been a cycle of greenhouse gases in the atmosphere,
which was mostly self-regulating due to environmental factors such as plant photosynthesis
and tectonic plate movement. However, human impact on CO2 levels began rising since the
beginning of the Industrial Revolution. This creates a hotter atmosphere and for years,
scientists have suggested reducing CO2 emissions in an effort to combat climate change.
CO2 is seen as one of the most prominent greenhouse gases that contributes to climate
change. Therefore, multiple proposals to control CO2 levels have been put forward,
however arguments against the large costs of implementing them prevented their execution.
This project analyzes and presents ways in which to meaningfully reduce CO2 emissions
into the atmosphere at a low economic cost or even possible economic benefit. This project
also analyzes proposed alternative methods of producing and consuming energy in different
5
�economic sectors at a lower cost and reduced "carbon footprint". All work and calculations
were done using historical data of CO2 levels in comparison to projected CO2 levels with
the proposed changes, via the Wolfram programming language as part of the Scientific
Computing course offered exclusively to Honors Freshman students at Wagner College.
Analysis of Climate Change Data and Predicted
Impact on Japan and Surrounding Areas1
Mara Mineo, Tamar Amirov and Vinh Phuong
Although climate change in the United States has been touched upon in the media, the
impact of climate change on the Eastern hemisphere is just as detrimental as in the Western
hemisphere. Countries like China and Japan are challenging climate change while their
environments are currently suffering. While Japan is the leading country in combating
climate change, the devastations are still prevalent in Japan's society today, and will
continue to be prevalent in the near future. Since this archipelago stretches across four Mai
islands as well as a smaller island chain, Japan is home to numerous climatic zones which
will witness the stress of climate change firsthand. Since most of China is less habitable, the
majority of the population lays on the eastern coast of the continent facing Japan, aiding in
the detriment to the region. This analysis of Japan and its surrounding areas focuses on key
points such as sea levels, cultivated fields and crops, and urban heat islands, as well as
others. This research was carried out in the freshman-only Honors Scientific Computing
course at Wagner College. Computational thinking skills have been utilized to apply
functional programming to develop climate change data analysis using the Wolfram
programming language.
Dye-Sensitized Solar Cells
Kelsey Savje (Chemistry) and Domenick Palmieri (Chemistry)
Dye-sensitized solar cells (DSSCs) have been the subject of much research in recent years,
as the employment of solar energy as a means of generating electricity has drawn increasing
interest. Organic dyes are particularly attractive, as it is easier to modify the structure of
organic molecules compared to metal-based dyes. This project explores the synthesis of
conjugated organic molecules that contain similar structural motifs to dyes reported to have
high conversion efficiencies. The first step in the synthesis of the initial target dye was the
preparation of 4-butoxy iodobenzene. This reaction used ethanol as a solvent, which is
1
Received an award of excellence for outstanding presentation.
6
�accepted as a green organic solvent. The alkoxybenzene was then used in a coupling
reaction, in an attempt to synthesize a triphenylamine derivative that would serve as the
donor region of the target dye. There is no conclusive evidence that the triphenylamine
donor has been isolated, so alternative donor regions are being explored.
The new targets are based on data from Harvard Clean Energy Project, which lists
molecules that have demonstrated high energy conversion based on computational analysis.
Accessing Diynes Containing Thiocyanate and Thiophene
End-Groups En Route towards Polydiacetylenes
Oskar Sundberg (Chemistry) and Iireyel Gittens (Chemistry)
Polydiacetylenes, PDAs, are a family of polymers that can access a wide variety of
properties by attaching different end-groups. Amongst the most interesting properties is the
chromatic color change that occurs when PDAs are exposed to certain external stimuli. This
property has caused PDAs to be found in many sensory assemblies, which can be useful in
for example the food industry. Although polydiacetylenes have been known of since the
1960s, there is little known about the possible applications arising from attaching different
end-groups. The synthesis of thiocyanate- and thiophene-capped diynes is in progress, with
the ultimate goal of accessing polydiacetylenes with these end-groups using a host-guest
strategy. Both thiocyanate and thiophene end-groups are expected to impact the electronic
properties of the polymerized system because of the resonance-stabilization and electronic
effects of these groups. Efforts to synthesize thiocyanatoethyne and 1,4-dithiocyanatobuta1,3-diyne have produced promising results, with 13C NMR data containing peaks that
correspond well with predicted spectra. Additional characterization is needed to confirm
isolation of this novel diyne. The synthesis of 3,3-(1,3-butadiyne-1,4-diyl)bis[thiophene]
was also achieved; however initial attempts towards polymerization are inconclusive.
Effects of Diethyl Phthalate on the Development
of Drosophila melanogaster
Ellen Reidy (Biology)
The purpose of the present study was to test the effects on diethyl phthalate (DEP) on the
development of the classic model organism Drosophila melanogaster. DEP is a diethyl
ester of phthalic acid, an aromatic dicarboxylic acid commonly used as an organic solvent
in the manufacture of fragrances, cosmetics, plastics, detergents and aerosol sprays.
Because of its widespread use, the question of DEP toxicity is essential. Several studies
suggest that DEP exposure has adverse effects on animals. For these studies, groups of 50
7
�fly eggs were randomly transferred to vials containing either 0 ppm DEP, 1000 ppm DEP,
3000 ppm DEP or 5000 ppm DEP. The number of pupa that formed as well as the
number of new flies that eclosed were quantified and the data analyzed using a one-way
analysis of variance (ANOVA). The data indicate that chronic exposure to high
concentrations of DEP causes a significant delay in fly development.
Global Sea Level Measurements: History,
Current Status, and Future Impact
Derek Avery, Zachary Pandorf and Michelle Hernandez (Chemistry)
Sea levels around the globe have been rising rapidly since the late nineteenth century.
Various areas around the world are directly affected by these rising sea levels,
specifically heavily populated coastal regions. Primary causes of rising sea levels are
thermal expansion of oceans and increased melting of glaciers. The melting of ice caps
have potential catastrophic effects on the environment. This presentation illustrates the
relationship between climate change and past, current, and future sea levels. The research
was performed in the Scientific Computing course, a freshman-only honors class at
Wagner College. Within the course, computational skills and critical thinking are
implemented using the Wolfram programming language. The Mathematica program is
essential for largescale data analysis through collection and presentation of sea levels and
historical trends. Economic and agricultural impacts exist in most regions, which has an
effect on the standard of living in these areas. This will be compared between developed
and developing nations. Predictions for future sea levels pose threats to life and
development around the globe. Using Mathematica, the presentation displays the
projections and trends of sea levels, using a variety of interactive functions. Altogether,
the rising global sea levels will be effectively exhibited using computational data
analysis.
Antibacterial Properties of Functionalized Melamine
Piper Skinner (Chemistry)
The antibacterial activity of molecules is typically attributed to the presence of long
hydrophobic alkyl chains or phenol groups. Attaching such groups to melamine, a
aromatic heterocycle, can result in new molecules that possess the ability to resist
bacteria. The antimicrobial activity of chlorinated melamine has been reported in the
literature. This project focuses on the alkylation of melamine as a means of enhancing
antimicrobial properties. Attempts to functionalize melamine with alkyl chains using
8
�substitution reactions are in progress. Bromobutane and bromopentane have been
employed thus far, with various reaction conditions under review. Once alkylation is
achieved, the compound will be applied to infected agar plates to determine if the
colonies of bacteria do indeed decrease. In addition to adding alkyl groups, phenolic
substituents will also be explored as a means synthesizing additional melamine
derivatives with antibacterial activity.
Analysis of Hurricanes and Cyclones in North America and Asia
Matthew Barreto and Victor Ruan
Climate change has caused an emergence of extreme weather events in the United States
and Asia. Most notably, this presentation analyzes the juxtaposition between the effects
of hurricanes in the United States such as Hurricanes Sandy and Katrina, and cyclones
prevalent in Asia, primarily Typhoon Chan-hom (2015), or Typhoon Falcon in the
Philippines. The prevalence of these extreme weather events have caused many effects on
the world and human life. Furthermore, this presentation showcases a correlation between
the severity and frequency of hurricanes and cyclones with certain factors such as job loss
rates, insurance deficits, and public assistance necessities. This research has been carried
in the freshman only Scientific Computing course at Wagner College. The computational
analysis of the data was carried out using the Wolfram programming language. This
research focuses on the severities of hurricanes and cyclones in different parts of the
world and how they impact the global economy. Based on these findings, there has been
a notable trend in a decrease in amount of extreme weather events, but an increase in
their intensities. This data could serve as a precursor for extreme weather events that may
occur in the future of North America and parts of Asia.
The Effect of Semi-Precocial Development on Movement of Juvenile
Common Tern (Sterna hirundo) from the Nest
Monica Valero (Biology)
The objective of this experiment was to observe the effect of semi-precocial development
on the movement of juvenile Common Terns (Sterna hirundo) as the chicks aged.
Semiprecocial species begin to wander away from the nest at around two to three days
old. Over the course of two months, two sites in Barnegat Bay, off Long Beach Island,
New Jersey were observed to examine common tern chick movement from the nest. Once
the chicks hatched, data was collected on the chicks: band numbers, the chicks' distance
from the nest, as well as the distance between neighboring nests. The results collected
9
�were expected to reflect semi-precocial development, meaning that as the chicks aged,
they would be found farther from the nest. Observations of S. hirundo chicks from seven
different age groups supported the hypothesis that chicks moved from the nest as they
matured. In the first age group of 1 to 3 days, it was found that the median distance from
the nest was only 0.10 m away from the nest. In the next age group of 4-6 days, the
median distance away from the nest was 0.45 m away. In the age group of over three
weeks old, the median distance away from the nest was 6.45 meters; no chicks were
found at their nest, and the chicks were about to fledge. Although complications did arise
such as storms, predation by gulls, and the chicks moving into dense vegetation, enough
chicks were recorded to demonstrate that S. hirundo chicks move away from the nest
after only days of hatching. Ultimately, the data show that Common Tern chicks are not
attached to the nest site, despite continuing to rely on their parents for care.
Chemistry in the Aerosol Interfacial Region: A Computational Study
Gent Prelvukaj (Chemistry)
The chemical reactions caused by atmospheric aerosol particles are involved in radiative
forcing, chemical reaction cycles, and human health. The chemical reactions that occur in
the interfacial region remain ambiguous. Due to the complexity of the interfacial region,
self-assembled reverse micelles (RM) are used as proxies to help develop a complete
understanding of the photochemical properties of the region. We performed fully
atomistic molecular dynamics simulations to explore the impact of trapped ionic species
on the size and shape of reverse micelles. Our simulations of larger reverse micelles from
w0 =10, 15, 20 provide a template for further studies. For each RM size, the ions form
layers in the interfacial region. K+ ions reside near the surfactant head groups and even
replace the Na+ counter-ion of the surfactant while the Cl- anions are localized in the
aqueous core. Density calculations indicate that the interfacial region of the reverse
micelles are structured as follows: R-SO3- > Na+ ≥ K+ > Cl- (Core). Our simulations
indicate that the trend in shape of reverse micelles continues for smaller reverse micelles
including w0 2,3,4, and 6. After running multiple simulations of different concentrations
we discovered that there is a threshold concentration.
10
���Thermal Stresses and Resistive
Heating: A Computational Analysis
Adam O’Brien (Physics)1
In order to drive safely in icing conditions, drivers must be able to clearly see their entire
surrounds, including behind the vehicle. This research investigation aims to analyze the
degree to which heat spreads through glass containing resistive heating strips and the
thermal gradients that result from the uneven warming. Because this problem is
mathematically cumbersome, and for many geometries does not remit to an analytic
solution, a numerical simulation utilizing finite differences was developed to evaluate the
temperature distribution as a function of time. It showed that running rear defrosters for
approximately two to five minutes would adequately clear condensation and a thin layer
of ice despite convective heat loss in harsh conditions. It also confirmed that the
resulting thermal stresses would not be large enough to weaken the glass or cause
cracking.
I. Introduction
The addition of heat to a point on a surface is a seemingly simple procedure that
occurs frequently across a multitude of applications. Heat flows from hot to cold regions
in a physical process known as heat diffusion. The rate at which heat flows across the
surface of a material is known as the thermal diffusivity. It, along with ambient
conditions and internal heat generation, determines the temperature distribution that
results.
Localized heat at precise locations is required across many fields. Doctors
performing certain surgical procedures use lasers for a multitude of applications,
including removing hair, moles, warts, scars, closing blood vessels to prevent blood loss,
and even destroying cells that are cancerous.2,3 While the lasers are extremely precise in
Written under the direction of Dr. Gregory Falabella in partial fulfillment of the Senior
Program requirements.
1
James, W.D., Berger, T.G., and Elston, D.M. “Cutaneous laser surgery”, Diseases of the
Skin: Clinical Dermatology, 12th ed., Elsevier, 2016, pp. 888-899.
2
Sakamoto, F.H., Jalian, H.R., and Anderson, R.R. “Understanding lasers, lights, and
tissue interactions”, Lasers and Lights: Procedures in Cosmetic Dermatology, 3rd ed.,
Elsevier Saunders, 2013, pp. 1-8.
3
13
�applying energy exactly where the surgeons wish, the heat applied by the laser broadens
from the site of application to the surrounding tissues, which can cause serious
unintended damage. Laser machining is the process of using lasers to apply heat to shape,
cut, and weld metals.4 Laser machining hardware does not come in physical contact with
the metal it is shaping and therefore provides less wear on the equipment, however, laser
machinists face a similar dilemma to laser surgeons.5 They must use high intensity lasers
to melt and shape metals to a very high degree of accuracy, but heat from the point of
application on the metal spreads to the surrounding area and can cause unintended
shaping and cutting of the metal.
Laser surgery and laser machining are examples where heat is deposited at
localized points during brief intervals to minimize effecting surrounding areas. By
contrast, automobile engineers design rear windshield heaters where wire strips heat an
entire piece of glass to deice or defog.6 Heating strips must be developed and arranged in
such a way that allows for efficient heat transfer across the glass without significant
thermal gradients that can lead to breakage.
As a material is heated and the kinetic energy of its particles increase, the space
between the particles increase slightly, resulting in an overall increase in the size of the
material.7 This process is known as thermal expansion. Thermal expansions cause
thermal stresses, which is the process where the expansion of a material causes the shape
of the material to warp and possibly generate cracks or even break completely. For
example, railroad tracks and bridges can warp during hot days. Without proper expansion
joints that allow the materials to expand without being constrained enough to break, they
would fail and cause catastrophic loss of life. Thermal stresses warping railroad tracks
caused over forty train derailments in the United States in 2001.8 Aircraft do not contain
wire strips to heat the aircraft’s surface and thwart ice formation because the thermal
expansion that the aluminum would incur from such a device would cause excessive
“What are Laser Cutting Machines?”, Thomasnet, updated April 2018,
https://www.thomasnet.com/ articles/custom-manufacturing-fabricating/laser-cutting-machines.
4
5
Ibid.
A. Faghri et al, “Modern Applications of Heat and Mass Transfer”, Advanced Heat and
Mass Transfer, Global Digital Press, 2010, pp. 61-65.
6
Duffy, A.G., “Heat Transfer, and the first law of thermodynamics”, Boston University,
PY105 notes, 1998, http://physics.bu.edu/~duffy/py105/notes /Heattransfer.html
7
Kish, A., Mui, W., “Track Buckling Research”, Tech Report, John A. Volpe National
Transportation Systems Center (U.S.), July 9, 2003, https://www.volpe.dot.gov/
infrastructure-systems-and-technology/structures-and-dynamics/track-buckling-research
8
14
�stresses and cracks that lead to catastrophic wing and fuselage destruction. Aircraft
undergo enough stress from their wings constantly vibrating and ever present pressure
and air temperature changes. Adding stresses by using heating elements to de-ice would
amplify the problem.9
This research investigation aims to analyze the degree to which heat spreads
through glass containing resistive heat strips and the resulting thermal gradients that
result from the uneven heating. Because this problem is mathematically cumbersome, and
for many geometries does not remit to an analytic solution, a computer program will be
utilized to evaluate the temperature distribution as a function of time. A post-processor
called Tecplot10 will be used to visualize the results.
II. Theory
The transfer of thermal energy within or between mediums takes place when a
thermal gradient (i.e. temperature difference is present). It is accomplished by one or
more of three physical mechanisms. The first is conduction. Conduction is the transfer of
heat between individual particles in a material.11 As a particle is heated, it vibrates more
frequently and subsequently collides with the particles adjacent to it causing them to also
vibrate more quickly, or in macroscopic terms, increase in temperature12. Fourier’s law
governs heat transfer via conduction is:
q At
Th Tc
R
(1)
In the above equation, A is the area of the surface, q is the rate of heat transfer, Th is the
temperature of the hotter object, Tc is the temperature of the cooler object, and R is the
thermal resistance of the material to which the heat is being added. The thermal
resistance is denoted as L/k, where L is the thickness that is subject to the temperature
gradient and k is the thermal conductivity of the material. Note that there must be a
difference in temperature between the hotter and cooler objects in order for heat transfer
Integrated Publishing, “Specific Action of Stresses”, Aviation Structural Mechanic
(H&S) 3&2 - How airplanes are built and how to maintain them, p. 20,
http://navyaviation.tpub.com/14018/css/Specific-Action-Of-Stresses-32.htm, accessed
April 2018.
9
10
Amtec Enginnering
Duffy, A.G., “Heat Transfer, and the first law of thermodynamics”, Boston University,
PY105 notes, 1998, http://physics.bu.edu/~duffy/py105/ notes/Heattransfer.html
11
12
Wilson, Buffa, and Lou, College Physics, 7th Ed., Pearson, (2010), pp. 373-375.
15
�to occur, as heat must flow from the hotter object to the cooler object as per the second
law of thermodynamics.
The second method is convection. Convection involves the motion of fluids
surrounding region that is at a different temperature. The equation for heat transfer via
convection is13:
q hA(T T )
(2)
In the above equation, T represents the temperature of the fluid, T is the temperature of
the medium surrounding the fluid, A is the surface area over which heat transfer is
occurring, and h is the convective heat transfer coefficient. Heat is initially transferred to
or from the region in question via conduction to the surrounding fluid which, as it is
moving, carries the energy further up or downstream.14 Hence, it is the physical
movement of the surrounding fluid that accounts for the majority of the actual heat
transfer. Convection is important to analyzing heat diffusion since heat may be lost to the
surrounding environment while diffusing through a material, such as heat being lost to
the air outside of a rear windshield in a car that is being electrically heated.
The last method is radiation. Radiation is energy transfer by electromagnetic
waves. The equation for heat transfer via radiation is known as the Stefan-Boltzmann
equation and is given by15:
q AT 4 T
(3)
In the above equation, is the Stefan-Boltzmann constant. is the emissivity of the
radiating object. It has no units and is a value between 0 and 1, where an emissivity of 0
indicates that it radiates none of its energy and absorbs no radiation from other sources.
On the contrary, objects with an emissivity of 1 are ideal absorbers and emitters. A is the
area of the surface that is radiating or absorbing heat. T is the absolute temperature,
usually measured in Kelvin, of the object radiating the heat. T is the ambient air
temperature. An example of heat transfer via radiation would be the heating of the Earth
by the Sun.
Cengel, Y. A., Turner, R. H. and Cimbala, J. M. Thermal-Fluid Sciences, 5th edition,
McGraw-Hill, 2017, p. 635.
13
Duffy, A.G., “Heat Transfer, and the first law of thermodynamics”, Boston University,
PY105 notes, 1998, http://physics.bu.edu/~duffy/py105/notes/Heattransfer.html
14
15
Wilson, Buffa, and Lou, College Physics, 7th Ed., Pearson, (2010), pp. 378-381.
16
�Thermal gradients in an object subject to uneven heating will spread through the
material by conduction, otherwise known as heat diffusion.16 The rate of heat diffusion
varies based on a material's thermal diffusivity, . This property can be viewed as the
ratio of the heat conducted through the material to the thermal energy stored per unit
volume.17 Hence, =k/cp where k is the material's thermal conductivity, and cp is
essentially the volumetric heat capacity of a material. Every substance, whether it be
aluminum, iron, glass, water, or organic tissue have various intrinsic properties that cause
differing diffusivity constants to vary greatly.18 Some applications require a quick even
redistribution of thermal energy while others make use of insulating properties. Scientists
and engineers use this knowledge when selecting materials for a particular application.
This research investigation focuses on heat conduction which is governed by the
heat diffusion equation. This equation can be derived by applying the conservation of
energy to a differential control volume. 19
c p
T T T
q
t x x y y
(4)
The
q in the above equation accounts for any internal energy generation or loss per unit
volume. Assuming constant properties in two dimensions, the equation reduces to:
d 2T 2T q
T
2 2
t
dy k
dx
(5)
Convective losses of heat energy are accounted for by the
q term.
T. W. Davies, “Thermal Diffusivity”, Thermopedia, (2016), DOI:
10.1615/AtoZ.thermal_diffusivity.
16
Pascoe, N.., Principles and Practice of Failure Prevention in Electric Systems, Wiley,
2011, p.94-95.
17
Faghri, A. et al, “Modern Applications of Heat and Mass Transfer”, Advanced Heat
and Mass Transfer, Global Digital Press, 2010, pp. 61-65.
18
19
Incropera, F. and DeWitt, D., Fundamentals of Heat and Mass Transfer, (1985), pp.43-47.
17
�III. Computational Methodology
Closed form solutions for the heat equation in two or three dimensions make use
of a technique known as separation of variables. However, the solutions often do not exist
or are extremely difficult and time consuming to obtain. In addition, any changes in the
boundary conditions or the geometry of the surface being evaluated would result in the
need to re-solve the entire problem. As a result, numerical methods are routinely
employed. These include finite differences, finite elements, and finite volume
approaches. The finite difference method was chosen for this research investigation
because it can be employed in a straightforward manner and yields highly accurate
results.
Using the finite difference method involves replacing derivatives in a
differential equation by finite rates of change that are intentionally very small, but still
measurable. The smaller the difference used, the more accurate the answer will be. The
downside to using extremely small differences is that smaller spatial divisions and time
steps necessitate more computations. For this reason, this research investigation will
make use of a computer program.
Consider the definition of a derivative:
dy
y(t t) y(t)
lim
dt t 0
t
(6)
The derivative of a function indicates how a variable changes with respect to another
variable. Using the definition of a derivative, one can approximate the rate of change, of a
function at a specified point. For example, given the function y=3t2, an approximate
derivative at the point y=3 and using t=0.1, can be found as follows:
dy y(t t) y(t) 3(3.1) 2 3(3) 2
18.3
dt
t
0.1
Using the power rule,
(7)
dy
|y=3 would be exactly 18. The above example finds a value of
dt
18.3 which contains a 1.67% error. The reason for the error is the large size of t. By
using the same equation with t=0.01, a value of 18.03 is obtained which is 0.17% above
the actual
value. The smaller thet, the smaller the error. In order to prevent round-off
error at an extremely small t, increased precision up to sixteen digits is often
necessitated. Also, high order finite difference approximations can be employed. They
are obtained through the use of a Taylor series approximation.
18
�f (x) f (a) f '(a)(x a)
f ''(a)(x a) 2
f n (a)(x a) n
...
2!
n!
(8)
The Taylor series approximation can be used to create other finite difference formulas
with improved accuracy for a very small t . A common finite difference approximation
is the central difference approximation:
dy y(t t) y(t t)
2t
dt
(9)
The above equation is derived by taking the linear combination of the Taylor series
expansions for f (t t) and f (t t) . A central difference equation for second
derivatives also exists:
d 2 y y(t t) 2y(t) y(t t)
dt 2
(t) 2
(10)
The heat diffusion equation can be written in finite difference form using a
forward difference for the temporal term and central differences for the spatial terms.
Ti,nj1 Ti,nj
n
n
n
n
n
n
(11)
q
2 Ti, j 1 Ti, j 1 2Ti, j
2 Ti1, j Ti1, j 2Ti, j
i, j
(y)
t
(x)
The superscript n+1 refers to the value at time t+t where as n designates current time t
results. i and j denote the grid point in question. Using grid points that are equally spaced
in both directions and rearranging terms yields:
Ti,nj1 Ti,nj
t
(x)
2
T
n
i1, j
n
n
n
n
Ti1,
j Ti, j 1 Ti, j 1 4Ti, j
t n
q
i, j
(12)
As can be seen, the present values of the temperature in conjunction with the
internal heat generation or loss at a given point can be used to ascertain future values at
all of the interior nodes. Specification of boundary conditions completes a new
temperature profile. Although this approach is straight forward it must be repeated over
and over marching through time at a slow rate to ensure both convergence and accuracy.
To this end, a C++ program was written and employed (see Appendix A).
19
�IV. Results:
The objective of this research was to evaluate the thermal gradients produced by
resistive heating in glass using a two-dimensional model. This would approximate the
rear defroster of a typical automobile.
In order to ensure that the computer code works properly test cases were run to
validate it. The first set all of the initial temperatures of a square region (L=0.25 meter)
to an arbitrary value of 20oC. At time t=0 seconds the right side was suddenly changed to
100oC and maintained at that value while the other boundaries were kept at the original
20oC. This is a classic textbook case that remits to the same steady-state separation of
variable solution regardless of material properties20. The higher the thermal diffusivity
the more rapidly equilibrium is reached. As expected, thermal energy diffused in from
the hotter boundary producing the isotherms shown in figure1.
Figure 1: Steady-state two-dimensional conduction.
Jaluria, Y. and Torrance, K.E., Computational Heat Transfer, Hemisphere Publishing
Corporation, 1986, pp.108-111.
20
20
�A second scenario with convection taken into account using the heat loss per
unit volume term was then tackled. When an aluminum plate was used there was little
difference between the solutions with and without convective losses (figure 2). This is
because the high conductivity of aluminum provided a low resistance path for the heat to
travel through.
Figure 2: Aluminum plate with convective losses.
By contrast when a glass pane was considered the isotherms changed dramatically (figure
3). The results show that the heat did not spread through the glass considerably. This is
because glass has a low conductivity and a small diffusivity making it easier for thermal
energy to escape by convection to the air moving over it.
The spacing of the grid points was set at 251 in each direction to provide a
spacing of 1 millimeter for the resistance heating strips to be analyzed (figures 4 and 5).
No changes in accuracy occurred when doubling or halving this value confirming its
appropriateness. The time step was also varied. Glass remitted to a converged solution
for t ≤1.3. For DT≤0.01 changes of less than 0.1% occurred and at Dt≤0.002 the
solution remained independent of the size of time increments. Aluminum required a time
21
�step that was proportionally smaller due to its higher thermal diffusivity (i.e.
aluminum/glass=285.6 so tglass/taluminum=285.6).
Figure 3: Glass pane with convective losses.
22
�Figure 4: The grid on which calculations were performed.
Figure 5: Zoomed in view to better show the spacing between grid points.
23
�With the test cases completed the subject of the investigation was modelled. To
accomplish this the regions described by the grid points in eight equally spaced rows
generated heat that modelled electrical resistive strips (figure 6). The amount of heat
input was varied until a maximum temperature gradient of 25oC resulted. This would be
adequate to defrost the window under harsh conditions without fracturing or cracking the
glass. For these simulations the ambient temperature was set at 0oC and all of the
boundaries maintained at that value. Convective losses were also accounted for as in the
test cases.
The virtual defrosters ran for four simulated amounts of time: two minutes, five
minutes, ten minutes, and one hour. At two minutes, the heat had not disbursed more
than what appears to be 1 cm bands of higher temperatures (10-14oC) centered at the each
of the heating strips (figure 7). The regions between the heating strips are almost
unchanged from their initial temperature of zero degrees. Although minimal, it would
provide a driver with some visibility.
After five minutes a totally different picture emerges. Almost the entire glass pane
Figure 6: The heat input from electrical resistive strips.
24
�Figure 7: Temperature distribution after 2 minutes of resistive heating.
has experienced a temperature increase of several degrees and approximately half of it is
12 or more degrees above the ambient temperature. Moreover, hot spots of 20oC (the
orange coloring) have appeared where at the location of the wire elements (figure 8).
Under most conditions visibility through the rear windshield would be quite good at this
time. Even in frozen precipitation any ice would begin to show significant melting.
25
�Figure 8: Temperature distribution after 5 minutes of resistive heating.
At ten minutes (figure 9), temperatures immediately surrounding the heating
strips near twenty-five degrees. The coldest regions between the strips is approaching
nine degrees. Although largely inconsequential, the temperatures at the extreme borders
do not show significant change from the five-minute simulation. In a real-world situation,
it is likely that almost all of the condensation and ice on the windshield would be gone
and, from a rear visibility standpoint, the vehicle would be safe to drive even under harsh
conditions.
Once the defroster has been on for an hour it has reached an equilibrium state
26
�Figure 9: Temperature distribution after 10 minutes of resistive heating.
resulting in an average temperature of 13.1 degrees above the ambient (figure 10). Note
that in an automobile the thermostat would have switched off before this point was
reached except in extreme cold. Nevertheless, this represents a worst-case scenario for
thermal gradients. To facilitate the analysis a vertical slice was taken at the mid-section
to better illustrate the variation in temperature as a function of height (figure 11). It
shows temperature gradients peaking out at T=2.1oC from grid point to grid point in the
vicinity of the wire strips and 25.3oC over the entire surface. Since glass has a thermal
expansion coefficient of 910-6 oC-1 and a Young’s Modulus of 63 GPa21, the maximum
thermal stress, , is 14.3 MPa which is less than ⅓ of its 50 MPa yield stress22 and
therefore will not promote cracking or failure.
ET
(13)
Qingsong, Wang et al., “Thermal shock effect on the glass thermal stress response and
crack”, Procedia Engineering 62 (2013), p.720.
22 Beer, F.P. and Johnston, E.R., Mechanics of Materials, McGraw-Hill, 1981, p.585.
21
27
�Figure 10: Temperature distribution after 1 hour of resistive heating.
Figure 11: Vertical slice showing temperature variation as a function of height at the midpoint.
28
�V. Conclusions
This research investigation successfully simulated the basic physical principles
of heat diffusion using finite differences. It showed that running rear defrosters for
approximately two to five minutes would adequately clear condensation and a thin layer
of ice despite convective heat loss in harsh conditions. It also confirmed that the
resulting thermal stresses would not be large enough to weaken the glass or cause
cracking. Future research could entail utilizing a three-dimensional model and varying
the wire configuration to increase efficiency.
VII. Acknowledgements
First, I would like to thank my parents, Holly and Frank O’Brien, and my
grandparents, Arden and Barbara Kessler. Without their support, my entire academic
career, especially my college career would not have been possible. I would like to thank
my advisor, Dr. Gregory Falabella, for putting up with me for four years, which, in
addition to him being a great professor makes him a candidate for sainthood. I would like
to recognize Dr. Otto Raths, Dr. Florin Pop, Dr. Adrian Ionescu, Dr. Zohreh Shavhar, and
the rest of my professors for their guidance along the way and for giving me the
education that I received here at Wagner. I would like to acknowledge my high school
pre-calculus, Mr. David Dannilack for believing in me when I was struggling in math,
and my high school physics teacher, Mr. David Klann for showing me that there is more
to the world of science than just biology and chemistry. Lastly, I would like to thank the
administration, staff, and student body of Wagner College for offering me the
opportunities that I was given over the last four years. I will certainly never forget my
time at Wagner and I wish everybody here the best of luck in their future endeavors.
VI. References
1. Beer, F.P. and Johnston, E.R., Mechanics of Materials, McGraw-Hill, 1981, p.585.
2.
Cengel, Y. A., Turner, R. H. and Cimbala, J. M. Thermal-Fluid Sciences, 5th edition,
McGraw-Hill, 2017, p. 635.
3.
Duffy, A.G., “Heat Transfer, and the first law of thermodynamics”, Boston
University, PY105 notes, 1998, http://physics.bu.edu/~duffy/py105/notes
/Heattransfer.html
4.
Faghri, A. et al, “Modern Applications of Heat and Mass Transfer”, Advanced Heat
and Mass Transfer, Global Digital Press, 2010, pp. 61-65.
29
�5.
Incropera, F. and DeWitt, D., Fundamentals of Heat and Mass Transfer, (1985),
pp.43-47.
6.
Integrated Publishing, “Specific Action of Stresses”, Aviation Structural Mechanic
(H&S) 3&2 - How airplanes are built and how to maintain them, p. 20,
http://navyaviation.tpub.com/14018/css/Specific-Action-Of-Stresses-32.htm,
accessed April 2018.
7.
Jaluria, Y. and Torrance, K.E., Computational Heat Transfer, Hemisphere Publishing
Corporation, 1986, pp.108-111.
8.
James, W.D., Berger, T.G., and Elston, D.M. “Cutaneous laser surgery”, Diseases of
the Skin: Clinical Dermatology, 12th ed., Elsevier, 2016, pp. 888-899.
9.
Kish, A., Mui, W., “Track Buckling Research”, Tech Report, John A. Volpe
National Transportation Systems Center (U.S.), July 9, 2003,
https://www.volpe.dot.gov/
10. Pascoe, N.., Principles and Practice of Failure Prevention in Electric Systems, Wiley,
2011, p.94-95.
11. Qingsong, Wang et al., “Thermal shock effect on the glass thermal stress response
and crack”, Procedia Engineering 62 (2013), p.720.
12. Sakamoto, F.H., Jalian, H.R., and Anderson, R.R. “Understanding lasers, lights, and
tissue interactions”, Lasers and Lights: Procedures in Cosmetic Dermatology, 3rd
ed., Elsevier Saunders, 2013, pp. 1-8.
13. T. W. Davies, “Thermal Diffusivity”, Thermopedia, (2016), DOI: 10.1615/
AtoZ.thermal_diffusivity.
14. Wilson, Buffa, and Lou, College Physics, 7th Ed., Pearson, (2010), pp. 373-381.
15. “What are Laser Cutting Machines?”, Thomasnet, updated April 2018,
https://www.thomasnet.com/articles/custom-manufacturing-fabricating/laser-cuttingmachines.
30
�Appendix A
// Explicit finite-difference algorithm to solve two-dimensional
// transient conduction with heat addition.
#include <iostream>
#include <iomanip>
#include <fstream>
using namespace std;
int imax;
int main()
{
double alpha, dx, dt, time, ambient, tfinal, FO, k, h;
double T[251][251], q[251][251], heatadd, thickness;
double heatloss;
int imax, jmax, i, j, counter;
bool iterate = true;
// fix the number of grid points in horizontal direction
imax = 250;
// fix the number of grid points in vertical direction
jmax = 250;
// provide thermal diffusivity (SI units)
alpha = 3.4E-07;
// give thermal conductivity
k = .78;
// set heat transfer coefficient
h = 75.0;
thickness = 0.01;
// provide grid point spacing (meters) assuming that dx=dy
dx = 0.001;
// provide time increments (seconds)
dt = 0.002;
// compute the Fourier number
FO = alpha * dt / (dx*dx);
// start at time=0 seconds
time = 0.0;
// the time at which the simulation ends in seconds
tfinal = 600.0;
// ambient temperature
ambient = 0.0;
// constant for convection term in finite difference equation
heatloss = h * dt * alpha / (k*thickness);
heatadd = heatloss/h;
31
�// initialize arrays associated w/temperature & heat addition
for (i = 0; i < imax + 1; i++)
{
for (j = 0; j < jmax + 1; j++)
{
// initialize temp to ambient conditions
T[i][j] = ambient;
// initialize grid points associated with
// internal heat transfer per unit volume
// only every third strip starting from the
// second will have heat addition
if (((j + 10) % 30) == 0)
{
cout << j << '\n';
q[i][j] = 35000;
}
else
q[i][j] = 0.0;
}
}
// begin marching through time
do
{
cout << time << "\n";
// solve for new temperature at interior points
for (i = 1; i < imax; i++)
{
for (j = 1; j < jmax; j++)
{
T[i][j] = T[i][j] + FO * (T[i + 1][j] +
T[i - 1][j]+T[i][j + 1] + T[i][j - 1] +
heatadd*q[i][j] -4 * T[i][j])- heatloss *
(T[i][j]-ambient);
}
}
// apply top and bottom boundary conditions
for (i = 1; i < imax; i++)
{
T[i][0] = ambient;
T[i][jmax] = ambient;
}
// apply left and right boundary conditions
for (j = 1; j < jmax; j++)
32
�{
T[0][j] = ambient;
T[imax][j] = ambient;
}
// apply boundary conditions at the corners
T[0][0] = ambient;
T[0][jmax] = ambient;
T[0][imax] = ambient;
T[imax][jmax] = ambient;
// is the final time reached
time = time + dt;
if (time > tfinal)
iterate = false;
} while (iterate);
// writing grid to a file in plot3d format
ofstream fout("heat.g");
fout << imax + 1 << "\t" << jmax + 1 << "\n";
counter = 0;
for (j = 0; j < jmax + 1; j++)
{
for (i = 0; i < imax + 1; i++)
{
counter = counter + 1;
fout << fixed << setprecision(4) <<
(double) dx *i << "\t";
if (counter % 5 == 0)
fout << endl;
}
}
fout << endl;
counter = 0;
for (j = 0; j < jmax + 1; j++)
{
for (i = 0; i < imax + 1; i++)
{
counter = counter + 1;
fout << fixed << setprecision(4) <<
(double) dx* j << "\t";
if (counter % 5 == 0)
fout << endl;
}
}
fout << "\n";
33
�fout.close();
// writing temperature distribution to file in plot3d format
ofstream fout2("heat.q");
fout2 << imax + 1 << "\t" << jmax + 1 << "\n";
fout2 << time << "\t" << dt << "\t" << h << "\t"
<< time << "\n";
counter = 0;
for (j = 0; j < jmax + 1; j++)
{
for (i = 0; i < imax + 1; i++)
{
counter = counter + 1;
fout2 << fixed << setprecision(4) << left
<< setw(9) <<
T[i][j] << "\t";
if (counter % 5 == 0)
fout2 << endl;
}
}
fout2 << endl;
counter = 0;
for (j = 0; j < jmax + 1; j++)
{
for (i = 0; i < imax + 1; i++)
{
counter = counter + 1;
fout2 << fixed << setprecision(4) << left
<< setw(9) <<
q[i][j] << "\t";
if (counter % 5 == 0)
fout2 << endl;
}
}
fout2 << endl;
counter = 0;
for (j = 0; j < jmax + 1; j++)
{
for (i = 0; i < imax + 1; i++)
{
counter = counter + 1;
fout2 << fixed << setprecision(4) << left
<< setw(9) <<
T[i][j] << "\t";
34
�if (counter % 5 == 0)
fout2 << endl;
}
}
fout2 << endl;
counter = 0;
for (j = 0; j < jmax + 1; j++)
{
for (i = 0; i < imax + 1; i++)
{
counter = counter + 1;
fout2 << fixed << setprecision(4) << left
<< setw(9) <<
T[i][j] << "\t";
if (counter % 5 == 0)
fout2 << endl;
}
}
fout2 << "\n";
fout2.close();
// writing temperature distribution at x=125 to file
ofstream fout3("heat.dat");
counter = 0;
for (j = 0; j < jmax + 1; j++)
{
counter = counter + 1;
fout3 << fixed << setprecision(4) << left
<< setw(9) <<
(double)dx *j << T[125][j] << "\n";
}
fout3.close();
//find average temp
double sum;
sum = 0.0;
ofstream fout4("avgtemp.dat");
for (i = 0; i < imax+1; i++)
{
for (j = 0; j < jmax+1; j++)
{
sum = sum+T[i][j];
}
}
35
�sum = sum / (251 * 251);
fout4 << fixed << setprecision(4) << left << setw(9)
<< sum << "\n";
return 0;
}
36
���The Role of Overprescription in Antibiotic
Resistance among Adult Hospitalized Patients1
Cathryn Cantyne (Nursing), Claire Johnson (Nursing), Jacqueline Otake (Nursing)2
Antibiotics were once a lifesaving discovery that reduced morbidity rates for
numerous illnesses. However, in recent years, antibiotic resistance has become a concern
in New York City as well as nationally and globally. Bacteria becomes resistant due to
prescriber or patient overuse or misuse. Antibiotics kill sensitive bacteria, allowing
resistant bacteria to grow and multiply (New York State Department of Health
[NYSDOH], 2017). According to Livorsi, Comer, Matthias, Perencevich, & Bair (2015,
p. 7), this multifactorial issue is a result of patient expectation, lack of knowledge and/or
uncertainty regarding diagnosis on the part of healthcare providers. This paper explores
how nurses help decrease the prevalence of antibiotic resistant bacteria, such as
clostridium difficile (CDI) and methicillin-resistant staphylococcus aureus (MRSA)
among New York City’s hospitalized adult patients.
Community Assessment and Analysis
Hospitals in the United States are analyzed at national, state, and local levels
based on their standardized infection ratio (SIR). This measurement compares the number
of reported hospital acquired infections to the predicted number of infections. Hospital
acquired cases are defined as a positive specimen obtained on day four or later following
hospital admission (Centers for Disease Control and Prevention [CDC], 2017c).
According to “Medicare Hospital Compare Results” (n. d.), in 2014, New York State’s
SIR for methicillin-resistant staphylococcus aureus (MRSA) was 1.01, and for
clostridium difficile (CDI) the SIR ratio was 0.97. In comparison, the 2014 national
MRSA ratio was 0.92, and CDI ratio was 0.9. A SIR value greater than 1.0 means there
was a larger number of infections than predicted (NYSDOH, 2017). New York State’s
higher than national ratios supports the need for new, innovative interventions. To give a
few examples, Staten Island’s local hospital, Richmond University Medical Center,
currently has a MRSA ratio of 1.454 and a CDI ratio of 1.245, both are above national
1 Paper was presented at the Sigma Theta Tau Collaborative Research/Evidence Based
Practice Expo at Staten Island University Hospital and at the Wagner College Senior
Poster Presentations.
2 Written under the direction of Prof. Josephine Marcantonio for NR400: Nursing Research.
39
�averages. Bellevue, the oldest hospital in the city, has lower rates of 0.868 for MRSA and
0.767 for CDI; while New York Presbyterian, has shown higher than normal rates with a
MRSA ratio of 0.936 and CDI ratio of 1.046 (“Medicare Hospital Compare Results,”
n.d.). Although ratios vary among hospitals in New York City, improvement is important
for all.
High SIRs not only decrease hospital quality, but also cause an economic
burden. Overall, the national direct cost of healthcare associated infections (HAI) range
from 28 to 45 billion dollars annually (Scott, 2009). The average cost of hospital onset
CDI per case was an additional $34,157, with a total annual cost of 6.3 million dollars
(Chit et al., 2016). MRSA costs approximately an additional $60,000 per case and 10
billion dollars per year nationally (Anderson et al., 2009). To incent hospitals to manage
these costs better, the Center of Medicare and Medicaid Services established a HospitalAcquired Condition Reduction Program under the Affordable Care Act. The program
identifies and measures two domains: patient safety and health care associated infections.
This program reduces payments by one percent to hospitals with quality scores in the
lowest 25% (Patient Protection and Affordable Care Act, 2010).
Antibiotic resistant bacteria were initially identified in 1940, but they have only
recently been tracked (CDC, 2017b). The Active Bacterial Core surveillance, a section of
the CDC’s Emerging Infections Program has nationally measured MRSA since 2005 and
CDI since 2012. This program identifies risk factors and monitors effectiveness of
interventional programs inside and outside of healthcare facilities. It identifies three main
racial profiles: White, Black and other. National rates of MRSA have been decreasing
since 2005, but Black Americans consistently have the highest prevalence rates compared
to Whites and others. In comparison, the statistics of CDI are almost opposite revealing
an increase of national rates and the highest prevalence among whites (CDC, 2016).
The NYSDOH is taking measures to reduce the prevalence rates of antibiotic.
They have teamed up with CDC in the educational campaign “Be Antibiotics Aware” to
teach health care providers and patients about antibiotic resistance and appropriate
antibiotic use. Promotional literature urges patients to not share, save or incompletely take
a course of antibiotics. Additionally, patients are instructed to avoid pressuring providers
to prescribe antibiotics when it is not indicated (U.S. Antibiotic Awareness Week, 2018).
(CDC, 2018)
40
�In many hospitals, there are antibiotic stewardship programs lead by a
pharmacist to ensure the patient is getting the right drug and dose, at the right time (CDC,
2017c). In addition, the NYSDOH has started a New York State Antimicrobial
Resistance Prevention and Control Task Force which collaborates among federal, state
and local agencies to recommend new initiatives to combat this issue.
Problem in the Community
Globally, there is a rising prevalence of hospital-acquired infections, which
particularly affects those living in metropolitan communities. Antibiotic resistant bacteria
such as Clostridium difficile (CDI) and Methicillin-resistant Staphylococcus aureus
(MRSA) commonly cause infections that can be deadly, especially when they affect the
already vulnerable demographic of hospitalized patients. This antibiotic resistance is an
exceptionally urgent issue and needs to be rectified promptly. Additionally, though
antibiotic resistant infections typically originate in hospital settings, they can then travel
into the community via infected hosts.
Bacterial infections can be spread in several ways: airborne, through fluid
droplets, or through physical contact. Within large metropolitan communities like New
York City, where people live, work, and commute in close contact with one another, all
people are especially vulnerable to all routes of bacterial transmission. This is similarly
true of hospitalized patients in contracting antibiotic resistant infections, and although all
patients in a medical setting are at risk for infection, some demographics are at a higher
risk than others including young children, the elderly, and individuals with a
compromised immune system. Other risk factors include: long hospital stays (the longer a
patient is hospitalized exponentially increases their chance of acquiring a nosocomial
infection), the use of indwelling urinary catheters (which can act as a reservoir for
causative bacteria and lead to hospital-acquired urinary tract infections), healthcare
workers who fail to use proper hand hygiene and infection control, and the improper use
of antibiotics (including inappropriate prescription of antibiotics for viral or fungal
infections, or failure of patients to complete the prescribed course of antibiotics). The
improper use of antibiotics is arguably the most dangerous risk factor for hospitalacquired infections, as it is directly responsible for breeding potentially fatal antibiotic
resistant bacteria (Bureau of Infectious Disease and Laboratory Science, 2018).
A 20-year old longitudinal study of antibiotic resistance in Sweden found that,
“the high global use of antibiotics, the rapid spread of multidrug-resistant bacteria and the
lack of new, effective antibiotics has led to an imminent threat to health systems and
global development” (Mölstad, et al., 2017, p. 1). A study done by the American Center
for Disease Control (CDC) found that each year at least 2 million people become infected
41
�with antibiotic resistant bacteria, and as a direct result of these infections at least 23,000
people die annually (CDC, 2017). This is a highly relevant and time-sensitive issue that
needs to be addressed, analyzed, and resolved by the global community.
Antibiotic resistance is a global issue, but is particularly prevalent in the United
States and metropolitan areas because the way North American physicians prescribe
antibiotics, and furthermore because the American healthcare system has not yet fully
adapted to combat the rising threat of antibiotic resistance. For example, according to a
qualitative study that explored the prescribing decisions of 30 physicians in two
metropolitan hospitals in Indianapolis, Indiana,
“many [physicians] admitted to prescribing antibiotics even when the clinical
evidence of infection was uncertain. Overprescription was largely driven by
anxiety about missing an infection while potential adverse effects of antibiotics
did not strongly influence decision-making… there is a physician based culture
of prescribing antibiotics, which involves over-using antibiotics and not
challenging colleagues’ decisions.” (Livorsi , et al., 2015)
It’s important to note that this culture of overprescription is not specific to
Indianapolis and is a growing issue, in fact, roughly one third of all antibiotics prescribed
in the United States between 2010 and 2011 were unnecessary, “there was an estimated
annual antibiotic prescription rate per 1000 population of 506, but only an estimated 353
antibiotic prescriptions were likely appropriate, supporting the need for and establishing a
goal for outpatient antibiotic stewardship” (Fleming-Dutra, et al. 2011), and furthermore,
“up to 50% of the time antibiotics are not optimally prescribed, often done so when not
needed, incorrect dosing or duration” (CDC, 2017a). The CDC found that many
prescribers, when unsure about the etiology of a patient’s symptoms, just prescribed a
wide spectrum antibiotic to treat the potential of a bacterial infection, rather than wait for
definitive evidence of bacterial infection. This is a dangerous behavior that is responsible
for the rising incidence of antibiotic resistance.
If infectious bacteria continue to adapt to antibiotics, all current antibiotics will
eventually become obsolete. This is a formidable possibility, because if it occurs humans
will have absolutely no defense against causative organisms, which would be devastating
to public health worldwide, but particularly to large metropolitan areas where people live
in close contact with one another. The problem of antibiotic resistance is incredibly time
sensitive and needs to be addressed by both patients and medical professionals
immediately.
42
�Proposed Solution
The NYSDOH has developed and published a number of interventions to
address the wide-spread national problem of the overprescription of antibiotics. One of
their most notable and well-developed hospital efforts is the implementation of Antibiotic
Stewardship Programs (ASPs) (NYSDOH, 2017). The CDC defines an ASP as a program
that follows all seven of the CDC’s Core Elements of Hospital Antibiotic Stewardship
Programs. As of 2015, 58.3% of hospitals in New York State, as compared to a 48.1%
nationally, enforced CDC-recognized ASPs. The national goal is 100% hospital
participation by the year 2020 (CDC, 2015).
The CDC’s (2017c) 7 Core Elements of Hospital Antibiotic Stewardship
Programs define seven evidence-supported elements that the CDC believe are essential to
the success of hospital-instated ASPs: leadership commitment, accountability, drug
expertise, action, tracking, reporting, and education. Leadership commitment refers to the
dedication of hospital leaders in human, financial, and information technology resources
to the enforcement of stewardship efforts. For example, human resource departments
incorporate stewardship-related responsibilities, such as stewardship program leader or
pharmacy leader, into job descriptions and performance reviews. The accountability and
drug expertise elements call for the appointment of stewardship program leaders, such as
physicians, and pharmacy leaders as well as the delegation of stewardship-related tasks to
other key groups within the hospital. For example, nurses are tasked with obtaining
cultures prior to the initiation of antibiotics and inciting discussion among prescribers
regarding the indication and duration of antibiotic prescriptions. The fourth element,
action, addresses policies and interventions to improve antibiotic use. Documentation of
dose, duration, and indication is a simple, yet pivotal and versatile policy that aids
stewards in the identification and monitoring of antibiotic prescriptions (CDC, 2017c). In
accordance with the Institute of Healthcare Improvement, the CDC has published an
“Antibiotic Stewardship Driver Diagram and Change Package,” which outlines potential
interventions including how to develop a standardized guideline for antibiotic selection
and ensure the visibility and availability of patients’ antibiotic use histories (Institute for
Healthcare Improvement [IHI], 2012). It is recommended that hospitals be critical in
selecting interventions that appropriately match an institution’s available resources and
expertise. The tracking and reporting elements comprise of both monitoring the process
of antibiotic prescription as well as analyzing and reporting the outcomes of said
processes (CDC, 2017c). The last Core Element, education, focuses on educating staff
groups within the hospital with the goal of motivating improved prescribing habits.
Strategies include sharing updates of antibiotic-related issues on the local and national
43
�levels and teaching about appropriate antibiotic use through a variety of presentation and
messaging platforms. These Core Elements serve as a framework to guide participating
hospitals in the creation of successful stewardship programs but also call for flexibility
and personalization in their implementation (CDC, 2017c).
While the ASP’s Core Elements framework comprehensively and explicitly
states that a coordinated multidisciplinary approach is essential to the success of
stewardship programs, there is little mention of nurse involvement, with the exception of
the obtainment of cultures, and no section specifically addressing patient involvement.
Patient education, a primary nursing responsibility, can serve as an invaluable tool to
promote patients’ development of self-advocacy in hospitals. Specifically, patientdirected education about proper diagnosing, antibiotic prescribing practices, and
consequences of inappropriate prescribing not only better equips patients to become selfadvocates, but can potentially help to reduce overprescribing trends by tasking patients to
question the decisions and actions of their healthcare team.
In addition to being perceived as the most trusted profession by the American
public (Gallup, 2016), nurses are at the core of communication among antibiotic
stakeholders (American Nurses Association, 2017). Nurses are the key group positioned
to educate patients and influence the actions of prescribers. Nurse-led patient educational
efforts can be guided by Irwin Rosenstock’s Health Belief Model. This model focuses on
understanding the health-related perceptions of the individual through analysis and
mention of three crucial components: perceived susceptibility to a condition, perceived
seriousness of a condition, and perceived benefits of action (Taylor, 2015).
Applied to the problem at hand, the “condition” is the inappropriate prescription
of antibiotics in the hospital setting. Perceived susceptibility is addressed through alerting
the patient to their risk of being inappropriately prescribed an antibiotic by providing the
alarming statistic that 30 to 50% of antibiotics are inappropriately prescribed in hospital
settings (CDC, 2017a). Perceived seriousness is addressed by explaining antibiotic
resistance and development of bacteria resistant to antibiotics that can occur as a
dangerous and costly consequence of antibiotic overprescription. To satisfy the triad of
the health belief model, the patient and their family must be equipped with action to take
and be convinced that these actions will benefit the problem. Actions include questioning
prescribers and individuals administering antibiotics and expressing concern if an
antibiotic has been prescribed without the acquisition of a diagnostic culture. Questioning
healthcare providers can be very intimidating for some patients, so the National Patient
Safety Foundation has created the “Ask Me 3” model as a guide. The three simple
questions ask: What is my main problem? What do I need to do? And Why is it important
44
�for me to do this (IHI, 2017)? A complete health belief model requires cues to action that
remind the patient to participate in the aforementioned actions (Taylor, 2015, p. 53).
These reminders can take the form of flyers or ads within the hospital and in the
community.
The NYSDOH has published numerous educational resources and tools
targeting patient education applicable in the outpatient setting, but fails to provide
resources to educate inpatient populations (NYSDOH, 2017). Fortunately, many of the
outpatient-directed efforts can easily be modified and implemented to accommodate the
unique circumstances found within New York City’s inpatient settings. The first element
of inpatient education is an antibiotic educational session guided by the health belief
model. This session can be held by the staff nurse or nurse educator and should take place
as close to the patient’s admission to the hospital as possible. It is imperative that the
nurse performing the informational session verifies that the patient understands and
speaks English or obtains a translator. The patient and their family will be provided with
flyers briefly addressing the three components of the health belief model: the risk of
inappropriate antibiotic prescription, the consequences, and the actions that can be taken
to prevent it. These flyers will also be posted in patient rooms via posters and educational
television channels and around the hospital as computer screensavers. Once a pilot
program is run and the flyers are adjusted in accordance to maximize effectiveness, the
flyers will be printed in the most commonly spoken languages including English,
Bengali, Spanish, Japanese, Arabic, Haitian Creole, Italian, simplified Chinese, Korean,
Polish, Urdu, Yiddish, and Russian (NYC Health, 2017).
The community goal is to implement this two-part patient education effort in
five ASP-participating New York City hospitals. Prior to starting educational session and
distributing flyers, the current rates of antibiotic overprescription per unit will be
obtained from these hospitals and will be taken again after a 12-month trial period.
Antibiotic overprescription rates will be measured via thorough audit of prescriber’s
decisions. Success of the program will be determined by a five percent decrease in the
rate of overprescription in all five hospitals. If successful, this model should be
implemented in accordance with the CDC’s national goal of 100% hospital participation
in Antibiotic Stewardship Programs by the year 2020 (CDC, 2015).
Conclusion
Overprescription of antibiotics is a main contributing factor to the rising global
issue of antibiotic resistance. A particular demographic that requires intervention is New
York City’s adult inpatient population. Although the NYSDOH and the CDC have
established programs addressing this problem, there is a need for increased nurse
45
�involvement. Our proposed solution entails implementing nurse-led patient education to
promote patient self-advocacy and empowerment.
References
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Recommendations from the American Nurses Association/Centers for Disease Control
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Fleming-Dutra KE, Hersh AL, Shapiro DJ, et al. Prevalence of Inappropriate Antibiotic
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poll/1654/honesty-ethics-professions.aspx
Institute for Healthcare Improvement. (2012, July). Antibiotic Stewardship Driver
Diagram and Change Package. Retrieved from: https://www.cdc.gov/getsmart/
healthcare/pdfs/Antibiotic_Stewardship_Change_Package_10_30_12.pdf
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Health. Retrieved from: http://www.npsf.org/page/askme3
Livorsi, D., Comer, A., Matthias, M., Perencevich, E., & Bair, M. (2015). Factors
influencing antibiotic-prescribing decisions among inpatient physicians: A qualitative
Investigation. Infection Control & Hospital Epidemiology, (9), 1065-1072.
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48
���Beautiful Nude Girls: Art and Female
Sexuality in Nazi Germany1
Jordan Gonzales (Art History and Anthropology)2
“In mobilizing leisure, National Socialism encountered one of the last bulwarks behind
which the progressive elements of individualism were still alive…In the solitude of
peaceful enjoyment, the individual may come to think, his impulses, feelings, and
thoughts may be driven to regions which are foreign and inimical to the prevailing
order. We mention here only two stimuli of this tendency: sex and art.”
-
Herbert Marcuse, “State and Individual Under National Socialism,” in Technology,
War, and Fascism: Collected Papers of Herbert Marcuse, volume 1, ed. Douglas
Kellner (London: Routledge, 1998), 89, Taylor & Francis e-Library.
It is the aim of this essay to understand how the National Socialist regime used
fine art to exercise power affirmatively in order to control the body politic. Sexuality
presents a case in which both repression and affirmation play critical roles in the
consolidation of state power, particularly as sexuality is often perceived, both historically
and contemporaneously, as outside of the realm of control of state institutions. This
perception in itself often reflects a discordance with realities of modern Western
societies, and the relationship between sex and state power is perhaps most acute and
catastrophic in the National Socialist regime. Crucial to the fortification of power derived
from controlling sexuality was the utilization of “polymorphous techniques of power”3meaning the deployment of a variety of methods to exert power in multiple spheres of
life. Power can be exercised through written codification in the legal system, verbally
through official and unofficial iterations of administrative and popular leaders, and
When this article was originally printed in the spring 2018 issue it contained an
additional paragraph that belonged to another article. To correct this error the article has
been reprinted here. The editor apologizes for the typo.
2 Written under the direction of Dr. Laura Morowitz for AR291H: Art and Aesthetics in the
Third Reich.
3 Michel Foucault, The History of Sexuality, volume 1: An Introduction (New York:
Vintage Books, 1990), 11.
1
51
�visually through art and propaganda. This essay is concerned with the latter, particularly
with the subtle propagandistic edification of individuals through fine art.
‘Fine art,’ or ‘high art,’ in the Western world is characterized by being steeped
in European academic tradition and is associated with class, wealth, and privilege. For
these reasons, fine art may constitute a less aggressive form of propaganda, what
Propaganda Minister Josef Goebbels called ‘unsichtbare propaganda’ - invisible
propaganda.4 In this way, fine art has the potential to reach more educated and privileged
classes that may be more critical of overt or ostentatious approaches to propaganda.
Additionally, these same audiences are more likely to be beholden to traditional
constraints of behavior, especially sexual mores, characteristic of middle and higher
socioeconomic classes. Therefore, messages contained within works of fine art can be
posed subtly and amiably, particularly in the realm of sex and sexuality. One particularly
relevant and useful case is that of Botticelli's Primavera - placed in the sleeping quarters
of a Medici bride, the painting abounds in images of fertility. A reading of the painting
from right to left shows the scene of the rape of Chloris by Zephyrus, leading to her
impregnation and transformation into Flora. Along with the obvious intimation of the
bride’s responsibility of fertile reproduction, the rape scene provides a subtle reassurance
that even if the bride does not desire her husband, she must succumb to him so that she
may bear children. In this way, the repeated consumption of images in works of fine art
in quotidian experience helps to embed certain messages and ideas about the world and
how to behave in it.
In a similar way, fine art created within National Socialism and promoted by its
political and cultural leaders proliferated images meant to inculcate viewers about correct
ideas and behaviors. Female sexuality was not excluded from the realm of the
‘unsichtbare propaganda’ that characterized much (if not all) of the fine art approved by
the state. National Socialist artists and art critics appropriated the classical Italian
Renaissance genre of oil painting of the female nude to synthesize a quasi-classical
aesthetic. Through the appropriated aesthetic and its iconography, the National Socialist
regime constructed the ideal, liberated, female sexuality and edified women on this ideal;
however, this sexual liberation did not give the individual agency, but rather was a means
of subverting sexual behaviors to the benefit and greater control of the state.
The creation of a National Socialist quasi-classical or neo-classical aesthetic is
by no means novel or unknown. A whole host, if not all, post-Enlightenment societies
utilize the appropriated styles and aesthetics to visually legitimize their power by evoking
Terri J. Gordon, “Fascism and the Female Form: Performance Art in the Third Reich,”
Journal of the History of Sexuality 11, no. 1/2 (January/April 2002): 170.
4
52
�a sense of historical constitution and authority, both of which are actually constructions
of the institutions and administrations in power at a given time. While the first medium to
come to mind might be architecture5, the power of classical appropriation is no less true
for studio art forms. Accordingly, the National Socialist appropriation of the classical
language of the female nude helps to visually legitimize the intervention of the state over
the individual body, as well as indoctrinate ‘pure’ German women on virtuous behaviors,
appearance, and ideals in accordance with National Socialist Ideology. The evocation of a
historically constituted narrative within Germany and within the National Socialist
regime is relatively easy to ascertain. The relations of authority and agency which are
mediated in the genre of the female nude are more nuanced, in that the images attest to
the manipulation of individual female sexuality. Both the history and relations of power
evoked in paintings of the National Socialist style of the nude are premised on falsehoods
constructed by the state, in service of the state, with no actual regard for the
individualism of the viewers.
This essay raises the question of how, in the fine art of National Socialism, the
traditionally male gaze is conflated with, even replaced by, the gaze of the state. The
possibility of a ‘state gaze’ is proposed as the mechanism of control in the fine art of
National Socialist Germany, a gaze which unified works of art in light of unsuccessful
attempts of Party leaders to create an official and distinct National Socialist style of art.6
In this respect, it would not matter that the viewer have ownership of the subject and her
sexuality as they do in the classical genre, but rather the nude subject, and consequently
her sexuality, are constructed by and belong to the state, and that it is through the ‘state
gaze’ that the viewer understands the subject. Therefore, the relation of power between
the subject and average viewer is altered, as the viewer no longer has ownership over the
subject and her sexuality, but rather an access that has been permitted by the owner - the
state. When the viewer is female, she may identify herself with the subject and the
sexuality with which she had been imbued. This is doubly enforced when one considers
how art acts as an apparatus of the state’s omnipresent control in individual life, and so
through the gaze of the state the female viewer “...comes to consider the surveyor and the
surveyed within her as the two constituent yet always distinct elements of her identity as
a woman,”7 through which she is free to experience the subject’s sexuality as both her
Frederic Spotts, Hitler and the Power of Aesthetics (New York: Overlook Press, 2003),
311.
6 Olaf Peters, “Genesis, Conception, and Consequences: The ‘Entartete Kunst’ Exhibition
in Munich in 1937,” in Degenerate Art: The Attack on Modern art in Nazi Germany,
1937, ed. Olaf Peters (Munich: Prestel, 2014), 107.
5
53
�own and belonging to the state. Attempting to identify how a ‘state gaze’ was imposed on
German art may prove to be more successful and revealing in understanding the
importance and role of fine art in the Reich than attempting to identify a distinct style of
National Socialist art.
The concerted efforts on the part of Hitler and Josef Goebbels to create an
official category of National Socialist art largely failed because there were no standards
established by which to judge works of art, although there was a more clear distinction of
what was considered unacceptable. General ideas about the importance of realism were
perhaps the only commonality among works chosen, and state-appointed juries generally
exalted “works that were not exactly ideologically motivated but rather mainly
landscapes, genre paintings, and paintings of animals. Other than that, they primarily
featured depictions of women, especially nudes vaguely modeled on antiquity.”8 Works
deemed acceptable by these juries and other administrators were showcased in the Haus
der Deutschen Kunst (House of German Art), meant to house the best of German art and
serve as the “beginning of the end of the stultification of German art and the end of the
cultural destruction of [the German] people.”9 One artist involved in the attempts to
visually stylize National Socialism and to be showcased in the Haus der Deutschen Kunst
was Adolf Ziegler, who also served as president of the Reichskammer der bildenden
Kunst (Reich Chamber of the Fine Arts) - his triptych Die vier Elemente (The Four
Elements) [see Figure I] was even bought by Hitler and hung above his fireplace at the
Führerbau in Munich.10
In this kitschy appropriation of the classical nude, Ziegler imbued his female
subjects with a sexuality that was not entirely dependent upon the assumed male viewer,
but rather which was constructed in accordance with state ideology. Paradoxically,
however, his subjects were not endowed with agency over their sexuality and implicitly
accompanied sexual behaviors- these were to be channeled in service of the volk, a cause
more important and virtuous than a woman’s own individual desires. In this way, Ziegler
was able to edify women on their sexuality and how to behave as sexual beings not for
the sake of sex itself, but in service of the Reich. Such sexual ideologies as portrayed in
these paintings conform to the hypocritical and paradoxical nature of the National
7
John Berger, Ways of seeing (London: British Broadcasting Corporation, 1973), 46.
Peters, “Genesis, Conception, and Consequences,” 108.
9 “Hitler’s Speech at the Opening of the House of German Art in Munich (July 18,
1937),” German History in Documents and Images, accessed November 28, 2017,
http://germanhistorydocs.ghi-dc.org/docpage.cfm?docpage_id=2374
10 Peters, “Genesis, Conception, and Consequences,” 110.
8
54
�Socialist regime, and attest to the cacophony of policies and attitudes towards the role of
women and their sexuality in National Socialist Germany.
National Socialist attitudes and policies regarding sex and sexuality deserve
particular scrutiny because of the way in which “sex was not something one simply
judged; it was something one administered.”11 That is to say, sex and sexuality under
National Socialism was not just restricted and repressed for some groups, but
simultaneously promoted and proliferated for one group in service of the nation, that
group being healthy and racially pure Germans. The nature of power in modern Western
society is to be repressive, especially in regards to the repression of “useless energies, the
intensity of pleasure, and irregular modes of behavior”12 like those stemming from sex
and sexuality. It cannot be contested that the National Socialist repression of ‘deviant’
and ‘perverse’ sexualities, behaviors, and relations were firmly founded in eugenics. Such
repression of deviance is certainly elucidated by the desire to extinguish any and all
behaviors which would subvert the ideologies and agenda of the National Socialist party.
However, when one considers what may be implied as the opposite of this - that is, the
promotion of energies, pleasures, and behaviors which are useful to the state - then
National Socialist attitudes towards sexual liberation begin to make sense.
Sexual desires and their fulfillment in the realm of and for the sake of the
individual are threatening to society and to the state. Within the realm of the individual,
the satisfaction and happiness which are derived from the fulfillment of sexual desires is
impervious to the intervention of external agencies and institutions, and therefore creates
a division between the individual and society grounded in the inability of the state to
fulfill those desires. In a fascist regime of the intensity of National Socialism, such
division undermines the authority and autonomy of the state over individual bodies and
the body politic, and constitutes a waste of time and energy on behaviors which do not
serve a virtuous purpose. By socializing the individual and their sexuality, the state can
reconstitute its authority and channel sexually fulfilling behaviors to be ‘useful’ in
society. In the National Socialist regime, “the individual [was] ‘socialized’ in the
distorted sense that society itself [took] over his [or her] oppressed and deteriorated
instincts and interests and [asserted] then on an international scale…”13 This assertion fell
Foucault, The History of Sexuality, 24.
Foucault, The History of Sexuality, 9.
13 Herbert Marcuse, “State and Individual Under National Socialism,” in Technology,
War, and Fascism: Collected Papers of Herbert Marcuse, volume 1, ed. Douglas Kellner
(London: Routledge, 1998), 90, Taylor & Francis e-Library.
11
12
55
�under the label of ‘sexual liberation,’ and is very much framed within the context of
National Socialist racial policies and eugenic agenda.
Employing Foucault’s theories of sexuality and power is useful when examining
the dichotomy of sexual repression and sexual liberation in the ideologies and policies of
the National Socialist regime, and how the latter pair were successfully transmitted
through art. To begin, unlike other forms of repression, state repression of sex and
sexuality is often publicly acknowledged, and even lauded as a virtue of ‘civilization.’ In
this way, sexual repression of ‘racially impure,’ non-heterosexual relations provided the
regime with a publicly acceptable means to exert control over deviants within the body
politic. This also made more subtle expressions of this control through art all the more
effective and nonsuspect. However, in order to exert comprehensive control over sex and
sexuality, sexual repression alone is insufficient.
Repression worked in conjunction with methods focusing less on exterminating
measures and more on the employment of “a policing of sex: that is, not the rigor of a
taboo, but the necessity of regulating sex through useful and public discourses,”14 such as
visually through the arts. Such policing characterizes the proliferation of discourses on
what sex should be and its greater purpose for the volk. It is in this context that sexual
liberation acted as a positive exercise of power, in that the promotion of certain
sexualities and sexual behaviors - in this case among racially pure, heterosexual men and
women - and their liberation from traditional mores promoted the control of the state over
the body politic, and in fact created the perception of this control as amicable to the
individual.
It must be admitted that “the working of socio-psychological mechanisms [of
the National Socialist Party] cannot be verified by official or semi-official documents; it
must be elucidated by careful interpretation of the behavior and utterances of National
Socialist groups in certain characteristic situations.”15 Artistic creation can be understood
as one such utterance, one whose subjectivity permits the interpretation and
reinterpretation of meaning and message which can help to penetrate the complexities of
human existence at any given moment in time. Art under National Socialism lends itself
well to such interpretations as even Hitler himself attested to the necessity of integrating
art into daily life so as to reconcile the individual and the masses with the world as it was,
or at the very least as Hitler wanted it to be.16 Through its efforts to bring ‘fine’ or ‘high’
Foucault, The History of Sexuality, 25.
Marcuse, “State and Individual Under National Socialism,” 87.
16 “Hitler’s Speech at the Opening of the House of German Art in Munich (July 18,
1937),” German History in Documents and Images, accessed November 28, 2017,
14
15
56
�art into the everyday lived experience of the body politic, the National Socialist
administration successfully employed fine art as ‘unsichtbare propaganda.’ The style and
subjects of such art, however, was meticulously selected so as to reflect the ideals and
vision of the Party - idyllic scenes of “beautiful nude girls”17 in an appropriated, quasiclassical style were among the favored.
With Hitler’s and the National Socialist Party’s efforts to bring art into the
everyday lives of the German community, eroticized images of the female nude acted as
affirming and normalizing agents which reached a larger audience than might have
normally been exposed to the genre. Repeatedly seeing images of the nude figure “acts as
a confirmation and provokes a very strong sense of relief…[the viewer is] overwhelmed
by the marvelous simplicity of the familiar sexual mechanism.”18 It follows, then, that
there might have existed comfort in the validation and reassurance of seeing young,
beautiful, Aryan women in the National Socialist appropriation of the genre of the nude.
This was perhaps further reinforced by the state’s explicit and implicit endorsement of
such images in fine art, images meant to attest to the racial perfection and superiority of
the German volk, and to the usefulness of sexual behaviors, traditionally deemed as
immoral misconduct, for the state. Through these artistic images, the viewer could be
reaffirmed of their relation to the subjects and their sexuality as they were oriented within
the mechanisms and ideals of the state.
It is imperative at this point to identify more explicitly the specific attitudes and
policies of the National Socialist administration which characterized sexual liberation,
and how liberation actually served as a means to greater control of the state over
individual and collective bodies. Most generally, the National Socialist party advocated
for a liberation from the “the Christian precepts of chastity, monogamy, and the sanctity
of the home,”19 around which so much of Western morality was and continues to be built.
The National Socialist Party achieved the rejection of and liberation from these sexual
mores through ending stigmatization and discrimination of illegitimate mothers and
children, through the promotion of extra-marital sex between healthy, heterosexual,
Aryan Germans, through introducing a new cult of nudity in art and entertainment, and
through dissolving the traditional, private responsibilities of the family unit and the
destruction of patriarchal and monogamous standards of individual, interpersonal
relationships.20 Furthermore, sexual liberation only created the veneer of individual
http://germanhistorydocs.ghi-dc.org/docpage.cfm?docpage_id=2374
17 Marcuse, “State and Individual Under National Socialism,” 87 & 92.
18 Berger, Ways of seeing, 59.
19 Gordon, “Fascism and the Female Form,” 166.
57
�autonomy and agency over the use of sexuality, but the reality was that “the state
instituted a politics of the body that rendered the individual body a public site whose
purpose was to further the larger social organism.”21 Sexual liberation, then, became a
privilege and perhaps even a right of those citizens subjects who belonged to the National
Socialist volksgemeinschaft, as these were the citizens who could (re)produce the Aryan
race and the German nation. Not only was this privilege affirmed politically by National
Socialist leaders, but it was affirmed and normalized culturally through the arts via
images of ideal Aryan bodies that constituted the cult of the body and the cult of nudity
of the time.
The argument and the questions raised in this essay must be contextualized
within this cult of nudity and the obsession of the National Socialist Party with the body
of the Aryan race; in order to understand images of nudity in fine art the precedent must
be understood of how these images operated in other spheres of visual culture and artistic
expression. Most fundamental to all of this is the National Socialist “notion of the healthy
body as a microcosm for the healthy state.”22 In this regard, the Aryan body must be
exalted and venerated for its naturally superior vigor and beauty, and to see these bodies
nude is not shameful, but celebratory. In following this, sexual acts leading to the
creation of these bodies and the continuation of the race were to be equally exalted. This
cult obsession with nudity and the Aryan body is most manifest in film and the
performing arts, and much of the literature of the National Socialist cult of nudity focuses
on these areas of artistic production.23 Leading National Socialist race-theorist Dr. Hans
Endres attested to the usefulness of near-pornographic images of German men and
women in film as a means to “propagate a new way of life in Europe” in which Aryan
youth may “become proud of their bodies and enjoy the natural pleasures of sex without
being ashamed.”24 It is not without precedent, therefore, that the imbuement of nude
subjects in with a real and natural sexuality occured intentionally in the fine art of
National Socialist Germany. However, the relationship between nudity and sexuality in
the fine art of the regime differs from the classical genre of the female nude, and these
differences are slight but significant.
While the usefulness of emulating the classical female nude is necessary to
understanding the relationship between art, sexuality, and the National Socialist state, as
Marcuse, “State and Individual Under National Socialism,” 84.
Gordon, “Fascism and the Female Form,” 164.
22 Gordon, “Fascism and the Female Form,” 165.
23 Gordon, “Fascism and the Female Form.”
24 Endres quoted in George W. Herald, “Sex is a Nazi Weapon,” The American Mercury
54, no. 222 (June 1942), 661.
20
21
58
�important is considering ways in which the appropriated, quasi-classical style deviated
from the tropes of the classical nude and the effect of such deviation. In appropriation,
deviating from the original creates a cognitive dissonance between what the viewer
expects based on prior experience with the original style, and what they actually see in
front of them in the new work. At the very least, the effect is to disrupt the viewer’s
experience of the work, whether the interruption be positive or negative. To the more
critical viewer, this disruption calls attention to what has changed and why, and prompts
the viewer to consider the effect of that change stylistically and interpretatively.
Generally, the National Socialist style of the nude oil painting deviates from the classical
genre in the way in which is creates a distinct subject both in the formal style and the
attributes of the nude subject.
Whereas the idealized rendering of the classical nude was meant to evoke the
sublime perfection of the Greek and Roman pantheons, the distinctive realism of the
National Socialist style was mean to attest to the natural beauty of the ideal German
woman. Hitler’s mandate that only true and great art could depict natural forms in the
highest degree of realism is reflected in the “...the stimulating distinctness with which
National Socialist artists expose the erogenous zones of the body. Hitler established the
combination of ‘expediency and beauty’ as the highest principle of art,” and demanded
that male and female bodies be presented with absolute realism and correctness. This
realism served as a celebration and exaltation of the German body, and reflected the
racist ideology and population politics of the National Socialist Party. Only the most
perfect Aryan forms were worthy of extolment and immortalization in the medium of fine
art, and only these bodies were worthy of reproduction (that is, both artistically and
physically).
Framing ‘racially pure’ German women as the subjects in the artistic tradition of
the nude provided German women a history they could potentially identify with, since in
the National Socialist model, “women had no history at all… Because they exerted no
force in politics and economic change, women would provide a constant backdrop to
men’s history.”25 In the same way that emulating classical architecture evokes the idea of
ancient origins of power for the state, appropriating the classical nude with the
undeniably Aryan woman as the subject evokes the idea that this breed of woman has
existed and been exalted since antiquity, and therefore is justified as an ideal standard. In
a society that gave women a scathingly limited role as active participants, creating this
Claudia Koonz, “The Second Sex in the Third Reich” in Mothers in the Fatherland:
women, the family, and Nazi politics, ed. Claudia Koonz (New York: St. Martin’s Press,
1987), 178.
25
59
�sense of historical narrative vindicated the state’s view of women by giving them images
asserting their descent from these ancient, if not timeless, subjects.
Instrumental to enabling identification with the historical narrative of the genre
was painting women who looked undeniably Aryan. Take, for example, the four women
in Ziegler's triptych The Four Elements [fig I]. The facial features of each woman
conform distinctly to the ideal of the Aryan woman, yet their features are not so idealized
that they become nondescript or detached from reality, as the mythological figures of
classical nude paintings are often rendered. This ideal yet identifiable depiction gives the
female viewer a sense of a glorified place in the cultural history of Germany. It also gives
her a sense of the timeless and natural existence of her exalted sexuality which comes
from being a member of the Aryan race, thereby validating her own sexual desires and
contextualizing them as necessary to the development of German culture.
The distinction with which the faces of these subjects are painted approaches
portraiture. In this way, the nude subjects possess a degree of personhood or identity that
is normally absent in the generic beauty of the classical and Renaissance nudes. Allowing
the subject to possess her own identity disrupts the passivity characteristic of the classical
nude, and reinforces the idea that the woman is permitted to actively cultivate and
exercise her sexuality. However, this individuality is limited by the non-specificity of the
bodies of the subjects, as is apparent in The Four Elements [fig. I] - all four of the women
appear distinct in their facial features, but their bodies bear little, if any, individuality. It
almost appears as if the artist has taken portraits and transplanted them onto the same
body, and the effect is disorienting. Even so, the contrast illuminates how these paintings
at the very least attempted to mediate the paradox of simultaneous affirmation of female
sexuality while claiming the agency over that sexuality for the state rather than for the
individual. And although distinctive faces facilitated identification of the viewer with the
subjects, by associating the sexuality of the subject with a generic image of femininity,
sexuality becomes something which is not conflated with or constituted by individualism,
but rather is seen through the homogenizing gaze of the state. Still, despite the nonspecificity in rendering different images of the feminine form, these images were painted
with acute consideration for the real and natural beauty specific to the German female
body.
If the German female form was to be appreciated and celebrated in its totality
for its superior natural vigor and beauty, then true depictions of the female form could
exclude nothing, not even pubic hair. In this respect the National Socialist quasi-classical
genre of the nude deviates once more from the classical style in a subtle yet impactful
way. The convention in classical painting to exclude pubic hair from the female nude
60
�reinforced the construction of the subject as a passive sexual object because “hair is
associated with sexual power, with passion. The woman’s sexual passion needs to be
minimized so that the spectator may feel that he has the monopoly of such passion.”26
This is not to say that National Socialist artists intentionally included women’s pubic hair
for the sake of reflecting her sexual passion. Rather, the emphasis on the showing the
naturalness of the German female form inadvertently led to the incorporation of the
sexuality inherent in that form.
Likewise, the viewer of these highly realistic images does not possess a
‘monopoly’ of the subject’s passion, as that monopoly belongs exclusively to the state. In
this case, the subject’s sexuality does not necessarily require mediation by the
omnipresent state - it is clear that this sexuality comes not from the woman as an
individual, but is the result of the vigor of her superior Aryan body. Furthermore, the
sexuality which is evoked by endowing these figures with the utmost realism serves,
perhaps to a greater extent, to titillate the viewer in order to encourage sexual behaviors
which lead to the propagation of the German volk.
The appropriation of the classical genre of the nude by the National Socialist
regime was an intrinsically ironic practice when one considers how “the nude in
European oil painting is usually presented as an admirable expression of the European
humanist spirit,” and how “this spirit was inseparable from individualism.”27 National
Socialism was by nature vehemently anti-individualist, but the creation of such works
concealed this nature by promoting a false image of humanism through the female form
while subtly dictating the ideals of the Aryan woman for the agenda of the state. Rather
than creating a distinct category of ‘National Socialist art,’ this subtle edification and
propagation was achieved through a state-constructed gaze which permeated fine art and
dictated modes of seeing and interpreting images. In this way, images of female subjects
endowed with sexuality transformed “stimuli for protest and rebellion into stimuli for
coordination” and reconciliation of the paradoxical ideals and ideologies of National
Socialism.28 Through the medium of fine art, the National Socialist party was able to
penetrate into one of the most private spheres of individualist society and transform those
desires and actions embedded within it into a means by which to propagate the state and
the German volk.
Attempting to conceive art and sexuality as working in harmony with the agenda
of the National Socialist administration is difficult, but it is still important to pose such
Berger, Ways of seeing, 55.
Berger, Ways of seeing, 62.
28 Marcuse, “State and Individual Under National Socialism,” 92.
26
27
61
�questions in order to understand how the regime was able to irrationally harmonize
enormously dissonant ideas and behaviors to achieve their goals. It might not be
discernable to what extent the edification of women on sexuality through fine art was
actually effective, however it must at least be considered in order to understand the extent
to which National Socialist control intervened in every possible sphere of individual and
collective life. Likewise, it might be erroneous to draw such conclusions in hindsight, but
this essay does not propose to find conclusive answers. Rather the goal is to open up
possibilities for further exploration in order to understand the mechanisms of National
Socialist power more profoundly.
Figure I. The Four Elements by Adolf Ziegler, Oil on canvas, 1937
https://www.sartle.com/artwork/the-four-elements-fire-water-and-earth-air-adolf-ziegler
Bibliography
Berger, John. Ways of seeing. London: British Broadcasting Corporation, 1973.
Foucault, Michel. The History of Sexuality, Volume 1: An Introduction. New York:
Vintage Books Edition, 1990.
62
�German History in Documents and Images. “Hitler’s Speech at the Opening of the House
of German Art in Munich (July 18, 1937).” Accessed November 28, 2017.
http://germanhistorydocs.ghi-dc.org/docpage.cfm?docpage_id=2374
Gordon, Terri J. “Fascism and the Female Form: Performance Art in the Third Reich.”
Journal of the History of Sexuality 11, no. 1/2 (January/April 2002): 164-200.
Herald, George W. “Sex is a Nazi Weapon.” The American Mercury 54, no. 222 (June
1942): 656-665.
Koonz, Claudia. “The Second Sex in the Third Reich.” In Mothers in the Fatherland:
women, the family, and Nazi politics, edited by Claudia Koonz, 175-219. New York: St.
Martin’s Press, 1987
Marcuse, Herbert. “State and Individual Under National Socialism.” In Technology, War,
and Fascism: Collected Papers of Herbert Marcuse, Volume 1, edited by Douglas
Kellner. London: Routledge, 1998. 67-92. Taylor & Francis e-Library.
Peters, Olaf. “Genesis, Conception, and Consequences: The ‘Entartete Kunst’ Exhibition
in Munich in 1937.” In Degenerate Art: The Attack on Modern art in Nazi Germany,
1937. Edited by Olaf Peters, 106-125. Munich: Prestel, 2014.
Spotts, Frederic. Hitler and the Power of Aesthetics. New York: Overlook Press, 2003.
Von Lüttichau, Mario-Andreas. “Crazy at Any Price: The Pathologizing of Modernism in
the Run-Up to the ‘Entartete Kunst” Exhibition in Munich in 1937.” In Degenerate Art:
The Attack on Modern art in Nazi Germany, 1937, edited by Olaf Peters, 36-51. Munich:
Prestel, 2014.s
63
�Eréndira and her Heartless Grandmother: Gabriel
García Márquez’s Political and Social Allegory
Jacquelyn Thorsen1
Gabriel García Márquez was well known throughout Latin America for his use
of the postcolonial narrative technique of magical realism. Magical realism varies
between authors because each author includes magical features unique to their own
culture. As described by Dhanabal, “The variable features of the magical realist novel are
local or native narrative traditions that are brought by the practitioners of this literary
genre into contact with and incorporated into the European realistic novel” (46). In his
homeland of Colombia, Márquez lived in the coastal area, where he was exposed to an
array of cultural influences: colonial Spanish culture, native Indian culture and the AfroCaribbean culture. This mixture of cultural influences was the reason for his “distinct,
hybrid reality”, that was so prominent in his works of magical realism (Dhanabal 48).
The supernatural factors of Caribbean culture played an important role in the written
works of Márquez, as he seamlessly intertwined magic with the realistic everyday life of
his characters. None of his characters expressed bewilderment when they witnessed a
supernatural incidence. This tension of reality and magic, that was accepted by Márquez
and his characters, was mostly rejected by the “Western” sense of reality (Dhanabal 53).
According to Dhanabal, “García Márquez uses magical realism to attack the assumptions
of the dominant culture… By equating magic with realism, García Márquez sabotaged
the notion that Western realism is superior to the myth and magic of the colonial nations”
(51, 54). Throughout many of his works Márquez used magical realism to reject and
expose dominant features of Colombian culture that he disapproved of.
In the film Eréndira, which is based on Márquez’s short story The Incredible
and Sad Tale of Innocent Eréndira and Her Heartless Grandmother, Márquez used his
magical realism to point out the excessive violence and confusion of Colombian politics
(Dhanabal 51). Márquez lived through La Violencia, which was the Colombian civil war
between the Conservative Party and the Liberal Party. Therefore Márquez’s short stories
during and after the ten year civil war, were inspired by the political and social turmoil in
Colombia. They served as political and social allegories that exploited the use of magical
realism. He also used other tactics, like symbolism, hyperboles, and metaphors, to
Written under the direction of Dr. Marilyn Kiss for SP213H: Hispanic Literature in English
Translation.
1
64
�coincide with magical realism in achieving the goal of criticizing Latin American society
and politics, as well as rejecting the notion that some foreign countries and their policies
are superior. His rejection of foreign superiority stems partly from the tendency of first
world countries to keep third-world countries, like Colombia, as debtors. This criticism,
as well as the criticism of social injustices, is symbolized through the relationship of
Eréndira and her grandmother. The photographer also served as a vital part of his
political criticism, as did the Senator. Through the use of symbolism, Márquez allowed
for different interpretations of his short-stories. Marquez’s short stories served as social
and political allegories that applied to multiple aspects within Latin American society.
One interpretation of Eréndira and her grandmother’s relationship is that it is
symbolic of the relationship between Latin America (Eréndira) and the United States of
America (grandmother). In the film, Eréndira burns down her grandmother’s house, thus
leaving them both homeless and poor. This fire sparks a change in the grandmother; she
becomes vindictive and cruel. She decides to exploit the fruit of her granddaughter’s youth
in search of payment for the damages Eréndira caused her, thus entrapping Eréndira in an
endless cycle of remorse and debt. The debt that Eréndira owes her grandmother is
symbolic of the debt that Latin America owes the United States of America. The United
States’s tendency to come to the aid of Latin America, although helpful at the time, now
leaves Latin America struggling financially, as they owe the United States a great deal of
money. This debt will always be hovering above Latin America’s head, inhibiting all
financial expansion until the debt is paid. This is exemplified by how Eréndira’s debt will
always be held over her head by her grandmother. In the film the grandmother states “My
poor child, life won’t be long enough for you to pay me back for this mishap” (Márquez
7), thus inferring that Eréndira will owe her grandmother for the rest of her life, just as
Latin America will always owe the United States some time of debt. Márquez expresses
that due to the remorse that Eréndira feels, her grandmother is able to exploit her and take
advantage of her sexuality without her refusing, just as the United States does to Latin
America. As pointed out by Barbara Manyarara, “García Márquez uses stories of female
sexual abuse as a metaphoric figure of Latin America’s continued exploitation by foreign
powers” (158-159). Throughout the film Eréndira’s grandmother is always in some way
increasing Eréndira’s debt to her. For example if Eréndira doesn’t meet the daily quota of
men she is supposed to have sex with, then her grandmother increases the debt that she
owes her. As explained by Diane Marting, “The Abuela has no intention of letting
Eréndira repay the debt and continually finds ways to pocket the fruit of her labor. In this
sense, a comparison with the foreign debt of third world countries has been sustained”
(183). This endless cycle of exploitation and increasing debt is Márquez’s way of exposing
65
�the maltreatment of Latin America that he believes the United States performs. Just as
Eréndira’s grandmother will never allow for her to pay off her debts, Márquez believes
that the United States will never make it possible for Latin America to pay off its debt.
Márquez believed that the circumstances from which Latin America’s debt to
the United States came about, were due to small human errors or something out of Latin
America’s control. In the film, Eréndira, who is representative of Latin America,
accidentally set the house on fire by leaving a lit candlestick near a curtain: “A short
while later the wind of her misfortune came into the bedroom like a pack of hounds and
knocked the candle over against the curtain” (Márquez 7). This small human error, of
leaving a lit candle, led to Eréndira’s eternal debt to her grandmother. Philip Swanson
makes the observation that “this man-made disaster is presented not as the result of a
disastrous human or social decision but rather in terms of a natural disaster or human
error, that is, something which cannot be helped” (140). A parallel can be drawn between
the actions and consequences of Eréndira and of Latin America. Márquez believed that
Latin America’s punishment of eternal debt to the United States is due to a small error or
due to an event that was out of Latin America’s control. He believed that the debt is too
steep of a price to pay when considering the actions and or situations that led to it.
Through the relationship between Eréndira and her grandmother, Márquez wished to
exaggerate the enormity of Latin America’s debt and to expose the fact that the United
States took advantage of the situations from which the debt came about.
The reason why Latin America allowed for the United States to take advantage
was because they had done it before. A pattern had developed where the United States
continually exploited Latin American political and social turmoil, thus establishing a
dominance over Latin America. This is symbolized by the early relationship between
Eréndira and her grandmother. The grandmother had taken advantage of her position of
caregiver over and over again by making Eréndira her house slave. She had asserted her
dominance over Eréndira for so many years, that when Eréndira made the mistake of
burning the house down, instead of refusing the wishes of her grandmother for her to
become a prostitute, she gave in to her grandmother. The only reason was because she
had learned a pattern of submissive behavior and therefore did not question her
grandmother's wishes no matter how unethical they were. Her loyalty to her grandmother
is exemplified throughout the film, one example being when she willingly returns to her
grandmother after leaving the covenant. Another example is when Ulysses asks Eréndira
to run away with him and her response is, “No one can go anywhere without the
permission of her abuela” (Eréndira 1:03:00-1:06:00). As described by Bülent Cercis
Tanritanir and Melike Çaliskan, the grandmother is an oppressive presence in Eréndira’s
66
�life, they go so far as describing her as a dictator (218). It is because of this that Eréndira
feels an unvanquished loyalty to her grandmother throughout the film up until the end.
Just as Eréndira remains loyal to her dictator, Latin America remains loyal to the United
States. In this oppressor-oppressed relationship between Eréndira and her grandmother,
Márquez wished to emphasize the oppressed nature of Latin America. Every action that
Latin America takes is guided and controlled by the watchful eye of the United States.
Eréndira states that she cannot go anywhere without her grandmother’s permission; this is
symbolic of how Latin America must get permission from the United States to engage in
foreign affairs. Every decision regarding foreign involvement must be scrutinized and
accepted by the United States before Latin America can act. This is because the United
States has a financial interest in Latin America, just like how the grandmother has a
certain investment in Eréndira that she wishes to see through.
The grandmother viewing Eréndira as an investment rather than a person is one
way in which Márquez exposed a social injustice that he witnessed in Colombian society:
child prostitution. In the film, Eréndira is forced into prostitution, as a young teenager, by
her grandmother. Her grandmother was her sole caregiver, therefore she had to choose
between being homeless and alone or being a prostitute. This situation is a prime example
of child abuse at the hands of their guardian, which is a societal issue that Márquez hoped
to draw attention to. Diane Marting explains, “The circumstances of Eréndira’s becoming
a prostitute emphasize the two adults’ abuse of their legal, moral, physical, and magical
power over a child...the Colombian’s protest against injustice becomes the salient
feature”(182). The grandmother was the only person that Eréndira felt that she could trust
and her grandmother took advantage of that. She exploited her granddaughter’s body for
her own financial gain. The grandmother, filled with greed and vengeance, was going to
do whatever it took to become rich and prominent once more, even if it meant sacrificing
Eréndira’s health and well-being. She no longer saw Eréndira as a human, but rather as a
good. As described by Thomas Kiely, “When the merchant buys Eréndira’s virginity, he
first weighs her and then haggles with the old woman over a price. The equation is clear:
Eréndira is the goods; the merchant a consumer...The point is that the man purchases sex
not from Eréndira but from the grandmother, who is the controlling presence throughout
this scene”. It is at this point that the viewers first see the decay of Eréndira’s human
value in the eyes of herself and her grandmother. She is no longer an independent human
being, but rather her grandmother’s possession. Prostitution wasn’t the only example of
child abuse that Márquez wished to expose. In a more symbolic sense, “In the metaphor
of prostitution, the author describes the vast proportions of the exploitation of human
liberty” (qtd. In Rockey 39). He stood up for all human liberties and sought to expose
67
�societal practices that devalued them. By using symbolism in most of his stories he was
able to stand up for a plethora of human and civil liberties without specifically naming
every single one. He also was able to expose multiple industries under the mask of
symbolism.
One industry that Márquez attacked in his political allegories was the media
industry. He believed that the media not only had the means to expose corruption, but
also had the information to. Instead of using what resources they had and doing further
investigation, they decided to sit back and let it happen. Children and women, like
Eréndira, suffered great injustices at the hands of society for decades in Colombia. People
saw it occurring, but no one wished to express their voice, as it was not a society of free
speech at the time. Women and children had no say in the fates they suffered. Female and
child prostitution was common. It was a matter of means rather than choice. Adult
women may have had the choice at one point, but as their economic status declined they
were forced to find some way to provide for themselves and for their family, if they had
one. Some children were forced into prostitution by their guardians, like Eréndira was, as
a way to help provide for the family since they were too young to work any other way.
As described by Diane Marting, “Eréndira does not ‘choose’ prostitution: for a man, for
economic survival, to feed her children, or for gain. She is unequivocally forced by the
shopkeeper and the Abuela” (182). All of these injustices were occurring right under the
nose of the journalists and reporters of the media industry and yet they decided to do
nothing about it. This was because they wanted to please politicians and escape
persecution and backlash from the male-dominated public. The photographer in the film
is Márquez’s representation of the media. The photographer follows Eréndira’s entourage
around the country. He makes his living by photographing Eréndira’s male suitors, thus
making a profit from the practice of paedophilia at the expense of Eréndira’s sexual
exploitation. In the film he states “I haven’t seen a thing”(Eréndira 1:09:57-1:10:10),
inferring that he will continue to not say or do anything about what he is witnessing. The
photographer had the information and the means of spreading the word about Eréndira’s
sexual exploitation at the hands of her grandmother and yet he did nothing about it. As
explained by Barbra Manyarara, “The photographer does not use his professional insights
to expose the abuse and his violent death by gunshot from precipitate police action speaks
of García Máquez’s disapproval of his opportunism and covert form of non-sexual child
commercial exploitation and the practice of paedophilia” (158). By violently killing off
the photographer, rather than killing off Eréndira’s male suitors, Márquez expresses that
observing horrific injustices, like the sexual abuse and exploitation of Eréndira, and not
doing anything about it or anything to help, is just as appalling as if the person was
68
�committing the crime themselves. As a result of the media’s inactivity, Márquez took it
upon himself to expose societal issues. He stepped up in the place of the media and used
his literature to bring to light to these inhumane issues. As well as to bash and embarrass
the media for not doing anything to expose these societal issues.
Another group of people that Márquez wished to criticize within his literature
were politicians. He believed that they had the authority and influence to change society
for the better and yet, just like the media, they did nothing about it. They allowed society
and politics to carry on in a downward spiral fashion. They swept social and political
injustices under the rug and they themselves performed acts of cruelty, as well as
corruption. In the film the Senator is representative of politicians. Throughout the film
the Senator performs multiple acts of corruption, the first being his relationship with
Eréndira. The act of being with Eréndira, an underage prostitute, sexually is a crime
within itself. He then goes on to accept a bribe from the grandmother. The bribe is that he
will be given the key to Eréndira’s chastity belt, so long as he allows the grandmother
and Eréndira to conduct their business without interference from the police. This exposes
the tendency of politicians to use what power they do have, in the wrong ways and for the
wrong reasons. They use their power only to reap personal benefits. Another criticism
that Márquez makes is that politicians make empty promises. When running for election,
politicians’ platforms are filled with policies that they hope to put into effect and goals
they hope to achieve during their candidacy. Márquez believed that politicians often
promised things that they had no intention of actually doing or they promised things that
just weren't physically capable of doing. In the film, during the Senator’s speech he
states, “In the realm of thirst and bad climate, exiles in our own land, we will be different.
We will be great, and be happy. We’ll have machines to make rain. We’ll distill oil of
happiness at home. Vegetables will grow in saltpeter and bougainvillea in the windows.
That’s how it will be ladies and gentlemen. That is how it will be” (Eréndira 0:51:000:53:00). Márquez clearly exaggerated the extent to which a politician is willing to make
an empty promise, by having the senator promise things like controlling rainfall and the
growth of plants. The senator obviously cannot control nature, but Márquez does this to
emphasize the absurdity of some of the promises that politicians make. It also emphasizes
that politicians are really willing to say whatever it takes in order to win over the general
population. This criticism also serves a cautionary purpose. Márquez hoped to warn his
audiences of the potential danger of blindly following the words of politicians without
thinking critically.
Gabriel García Márquez was a man of many roles. He served as an author, a
critic, and a muckraker. He sought to expose the political and societal indecencies when
69
�no one else would. His works of magical realism served more of a purpose than to just
install two separate views of reality in his audience’s eyes. Through his magical realism
he sought to expose and critique Latin American society, including the media and
politicians. He did so through the use of symbolism and hyperboles in his work of The
Incredible and Sad Tale of Innocent Eréndira and Her Heartless Grandmother. Through
the creation of the relationship between Eréndira and her grandmother, as well as
character traits of the Senator, and the photographer, Márquez was able to criticize
aspects of Latin American society and politics that he saw as unjust. He created these
works of political and social allegories because he wished to help his society in ways that
those before him never could. The well-being of Latin American citizens and the
prosperity of Latin America was always in his mind when writing his works of literature.
As described by Matt Reimann, “ García Márquez’s work is not only Latin American in
origin; it is inextricably Latin American in mood, setting, and perspective”. He was a
nationalist that was influenced by Latin America in every way possible. He absorbed the
culture that surrounded him and included it in his literary works. It is said that “The
legacy of García Márquez, the man described by his president as ‘the greatest Colombian
to ever live,’ appears to be getting brighter by the day” (Reimann). Márquez, through his
magical realism and allegories, gave Latin America a sense of pride, as well as a sense of
urgency to correct the wrongs of society.
Works Cited
Dhanabal, C. Postcolonial Perspectives in Select Novels of Gabriel Garcia Marquez.
Tiruchirappalli, 2011.
Guerra, Ruy, director. Eréndira. Cine Qua Non, 1982.
Kelly, Thomas. "Erendira: A not-so-innocent film." Jump Cut A Review of Contemporary
Media, www.ejumpcut.org/archive/onlinessays/JC31folder/erendira.html.
Manyarara, Barbra. Lost His Voice? Interrogating the Representations of Sexualities In
Selected Novels By Gabriel García Márquez. Pretoria, 2013.
Marting, Diane E. “The End of Erendira's Prostitution.” Hispanic Review, vol. 69, no. 2,
2001, p. 175., doi:10.2307/3247037.
Reimann, Matt. “The Legacy of Gabriel García Márquez.” Our Blog,
blog.bookstellyouwhy.com/the-legacy-of-gabriel-garc%C3%ADa-m%C3%A1rquez
70
�Rockey, Wilson. Fragments of Maturing Vision: Loneliness In the Early Writings.
Malappuram, 1999.
Swanson, Philip. The Cambridge Companion to Gabriel García Márquez. Cambridge
University Press, 2010.
Tanritanir, Bülent Cercis. “Oppressor, Oppressed And Gabriel García Márquez.” Journal
of International Social Research, vol. 9, no. 45, 2016, pp. 214–214.,
doi:10.17719/jisr.20164520601.
71
�Nazi Cinema: Ideology and Politics in Romantic Melodrama
John Badagliacca (Government & Politics and International Affairs)1
Political undertones were quite common in works of art within the Third Reich particularly within film. The Nazi government wasted no opportunity in using culture as a
weapon for advancing its ideology and platform. In some cases, the social messages
embedded into a work of art can be quite covert. They exist as a sort of subconscious
propaganda - an attempt to distribute the ideology of the Nazi Party without being
explicit in its aims.
Common Themes in Romantic Melodrama
“Melodrama” is a genre of film which typically displays an over sensational or
emotional story, frequently utilizing romantic plots. While this aforementioned tactic of
inexplicit propaganda was used in various artforms, its use in melodrama was particularly
notable due to the genre’s seemingly apolitical nature. Nevertheless, there was no such
thing as “apolitical” in the Third Reich. Even these films had their content examined and
approved by the Nazi government and themes can be found promoting various ideologies
such as the doctrine of Blood and Soil, emphasizing the “proper” role of women in the
Third Reich or directing hate against particular groups (as will be discussed later in this
analysis). Author Laura Heins, in her book Nazi Film Melodrama, writes “Third Reich
films were intended to have a strong emotional effect upon spectators of both sexes, but
this effect was never supposed to appear so carefully calculated that audiences would
become aware of the workings of ideology. The propaganda minister, as Sabine Hake has
pointed out, watched carefully over film projects to make sure that they did not have a
boomerang effect: “any excess of representation might threaten the precarious balance
between aesthetic and political intentions and give rise to dangerous forms of ‘reading
against the grain.’” Melodramas proved to be particularly problematic for Goebbels,
because their emotional effects sometimes led in the wrong direction” (Heins p. 23)
Films are capable of exerting emotion from the viewer and provoking thought.
The government utilized this power to control the flow of thought in their favor. This
raises the question: just what kind of ideology was promoted within melodrama? The
answer, however, would depend on the sort of melodrama that is being discussed. In the
1 Written under the direction of Dr. Laura Morowitz for AR291H: Art and Aesthetics in the
Third Reich.
72
�context of romantic melodramas, Heins writes “Her [The heroine’s] desires are multiple
and mutually exclusive and thus impossible within the economy of the classical film
narrative, or they are forbidden by some generally accepted moral code. The
melodramatic narrative thus attempts either to limit her desire and focus it on one object
or to purge her of illicit desires. In this way such narratives may serve a pedagogical or
ideological function by warning of the consequences of illicit acts or by training desire to
attach itself to the ‘correct’ object. Romance can thus be recruited for political service;
even if it does not name an external enemy, as does the most original form of the
melodrama, it can form desire in ideologically useful ways” (Heins p. 48).
Control of the flow of thought, as practiced by the Nazis, was an undertaking
reliant on emotion. Manipulation of human emotion to direct the masses into what is
“proper” was therefore highly important. Mary Elizabeth O’Brien, author of Nazi Cinema
as Enchantment: The Politics of Entertainment in the Third Reich, writes “Enchantment
as practiced by National Socialism is heavily dependent on intense emotional
evolvement. Precisely because emotions are non-rational and subjective, they do not
require explanation. One simply feels the rightness of an event or a relationship, and this
sentiment functions as a moral compass to evaluate the world and establish a point of
orientation. The underlying principles of classical cinema, identification with characters
and stars, emotional attachment and affective involvement in narrative outcomes, and the
ability to transform reality through a sense of magic and make-believe all contributed to
the enchantment of reality essential to the success of National Socialism” (O’Brien, p. 4).
Being able to control what is considered desirable is a powerful force. The
government is thus capable of creating an idea of sexual appeal and icons in popular
culture. Romantic melodramas construct the notion of an “ideal lover,” one who is
rewarded in some way by film’s end or demonstrated to be, in some way, morally or
humanly superior. Alternatively, the inverse may be true, as they may also construct the
notion of an “unideal lover,” or one who embodies qualities which are painted in a
negative light within the context of the film. The audience is thus instructed in their
partner choice and a culture is created where a particular, “correct” brand of lover is
created.
The heroines of Nazi romances often varied. Generally, however, they were
adventurous, lively and energetic in keeping with the popular ideals of the global World
War II era. While the Nazis did emphasize domestic servitude and empowerment for
women within the sphere of the home, melodramas rarely depicted this ideal. They
carried a fixation on upper-class fantasies and thus many women within melodramas had
servants who perform domestic activities for them. Without the shackles of homebound
73
�servitude, the melodrama heroine is capable of exploration beyond her traditional sphere.
She often utilizes seduction and ends up in a love triangle - a prominent staple of the
romantic melodrama genre. This notion of an adventuring woman manages to contradict
the Nazi ideal of empowered domestic servants while at the same time conforming to it.
The melodramatic heroine is entirely defined by her relationships and lovers. While she is
often conquering and imperious, usually ending up with a cadre of multiple lovers, she
nevertheless is frequently defined by these relationships with male characters and her
actions therein. These films, as a result, create an image of German women as both
modern yet also an extension of their male lover.
Die Goldene Stadt
Veit Harlan’s 1942 film Die Goldene Stadt is one such melodramatic work
which makes use of the aforementioned ideological motifs as well as others unique to it.
The film revolves around Anna, the daughter of farmer Jobst. Anna longs for a life in the
city of Prague, away from her simple countryside life - much to her father’s disapproval.
Over the course of the movie, Anna has romantic relations with three men: Thomas, a
farmer on the countryside; Leidwein, a Praguer engineer working on the Jobst farm; and
Toni, Anna's charming cousin living in Prague who only loves her in a bid to inherit the
family’s farm. Of these three, the latter two are the most important figures in Anna’s life.
Leidwein is depicted as a good-natured and caring man, representative of the beautiful
city which she longs to one day visit. Toni, on the other hand, is manipulative and
deceitful. He is a womanizer who seeks only to financially get ahead. Anna ultimately
ends up pregnant with Toni’s child and dies, drowning in the same swamp near her
family’s farm where her mother had died. Following Anna’s death, Jobst passes the farm
onto Thomas, the farmhand whom Anna was to marry at the film’s beginning.
Anna’s desire to travel to Prague and her multitude of lovers makes her quite
similar to the typical melodramatic heroine. She strives for modernity and is filled with
wanderlust and chooses to act on those desires to achieve them. Anna moves from lover
to lover, each one marking a different period in her life during the film. When she was to
marry Thomas, the message is that she is still wrapped in rural life. Her affair with
Leidwein demonstrates her move toward achieving that idyllic vision of the “golden city”
while her eventual relationship with Toni represents the harsh reality of city life settling
in and eventually taking its toll. As a result of these interactions, Anna is a character
entirely defined by her lovers. Her death at the end of the film seals the overall
ideological message of the journey from one man to the next. Stephen Lowry, in his
article Ideology and Excess in Nazi Melodrama: The Golden City writes “In Anna's
death, the film affirms the given ideology: social restraints clearly triumph over her
74
�desires. This conclusion, to be sure, comes as no surprise. As soon as Anna meets Toni, it
is clear to anyone even vaguely familiar with melodramatic convention that this
relationship, and most likely the film as a whole, will not end well” (Lowry p. 137-138).
These events would likely be apolitical to the layman who simply seeks a movie
on its entertainment value. However, they are laced with political and ideological
undertones. The consensus on the specifics of these undertones is, however, inexact.
Lowry writes “Assessments of the film's politics range widely. Many film historians
argue that it abounds with familiar emphases of Nazi ideology: anti-Czech nationalism
and anti-Slavic racism, Blut und Boden anti-urbanism, and misogyny” (Lowry p. 134).
All of these assessments, however, seem plausible even if they’re less than overt within
the film itself. Regarding Toni and his mother, Lowry goes on to write “They also can be
seen as caricatures of the Czechs. Toni and Maruschka are egoistic, calculating,
mercenary, and deceitful. Each character contributes directly to Anna's downfall. The two
figures possess the negative traits associated with villains in popular fiction. Similarly,
they reflect the same negative features that the Nazis attributed to their enemies,
particularly to the Jews” (Lowry p. 146). In effect, the film reinforces the Nazi’s
government’s consensus on Slavs and depicts them as an unscrupulous people willing to
use each other to get ahead.
Although, while the film certainly contributes to the racial politics employed by
the Nazis, a racialist message is not its central focus. The film is quite broad in the
messages it draws upon. As Lowry noted, another popular interpretation on its message is
the focus on the relationship between the countryside and the city. He writes “The
Golden City is hardly an exemplar of Blut und Boden. Were that the case, the farmer
Jobst - a paradigmatic blubo character, bound to the land and tradition - would have to
prevail. But he does not. In fact, he cedes his inheritance and power to the representative
of a younger (and modern) generation” (Lowry p. 144). While this is true to an extent,
another interpretation of this exchange is that Anna’s entire family was punished as a
result of her betrayal of her countryside origins. As Lowry pointed out, Jobst indeed did
not emerge as the victor of the film as he too was punished by having to bear his
daughter’s death and eventually ceded his land away to Thomas. However, his victory is
not necessarily needed to promote a message of Blut und Boden. Anna’s selfishness
which guided her to trade in her rural life for one of urban excess was the indirect cause
of her eventual death and, as a result, suffering for her father. She sought to break out of
her family but ultimately broke her family instead. The moral here would thus serve as a
warning to the viewers of the dangers of leaving the countryside for both themselves and
75
�their respective families - a notion which would therefore be in line with the Blut und
Boden ideology employed by the Nazis.
Zu Neuen Ufern
Hans Detlef Sierck was among the “giants” of Nazi and American melodrama.
However, he was ideologically opposed to the Nazi government. Eric Rentschler, in his
article Douglas Sirk Revisited: The Limits and Possibilities of Artistic Agency writes
“[Sierck] fused ‘the traditions of Weill, Ophuls, Brecht and Sternberg’ - and managed to
do so while being monitored by the Nazis. Seen in this light, Detlef Sierck's Ufa films
represented rare and surprising indications of aesthetic resistance against the Hitler order”
(Rentschler p. 153). Not all of Sierck’s films, however, fall under this umbrella of
“aesthetic resistance.” One of Sierck’s popular works, Zu Neuen Ufern (1937), is well in
line with Nazi ideals and ideology - a reminder that even a man who is not in line with
the Nazi government’s message must still kowtow to its strident film standards in order to
have any sort of presence in the world of film.
Zu Neuen Ufern tells the story of the relationship between English singer Gloria
Vane and aristocrat Sir Albert Finsbury, a couple hailing from 19th century London.
When Finsbury must leave for Australia to join the New South Wales Regiment, Gloria
(unbeknownst to Finsbury) accepts responsibility for one of his crimes in England in
order to be sent to the penal colony after her lover. When Finsbury finds Gloria in chains
in Australia, he refuses to marry her (which would free her from her imprisonment) due
to the cost that would come to his career. Gloria later meets Henry Hoyer, an Australian
settler who she agrees to marry only as a way to escape her prison. Gloria tries to find
Finsbury after her release only to learn that he is now engaged to the Governor’s
daughter. Gloria and Finsbury later engage in a painful meeting which leaves Finsbury
filled with remorse for his actions, prompting him to shoot himself on the eve of his
wedding. Gloria later finally has her delayed wedding with Hoyer at the film’s end.
Author Andrew G. Bonnell, in his article Melodrama for the Master Race: Two
Films by Detlef Sierck (Douglas Sirk), demonstrates the various ideological messages
rooted in Sierk’s film. One of the implicit messages pointed out by Bonnell is the notion
of pronatalism. He writes “On [Gloria’s] dark prison uniform is a large white number 218
shines clearly, over her left breast. The semiotic significance of this may seem obscure to
an English-speaking audience today, but to a German audience in the 1930s the sight of a
woman in prison uniform in connection with the number 218 would inevitably evoke
associations with Paragraph 218 (§218) of the German criminal law code, the law which
prohibited abortion. . .ˮ Thus, Gloria Vane's identity is reduced to her number, a number
76
�which every member of a German audience would associate with the law which singled
out women for punishment for abortion. She can, however, gain redemption through
obtaining a legitimate marriage. Here a pro-natalist population policy becomes an act of
mercy for women, offering them a second chance through becoming lawful wives and
mothers” (Bonnell p. 212). This analysis is especially interesting given that the topic of
abortion is never actually explicitly raised within the film. The pronatalist undertones are,
nevertheless, far too prominent to be dismissed as mere coincidence. Gloria’s prison
number is prominently displayed in such a way that the film makes it quite obvious that
the viewer is intended to see it. The strongly pronatalist Nazi government was strongly
against abortion in an effort to keep the German birth rate high and the population
growing. The implicit, almost subliminal pronatalist message imposed by the film is
therefore in accord with the prevailing ideology of the state.
We also see propagation of the Blut und Boden ideal. This is presented in the
form of the eventual pairing of Gloria and Henry Hoyer at the end of the film. Bonnell
writes “In the happy ending, Gloria and Henry Hoyer are reunited, and the well-matched
couple are able to start a new life on Hoyer's farm in the countryside: a 'blood and soil'
idyll far removed from corrupt urban life. The opposition between a fundamentally
healthy rural society, which formed the indispensable basis for a strong and healthy race,
and the corrupt city, where race-mixing and degeneration were ever-present dangers, was
one of the most basic and common tropes of Nazi discourse” (Bonnell p. 213). Hoyer is
the film’s underdog champion, the honest rural man who eventually wins the love of
Gloria. He contrasts the dishonest, city-dwelling Finsbury and is ultimately rewarded for
it with a happy relationship. The film paints a clear, positive picture of rural dwellers
using this characterization.
The film also uses its characters to highlight an anti-English and anti-capitalist
statement. Bonnell writes “It is true that the film presents a sociologically differentiated
treatment of the British upper classes: a decadent aristocracy; grasping, materialistic
merchants, and their upwardly mobile sons, who are caught between slavishly aping the
aristocracy and resenting the latter’s effortless social superiority; and hypocritically
moralising petits bourgeois. . . .ˮ The Englishness of these characters is constantly
stressed, something which cannot be said of Gloria or Henry Hoyer, who are free from
such stereotyping treatment. If viewed in isolation, it is possible to see the film as
conveying a critique of national stereotypes in German cinema at the time, the film fits
seamlessly into the pattern of anti-English propaganda familiar from later, wartime films
such as the Boer War historical drama Ohm Kruger” (Bonnell p. 213). This would
therefore be in line with the government’s aims. The Nazi Party was vehemently anti-
77
�capitalist and abhorred the English especially after their role repressing the German
people following their victory in the first world war. Depictions of the English as a
decadent people who are slaves to the aristocracy would thus fall into the realm of the
party’s aims. Reinforcing desired perceptions, even in such subtle ways, is key to the
victory of propaganda.
Comparisons
The similarities between Die Goldene Stadt and Zu Neuen Ufern may come as
quite obvious. Both melodramas seek to promote similar ideological goals. They are both
proponents of the Blut und Boden ideology although in different ways. Die Goldene Stadt
demonstrates punishment for turning against rural life while Zu Neuen Ufern
demonstrates reward for conforming to it. Anna ultimately met her demise while Gloria
achieved a happy marriage by their respective film’s ends.
Additionally, we also see similar themes in the role of women in society. Anna
and Gloria both are traveling, adventurous and modern women who take a journey in the
name of romance. They are, however, ultimately still defined by their relationships with
the male characters and cannot achieve happiness unless they are in ideal relationships.
To that effect, women are stressed as “champions of the birth rate.” The expectation in
the era of the two films was for women to seek out relationships and bear children for the
reich. Both of the melodramas carry a message for women that happiness cannot exist
without a good man in which to form an eventual family and creation of a new generation
of Germans. Therefore, while the films do paint a picture of “modern women” using the
characters of Gloria and Anna, they ultimately still reinforce traditional expectations and
values regarding their purpose.
Lastly, both films depict a negative image of the enemies of the Nazi state. They
both utilize negative stereotypes in order to stoke unpopular sentiment against said
enemies. In Die Goldene Stadt’s case, the subject of these stereotypes are the Czech
whereas in Zu Neuen Ufern, it is the English. This method of reinforcement adds
credence to the popular perception of these groups as deceitful and slavishly materialistic,
respectively. The ultimate goal of these unflattering depictions is to make it easier for the
state to justify hatred against them. It is far easier to paint a group as evil when the first
images to come to mind in the popular conscious are consistently negative, dehumanizing
traits.
Conclusion
The popular genre of melodrama, while frequently perceived as apolitical, was
actually anything but. The propagation of popular Nazi themes and motifs managed to
78
�leak their way into the genre and hide under the guise of subtext. As Harlan’s Die
Goldene Stadt and Sierck’s Zu Neuen Ufern demonstrated, even films created with the
primary purpose of “simple entertainment” may actually serve to forward a far more
nefarious agenda frequently without the audience’s knowledge. The melodrama genre
was, therefore, not immune to the politicization of art under the Third Reich and, like
other mediums of artistic expression, became an instrument of ideology by the state.
Work Cited
Bonnell, Andrew G. “Melodrama for the Master Race: Two Films by Detlef Sierck
(Douglas Sirk).” Film History, vol. 10, no. 2, 1998, pp. 208–218.
Harlan, Veit and Wolfgang Schleif, directors. Die Goldene Stadt. Gloria Film, 1942.
Heins, Laura. Nazi Film Melodrama. University of Illinois Press, 2013.
Lowry, Stephen. “Ideology and Excess in Nazi Melodrama: The Golden City.” New
German Critique, no. 74, 1998, pp. 125–149.
O'Brien, Mary-Elizabeth. Nazi Cinema as Enchantment: The Politics of Entertainment in
the Third Reich. Camden House, 2006.
Rentschler, Eric. “Douglas Sirk Revisited: The Limits and Possibilities of Artistic
Agency.” New German Critique, no. 95, 2005, pp. 149–161.
Sierck, Hans Detlef, director. Zu Neuen Ufern. UFA GmbH, 1937.
79
�“A Luminous Language”: The Paradoxical Role
of English as a Remnant of Colonialism in
Chimamanda Ngozi Adichie’s Half of a Yellow Sun
Elena Rotzokou (English)1
Within the framework of a postcolonial discourse, it can be argued that the
English language paradoxically poses as a point of disconnection as well as connection
between the characters of Ugwu and Odenigbo in Chimamanda Ngozi Adichie’s Half of
a Yellow Sun. In this paper, I will primarily indicate how, on one hand, the knowledge of
English has propelled the demarcation of academic as well as class boundaries between
the two characters in question, thereby creating a disconnection between them on both an
intellectual and socioeconomic, practical level, in addition to, consequently, inhibiting the
two from forging a human relationship, as well as generating individual anxiety in Ugwu.
Subsequently, by way of extension to the latter, I will indicate that Odenigbo’s privileged
position as a Nigerian whose knowledge of the English language, thus access to western
education, and in turn, induction into the Nigerian bourgeoisie that was created during
British rule and persisted upon the country’s independence (Griswold 225), breeds a type
of colonialist dynamic between him and the uneducated, lower-class Ugwu, a certain kind
of inner conflict whereby they seem to strongly embody the roles of colonizer and
colonized, respectively. Then, I will argue that, on the other hand, knowledge of the
English language seems to simultaneously paradoxically function as a connective force,
as the intellectualism it invests Odenigbo with allows him to bond with Ugwu through,
practically, transgressing the class boundaries established between the two as a result of
colonial influence in the past. Also, as a consequence of this connection, Ugwu benefits
from his anglicization not only in that his intellectual curiosity is awakened, but
additionally, in that his indoctrination into western education ultimately enables him to
realize Odenigbo’s dream of decolonization, by utilizing his knowledge to write his own
story as a black Igbo man. Hence, I will conclude my over-arching argument by thus
indicating how this paradoxical role of the English language in the relationship between
Ugwu and Odenigbo ultimately amounts to a greater paradox in Adichie’s novel,
suggesting that westernization can lead to mental decolonization.
1
Written under the direction of Dr. Ann Hurley for EN111: World Literature.
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�Primarily, it is important to trace the integration of the English language into
Nigerian society, in the colonial era, as this explains the language’s firm presence upon
the country’s independence. According to Safiya Garba, prior to the officialization of the
English language, pre-colonial education in Nigeria was fundamentally dissimilar to the
changes that it underwent over the course of British rule, as it was much more attuned to
the several tribes’ traditional village cultures. With its “emphasis on functionalism”, this
type of education was not framed on the basis of schools, but rather on practical
knowledge. That is, boys would normally be sent to “masters or apprentices” in order to
learn various vocations, while girls were expected to remain at home, for the purpose of
getting habituated to performing domestic chores successfully, preparing themselves for
motherhood. With the absence of any sort of “intellectual training”, this type of education
was ostensibly aimed at being of practical “relevance to Nigerians” (55). This remnant of
pre-colonial habits is seen through Ugwu in the novel, whose family sends him to work
as Odenigbo’s houseboy, the latter becoming his “Master.” As soon as the three tribes of
the region were officially unified into comprising one single nation, following the
implementation of British rule at the end of the 19th century, “western education” came at
first in the form of “Christian missionaries”, mostly prevalent in the southern part of the
country (Garba 56). In contrast to the typical pre-colonial type of training, this new,
western-oriented education was much more intellectually invested, emphasizing the
acquisition of skills pertinent to reading, writing, and religion, while the English language
became official, in the government, as much as in schools. Gradually, in the early 20th
century, those Christian schools were being increasingly supplanted and preponderated
by those so-called “government schools,” which were designed specifically to produce
teachers, people who would be able to utilize the kind of western-oriented, extensively
British education that they had received in order to continue “enlightening” other
“backward” Nigerians (Garba 57). Overall, access to education promised “higher
prominence” in social circles, as well as conferred a certain kind of status (Sekhar 115).
Firstly, on a practical level, the access to intellectual cultivation that knowledge
of the English language allows, determines, by extension, social stratification in postcolonial Nigeria. This inner discrepancy that is created owing to the power of a single
language and its pathways is delineated by Adichie in the relationship between Ugwu and
Odenigbo. As Henning Melber writes, the Nigerian middle class that rose in the country’s
colonial years, and persisted upon its independence, to which of course Odenigbo and
Olanna subscribe, “grew out of three intersecting processes,” with “the introduction of
Western education” being one of them (23). This type of mainly British-oriented
education, to which Nigerians had access either by means of “formal schooling,” like
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�Olanna’s, or through individual endeavors, as in Odenigbo’s case, who is an autodidact,
“fundamentally altered power relationships and forms of social stratification in
communities” (23). These “new sources of wealth and influence” were derived from
education, in addition to “administrative posts” favored by the British, a case in point
being Olanna’s and Kainene’s father. Therefore, a major determinant for the
configuration of the Nigerian “elite” was now knowledge of the English language, and
thus education, regardless of whether it was originally characterized by an “established
social status” (23).
In the novel, I would argue that Adichie delineates this discrepancy between
Ugwu’s lowly social status, and Odenigbo’s higher own status, thereby in turn indicating
the determinant force of the English language and education in a society that has been
subjected to colonialism. More specifically, as conveyed effectively through the use of
free indirect speech in the figure of Ugwu, Adichie draws attention to the class disparity
between the two characters, by mentioning that Ugwu “had never seen anything like the
streets that appeared after” he and his aunt “went past the university gates, streets so
smooth and tarred” (3). The social status that Odenigbo’s English education has accorded
him, since it has permitted him to work as a university professor of mathematics in a
naturally English-speaking university of Nigeria, is tellingly indicated in the above
passage. However, it should be noted that, at least in this instance, Ugwu does not
particularly exhibit or seem to feel any sort of intimidation at being confronted with this
rather westernized sight, as it is mentioned that “he itched to lay his cheek down” on
those tarred streets, as well as that he marveled at those “polite well-dressed men” around
him (3). I would argue that this can be regarded as indicative of the novel’s overall partly
favorable attitude toward the influence of western culture on Nigerian society. This
difference in regards to class is further suggested through the use of palpable sensory,
specifically tactile, imagery. For instance, Ugwu is described as wanting to reach out and
“touch the cement wall” of Odenigbo’s house, to see “how different it would feel from
the mud walls of his mother’s hut that still bore the faint patterns of molding fingers” (4).
Also, Ugwu’s hunger, another indicator of the contrast between his and Odenigbo’s
socioeconomic status, is registered through visual imagery, with him being taken aback
by the house’s fridge, this “white thing” that was “almost as tall as he was,” as well as
subsequently starting to eat chicken “until he had only the cracked, sucked pieces of
bones left in his hand” (6). Once again, in addition to shedding light on this
socioeconomic disparity, determined largely by this one factor of language, Adichie does
not really present Ugwu as being particularly resentful or daunted. Rather, the reference
to him having “opened it [the fridge] and gasped as the cool air rushed into his face,”
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�mostly suggests his marveling at this array of “oranges, bread, beer, soft drinks,” all
“arranged on different levels” (6). This implies Ugwu’s, and, I would argue, the text’s
positive attitude toward the privileges brought about by the presence of the English
language in Nigeria, despite in the same instance, drawing attention to its creation of
social disparities, with Ugwu being depicted as “quickly stuffing the food in his mouth
while his heart beat as if he were running,” hurriedly slipping “extra chunks of meat” into
his pockets (9). Once again though, a rather critical attitude on social divisionism is
expressed by both Ugwu, and the narrator, with Ugwu’s observation of the “wasted
space” of Odenigbo’s garden in comparison to “the tiniest plots” farmed by the people in
his village, containing solely “useful vegetables and herbs” (18), furthering the text’s
discourse on socioeconomic disparities as a remnant of colonial and societal changes.
However, it should be again noted that the text intimates Ugwu’s simultaneous attraction
to Odenigbo’s modernized lifestyle and household, as he is portrayed as luxuriating “on
this [his] new bed that was nothing like his hand-woven raffia mat,” the “springy softness
of the mattress” (10-11). Although the ambivalent role of post-colonial Nigeria’s
westernization in general is not the focus of this paper, it is vital to demonstrate the
suggested positive, even connecting influence of western influence in the lives of the
novel’s characters, as in a fashion it prefigures Ugwu’s attraction to and benefiting from
his exposure to western education.
Nevertheless, on another level, this class divide brought about by the degree of
accessibility to Western education, as dependent upon knowledge of the English
language, has created some internal conflict, not solely of a socioeconomic nature, but
also one of disruption of human relationships. Indeed, to substantiate this claim,
according to April Gordon, in the colonial and postcolonial years in Nigeria, following
the creation of the country’s middle class, there was “understandable hostility” between
“traditional Nigerians” and “educated” ones. From the point of view of the former, this
“new class” was seen as “a bunch of low-status, foreign upstarts,” who, “embracing the
white man’s ways,” were “considered to be unrepresentative of most Nigerians, who
were illiterate and rural or village-based peasant farmers” (81). Garba also draws
attention to this intratribal conflict, stating that “western education created a dichotomy in
the status of the people,” with “the difference between the rich and the poor becoming
clear” (58), while Walter Rodney writes that the new western-oriented systems were not
“designed to give young people confidence and pride as members of the society, but
sought to instill the sense of difference in the society” (58). On the basis of the above
statements, I would extrapolate into arguing that the relationship between Ugwu and
Odenigbo in the novel not only is exemplary of this newfound socioeconomic divide that
83
�the above writers allude to, but also, is one indicative of a certain disruption in human
relationships. The fact that it is composed, as I see it, of certain elements that even
remotely resemble colonial practices suggests the presence and impact of perennial
mental remnants of colonialism in the postcolonial years in Nigeria. More precisely,
although ideologically a tribalist who advocates the “decolonization” of Nigerian
education (25), Odenigbo’s behavior toward Ugwu strongly presents him as an
incarnation of the figure of the colonizer. Despite his egalitarian exhortation of Ugwu to
suspend with formalities and call him by his name instead of “sir,” as he believes in the
fluidity of power boundaries, meaning that Ugwu “could be the sir tomorrow” (16), his
employment of him as a houseboy comes across as a kind of cognitive dissonance, since,
as Ugwu observes, he is so “youthfully capable,” looking “as if he needed nothing” (6).
Furthermore, the colonial practice of erasure of speech seems present in the relationship
between Odenigbo and Ugwu, with the latter immediately addressing the former “in
English” upon first meeting him (4), adamantly demanding of him to speak English
instead of Igbo (22), as well as referring to him as a “stupid ignoramus” whenever he
fails to speak English satisfactorily (17). Moreover, Odenigbo’s appellation of Ugwu as
“my [his] good man,” an old-fashioned British affectation, seems to mark a codeswitch to
the colonial language, thereby enhancing this idea that the dynamic between the two
characters in a way indicates the percolation of colonial relationships into those that
posed once as the colonized. Odenigbo’s act of deculturation, as I would suggest, of
Ugwu, is further demonstrated by his rather coercive urging of him to read western
books, in addition to sending him to attend an elite secondary school, as well as to
subsequently “send him to university”, and deciding that “he would not marry until he
had become like Master, until he had spent many years reading books” (221). The above
is clearly akin to the typical pattern of deculturation and forced re-acculturation of
western countries inflicted upon their colonies, with Odenigbo imposing upon Ugwu a
western-oriented cultural and linguistic influences. As Emmanuel Ngwira observes,
Odengibo’s behavior toward Ugwu, in concert with his use of “my good man,” betrays
his internalization of Western education” (47), thereby allowing for the claim that the
character’s paradoxical privilege, determined by his conformity to western-instilled
cultural elements, and the advantage entailed by that in regards to his position in the
social gradient, creates a rift between him and the uneducated, traditionally Igbo Ugwu,
as well as confers upon him, paradoxically, the status of the oppressor.
The mental effects of this inner divisionism left from colonialism, manifesting
itself in the form of power dynamics that resemble the old colonizer-colonized dichotomy
is further indicated through Ugwu, namely by his suggested inner anxiety, as well as by
84
�his internalization and acceptance of what seems to be the figure of the “oppressed.” In
the first instance, Mukoma Wa Ngugi views Ugwu as “a victim of colonial education,”
since “language becomes a source of anxiety” for him (23). I would concur with this
observation, suggesting that the psychological dissonance inflicted by the powerful role
of the English language is intimated when Ugwu nervously wonders whether “Master
[would] send him home because he did not speak English well,” or “did not know the
strange places Master named” as a result of his superior education (12), while he is also
depicted anxiously trying “to appear as alert as he could” as soon as Odenigbo
indignantly starts raving about his father not having borrowed money to send him to
school, “because of the wild shine that had appeared in Master’s eyes” (13). Furthermore,
in another instance, Ugwu is shown “awkwardly” standing next to Odneigbo, while he is
passionately expounding on a white man deemed to have discovered River Niger, with
Ugwu silently wishing “that this person called Mungo Park had not offended Master so
much” (14), while it is subsequently mentioned that he was “convinced that Master was
mad” (14). Lastly, I would argue that the divisive as well as psychologically disturbing
effects of the English language are further intimated in the novel, although not directly
pertinent to the characters of Ugwu and Odenigbo and their relationship, yet with some
underlying significance. In one case Olanna addresses Ugwu in English, and “because
she hardly spoke English to him,” “it sounded cold, distancing” (302), while in the
second case, the narrator summarizes Odenigbo’s educational and class-related privilege,
stating that “he was the master, he spoke English, he had a car” (311), in the context of
asserting his clout over the traditional, uneducated Arize. The above examples point
toward the immense power conferred upon those who have been molded by British
colonialism’s westernization, education, and class re-constitution, as well the role of the
English language as, perhaps, a barrier, a marker of “distance” between people
themselves even in the years following the termination of colonial rule. Furthermore, the
role of English as appropriating one’s culture is symbolically conveyed, I would argue
through the allusion to Robert Browning’s well-known British poem “The Pied Piper of
Hamelin”, which Odenigbo has asked Ugwu to memorize (106). The speaker’s feeling of
being “bereft” about not having been led to this Eden-like place where “waters gushed”
and “fruit trees grew” by the Pied Piper, like “he said”, like he had “promised me [him]”
as well, (106), can be paralleled to the sinister effects that Ugwu’s “strange and new”,
“luminous” (28) education is having of him, divesting him of his own culture, as well as
mentally enslaving him.
In the second instance, I would argue that Ugwu’s internalization and
acceptance of his status as Odenigbo’s inferior and servant reinforces this idea of
85
�language and its re-fashioning of class boundaries as well as mental enslavement due to
its intellectual implications, as a barrier. As far as class disparities are concerned, Ugwu
is mentioned as “wanting to do more [work], “to give Master every reason to keep him,
and so one morning he ironed Master’s socks” (17), while he is referred to as
“determined to please Master” (7). On an intellectual level, Ugwu’s passive acceptance of
his subservience is implied when it is mentioned that he would utter the word “sah” in
reference to Odenigbo “proudly”, being attracted to “the crisp power behind the word”
(16). More importantly, his belief in the putative superiority of the English language is
strongly suggested when he thinks of it as “magic,” as this “superior tongue,” this
“luminous language,” and being enthralled by its musicality and “easy perfection” (28).
In the same vein, Ugwu is shown deciding to use a grammatically correct English phrase,
“because it sounded better,” “because it would impress her [Olanna] more” (28). I would
argue that the above two instances suggests a form of mental conformity on Ugwu’s part,
meaning that his belief in the luminosity and greatness of the English language, renders
him highly reminiscent of typical associations of oppressed, colonized people, with a
sense of almost juvenile ignorance and childlike admiration for the putative majestic and
superlatively intellectual grandiosity that they are confronted with, aching to emulate it, if
not perhaps rather a stereotypical trope thereof.
Nevertheless, on the other hand, the apparent ambivalence with which Ugwu
and Odenigbo are both treated lends itself to the suggestion that the English language, in
fact, perhaps also functions as a binding factor between the two, in addition to marking a
certain social as well as intellectual disparity. Indicators of its role as a connector is,
firstly, the fact that Odenigbo, with his persistence and fixation regarding English and
western education seems to indeed succeed in stimulating Ugwu’s intellectual curiosity,
at least in principle, denuding him in a manner of his Igbo language and culture.
Examining the aforementioned instances through an alternative lens, Ugwu’s attempt “to
appear alert” upon seeing a “wild shine” in Odenigbo’s eyes while discussing the
former’s discontinuation of attending school (13) could be construed as Ugwu not so
much suggestive of the breach inflicted upon human relationships by the advent of the
English language, as well as of Ugwu’s anxiety, but, in fact, of Ugwu feeling positively
motivated. Odenigbo’s reprimand of him over not attending school seems to pique his
pride, implying that he is sensitive to how he is perceived, thereby now being prompted
to appear “alert” and show interest. Also, Ugwu’s determination to “learn how to sign
forms” (16) further implies the intellectually stimulating effect Odenigbo has had on him.
Even his pride about calling Odenigbo “sah,” as well as his “scrubbing the doors daily”
and “wiping the louvers until they sparkled” (16) can be regarded, I would argue, not
86
�necessarily as an indication of Ugwu’s internalization of subservience, thereby
introducing the discourse regarding a divisive colonizer-colonized dynamic discussed
above, but rather, of his curiosity to learn. As Adichie writes, the radiogram with the
English “strange flutelike music” would reach Ugwu’s ears (17) while he was performing
chores, which is subsequently juxtaposed next to the phrase that he “wanted to do more”
so as to “to give Master every reason to keep him” (17). In this instance, the English
language is arguably presented as a point of aesthetic and intellectual attraction for
Ugwu. Likewise, it attracts Ugwu to Odenigbo as much as it distances him from him.
Even the boy’s alert response “Sorry, sah!” to Odenigbo’s somewhat invectively calling
him a “stupid ignoramus” (17), may be seen as part of Ugwu’s determination to “please
his Master” (6) in order to remain in this house that so attracts him. It may also be seen as
illustrative of his admiration for what Odenigbo, in fact embodying, by extension, a
rather stereotypical facet of the “oppressed” as childishly ignorant and obsequiously
venerating. Furthermore, Ugwu’s view of English as this “luminous” and “superior”
language (28), as well as his determination to use it correctly because “it sounded better”
(28) can be seen as portrayed in a positive light, meaning as part of the poor houseboy’s
fascination with a new piece of knowledge, as opposed to a lamentable sign of his
deculturation and mental enslavement. His boosted sense of self-worth as a result of his
exposure to learning is further implied by the fact that it is mentioned that, overhearing
Olanna’s observation to Odenigbo that Ugwu “has such an innate intelligence”, the latter
phrase “became Ugwu’s favorite expression” (107).
Even on the part of Odenigbo, his attitude toward Ugwu can be seen not
suggestive of his embodiment of the figure of the “colonizer,” due to his paradoxical
privilege, but, in fact, as transgressive and disruptive of the extant class-related and
intellectual boundaries between the two, especially in view of Odenigbo’s own trajectory
from a poor background in a village to a westernized university. Odenigbo’s conduct
toward Ugwu does not seem as paradoxical when considering it in view of his socialist as
well as anti-colonialist political beliefs, as, on a practical level, his treatment of him
seems to flout conventional class boundaries. His protestation to Ugwu about ascribing to
him the “arbitrary” word “sir”, when in fact “you [he] could be the sir tomorrow” (16)
can be seen as flouting the boundaries between master and servant. Likewise, even his
not so polite calling Ugwu a “stupid ignoramus” is, in fact, meant to reprehend the latter
about having ironed the former’s socks (17), thus, curiously, about having endeavored to
conform to the typical role of a servant. Also, in the former instance, Odenigbo’s implied
belief in class mobility, which ostensibly derives from his exposure to such ideologies
through his western education, counterintuitively, enables him to act toward the
87
�transcendence of this social disparity between him and Ugwu, created by colonialism. His
education and place in this newfound privileged Nigerian middle class allows him to
contribute toward the disruption of such class boundaries. On a similar note, Odenigbo’s
appellation “my good man”, in addition to arguably being reminiscent of the tone of
hypocritical ingratiating quality embedded in colonial codes of communication, can also
be viewed, according to Daria Tunca, as connoting “a form of respect” (23), since “it is
typically used when speaking to adult males rather than young teenagers” (23). Hence,
this vocative “recognizes the existence of class boundaries even as it challenges
established social conventions” (23), linking again to my over-arching argument about
the ambivalent and paradoxical relationship of both connection and disconnection
between the two characters. This ambivalent attitude as far as class discrepancies are
concerned has already been indicated on the part of Ugwu, in the sense that his
intimidation sense of distance stemming from his impression of Odenigbo’s household
seems simultaneously peppered with awe, while it can also now be seen as standing more
to reason, in consideration to his motivated attraction to Odenigbo’s representation of a
middle-class, educated, adequately westernized yet nationalist Nigerian discussed above.
To make a link back to Odenigbo, on an intellectual plane, his obsessive and somewhat
comically portrayed preoccupation with Ugwu’s education and use of the English
language may be regarded as suggestive of his affinity for him, as again, he ostensibly
hails from a similarly humble background, thus creating a bond between them, as
opposed to marking an intellectual rupture, or even sense of superiority on Odenigbo’s
part. Also, his active interest in Ugwu’s western-oriented education can be accounted for
in consideration of it, paradoxically, as a means of aspiring to decolonization, as will be
subsequently indicated. In that light, it is possible that the fact that Odenigbo has Ugwu
memorize Robert Browning’s poem, and specifically “think” about what “it is really
saying” (106), can be interpreted as him being in fact aware of the poem’s sinister
undertones and its plausible parallelism to the wily advent of British education and
influence in colonial Nigeria and its long-term effects, thereby perhaps endeavoring to
make Ugwu memorize the verse for a reason, in order to arrive at some kind of
comprehension, and even take action, which, in fact, he does.
This rereading of my argument about the conjoining power of the English
language and its access to education in terms of Ugwu’s relationship with Odenigbo, but
also, the former’s connection to his Igbo culture, is perhaps best justified by looking at
Ugwu’s initiative to write a book to tell his own story, a fact which gives rise to an even
greater paradox. With Odenigbo’s tribalist and socialist ideology as well as his personal
sympathy and understanding having academically incentivized Ugwu, they have also
88
�evidently ultimately amounted to instilling a similarly anti-colonialist ideology in him.
Having come across Frederick Douglass’s Narrative of the Life of Frederick Douglass,
an American Slave (360) while serving as a Biafran soldier, Ugwu feels “sad and angry
for the writer” (396), sympathetic towards the “black man’’s survival of the clutches of
colonialism, and about his right and power to tell his own story. He is thus instigated to
start writing his own narrative account of his experiences of the Biafran War. As Maik
Nwosu and Obiwu Iwuanyanwu observe, Douglass’s narrative “provides Ugwu with a
form and a language for claiming liberation and authorship for Biafra as well as himself”
(181). I would extend this argument into positing that indeed, the English language and
thus his entire indoctrination into western education, function as an invaluable tool for
Ugwu, enabling him to demythologize himself as much as others about, paradoxically
enough, his Igbo ethnic and even cultural identity. Moreover, on a less ideological, more
personal level, Ugwu’s act of crafting his own narrative further suggests that his
experience with Odenigbo has acted as an intellectual trigger for him as a personality,
allowing to ultimately realize his “own literary ambition”, as Nwosu and Iwuanyanwu
point out (181). His self-actualization and mental or ideological intersection with
Odenigbo are accomplished through his anglicization.
In conclusion, the English language’s paradoxical role in Half of a Yellow Sun
lies, on the one hand, in its creating class, intellectual, and even interpersonal barriers
between the characters, especially as exemplified through Ugwu and Odenigbo, as well
as inner conflict and anxiety, in addition to loss of identity, in the case of the former.
Moreover, it can ultimately lead the perpetuation of a type of intra-tribal conflicting
dynamic between colonizer and colonized. On the other hand, though, its knowledge and
resulting access to western education provides, on a practical level, middle-class,
relatively privileged Odenigbo with the ability to comprehend socialist ideology, which
he can communicate to Ugwu, thereby amounting to them not only, in fact, connecting to
one another, but also enabling the transcendence of those class boundaries that divide
them. On an intellectual level, Odenigbo’s somewhat forceful indoctrination of Ugwu
into British education not only arouses Ugwu’s intellectual curiosity, as well as increases
his sense of personal worth, but also, ultimately, enables him to both realize and utilize
his own potential, as well as to both mentally decolonize himself, and contribute toward
his culture’s own mental decolonization, through writing his own account of the Biafran
War. In that respect, he can also realize Odenigbo’s idealism and vision, thereby
indicating the bond Ugwu’s westernizing experience has effected between the two as
well. That route, therefore, that the now quite anglicized Ugwu ultimately follows
constitutes the greatest paradox delineated in the novel.
89
�Works Cited
Garba, Safiya J. “The Impact of Colonialism on Nigerian Education and the Need for ELearning Technique for Sustainable Development, Journal of Educational and Social
Research, vol. 2, no. 1, 2012, 53-61.
Gordon, April A. Nigeria’s Diverse Peoples: A Reference Sourcebook. ABC-CLIO,
2003.
Griswold, Wendy. Bearing Witness: Readers, Writers, and the Novel in Nigeria.
Princeton University Press, 2000.
Melber, Henning. The Rise of Africa’s Middle Class: Myths, Realities and Critical
Engagements. Zed Books Ltd., 2016.
Ngwira, Emmanuel Mzomera. ‘He Writes About the World that Remained Silent’:
Witnessing Authorship in Chimamanda Ngozi Adichie’s Half of a Yellow Sun”, English
Studies in Africa, vol. 55, no. 2, 2012, 43-53.
Nwosu, Obiwu, and Michael J.C. Echeruo. The Critical Imagination in African
Literature: Essays in Honor of Michael J.C. Echeruo. Syracuse University Press, 2014.
Sekhar, G. Raja. “Colonialism and Imperialism and its Impact on English Language”,
Asian Journal of Multidimensional Research, vol. 1, no. 4, 2012, 111-120.
Tunca, Daria. Stylistic Approaches to Nigerian Fiction. Springer, 2014.
90
�Genocide in Myanmar: The Plight of the Rohingya People
Ethan Meyer (History)1
During the closing weeks of the Second World War, Allied armies witnessed for
the first time Nazi Germany’s Final Solution. The reports made, and the pictures taken by
the Allied soldiers, clearly indicated that the Nazis had committed the largest genocide in
human history, killing up to 12 million people. In a letter to the Archbishop of
Canterbury, Sir Winston Churchill, Prime Minster of the United Kingdom, had this to
say: “Free men and women denounce these vile crimes and when this world struggle ends
with the enthronement of human rights, racial persecution will be ended.”2 Despite Mr.
Churchill’s powerful words and even with the establishment of the United Nations (U.N.)
as a global peace keeping force, the world has seen three more genocides since the end of
World War Two. Despite well-documented proof of genocide in Cambodia (1976-1979),
Rwanda (1994) and Bosnia (1995), the U.N. has done little to nothing to stop this.
Shockingly, yet another genocide started in 2017, this time in the South East
Asian country of Myanmar. The Rohingya, a Muslim ethnic minority has been under
attack by Myanmar’s Buddhist ethnic majority for the last year. The Buddhists have
brought forth legislation to remove the rights of Rohingya and committed acts of violence
such as destruction of property, rape, and mass murders against the Rohingya. Based on
the existence of anti- Muslim propaganda, legislation preventing citizenship, satellite
imagery showing the destruction of Rohingya villages and the large number of refugee
camps in Bangladesh, the atrocities committed against the Muslim- Rohingya in
Myanmar clearly represent the qualifications necessary for the United Nations to label the
persecution of the Rohingya as a genocide, thus warranting international intervention.
The United Nations defines genocide as
any of the following acts committed with intent to destroy, in whole or in part, a
national, ethnical, racial or religious group, as such: killing members of the
group; causing serious bodily or mental harm to members of the group;
deliberately inflicting on the group conditions of life calculated to bring about its
physical destruction in whole or in part; imposing measures intended to prevent
Written under the direction of Dr. Lori Weintrob for HI 334: Nazi Germany and the
Holocaust.
2 Sir Winston Churchill, Letter to the Archbishop of Canterbury (The Sir Winston
Churchill Archive Trust, 1942), 1.
1
91
�births within the group; [and] forcibly transferring children of the group to
another group.3
This paper will explain the historical implications that caused the genocide, the atrocities
suffered by the Rohingya, the perpetrators and their motives, and what the United
Nations and free people of the world should be doing to end the plight of the Rohingya
people.
Although the current genocide itself only started last year, the Rohingya have
been under attack in Myanmar for decades, with the roots of the genocide buried deep in
the age of European colonialism. During the 19th century, when Myanmar was known as
Burma, the British fought a series of wars to subjugate the country, incorporating it into
British India. After consolidating their power in the region, the British set to the task of
stripping the land of its resources, that being timber, rice, rubies and in true British
fashion, tea. But as all colonial empires do, the British wanted “MORE”. This meant they
needed more laborers and the source of this labor would come from the west coast of
Burma from predominantly Muslim people who traced their heritage back to the 13th
century Arakan Kingdom, known as the Rohingya people, meaning “People from
Arakan.”4 The British would bring more Rohingya to Burma from Eastern British India,
what is today Bangladesh, to meet their labor quotas. Although, many Rohingya had
lived in Burma for centuries at this point in history, the Rakhine, the local Buddhist
population on the Burmese west coast who also trace their ancestry back to the Arakan
Kingdom, came to associate the presence of the Muslim- Rohingya with oppressive
imperial rule since the British had brought more of them to Burma and till this very day
the Rakhine view all of the Rohingya as intruders, in what they consider to be their land.
The events of the Second World War would only exacerbate the Rakhine’s
hatred of the Rohingya. In December of 1941, the Japanese Imperial Army invaded
British Burma through the south of the country. Many native Burmese rose up in
rebellion against the British, treating the Japanese as liberators. The Rohingya however,
stayed loyal to the British, fighting alongside them against the Burmese.5 The Rakhine
and other Buddhist revolutionaries would consider the Rohingya traitors for this action
and this would directly lead to the start of state sponsored discrimination against the
Rohingya in the years following the end of World War II.
Office of the U.N Special Advisor on the Prevention of Genocide, Legal Definition of
Genocide (The United Nations, 1948) 1.
4 Eleanor Albert, The Rohingya Crisis (Council on Foreign Relations, 2018) 1.
5 Agence France-Presse, Tracing history: Tension between Rohingya Muslims, Buddhists
date back to British Rule (Hindustan Times, 2017).
3
92
�The Post-War era in Burma would see the greatest increase in hatred toward the
Rohingya as The Union of Burma was declared an independent republic in 1948. During
this time Burma’s citizenship laws excluded the Rohingya from the 1950 list of selfidentifying people groups, leading to a vast majority of the Rohingya population lacking
legal documentation, thus they were locked from any social or political freedoms within
the new republic.6 As the 20th century carried on, things would only get worse for the
Rohingya, as in 1962, the republic was overthrown by the Military Junta, effectively
turning the country into a military dictatorship. This new autocratic government
dismantled the country’s constitution and barred the Rohingya of their citizenship in the
1982 Citizen Act, claiming that the Rohingya people were illegal immigrants from
Bangladesh. The Junta Government also used Buddhist Nationalist propaganda to help
assert their authority. This propaganda included changing the countries name back to its
pre-British title, Myanmar, and also troves of anti-Muslim rhetoric directed at the
Rohingya, using them as a scapegoat for the cause of the countries poverty. In reality, the
blame for Myanmar’s poverty is at the feet of the Junta themselves as 40% of the national
budget was spent on the military.
The first act of violence that was committed against the Rohingya was done by
the Military Junta in 1978 during “Operation Dragon King,” when the Junta used rape
and violence to try and drive the Rohingya out of Myanmar, but this attempt failed. In
1991 the Junta would launch a second campaign against the Rohingya with the stomach
curling title of “Operation Clean and Beautiful Nation,” causing 250,000 Rohingya to
flee to Bangladesh, however this operation was unsuccessful as well because many
Rohingya simply returned to Myanmar afterwards.7 This 50 year period of violence and
propaganda only further exacerbated the Rakhine’s previously aforementioned hatred
towards the Rohingya, as the Rakhine were now heavily influenced by both the Junta’s
anti- Muslim propaganda and ethnic cleansing campaigns, turning them into Buddhist
Nationalists.
In 2011, the Junta, under foreign pressure, allowed the return of a democratic
government in Myanmar. One would think the return of democracy to Myanmar would
end the oppression of the Rohingya, but in cruel twist of fate, it would only see the
persecution of the Rohingya continue. Any attempt by Myanmar’s government to liberate
the Rohingya was stopped by the manipulation of the democratic system by Buddhist
Nationalists. For example, Buddhist Nationalists out voted a bill that would issue ID
Albert, The Rohingya Crisis, 2.
Sam Ellis, The "Ethnic Cleansing" of Myanmar's Rohingya Muslims Explained (Vox,
2017).
6
7
93
�cards to the Rohingya, which would have reversed the 1982 citizenship law. In the state
of Rakhine, (AKA the Arakan State), the disputed homeland of both the MuslimRohingya and Buddhist- Rakhine peoples, the Buddhist Nationalists won a majority in
the state assembly, giving them the power to keep in place the discriminatory laws of the
Junta era, meaning even in a democratic system, the Rohingya still had no rights.8
Violence broke out again in 2012 when three Muslim men were accused of
raping and then murdering a Buddhist woman in the State of Rakhine. These men were
then tortured and executed by Buddhist Nationalists. As if this was not enough, the
Nationalists then killed ten unarmed Rohingya men in cold blood, which caused the
Rohingya to riot in Buddhist neighborhoods. The Buddhists Nationalist launched a brutal
retaliation with the support of the government security forces and burnt down any
Muslim neighborhoods and villages, displacing a similar number of Rohingya to that of
“Operation Clean and Beautiful Nation.”9 These attacks only lasted for a couple of
months and after the violence had ended the Rohingya again returned to Rakhine State. It
was after this event, based on the “restrictions on marriage, family planning,
employment, education, religious choice, and freedom of movement” placed upon them
by the government and suffering from violent persecution from Buddhist Nationalists,
Human Rights Watch officially labeled the unfolding events in Myanmar as ethnic
cleansing, an action the United Nations considers to be just one step below genocide.10
The current conflict started on August 25th 2017, when The Arakan Rohingya
Salvation Army (ARSA), a Rohingya militant group - considered a terrorist organization
by Myanmar - attacked a border station, killing 15 Rakhine officers. In response, the
Myanmar security forces and Buddhists Nationalists retaliated against not just the ARSA
but all the Rohingya people. This started with the destruction of Muslim neighborhoods
and villages and soon escalated to rape, and mass murder like in 2012, but unlike the
2012 attacks that lasted from only June to August of that year, the August 2017 attacks
have carried on into April of 2018 with no end in sight. This has resulted in far more
destruction of Rohingya property with 288 villages being destroyed within the first month
alone. Evidence for this resides in the comparison satellite imagery of Rohingya villages
from June of 2017 to September of 2017, showing the burnt husks of hundreds of Muslim
houses. Since September the number of Muslim villages burned in the Rakhine State is
now at nearly half.11 Aung San Suu Kyi, who is basically Myanmar’s George
Albert, The Rohingya Crisis, 2.
Ellis, The "Ethnic Cleansing."
10 Albert, The Rohingya Crisis, 3.
11 BBC News, Myanmar Rohingya: What you need to know about the crisis (British
8
9
94
�Washington, addressed these images in December of 2017. She said that more than 50%
of the villages were still intact and gave no comment on how the government would
respond to the attacks. This address was critiqued by the Deputy Director of the Human
Rights Watch Asia Division, Phil Robertson, who said “in any school I went to, 50% is a
failing grade.”12 The destruction of these villages since August of 2017, have caused the
deaths of around 7,000 Rohingya, with at least 730 of them being children. Additionally,
680,000 Rohingya have become displaced, almost three times as many that were
displaced in 2012. For perspective, there were only around one million Rohingya living
in the Rakhine State before the 2017 attacks, meaning around 68% of their population has
been forced to flee the country, with some going to Thailand and Malaysia, but the vast
majority fleeing to Bangladesh. Eight huge make shift refugee camps have sprung up in
southern Bangladesh, with the largest hosting over 240,000 people. Due to the strong
influence of Buddhist Nationalists within the government, Myanmar has thus far refused
to let United Nations human rights investigators to enter the country, making further
investigations extremely difficult.
These acts of violence are being committed by the Rakhine’s Buddhist
nationalist party, the Arakan National Party, who hold a majority in the Rakhine State
Assembly. The nationalists have a variety of excuses as to why they are committing
these atrocities against the Rohingya. The most common is the historic excuse that the
Rohingya are illegal immigrants from Bangladesh and that they don’t belong in the
country. The Rakhine also use the existence of Rohingya militia groups like the ARSA,
to give a reason why they are “defending themselves” from what they perceive to be an
internal threat. They believe that the problems caused by these groups serve as
justification for their actions and that the removal of the Rohingya is necessary for the
stability of the state. Furthermore, the Buddhist nationalist party and their former leader
Aye Maung argue that their violent actions against the Rohingya are in self-defense and
have little to do with the fact that the Rohingya are Muslim. This argument is
contradicted by other Buddhist nationalists like the head priest of the Abaya Yakheta
Monastery in the Rakhine state capital of Sittwe, U Nan Daw Ba Tha, who believes the
Rohingya Muslims present a threat to the Buddhist traditions and ideals of the country,
which he says must be preserved so Myanmar does not become Muslim country.13 This
claim is further supported by a quote from Dr. Aye Chan, a Rakhine historian and
democracy activist who says “Our land (Myanmar) is a strong land and we cannot share
Broadcasting Company, 2018) 4.
12 Ellis, The "Ethnic Cleansing."
13 Al Jazeera Investigates, The Hidden Genocide (Al Jazeera English, 2013).
95
�it with illegal Bengali aliens…both the country and state have a responsibility to protect
Buddhism and the welfare of the people.” Dr. Chan also co-authored a paper that dehumanizes the Rohingya titled Influx Viruses: The Illegal Muslims in Arakan which
argues the Rohingya are viruses infecting the Rakhine homeland.14 In addition, cartoons
of machete-wielding Rohingya babies have circulated on social media, further showing
how the nationalists have tried to de- humanize the Rohingya.15
If any of this sounds familiar, it is because the Nazis’ actions during the
Holocaust were very similar. They argued that the Jews were a threat to the German race,
believing that Jews and other “non- desirables” would bring about the destruction of the
German people, just as the Rakhine fear Islam for their Buddhist traditions. The
discriminatory laws introduced to remove the rights of the Rohingya are also eerily
similar to those that proceeded the Holocaust in Nazi Germany. In 1935, the Nazis
introduced the Nuremburg Laws, which stripped the Jews of their citizenship. There is no
doubt that the exclusion of the Rohingya from the 1950 list of self- identifying peoples
and the 1982 citizenship law is the Rohingyas version of the Nuremburg Laws as both
these pieces of legislation stripped the rights of their respective minority groups.
Not only does persecution of the Rohingya share similarities with the Holocaust,
but it also fits the definition of genocide perfectly. Dr. William Schabas, a member of the
International Association of Genocide Scholars, states that it is appropriate to call
persecution of the Rohingya a genocide because “the actions are carried out with the
intention to remove or destroy the group.”16 Dr. Schabas’ statement linking action to
definition, combined with the aforementioned evidence of anti- Muslim propaganda,
discriminatory laws, acts of violence and the existence of refugee camps, coupled with its
similarities to the events of the Holocaust, is irrefutable proof that the persecution of the
Rohingya MUST be considered a genocide by the United Nations. It is imperative that
the United Nations intervene in Myanmar in order to liberate the Rohingya people from
the Buddhist- Rakhine Nationalists, who must be arrested and tried in International Court,
so they can be held responsible for the crimes against humanity. It is also important to
remined the free people of this world that they have a responsibility to denounce these
vile crimes, so that the enthronement of human rights can finally end racial persecution,
as Sir Winston Churchill once boldly proclaimed. For if we do not denounce these vile
crimes and we do not hold those responsible for these vile crimes accountable, then
Al Jazeera Investigates, The Hidden Genocide.
Francis Wade, Myanmar: Marketing a Massacre (NYR Daily, 2017) 2.
16 Al Jazeera Investigates, The Hidden Genocide.
14
15
96
�humanity is doomed to repeat the mistake of Genocide over and over again. End the
Plight of the Rohingya NOW!
Bibliography
2013. The Hidden Genocide. Performed by Al Jazeera English .
Albert, Eleanor. 2018. "The Rohingya Crisis." Council on Foreign Relations. February 9.
Churchill, Sir Winston. 1942. "Could Britain have done more to help the Jews in the
Second World War?" Churchill Archives for Schools. October 29. Accessed May 1,
2018.
France-Presse, Agence. 2017. "Tracing history: Tension between Rohingya Muslims,
Buddhists date back to British rule." Hindustan Times. September 16. Accessed April 19,
2018.
2018. "Myanmar Rohingya: What you need to know about the crisis." bbc.com. January16,
http://www.bbc.com/news/world-asia-41566561.
2018. "Myanmar: Accountability for Ethnic Cleansing Urgently Required." Human
Rights Watch. March 12. Accessed April 19, 2018.
Nations, The United. n.d. "The Offfice of the U.N Special Adviser on the Prevention of
Genocide." un.org.
News, UN. 2017. UN report details 'devastating cruelty' against Rohingya population in
Myanmar's Rakhine province. February 3.
2017. The "Ethnic Cleansing" of Myanmar's Rohingya Muslims, explained. Directed by
Sam Ellis, Kimberly Mas, Carlos Waters and Valerie Lapinski. Performed by Vox.
Wade, Francis. 2017. "Myanmar: Marketing a Massacre." NYR Daily .
97
�“Nobody Returns:” Exploring the Limitations of Derrida’s
Hauntology in Edwidge Danticat’s Claire of the Sea Light
Glen MacDonald (English)1
On the day of her birth, Claire Limyè Lanmè lost her mother, altering her life
forever. Born into a community haunted by issues ranging from the personal to the
political, they label her as a revenan as a result of her tragic origins. Through an
exchange of life for death, Claire’s mother will forever haunt her daughter despite never
even knowing each other. Claire’s spectral struggle is merely the focal point in the novel
of multiple hauntings. Edwidge Danticat’s Claire of Sea Light explores the complexities
of hauntings, demonstrating the literal effects on both individuals and the community as a
whole. Danticat’s text engages with Jacques Derrida’s theory of hauntology.
In Specters of Marx, Derrida coined the term hauntology to describe a state of
simultaneously being and non-being. This perspective is seen as nostalgia through a
supernatural reverence for past or potential futures. The idea explains how contemporary
society recycles older tastes and cannot escape social traditions. Ideologies such as
Marxism would haunt the Western world, regardless if the ideas were successfully
implemented into society. Derrida explains this is done paradoxically through “ghosts”
and demonstrates what creates a ghost and defines their function.
Derrida provides a “spirited” definition of hauntology; “Repetition and first
time: this is perhaps the question of the event as question of the ghost. What is a ghost?
What is the effectivity or the presence of a specter, that is, of what seems to remain as
ineffective, virtual, insubstantial as a simulacrum? Is there a there, between the thing
itself and its simulacrum, an opposition that holds up? Repetition and first time, but also
repetition and last time, since the singularity of any first time makes it also a last time.
Each time it is the event itself, a first time is a last time. Altogether other. Staging for the
end of history. Let us call it hauntology” (Derrida 10). For Derrida, a ghost is a
personified event, feeling, or ideology, either from the past or future, which returns to
“haunt” individuals in the present. The notion of hauntology is present in all cultures,
especially those under colonial rule. Entire nations of people, including Danticat’s
homeland of Haiti, still struggle with hauntings of a tragic past and a grim possible
future.
1 Written under the direction of Drs. Alison Arant and Susan Bernardo for EN425: Senior
Seminar.
98
�Christian televangelist Pat Robertson also views Haiti from a hauntological
perspective, albeit entirely inappropriate. Commenting on the 2010 earthquake which
devastated the nation, Robertson claimed Haitians earned the tragedy through occult
dealings. On his television program the 700 Club, Robertson told his audience,
“..Something happened a long time ago in Haiti, and people might not want to talk about
it. They were under the heel of the French. You know, Napoleon III and whatever. And
they got together and swore a pact to the devil. They said, ‘We will serve you if you will
get us free from the French.’ True story. And so, the devil said, ‘OK, it's a deal.’ And
they kicked the French out. You know, the Haitians revolted and got themselves free. But
ever since, they have been cursed by one thing after the other. Desperately poor…
Dominican Republic is prosperous, healthy, full of resorts, et cetera. Haiti is in desperate
poverty. Same island” (James). Robertson absurdly claims the spectres which haunt Haiti
stem the moral failings of the oppressed yet he does not acknowledge the original failings
of colonialism which continues to haunt the Haitian people in numerous ways. As
evidenced by Danticat’s novel, the specters of colonialism create even more spectres to
haunt the Haitians, both privately and publicly.
Edwidge Danticat’s hauntological perspective demonstrates how in postcolonial
systems, hauntings become a literal struggle for the former colonized. The community
featured in the novel is haunted by numerous elements from their past which delays their
appreciation for the present and they are thus unable to secure an improved future. The
most prevailing example is the community’s focus on death and ghosts. Hauntings affect
not only the greater political realm but also family life throughout the novel. These
political hauntings create a wide array of systemic issues, stemming from Haiti’s
historical colonial order. Meanwhile, the hauntings of family life deeply affect how a
family member views themselves within the community- such as a father, mother, or
child. While Derrida’s theory of hauntology is present both civic and intimate
relationships, this thinking leads to the misery of the individual. Many of the characters
wish to rectify their present situation yet remain focused solely on an imagined future
crafted by memories of the past.
In Claire’s town, death and corruption run rampant. The novel frequently
mentions horrific tragedies, often spurred by local corruption. The political world of
Claire of the Sea Light is unable to function as a fair democracy because the business
world haunts the community’s leaders and institutions. The prime example is Albert
Vincent, an undertaker and mayor. When Vincent is first introduced to the novel with a
humorous yet troubling observation- “He kept both positions, leading to all of jokes about
the town eventually becoming a cemetery so he could get more clients” (Danticat 4).
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�Vincent simultaneously maintaining the roles of political leader and businessman is
problematic as it divides his interest between civic responsibility and personal profit.
While it is evident Vincent engages in crony capitalism, his breed of corruption stems
from darker periods of Haitian history.
The character of Albert Vincent is a haunting portrayal of Haitian dictator
François “Papa Doc” Duvalier whose corruption greatly influenced the nation, even years
after his death in 1971. Duvalier profited as leader while his citizens became further
impoverished, helping himself to the enormous sums of international relief (Abbott).
Likewise, Vincent, as undertaker, profits from the deaths of his citizens thereby providing
no incentive to improve the systemic problems. A death from police brutality, gang
violence, the crumbling infrastructure, or inadequate access to healthcare increases
Vincent’s personal wealth. This issue is made explicit in the text; when a fisherman goes
missing and a search party ensues, “one of the fishermen around the bonfire said loudly
enough for everyone to hear that the mayor part of him was investigating a disaster, but
the undertaker side was trolling for corpses. In fact, Albert Vincent was looking around
him, as if searching not just for a corpse, but a ghost” (Danticat 29). Vincent’s personal
business haunts his practices as a politician. His “search for ghosts” signifies his concern
with shallow ventures, such as his own personal profit or amassing power for the wealthy
elite. As Vincent/Duvalier exists in both the political and economical realm, the leaders
are unable to effectively provide for the Haitian people. However, while Duvalier’s rule
is strictly totalitarian, Vincent’s reign is more closely linked to the colonial masters who
previously presided over Haiti.
The remains of the colonial masters still haunt the community. For example, an
unfinished castle looms over the town; “The castle, one of the town’s most remarkable
relics, had been left unfinished in 1802, when Pauline Bonaparte’s husband died from
yellow fever and she sailed with his body back to France. Some of its stone walls
remained, although no one had seen fit to make any type of official monument out of
them” (Danticat 47). By leaving the castle unfinished, the French colonizers create a
haunting reminder of French rule over Haiti. Also, as one of the town’s “most remarkable
relics” the unfinished European castle overshadows the oppressed Haitian culture and
history. Obviously, the community struggles to accept this as a part of their shared story
because “no one had seen fit to make any type of official monument out of” the
colonizers. There is no reason for a monument because the spirit of the colonizing
Bonapartes never left the island, their exploitive values still an active force within the
community.
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�In the 18th century, France colonized Haiti and profited of the island’s many
resources. Formerly known as the Pearl of the Antilles, Haiti became the richest islands
in the French empire. However, the massive sums of wealth resulted from exploiting
more than 800,000 enslaved Africans (Henley). While Vincent does not echo the horrors
of slavery, he does profit from a similar economic exploitation of Haitians. As slaves
were treated like cattle in order to produce profit for the French empire, Vincent is
incentivized to treat his citizens as “clients” for his undertaking business. The specters of
slavery, colonialism, and crony capitalism continue to haunt the politics affecting
townspeople in Danticat’s novel. These hauntings, reminiscent of Haiti’s darker periods,
limit the functions of government, causing the wealthy elite and impoverished public to
reenact a master-slave relationship.
The town’s haunted politics establishes a wealthy elite capitalizing off the
suffering of others. Louise, a radio DJ, reveals how the those with power and influence
exist beyond the reach of the law. After learning that Max Ardin Junior, a member of a
prominent family, raped Flore, his maid, Louise laments the futility of the town’s justice
system- “What good would it have been done to have filed a police complaint against
Max Senior’s son? A few dollars to some low- or high-level police official would get
Max Junior off. Case in point, one of Max Senior’s best friends was the current mayor”
(Danticat 174-175). The sexual exploitation of Max Junior’s servant is hauntingly
reminiscent of slave owners raping their female slaves with no repercussions. Despite
slavery being illegal in Haiti, Flore is subjected to the specter of the practice. Flore is at
first unable to stop working at her rapist’s house as she must work to pay her mother’s
rent. Through the crony capitalism, Flore finds herself “enslaved” to the Ardins. It is only
through Max Senior’s hush money that Flore is able to remove herself from the traumatic
situation. Essentially, Flore is only given her freedom via the willing participation of her
master. Under a political rule marred by business incentives, Flore receives limited rights
and legal protections from abuse such as rape or other forms of exploitation. The specters
of colonialism still haunt individuals via crony capitalism. Additionally, this haunting
negatively influence the legitimacy and efficiency of the town’s justice system.
As Louise previously revealed, the police force will not persecute members of
the town’s elite. However, as Vincent’s selfish choices haunts the town’s politics,
fundamental qualities such as justice become commodified. For example, Gaëlle
Lauvaud, a wealthy fabric vendor, wishes to bring her husband’s killers to justice but is
not ignorant of the town’s corruption, acknowledging, “Her husband’s murder was never
going to be solved. That she knew. There would never be a proper trial. Bribes and
corruption would keep anyone from being brought to justice” (Danticat 145). As a result,
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�Gaëlle must purchase, as she puts it, “another type of justice” by hiring two Special Force
policemen to track down and murder the men who killed her husbands. Gaëlle’s actions
are troubling for two reasons; firstly, this option is only available to people like Gaëlle,
whose inherited wealth and privilege allow her to take the law into her own hands.
Secondly, even blood split in avengence, the deaths did not bring any peace to Gaëlle.
Rather, the assassinated men only profit Albert Vincent, whose leadership, tainted by his
funeral business, only encourages civil unrest and division.
Another result of the hauntings of colonialism via crony capitalism is the vicious
gang, known as chimè, or ghosts. The novel describes the gang as “street children who
couldn’t remember ever having lived in a house, boys whose parents had been murdered
or had fallen to some deadly disease, leaving them alone in the world” (Danticat 65). The
novel’s use of ghostly imagery to name the gang hints at their hauntological inception.
The shortcomings of Haiti’s corrupt system by way of crony capitalism results in dozens
of vicious orphaned children inhabiting the streets. The sins of previous generations
negatively influence a portion of the children in the novel, introducing them to a life of
crime. Disturbingly, older people continue to take advantage of the “ghosts.” For
example, people like “ambitious business owners as well as politicians used them to swell
the ranks of political demonstrations, gave them guns to shoot when a crisis was needed,
and withdrew them when calm was required” (Danticat 65). Once again, the business
world bleeds into the political realm to exploit the disadvantage. However, these
individuals were already a result of the corruption through the conflicting marriage of
business and government. The town’s nefarious elite creates a disadvantaged, orphaned
class via corruption then proceeds to exploit them to complete their own goals of personal
wealth and authority. The name “ghosts” signifies how the children exist outside of time.
Without any parents or guardians, the children have no history to cling onto. Likewise,
with no civic programs to provide them with an adequate quality of life, the children are
rejected a promising future.
This injustice does not go unnoticed by other characters in the novel. For
example, Bernard, a radio DJ and activist, uses his radio program (also called Chimè) to
expand the definition of “ghosts” from not just the gang members but to everyone who
felt abused by the corrupt system. Bernard planned to open his show “with a discussion
of how many people in Cité Pendue had lost arms, legs, or hands. He would go from
limbs to souls- to the number of people who lost siblings, parents, children and friends.
These were the real ghosts, he would say, the phantom limbs, the phantom minds,
phantom loves that haunted them because they were used, then abandoned, because they
were out of choices, because they were poor” (Danticat 82). Bernard is arguing to shift
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�the focus of ghosts from a historical or fringe menace to an actual, current issue which
plagues the community as a whole. However, despite his advocacy for the improvement
for the community, Bernard is shot when caught in the crossfire of Gaëlle’s hitmen. Even
though the incidents where unrelated, the community’s vast corruption quickly disposed
of any attempt to rectify these issues. The general corruption which haunts the town is so
invasive it is able to almost immediately snuff out any individual who presents a
challenge to said corruption. This ensures corruption remains the order for the
community. Without awareness to the corruption, the specters of colonialism continue to
enslave the people.
The only people to benefit in the community is the elite. While wealthy
individuals Albert Vincent and Max Senior may yearn for a prosperous future, it comes at
the cost of the vastly corrupted present via harmful, historical practices such as slavery or
colonialism. Hauntology is also seen affecting those on a more intimate scale, concerning
family life.
In Danticat’s novel, even positive forces such as love possess the ability to
haunt. For example, family life depicted in the novel is haunted by the same love that
binds the characters together. Every member of a family is affected by love, whenever it
would be romantic or sexual or reciprocal or unrequited or ancestral or current. This love
then haunts an individual, shaping them throughout the course of their life. This haunting
between an historical self and present self creates tensions for the novel’s children.
Perhaps the most unfair notion of familial hauntology in the novel is the belief
of the revenan which describes the mother haunting the child. This notion is disturbing
because it upsets the sequence of time. The inherent hauntological perspective of
motherhood is that the child exists in an unlife status during the gestation period. While
the child is present in the moment it does not receive their autonomy under months later
and cannot fully exist without assistance from the mother. In many ways, the child haunts
the mother. However, the community insists the mother also haunts the child, as implied
by the term revenan. The term describes “a child who entered the world just as her
mother was leaving it. And if these types of children were not closely watched, they can
easily follow their mothers into the other world. The only way to save them is to
immediately sever them from the place they were born, even for a short while. Otherwise
they will spend too much time chasing a shadow they can never reach” (Danticat 16).
This superstition makes the community view the revenan not as an individual self but
rather as a self-entangled with the ghost of their mother. What is even more problematic
is the proposed remedy for a revenan- “to immediately sever them from the place they
were born.” As if punishment for killing their mother during birth, the child must be
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�removed from present society to absurdly reconcile with a tragedy from the past. It is this
dissociation with the past which causes the children of Claire to be haunted.
As a revenan, the child cannot access the ancestral love which is frequently
referred to in her community. However, while ancestral love is noted, it is not revered.
The remains of the community’s ancestors rest on a location known as Mon Initil or
“Useless Mountain.” In the novel’s final chapter, it is revealed there is a possibility that
the community’s ancestral space will be plowed over, making room for luxury estates for
the wealthy elite. At one point in time, the community of Claire had reverence for their
ancestors, as evidence by the special burial place. While pre-colonized ancestors seem to
honor the dead, the specters of capitalism seem to have eradicated this tradition.
Currently, a death is not opportunity to honor an individual but an opportunity for the
wealthy, like Mayor/undertaker Albert Vincent, to enrich themselves. Without access to
ancestral love but forever being reminded by it via the community, the children in Claire
become haunted by the ghosts of the family they never met or had. The most prominent
example is Claire and how she views herself as a revenan.
What clouds Claire’s self-image is how she is struggling to see past the tragedy
in her past as she continues to go through life. While a healthy connection with her
ancestors could solve her issues with identity, Claire’s haunting by her mother keeps her
from receiving any resolution. Even though Claire’s mother is by all accounts a
compassionate woman, her love for Claire is used against her. Claire is unable to avoid
any comparison with her mother, as the town further the idea of the mother haunting the
daughter. For example, the vendors of the community remark how similar Claire is to her
mother, although this notion causes Claire some confusion- “Every now and again, one of
the vendors would shout, ‘Just like her mother!’ and she would ask herself what else she
might do to make them say even more often that she was just like her mother. Besides
dying, that is” (Danticat 213). The greatest tension for Claire is she is forever compared
to a dead woman who is still very much a present force in her life. Claire struggles to
emulate someone she can never forget, nor never met. The inability to satisfy this
perception causes Claire to be miserable.
In another example, Claire reveals she is hurt by her father’s recounts of her
mother’s last words were to her. Her mother says a single word, “vini” or “come,” to
welcome her to the world. While this is a tender, compassionate moment, the haunting of
her mother does not allow Claire to fondly reflect on this fact as it is tainted by her
father’s misery. The novel reveals “The way he told the story always made [Claire] feel
like someone who had shown up uninvited somewhere, as if she shouldn’t have come. As
if her mother’s death were her fault” (Danticat 218). The haunting of her mother bothers
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�Claire because while her mother is no longer physically present, she will forever exist
through her daughter. Like her mother who carried her in the womb, Claire is forced to
carry the memory of her mother with her for the rest of her life. She must subject herself
to a spectral pregnancy, with the sequence in time forever reversed. Even Claire’s
immediate caregiver, her father Nozias, struggles to view her as Claire the child, not
Claire the mother. Nozias describes Claire as a “...loose-jointed and gangly,
heartbreakingly, a smaller version of her mother” (Danticat 25). The haunting of Claire’s
mother negatively affects the relationship between Nozias and his daughter. As Claire is
said to be haunted by her mother, Nozias is unable to reconcile with her death and
therefore unable to maintain a close relationship with his daughter, the cause of his wife’s
death.
Unsurprisingly, to escape her deeply haunted life, Claire hides in the mountain
in which the ancestors’ remains are buried. She treats the area as her sanctuary and
briefly decides to live there among the spirits. By doing so, Claire attempts to reconnect
with the ancestral connection she missed out in her previous years. Although this could
be viewed as a positive homecoming for Claire, this is also deeply troubling. Claire plans
to stay on the mountain and observe her father from afar- “He would be sad, but maybe
he wouldn’t leave the beach or (the town). Maybe he would stay, just as he had when she
was living with her mother’s family. He might stay close, waiting, hoping for her to
return” (Danticat 234). Essentially, Claire plans to haunt her father. As this is a result by
the haunting of Claire’s mother, this only leads to more familial haunting, affecting every
member of the family. The ghostly imagery concerning this scene continues- “She’s
heard some of the fishermen’s wives say that the spirits of those who’d been lost at sea
would sometimes come ashore to whisper in their loved ones’ ears. She would make sure
he felt her presence too… She would go away without really leaving, without losing
everything, without dying” (Danticat 234-235). The only way for Claire to find peace is
to actual replicate the haunting of her mother. By doing so, she feels a better connection
to not only her ancestors or mother but also her father. In this capacity, she is able to
engage in a meaningful relationship with Nozias who is no longer haunted by his wife via
his daughter. If both become ghosts, Nozias is no longer tormented and able to reconcile
with the tragedies of the past. However, the community’s encouragement of the revenan
concept limits the potential for individuals, particularly children, to live full, satisfactory
lives.
This type of haunting also affects the aforementioned gang of parentless
children, or the chimè. While the gang is also a result of greater political hauntings, the
immediate cause of their situation is a dissociation with an ancestral connection. Haunted
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�by what they never had, the children must rely on themselves and their limited
opportunities, usually leading them to a life of crime. By addressing them as “ghosts” the
town is not inclined to acknowledge their actual suffering.
Like Claire with her revenan status, the perceived haunting associated with the
gang puts the responsibility on the children, not on the circumstances which created a
roving band of dangerous children. Even Max Senior, a member of the elite, is somewhat
aware of how his generation’s poor influence on the community’s children. When
concerned for his own son, Max Junior, he muses, “There was something tragic about a
generation whose hopes had been raised, then dashed over and over again. Had they been
poisoned by disappointment? Their leaders and elders- including himself- had made so
many promises that they’d been, for whatever reason, unable to keep… Maybe his
generation was the problem. They’d built a society which was useless to their children”
(Danticat 186-187). The self-investments of ambitious elite men like Max Senior and
Albert Vincent haunt the children of the community. The unholy marriage between
business and politics, creates a corrupt system which does not properly function and is
therefore “useless.” In a classist society, the poorer children suffer the most, through
political and familial neglect, thus imbuing them with ghostlike qualities. However, this
notion affects all of the children in Danticat’s novel, including children of the wealthy
elite.
An example of this is the character Max Junior. While both of his parents are
alive, Max feels a dissociation concerning his parents. Although Max Junior is able to
impress his father through his scholarship, he still recognizes a disconnect between them.
Max Senior routinely voices his personal criticism with anything unfamiliar, particularly
involving the feminine. Subjects like a woman’s piercing, a woman hosting her own
radio show, or a woman’s attempts to discipline disagree with Max Senior. Max Senior’s
sexist ideology haunts Max Junior, who is modeled after his father. However, the key
difference is the son does not share the same sexual appetite as his father. As a closeted
gay man, Max Junior is haunted by his father’s traditional, pro-male agenda.
The Ardin men share the same first name, similar to Claire and her mother. The
relationships haunt each other. Max Junior is haunted by Max Senior’s sexism. As
evidence by his distaste of independent women, Max Senior disagrees with any type
which challenges the capitalistic ideals which allowed him to thrive. Therefore, Max
Senior views outliers such as female independents as threats to his way of life. In the
community depicted in Claire, gay men are perceived as feminine, as exemplified by
community’s mocking nickname for Max Junior- “Madame.” As Max Junior becomes
associated with a subject which his father detestes, Max Junior rebels against this
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�perspective. Haunted by his father’s sexism, Max Junior rapes Flore in a warped attempt
to gain his father’s respect. Danticat makes his motivations explicit- “He had foolishly
wanted to prove something to his father that night, that he could be with Flore. He wanted
his father to hear her screams” (196). Earlier in the novel, it is realized that Max Senior
has no issues with sleeping with an employee, as he does not develop any romantic
feelings with his partners. In fact, despite Max Senior participating in numerous affairs,
he never regards his lovers in any romantic sense. Max Senior’s methodical manipulation
of women is point in which Max Junior tries to emulate. This is why Max, who is usually
described as a thoughtful and gentle child, is able to commit such a horrid act on another
person. His actions towards women are the haunted reflection of the Max Senior’s history
of women.
Conversely, Max Senior is haunted by Max Junior. Multiple times in the text,
Max Senior declares how his son will ultimately return, imbuing his son with revenantlike imagery. The belief that Max Junior will “return” to his father demonstrates how
Max Senior’s son and his actions will be an extension of himself. Despite having no
control over another autonomous individual, Max Senior believes his role as father is to
defend the family’s legacy. When pondering about his grandson conceived by his son’s
rape, Max Senior projects his own parental hauntings onto his grandson and Flore- “Let
her school him on legacy, how one should defend it at all cost. Let her learn one day how
to forgive him and eventually to forgive himself” (Danticat 184). Here it is revealed that
Max Senior is also haunted by ancestral love. Unlike Claire who has no connection with
her ancestors, Max Senior is able to identify himself through his legacy. He understands
it is through his legacy which will maintain his comfortable lifestyle. The relationship
between the ancestral and the capitalistic becomes entwined. In this regard, Max Senior
allows for the colonial/capitalistic system to haunt his perception on family life. This is
the case for most of the men in the novel. As the various hauntings associated with
pregnancy and childbirth are optional to men, many opt to instead be haunted by the
spectres of colonial system. While this haunting is still troubling, it allows men like Max
Senior to gain personal wealth. Even men in lower economic classes, such as Nozias, are
not required to engage in the more intimate hauntings concerning motherhood. To escape
his heartache after his wife’s passing, Nozias throws himself into his work as a
fisherman, thereby providing for his family without having to explicitly deal with the
complexities of raising a daughter. As men are encouraged to participate in the colonial
system more than women, hauntings of family life mostly shape a family’s women and
children.
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�These biased, patriarchal hauntings resulting in namely women to deal with the
complexities of familial hauntings. For the men in the novel, the family life is not as
much an intimate affair as it is for the women. Throughout the novel, the mother role is
closely associated with misery (such as the loss of the child, conceiving a child by rape,
or dying via childbirth). The society in Claire practice a solemn reverence towards
motherhood, yet the same definition greatly limits the lives and fates of the mothers in the
novel. For mothers, the role itself haunts them.
The troubling depiction of motherhood stems from the supernatural perception
of the role. The novel shares many superstitions involving childbearing- the most
prominent being that motherhood is the gateway between life and death. This perception
adds a cosmic amount of weight on the role of the mother regarding the outcome of a
child. However, as Danticat’s text demonstrates, the role of the mother is mostly arbitrary
in regards to the chaos of the world. While this perception treats mothers like goddesses,
it does not accept their mortal anxieties and situations. Danticat’s writing depicts the
actual version of the community’s mothers; scared, confused, and suffering from
pregnancy pains. Particularly for Gaëlle, pregnancy is not the cosmic journey involving
life and death but rather a tragic, nine-month slog in which a possible future growing in
their womb tantalizes the mother.
During Gaëlle’s pregnancy, she is told her child will not survive yet she decides
to carry the baby to term, “to see the whole thing through” (Danticat 50). For her entire
pregnancy, Gaëlle is haunted by the more than likely possibility of her child dying during
birth. This knowledge is stressful to Gaëlle who does not know how to respond to the
complicated hauntings of an unborn, dying child. Without the ability to properly identify
with the child growing inside of her, Gaëlle begins to hate herself and her baby. For
example, “Among the many dreadful, difficult things about her pregnancy after the
doctor’s dire verdict, was that she had grown to hate the smell of her own body. Most
days she smelled like a latrine. The very air that floated around her disgusted her. And
sometimes, even though she had decided to keep it, the child growing inside of her
repulsed her too” (Danticat 59). Like Claire, the hauntings create a negative self-image
for Gaëlle. Yet while Claire is haunted by the past, Gaëlle, as a mother, is haunted by the
future. Gaëlle possesses much love for her unborn child. Yet as the child exists in an even
more extreme definition of unlife, she struggles to successfully express this love for the
source of her hauntings.
The community’s encouragement of the hauntological aspects of motherhood
results in women no longer being autonomous with their bodies. Pregnant women are not
regarded as individuals but rather as passive vessels for spirits. This is furthered revealed
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�when Gaëlle swallows the corpse of a dead frog. Once consumed, Gaëlle reflects how
“Two types of animals were now inside of her, in peril: her daughter, Rose, and now this
frog. Let them fight it out and see who will win” (Danticat 59). The ambivalence in this
passage reveals how Gaëlle is no longer invested in her present situation, as she is too
preoccupied with the future. Additionally, she names her daughter after one of her
ancestors. In this way, Gaëlle is also haunted by the past as well. Therefore, with no
actual connection to the present, Gaëlle begins to think less of herself as a person and
more as a bloated, organic receptacle for souls.
This is not the only time in the novel where a woman’s body is regarded in such
a manner. After Claire’s birth, the community finds it odd for Claire’s mother to perish in
childbirth despite being a healthy woman- “People assumed that a battle had taken place
and the one with the stronger will had won. Nozias like to think of it, though, as kind of
loving surrender. Only one of them was meant to survive and the mother had surrendered
her place” (Danticat 16-17). This perspective is not an honest account of what happened.
To infer the mother’s body as a spiritual battleground glorifies her agony and pain.
Nozias describing her death as a “loving surrender” unfairly renders his wife as passive
character. Too pure for this world, Claire’s mother must only exists as a ghost. By
imbuing mothers with passive, ghostlike qualities the community creates a entirely new
class of spectres, adding to the town’s growing population.
The greater colonial hauntings directly target the lives of women in Haiti.
Patriarchal traditions, implemented by colonialism, shape how men view the women of
the community. For example, Max Senior dislikes when younger women, such as his
son’s friend Jessamine, express their own individuality. Max Senior closely examines
Jessamine; “She was a stunning girl with an African mask of a face, all high forehead and
high cheekbones, giant loop earrings, and one gold stud on either side of her cheeks. She
was obviously one of those modern girls, the kind of girl from whom frankly he didn’t
think he would be able to welcome with open arms into this family, with her cheek studs
and hippie tunic and the word POP tattooed in red-link calligraphy across the insides of
both her wrists” (Danticat 182). Max Senior’s depiction of Jessamine is one of the few
explicit mentions of race throughout the novel. Immediately identifying her by her
African descent, Max Senior’s exclusive attitude is troubling. He struggles to welcome
her into his family, wishing to segregate himself and his legacy from the unfamiliar. He
dislikes independent females, or “modern girls,” because they pose a threat to the
traditions set in place by colonialism. In order to continue successfully exploiting women
within the colony, the elite must continue to depower women’s roles within society.
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�This move only allows women to express themselves through certain roles
approved by the elite. As an American college student, Jessamine does not fit into an
exploitable category in agreement Max Senior’s haunted colonial perspective. With an
education and personal wealth, Jessamine is able to express herself through body
modifications and tattoos as she is not subjected to the same degree of colonial
oppression. The Haitian women of the community do not possess the same options as
Jessamine because they exist within a system which limits their access to education and
personal wealth.
Scholar Gayle Rubin identifies the complexities of this struggle in her essay
“The Traffic in Women.” She demonstrates how certain societal systems treat the
individual female as a commodity. Focusing on the practice of marriage, Rubin explains
how women often find themselves being used as an exchange. Rubin writes, “There are
systems in which there is not equivalent for a woman. To get a wife, a man must have a
daughter, a sister, or other female kinswoman in whom he has a right of bestowal. He
must have control over some female flesh” (Rubin 918). The Ardins engage in this
practice of controlling the female flesh. Max Senior frequently sleeps with his employee,
Louise. Through this relationship, intimacy occurs between the two of them. He exploits
this to his advantage by pressuring her to work certain jobs and to deal with the issues he
wishes to avoid. Through their intimate relationship, Max is able to get Louise to do
things she would not choose to do for herself, thus successfully stripping her away of her
autonomy. Similarly, Max Junior maintains control over Flore while under his father’s
employment. As mentioned previously, Flore must continue working for the Ardins
despite being raped by Max Junior because her family is in desperate need for money.
Thus, like any commodity, Flore is able to be exploited. The colonial hauntings allow for
men like the Ardins to take advantage of the women they employ, without immediate
legal consequences due to a corrupt justice system. Through these hauntings, the specters
of colonialism still commodifies women.
Derrida’s theory of hauntology employed by the community in Claire damages
both core political/familial relationships and the individual’s own self-image. Danticat’s
novel directly speaks against the misconceptions created by hauntology. Towards the end
of the novel, Gaëlle talks to Claire and attempts to dismantle the significance concerning
revenan, stating, “That revenan talk is superstition. Nobody returns. That is not real.
You’re gone. You’re gone. Back in God’s hands, and no one can pull you back. Not you.
Not you, Claire” (Danticat 162). Although not a entirely religious person, Gaëlle invokes
the figure of God to demonstrate issues concerning the sequence of time are beyond
individual’s control. The idea of haunting, although seemingly supernatural, is created by
110
�the human desire of immortality, by remaining simultaneously in the past, present, and
future. However, Gaëlle vehemently disagrees with this idea, declaring “Nobody
returns.” This idea is suppose to bring comfort to Claire and others who feel haunted. By
no longer concerning themselves with the past or future, these haunted individuals are
allowed to live entirely in the present.
However, while Danticat’s text provides an empowering message to citizens of
her homeland it does not remedy their situation. Supernatural folk tales such as the
revenan do not exist, yet the ghosts of Haiti’s colonized past continue to haunt the nation.
The phantoms of colonialism, capitalism, slavery, and patriarchy haunts individuals of
every class. However, the community instead chooses to respond dramatically to the
minor, personal haunting of Claire and her mother rather than their greater political
hauntings. Similarly, Pat Robertson would rather acknowledge Haiti’s superfluous
relationship with the occult than admit the nation’s continued problems stem from
colonial hauntings. While some choose to view Haiti as a “shithole” or a hive of doomed
devil worshippers, this perspective does not take into account the lingering corrosive
elements in Haitian history. Danticat’s engagement with Derrida theory of hauntology
demonstrates how those under a postcolonial system suffer through multiple hauntings,
all stemming from the original sin of colonialism, thereby affecting Haiti’s past, present
and future.
Works Cited
Abbott, Elizabeth. "The Ghosts of Duvalier." Foreign Policy. January 19, 2011.
Danticat, Edwidge. Claire of the Sea Light. Vintage Books, A Division of Random House
LLC, 2014.
Derrida, Jacques. Specters of Marx: The State of Debt, the Work of Mourning and the
New International. 1993. Print.
Henley, Jon. "Haiti: A Long Descent to Hell." The Guardian. January 14, 2010.
James, Frank. “Pat Robertson Blames Haitian Devil Pact For Earthquake.” NPR, NPR, 13
Jan. 2010
Rubin, Gayle. “The Traffic in Women.” ed. Rivkin, Julie, and Michael Ryan. Literary
Theory: An Anthology. Wiley Blackwell, 2017.
111
��
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Volume 17, Number 1
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Section I: Eastern Colleges Science Conference -- Abstracts -- 3 Effects of the Psychoactive Drug Caffeine on the Behavior of Zebrafish (Danio rerio) / Kevin Lipton and Dr. Brian Palestis -- 3 Epithelial Lining Turnover in the Rodent Small Intestine Based on Mitotic Indices in the Crypts of Lieberkühn / John Acquaviva -- 4 Arsenic and Selenium in Human Tissues: The Investigation of Arsenic Contamination in Human Food and Urine Samples / Lejla Bolevic and Dr. Mohammad Alauddin -- 4 Walking on Eggshells: The Effects of Theobromine on Tooth Remineralization / Anna Cios -- 5 The Effect of Peer-Comparison in Social Media on Food Selection / Lauren Taibi -- 5 Global CO2 Emissions: Sources, Historical Trends, and Links to Economic Growth / Samantha Susi and Jack Leighton -- 6 Analysis of Climate Change Data and Predicted Impact on Japan and Surrounding Areas / Mara Mineo, Tamar Amirov and Vinh Phuong -- 6 Dye-Sensitized Solar Cells / Kelsey Savje and Domenick Palmieri -- 7 Accessing Diynes Containing Thiocyanate and Thiophene End-Groups En Route towards Polydiacetylenes / Oskar Sundberg and Iireyel Gittens -- 7 Effects of Diethyl Phthalate on the Development of Drosophila melanogaster / Ellen Reidy -- 8 Global Sea Level Measurements: History, Current Status, and Future Impact / Derek Avery, Zachary Pandorf and Michelle Hernandez -- 8 Antibacterial Properties of Functionalized Melamine / Piper Skinner -- 9 Analysis of Hurricanes and Cyclones in North America and Asia / Matthew Barreto and Victor Ruan -- 9 The Effect of Semi-Precocial Development on Movement of Juvenile Common Tern (Sterna hirundo) from the Nest / Monica Valero -- 10 Chemistry in the Aerosol Interfacial Region: A Computational Study / Gent Prelvukaj -- Section II: The Natural Sciences & Quantitative Analysis -- Full Length Papers -- 13 Thermal Stresses and Resistive Heating: A Computational Analysis / Adam O’Brien -- Section III: The Social Sciences -- Full Length Papers -- 39 The Role of Overprescription in Antibiotic Resistance among Adult Hospitalized Patients / Cathryn Cantyne, Claire Johnson, Jacqueline Otake -- Section IV: Critical Essays -- Full Length Papers -- 51 Beautiful Nude Girls: Art and Female Sexuality in Nazi Germany (Reprint from Spring 2018 issue with correction) / Jordan Gonzales -- 64 Eréndira and her Heartless Grandmother: Gabriel García Márquez’s Political and Social Allegory / Jacquelyn Thorsen -- 72 Nazi Cinema: Ideology and Politics in Romantic Melodrama / John Badagliacca -- 80 “A Luminous Language”: The Paradoxical Role of English as a Remnant of Colonialism in Chimamanda Ngozi Adichie’s Half of a Yellow Sun / Elena Rotzokou -- 91 Genocide in Myanmar: The Plight of the Rohingya People / Ethan Meyer -- 98 “Nobody Returns:” Exploring the Limitations of Derrida’s Hauntology in Edwidge Danticat’s Claire of the Sea Light / Glen MacDonald
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��EDITOR’S INTRODUCTION
The Wagner Forum for Undergraduate Research is an interdisciplinary journal which
provides an arena where students can publish their research. Papers are reviewed with
respect to their intellectual merit and scope of contribution to a given field. To enhance
readability the journal is subdivided into three sections entitled The Natural Sciences and
Quantitative Analysis, The Social Sciences and Critical Essays. The first two of these
sections are limited to papers and abstracts dealing with scientific investigations
(experimental, theoretical and empirical) and complex mathematical/ statistical modeling.
The third section is reserved for speculative papers based on the scholarly review and
critical examination of previous works.
This issue introduces an expansion of the first section to include not only scientific
investigations but also others that involve significant quantitative analysis such as those
in finance and risk management. The interested reader will explore the effects of
caffeine on the behavior of Zebrafish. This is followed by a rigorous analysis yielding
information on how a potential change in a retail chain’s SKU (stock keeping unit)
system will impact revenues. Moving on one encounters the significance of the 19361939 Palestinian revolt against the British, art and female sexuality in Nazi Germany,
how hegemonic masculinity is harming humanity, and many more stimulating topics.
Read on and enjoy!
Gregory J. Falabella, Ph.D.
Editor-in-Chief
Editorial Board
Dr. Amy Eshleman, Psychology
Prof. Andy Needle, Art
Dr. Annemarie Dowling-Castronovo, Nursing
Dr. Donald E. Stearns, Biological Sciences
Dr. Lori Weintrob, History
��Section I: The Natural Sciences & Quantitative
Analysis
Full Length Papers
3
The Behavioral Effects of Caffeine on Zebrafish (Danio rerio)
Michelle DeTomaso
19 Optimizing Stock Keeping Unit Efficiency in Max Mara’s Direct
Retail: Analysis of the Effects of Implementing a New Inventory
Management Model
Fabia Maramotti
Section II: The Social Sciences
Full Length Papers
57 The Difference is in the Tales: The Relationship Between Insurance
Regulations and Accessible Abortion Care
Emma J. MacDonald
Section III: Critical Essays
Full Length Papers
71 The Palestinian Revolt against the British, 1936-1939: Empowering
Palestinian Voices and the Effects the Revolt had on the Creation of
Israel
Hadeel Mishal
99 Beautiful Nude Girls: Art and Female Sexuality in Nazi Germany
Jordan Gonzales
113 Woman as Witness: Embodiment and the Female Christ-Figure in
Dostoevsky’s Crime and Punishment
Katelyn Alcott
119 “Be a Manâ€: How Hegemonic Masculinity is Harming Humanity
Michael Cancelleri Jr.
129 Los aspectos sociales y fÃsicos del bilingüismo
Tori Ross
����The Behavioral Effects of Caffeine
on Zebrafish (Danio rerio)1
Michelle DeTomaso (Biology)2
Caffeine is a psychoactive drug that stimulates the nervous system and is found in many
drinks and foods humans consume on a daily basis. Caffeine activates dopamine by
acting as an antagonist on adenosine receptors and affects behavior by increasing
locomotion indirectly through this mechanism. Zebrafish (Danio rerio) is a vital model
organism because the ancient body plan is 70% homologous in DNA to humans.
Zebrafish can be used to study anxiogenic drug effects on behavior. Anxiogenic drugs
stimulate the nervous system, causing anxiety effects in humans and zebrafish. Caffeine
affects zebrafish in various ways, such as increased latency to explore the top of the tank,
reduced time on top of an experimental tank, erratic swimming and increased freezing
time. This study aimed to test adult zebrafish under an acute condition of caffeine
exposure. Each fish was tested for 40s in a 0.12% concentration of caffeine and their
activity levels were quantified by counting the number of lines crossed on a grid using
digital videos. There was a significant difference between the control and the treatment
groups. The number of times crossed over for the treatment group ranged from 0-65
while the control varied from 23-110. The results showed significantly (p < 0.05) lower
levels of activity for the caffeinated zebrafish compared with the controls. In three trials
the treated did not cross any lines, also suggesting that caffeine may reduce activity by
inducing freezing. Other studies using various behavioral methods, have also found
caffeine effects. The concentration of the caffeine along with the different anxiety levels
between wild type and mutant strains may affect behavior. Further studies with varying
concentrations and comparisons of strains would be a vital expansion of this study, as it
would aid in the further understanding of how caffeine affects animals and humans.
I. Introduction
Caffeine as an anxiogenic drug
1
This research was presented at the 71st Annual Eastern Colleges Science Conference held in
Wilkes-Barre, PA on April 1, 2017.
Research conducted under the direction of Dr. Brian Palestis in partial fulfillment of the
Senior Program and Honors Program requirements.
2
3
�Caffeine is a known psychoactive drug that stimulates the human nervous
system. Caffeine is chemically defined as C8H10N4O2, which is also referred to as 1,3,7trimethylpurine-2,6-dione. Caffeine has a molar mass of 194.19 g/mol and a boiling point
of 1780C. Caffeine can be found in coffee, tea, chocolate-associated food, kola beans and
soft drinks. Acute or chronic intake of caffeine has not been linked to any major damage
to humans (Fredhold et al., 1999). However, caffeine is a competitive antagonist for
adenosine and will block the hormone adenosine from functioning. The resulting effects
are opposite of adenosine. This competitive nature inhibits adenosine, which indirectly
activates dopamine-induced behavior, because of the functional reaction between
adenosine receptors and dopamine receptors. This mechanism is consistent with findings
that caffeine produces behaviors similar to other stimulants such as cocaine which
include increased locomotion (Garret et al.,1997). Methylxanthine, a derivative found in
caffeine, reacts with serotonin neurons which induces, dosage dependently, increased
movement in animals. Awareness, vigilance and sluggish behavior, can be related to the
methylxanthine- related effects of caffeine (Nehlig, 1992). There is evidence that
suggests patients with anxiety disorders, who are more sensitive to stressors, have been
shown to have increased anxiety and impaired sleep under caffeine consumption (Smith,
2012).
Zebrafish as a model organism
Zebrafish are scientifically classified as Danio rerio and are in the family
Cyprinidae, which is the largest fish family (Mayden et al., 2007). Their natural habitats
include the Himalayan regions of India, Pakistan and Bangladesh in areas ranging from
rice fields to ponds. They are common aquatic pets in the United States and are widely
used for laboratory research. Zebrafish are omnivorous and will eat aquatic plants and
zooplankton. The adult body size varies but mostly stays within the range of 1.5 to 2.5
cm, and their lifespan in the wild is about three years (United States Geological Survey,
2013).
Zebrafish are considered an alternative model for research in the areas of
neuroscience, development and therapies in diseases, for example, by studying genetic
expression of certain cancers (Craig et al., 2011). Usually rodents are used for these
studies, but fish have a large benefit in a multitude of areas as well. Using a fish is
beneficial, because fish are of an ancestral decent (the earliest bony fish lived
approximately 200-250 million years ago), and most modern vertebrates, including
humans, have evolved from this ancient blueprint (Gerlai, 2014). The older ancient body
plan of fish is advantageous to use in experiments having to do with understanding
4
�diseases or other issues of interest in terms of humans. Humans are connected to fish as
all creatures are related through a common ancestor. The common ancestor of all
organisms has fundamental mechanisms that can be considered core traits of life that
evolution has built upon through time. The fish can therefore reveal the core mechanisms
which can be used to explain complex genotypes of today (Gerlai, 2014).
Zebrafish can be utilized in diverse areas for research, such as studies on human
diseases using genomics. The development of zebra fish is rapid and major organs appear
after 36 h of initial fertilization (Spence et al., 2007). The precursor to the embryo is
called a chorion, which is used in neurodevelopment research to make visualization easy
with modern equipment. The ability to make any gene mutant in the genome of a
zebrafish makes genomic studies attainable as well and zebra fish are already a viable
means of discovering the function of genes in molecular development (Schier, 1997).
Zebrafish have many positive attributes that make them a viable source of
information for research. Danio rerio prefers to be clustered close together with their own
species, which is called shoaling (Miller and Gerlai, 2012). This shoaling behavior allows
the researcher to have numerous fish condensed into one tank. Zebrafish also produce
high numbers of offspring per female, allowing for constant replenishment of fish to be
used in experiments (Gerlai, 2014). The most important highlight of their usefulness is
the possibility of high throughput screening, due to the large amount of eggs manifested
by the female. High throughput screening is used to test for the correlation of genes and
biomolecules for specific genetic mutations and functional processes. This requires a high
coverage or vast number of trials in order to obtain all genes or biomolecules in a given
experiment. Zebrafish can be useful for high throughput screening due to the simplicity
of their body plan, but are still relevant enough to use for research based on human or
mammal tissues (Patton and Zon, 2001). Zebra fish can serve as human models, given
that 70% of nucleotide sequences in zebrafish are homologs to human DNA. This means
that homologous markers of humans can be found in zebrafish DNA and the function of
genes found in these areas may have similar function to human DNA (Howe et al., 2013;
Gerlai, 2014).
Anxiogenic and anxiolytic drugs experiments with zebrafish
Anxiogenic and anxiolytic drugs are used to test anxiety behavior of fish.
Anxiogenic drugs cause anxiety while anxiolytic drugs are known to decrease anxietyinduced behavior when taken regularly. Anxiolytic drugs like ethanol and nicotine can
have anxiety-like symptoms as a result of withdrawal from chronic use (Lin et al.,1999).
Anxiogenic drug studies have been performed using ethanol and nicotine. Chronic
5
�exposure to ethanol causes an adaptation to the chemical in the adult zebrafish. The fish
are known to have adapted because no anxiety response is viewed during the experiment.
This indifference means the fish has become adapted, or used to the ethanol, and the
chemical makes no significant difference in their behavior. In acute exposure to ethanol,
the zebrafish instead experiences anxiety-driven responses such as increased freeze time
and erratic swimming patterns (Gerlai et al., 2006). Kurta and Palestis, (2010) found that
the proximity of fish, or shoaling behavior, was tighter in a concentration of 0.125% and
0.25% ethanol as compared to a control. At 1% concentration the nearest neighbor
distance was three times that of the control, meaning the fish were farther apart at high
ethanol concentrations. There is clearly an effect of ethanol on shoaling behavior and that
effect depends on the alcohol concentration.
Chronic exposure to ethanol in zebrafish lowers cortisol levels and has an
overall anxiolytic drug effect. Anxiolytic drugs lower anxiety and result in a phenotype
that is more able to explore and transition more often from top to bottom in the tank
(Egan et al., 2010). Zebrafish have a similar map of stress hormones released from their
endocrine system to humans, making them a model organism for research. This cascade
of hormones starts with corticotropin releasing hormone (CRH) to adrenocorticotropic
hormone (ACTH), and cortisol. Cortisol is used as a primary stress hormone in zebrafish
and humans (Barcellos et. al, 2007). Anxiogenic drugs, by contrast, increase anxiety and
exploration of the top of the tank is more frequent than normal behavior of the fish would
show.
Edgan et al. (2010) compared wild type and mutant strains of zebrafish and
found differences in behavior when the fish were exposed to the same concentrations of
caffeine. Different strains of fish have differing baseline anxiety thresholds that have to
be taken into consideration when studied. Some mutant strains have a higher anxiety
baseline which results in an over compensated stimulus response compared to wild type
zebrafish.
Recently studies have emerged using zebrafish as a model organism for studying
behavior. Using a motion camera, Blaser and Gerlai, (2007) have studied adult zebrafish
for various characteristics such as novelty response, response to predators, social
behavior and aggression. Levin et al., (2007) studied exploratory behavior in zebrafish
and discovered the duration on the bottom of the tank is longer when a threat is detected.
Generally, exposure to any new environment is cause for an anxiety driven response. The
novel tank diving test is a traditional method of testing the fish for anxiety behavior.
Zebrafish can be exposed to alarm pheromone which can be released by their epidermal
cells when cell damage occurs or as a fear response. The response from an increase in
6
�pheromone corresponds to increased dwelling on the bottom of the tank, rapid swimming
with increased erratic turns, less aggression and increased amount of freezing time
(Rehnberg and Smith, 1988).
Caffeine experiments in zebrafish
The anxiogenic drug caffeine is part of the focus of the present research.
Barcellos et al, (2007) found that caffeine affected treated zebrafish by reducing the time
they spent near the top of the experimental tank, the length of time taken to transition to
the top, degree of erratic swimming and frequency of freezing spurts.
According to Wong et al. (2009), caffeine increases overall exploration and
erratic movements in the swimming patterns of the zebrafish. The effect of the caffeine
also lowered habitual behavior due to increased sporadic anxious behavior. Caffeine
increased exploration time, and increased erratic movement more than most other
anxiogenic substances tested (Wong et al., 2010). In male rats, caffeine produced
significant increases in intracranial self-administration assay, which was equivalent to
paraxanthine. Paraxanthine is a stimulant and has a similar affinity for A1 and A2
adenosine receptors like caffeine (Chou et al., 2003). There was a significant effect on
frequency and total responses per component in a dose dependent manner (Lazenka et al.,
2015).
In addition to experiments with adult zebrafish, developmental effects of
caffeine have also been studied using larval fish. Caffeine stunted the growth of the
dorsal aorta connection to the dorsal trunk and significantly lowered the amount of dorsal
longitudinal anatomic vessels in the 12-36 hour after fertilization group (Yeh et al.,
2012).
Caffeine also disturbed the formation of somite boundaries of proteins used for
vascular development in groups that were 12- 36 h and 12-60 h post fertilization (Yeh et
al., 2012). Somites are bilateral mesoderm cells found on the neural tube of the embryo
that are precursors to skeletal muscles and other body structures (DeRuiter, 2010). Yeh et
al. (2012), took three different genes involved in the formation of blood vessels and
performed gel electrophoresis on the mRNA to see if the levels in the control group and
the two groups injected with caffeine differed. With caffeine, the mRNA level increased
in the gene nrpla while the level decreased in sema3aa and sema3c. Nrpla is a coreceptor
of plexin. Plexin is the receptor for sema3a, which is part of the pathway of vascular
endothelial growth factor (Yeh et al., 2012). The genes that normally play a key role in
the development of the vascular system had antiangiogenesis effects from the caffeine.
7
�Which led to physical alterations in somite formation, dorsal longitudinal anatomic
vessels and sub-intestinal veins.
Zebrafish can be used to understand behavioral effects of certain drugs such as
caffeine. The effect of caffeine on zebrafish is predicted to be increased erratic behavior
and increased exploration of the tank. There should be more freeze time and spurts of
energy that indicate erratic swimming patterns. The overall effect should be that of
anxiety- ridden movement and different rates of movement than the baseline behavior of
the zebrafish. This should demonstrate a difference in behavior from zebrafish in tank
water to zebrafish being exposed to caffeine. This study, along with others previously
published, can be used to understand how caffeine can affect behavioral patterns of
organisms. Although many experiments exist with the effect of caffeine on zebrafish
embryos, this research is meant to study adult zebrafish. The results can be used to
compare adult zebrafish to the embryonic reaction to caffeine and other anxiogenic drugs.
This can be further studied to understand even long term exposure on zebrafish both adult
and embryonic stages. This can be further applied to how humans react to caffeine both
physically and hormonally. Zebrafish can be used to study psychological, hormonal and
developmental long term effects of caffeine. The use of small vertebrates that have
homologous traits to humans can be a gateway to understanding the effect of caffeine on
humans and if regulation of consumption should be considered.
II. Materials and Methods
Procedure
The zebrafish were kept in a 10-gallon tank isolated from the shallow dish
fingerbowl used in the experiment. The fingerbowl was filled with 850 ml of tank water
and placed on a 3x3 cm grid. Each fish was transferred from the tank to the fingerbowl
with a net and given two minutes in the new environment before capturing the movement
on a video camera attached to a computer. This allowed time for the fish to adapt to the
unknown small tank and minimized the anxiety of capture and of the fish being
overwhelmed by a new habitat. The first ten trials were a control using water from the
original tank. The second round of trials involved the inclusion of a diluted solution of
98% pure caffeine powder (Sigma- Aldrich) and 6.87 % concentration of caffeine to
water. This concentration was achieved by diluting 1.1 mg of caffeine using 16 ml of
water. The fingerbowl was filled with 850 ml of water from the original tank and the 16
ml of caffeine solution. The experimental percentage of caffeine/water solution to the
tank water was 0.12%. Each fish was placed into the fingerbowl, one fish at a time, for
each trial. Each fish was videotaped for 40 s per trial. After all the data were collected,
8
�statistical analysis of the times the fish crossed a grid line was determined. Observations
of time spent not moving, erratic behavior and freeze time were recorded as well.
The documented videos were recorded on a desktop computer connected to a
camera. Windows Video Maker software was used to edit and view the slideshow of
videos. There were four groupings of slideshows, each consisting of either control
zebrafish or caffeine-exposed zebrafish. The caffeine treatment group was compared to
the control group in terms of number of lines crossed.
Animal Maintenance
The fish were purchased at the Arcadia Pet Store and maintained by the Wagner
College Department of Biological Sciences. The maintenance of the organisms consists
of feeding daily, and keeping the temperature at optimum median temperature. After the
fish were used for the experiment, they were separated from non-tested fish so the same
fish was not experimented on twice.
Statistics
SPSS software was used to import an Excel document with the data for both the
control and caffeine treated zebrafish. Histograms were constructed to show the range of
the data. The Mann-Whitney U-test was conducted to test whether the two groups
significantly differed using a significance level of α= 0.05. A non-parametric test was
used because of an excess of zero values. The data from the control and treated fish were
averaged to find the mean, median, mode, standard deviation, minimum, maximum and
percentiles in quartile intervals. The distance and the displacement of each fish was
calculated and the data was used to create histograms for easy comparisons of the
caffeine treatment with the control.
III. Results
Treatment and control group
The control group was made up of 10 trials that were 40 s each. In each
trial a new fish was used to keep the exposure the same length of time for each fish. The
number of times crossed over the lines on the grid ranged from 23-110 (Figure 1). The
most frequent range of the times crossed over was 60-80 times. The mean (±SD) for the
control group was 69.8 (±28.1). The treatment group consisted of 13 trials of 40s
intervals. The range of lines crossed over for the treatment group was 0-64, which was a
lower range then the control (Figures 1, Figure 2). The treatment group had an increased
9
�frequency of zero lines being crossed over (Figure 2). The mean for the treatment group
was 26.5 (± 21.5).
The percentiles for the treatment group were lower compared to that of the
control group. The caffeine treated group had a 25th percentile of 2.5 which is
approximately 18 times less than the 25th percentile for the control. The three zeros in the
data of the treatment group lowered the percentiles (Figure 2). The treatment group had a
50th percentile of 27 and a 75th percentile of 42 while the control had a 50th percentile of
71.50 and a 75th percentile of 93.25. The number of lines crossed differed significantly
between the two groups (Mann-Whitney U Test, p <0.05).
Number of Lines Crossed
Figure 1: Number of times the fish crossed over the grid in the control group
10
�Number of Lines Crossed
Figure 2: Number of times the fish crossed over the grid in the caffeine treated group
Physical observations
During the observation of the videos, certain patterns were noticed. The control
group fish swam precisely and quickly with little to no freezing. The treatment group had
increased freezing during the time interval compared to the control group. In the three
trials that the fish were motionless, all of them stayed in one position to the left side of
the fingerbowl. The one trial of the treatment that only crossed five times also behaved
similarly. The movements of the treatment group were jagged and showed broken
swimming motions compared to that of the control. The control fish had a fluidity and
smooth transitions from one box to another. The fish in the treatment group tended to stay
more in the middle of the boxes while the control group fish followed the lines of the
boxes more closely. Zig-zagging was seen much more often in this study than darting, but
both were found in the treatment and control groups
IV. Discussion
Caffeine experiments are needed to analyze what physiological and behavioral
effects anxiogenic drugs have on animals, including humans. The prediction of this
research was that caffeine would give the zebrafish anxiety- like behavior such as erratic,
fast swimming patterns in the tank. In comparison to the control, the caffeine-treated
group was predicted to have larger numbers of lines crossed over during the experimental
period. The results were different than hypothesized. The control group had a larger
11
�number of lines crossed over, with a wider range and percentile numbers than the
treatment group. The treatment group had three fish that did not move at all during the
trial and one that crossed only five times during the trial. The fish moved more swiftly
and less erratically in the control than the treatment group. The only detected behavior
was obvious freezing or jerky motions when moving that differed from the control. This
result is not similar to other studies published using zebrafish exposure to caffeine.
The study done by Egan et al. (2009) demonstrated that caffeine in five-minute
intervals affected the zebrafish by inducing an anxiety-ridden state. This included the
phenotype of erratic movements and fewer transitions to the top but did not alter the
freezing time. This finding could be due to the fact that varying concentrations of
caffeine can affect the zebrafish differently. Egan et al., (2009) used 300 mg for 3 L or a
10% concentration, while this study conducted used 0.12% concentration. My research
would have had to use 86 mg of caffeine in 860 ml of water to equal the concentration
used in the comparative study. The dosage of 250-350 ppm of caffeine for a zebrafish is
equivalent to 4,200-5,800 mg/kg for a 1.2 mg fish (Chen et al. 2008). This range in
milligrams exceeds the allowed maximum consumption for adults which is 150-300 mg
per day (Brent et al. 2011). Caffeine seems to have the largest effect on an individual
when given in a 300 mg or higher one-time dose, which is not a realistic concentration.
Humans do not exceed 300 mg of caffeine daily and take the drug in smaller doses
throughout the course of a day (Lieberman,1992).
The specific location in the brain where dopamine is released, once a drug is
consumed, corresponds to a specific psychological mapping in the brain. The daily
consumption of caffeine by humans releases dopamine from the prefrontal cortex which
corresponds to reinforcing substances. Other drugs release dopamine from the shell of the
nucleus accumbens, which corresponds to addiction and reinforcement. The nucleus
accumbens is in the hypothalamus and is a critical action target for abusive drugs. This
pathway from the nucleus accumbens is considered an addicting neurological response,
while the consumption of caffeine comes from the prefrontal cortex providing a
reinforcement pathway of satisfaction but not addictive in hormonal release. The core and
shell are distinctive regions anatomically identified (Pontieri et al., 1995). Dopamine
released from the shell of the nucleus, and increased cerebral functionality is a key
indicator of a drug abusive substance. The cerebral acceptance of dopamine is the center
for reward and addiction (Nehlig,1999). The dopamine being released from a different
part of the brain means it has a different physiology than a substance that would be
habitual and lead to addiction. The stimulation of the brain is general and most
importantly does not adhere to the area of dopaminergic areas that are related to reward
12
�and addiction (Nehlig, 1999). The effect of methylxanthine is co-localized on the
dopamine receptor and does not affect the addiction center of the brain but rather the
reinforcement area. Xanthines are compounds that are used in metabolism for recycling
of GTP and nucleic acids (Franco et al., 2013). Methylxanthine binds to adenosine
receptors and the binding results in enhance mood and concentration levels (Nehlig,
2010). Patients who are more sensitive to stressors have had increased anxiety, while in
patients who are less sensitive to stressors, caffeine improves abilities such as vigilance
tasks and simple tasks when alertness is low (Smith, 2012).
Different ways of analyzing the zebrafish may result in varying results due to
the method chosen. In this experiment a grid was used and then the number of times the
zebrafish crossed over was tallied. This procedure assessed the movement of the zebra
fish under a 40 s time frame during acute conditions of exposure. Other studies observed
the transition of the zebrafish from the top and bottom of the tank and the time spent on
the upper portion of the tank to analyze response to caffeine (Egan et al., 2009). The
division of the tank would show the behavioral specifically instead of just the movement
frequency. My research used a fingerbowl which did not provide enough depth to section
the tank and observe the areas of behavior accordingly.
Degree of cohesion could also be used to analyze zebrafish in response to
caffeine. Zebrafish have a preference for being in a shoal and individuals are socially set
up to join a group. This preference for swimming close to other fish and joining a group
is called group cohesion (Gerlai et al., 2014). The formation of tight groups of fish is
called shoaling and zebrafish prefer this over being alone. There are internal aspects that
relate to shoaling including olfactory, auditory and visual cues that zebrafish associate
with their group mates (Miller and Gerlai, 2007). The theory of group cohesion in
zebrafish may affect solitary individuals, causing an additional stress factor.
The behavior of movement, either the quantification of movement or lack of
movement, can still be correlated to anxiety in zebrafish. In the study done by Egan et al
(2009), exposure to caffeine displayed evidence of anxiety with a latency in top of tank
exploration and erratic movements. The evidence suggests that limited exploration by
zebrafish is also an anxiety feature. Different strains of zebrafish have differing baselines
in anxiety levels, which can also lead to varying results in anxiety responses. Reduction
in exploration by different strains of zebrafish will vary according to the threshold of
stimuli needed for the behavior to occur. Mutant strains have a lower tolerance and
higher baseline for anxiety than wildtype (Egan et al., 2009). Therefore, the strain of the
zebrafish should be taken into consideration. My research involved the wildtype which
could mean the anxiety baseline was lower than in the case of mutant strains. Further
13
�research should distinguish between wildtype and mutant strains when comparing
behavioral responses to caffeine.
Other factors that could have affected the research include human error in
counting the lines of the video, which was minimized by counting multiple times before
recording the data. The amount of light in the room, depending on day, may have also
skewed the data slightly as the treatment group was recorded with both morning and
afternoon light situations. The temperature of the water may have also affected the
results, but the same water was used from the original tank to avoid this problem. Further
studies can be done using different strains of zebrafish to compare the baseline of anxiety
in mutant strains (Egan et al., 2009). Another way to study how caffeine affects the fish is
to vary the concentration from 0.12% or lower to 10% and compare responses.
Additional assays can be used in conjunction with this grid line examination, such as
dividing the tank into upper and lower limits and recording time in each portion similar to
other studies (Rehnberg and Smith, 1998; Egan et. al., 2009).
A major result of this study is the behavioral freezing of the zebrafish, especially
in the treatment group that was under the effects of caffeine. Freezing in zebrafish means
stillness without moving any body part. Freezing with frequent opercular movement can
indicate a stress or anxiety-induced behavior (Kalueff et al., 2013). Erratic movements
that were found in fish who moved in the treatment group can be defined as a complex
behavior which features freezing before or after zig-zagging behavior. This can be
evoked by stressors or general fear state from an outside influence (Kalueff et al., 2013).
Zig-zagging is consecutive multiple darts that vary in velocity and speed. This movement
would change rapidly and seamlessly (Cachat et al., 2011).
The control group had overall increased motion and increased lines crossed
compared to the treatment group, which suggests further studies need to be conducted to
test the full effects of caffeine. This unexpected result leads to a suggestion that
concentration dosage of caffeine may affect the behavioral responses of zebrafish. My
research indicates there is an effect in zebrafish that involves freezing, however, more
research needs to be done to verify this response and compare using different caffeine
concentrations.
V. Acknowledgments
I would like to acknowledge the aid of my mentor and advisor Dr. Palestis for
helping with the data analysis and guiding me through the research. I would like to also
acknowledge Dr. Stearns for revising my paper and Professor Raths as well. I would also
like to thank Wagner College for funding my research and also giving me a lab facility to
14
�work in. The next set of people to address is to my family and friends who supported me
and have been there for me. I believe undergraduate research is important to shape skills I
will use in the future and I acknowledge all those who respect my view.
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amphetamine, Pharmacology Biochemistry and Behavior. 62:3:403-8.
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M., Nojima, A., Okada ,M., Koga, H., Komuro, I. (2010). Inhibition of semaphorin as a
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Brain Research. 2:450–57.
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Y.J. (2008). Movement disorder and neuromuscular change in zebrafish embryos after
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Yeh, C. H., Liao, Y. F., Chang, C. Y., Tsai, J. N., Wang, Y. H., Cheng, C. C., and Chen,
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18
�Optimizing Stock Keeping Unit Efficiency in Max Mara’s
Direct Retail: Analysis of the Effects of Implementing a
New Inventory Management Model
Fabia Maramotti (Business Administration and French Studies)1
This thesis presents an articulated analysis developed and carried out by the author for the
company Max Mara Fashion Group. Max Mara is a luxury fashion company founded in
1951, currently operating in 105 countries around the world with more than 2,300 stores.
The organization is considering the possibility to implement a new SKU (stock keeping
unit) system to optimize revenues from B2B, direct retail, B2C and potentially also B2E.
My task with this project is to understand whether it is worth taking the risk of switching
from the old Push model to the new inventory management model, called the Pull model.
The aim is to find results in the data analysis and in the simulations of the future model
that are significant enough to prove potential beneficial or unfavorable outcomes from the
use of the new model. The goal is also to give clear and reliable reasons that explain why
the company could benefit from implementing the Pull system, where part of the
merchandise is on hold in the main warehouses, instead of being sent directly to the
stores. This thesis consists of a quantitative analysis that provides mathematical evidence
for conclusions, and is a more theoretical consideration of warehouse and store logistics
such as spaces, timings and rapidity of shipments and deliveries. It is divided in two main
parts, AS/IS and TO/BE, one analyzing the efficiency of the present model and the other
simulating potential results of the new model. Max Mara has 9 brands and 19 collections
with different style and price ranges. Since it would be impossible to include every brand
and department in the analysis due to the large sizes of the databases, it has been decided
to take as samples the two largest brands, Max Mara and Max & Co, the two past
seasons, FW 16 (Fall-Winter) and SS 17 (Spring-Summer), and the European
geographical area of stores. The data is provided by Max Mara Fashion Group,
headquartered in Reggio Emilia, Italy; the initial database will not be published, due the
company’s policies, but many samples, formulas, result tables and graphs will be
included in the thesis, which will be written in two languages, English and Italian. The
main results found are that the service level, how much merchandise the customer finds
in the store, is slightly lower in the new model, but that the amount of potential lost sales
Supervised by Cathyann Tully and written under the direction of Edward Strafaci in partial
fulfillment of the Senior Program requirements.
1
19
�is also inferior. Stores could therefore be restocked multiple times throughout the season
covering potential missed sale opportunities. Max Mara is a luxury company where
merchandise is exposed much less than in fast fashion stores and where the number of
daily sales is much lower than in other industries.
I. Introduction to Max Mara’s Inventory Management
The rapid development of the e-commerce industry, along with the significant
impact of social media and the changing consumer shopping patterns are the main
reasons for which Max Mara Fashion Group is considering the idea of changing their
inventory management system by implementing a new pull model to optimize SKU
quantities.
To provide the reader with a better understanding of the subject matter,
definitions and explanations are shared multiple times throughout the thesis; these are
often not directly quoted due to the fact that they are the result of accumulated knowledge
acquired by interning first in one of Max Mara’s direct retail stores and then in the
logistics department of the company. Colleagues, the company’s intranet and internal
manuals are therefore the main sources of this thesis.
History of Max Mara and its Inventory System
Max Mara is a fashion company, headquartered in Reggio Emilia, Italy and
founded by Achille Maramotti in 1951. It was the first Italian fashion business to produce
ready-to-wear clothing, distributing and selling the finished products to its customer (MM
Fashion Group, 2012). The founder started producing, storing and selling its products in
one single building with a very small and limited number of employees with expert skills.
Today the company has become a multinational corporation operating in 105 countries
around the world with 2,300 stores and with a workforce of more than 5,000 employees
(MM Fashion Group, 2012). Max Mara Fashion Group has 9 different brands, Max Mara,
Sportmax, Weekend, Marina Rinaldi, Max&Co, Persona, Pennyblack, Marella and
iBluse, which all have different styles, sizes and price ranges. There are moreover 19
different collections within the brands, such as Studio from MaxMara, Inserimento from
Weekend, Code from Sportmax and many others. Each collection follows a specific
theme, style or trend. This already gives a quick idea of the amount of clothing items,
sizes and colors that there are and how complicated distribution logistics can become.
With the brands and collections rapidly developing throughout the years,
production, inventory and distribution management logistics changed multiple times. In
2003 the company built a new headquarter and two new warehouses to sustain the
increasing sizes of brands, collections, employees and products. Since 1951 Max Mara
20
�Fashion Group hasn’t stopped looking for improvements to succeed and strive in the
luxury fashion industry and even today the company is still trying to enhance its stock
keeping unit system, considering the idea of changing its present inventory management
system, switching from a push to a pull model.
SKU models and inventory management methods
It is very important to note that Max Mara is an Italian fashion house operating
in the luxury sector; it should therefore not be compared or confused with other fast
fashion organizations, since quality, prices and quantities are completely different. If
inventory management is very important in fast fashion and in every other industry, it is
particularly relevant in the female luxury fashion sector, where fits are very specific,
qualities very high, materials very expensive and overall produced and ordered quantities
per items are very small. The focus on production, allocation and distribution is therefore
extremely important for the company’s revenues and profits.
ID- SKU codes
Every item has an ID-SKU, Stock-Keeping-Unit, which is a code of 10 to 12
numbers, each one with a defined meaning. The simple term ID-SKU in the fashion
industry describes a specific model of a collection, in a determined color code and its
given size. On the other hand when referring to a Model-ID, it is narrowed down to the
model and its color code. ID-store-SKU is used to visualize even more specifically the
performance of a certain model-color-size in a given store location. This last ID-storeSKU is very useful to identify which brands and collections are in the greatest demand in
given cities and stores. The table below shows three examples of different ID-SKUs that
can be used to classify units; these are however not the only ones existing and used, but
instead the three relevant to this specific analysis.
Table 1. ID-SKU Nomination
ID-
Description of Code
ID Example
Code Description Example
Model-ID
Model-Color
624926003-2
model DRY/color blue
ID-SKU
Model-Color-Size
624926003-2-M
mod. DRY/color blue/size M
ID-storeSKU
Store-Model-ColorSize
30103-6249260032-M
store Berlin/mod. DRY/color
blue/size M
21
�Figure 1 is an example of the Fall-Winter 2016 dress department database and it
gives an idea of how databases are set up. As shown by the horizontal arrow, the first line
and the first column of every database and excel sheet used in the analysis is frozen. This
is done with the intent to visually associate the data to a specific SKU.
Store Code
Model Code
Color & Size
Figure 1. ID – SKU Example Table from FW 16 Coats Department Database
The concept of Model-ID is largely used in the ordering process when it has to
be decided how many models of each line should be produced, where they should be
allocated and with what breath. The term breath is used to describe the quantities of each
Model-ID in an order. In the Spring-Summer-2017 season the average Unit-ID breath
was of 9.05, meaning that in every store order each Model-SKU was present 9 times,
normally one for each size and two or three for middle sizes. The relatively low ModelID breath is typical for the fashion luxury sector and also simply a choice of the company
in order to be able to offer the larger and most sustainable variety of products.
Push Model
The push model that the company has been using until now is certainly the most
efficient distribution model for small companies that have a limited number of points of
22
�sale, since most of the produced and ordered merchandise is located in the store; with this
model, assuming an item has been ordered in the correct amount of units to meet its
demand, the probability that the customer finds the desired item in a specific size and
color is very high, even if the same exact item has been sold the hour before. This occurs
with the push model because the entire merchandise ordered for a specific location is sent
to the store at the beginning of the season; if its demand is very high, it can also be
restocked a second time in the season. If an item is demanded by a customer in one
location that has not been provided with that specific ID-SKU the store can demand a
transfer from either another store or from the main centralized warehouse. However,
issues that rise with transfers are many, such as high cost of shipments, long processing
times, low sale probability and others. Since shop managers and sale assistants do not
have a particular interest in transferring the item, it can often occur that she/he postpones
this request even up to a week, after which the item might not be demanded anymore by
the original costumer. This is therefore considered not only a lost sale and a wasted
shipment but also a misallocation of that item, since once a transfer is made and not sold,
it is no longer located in its original pre-established location. Indeed, it emerged from the
analysis that only 65% of transfers are successful, meaning that remaining 35% of
transferred items are neither sold to the customer that demanded it nor to any other
customer before the end of the season. There are two risks associated with transfers, the
first one being that the customers might no longer buy the requested item and the second
one that the store sending it out may lose a sale due to the lack of that particular ID-SKU.
Each store has a very specific cluster of items from each brand, collection,
model and color code, which has been accurately studied and chosen by buyers, who
consider it to be the best possible selection for that store, location and its customers. A
small town in Italy for example, will have a much greater selection of the Weekend brand
than a larger city would, since prices are lower and fits are easier. In flagship stores, on
the other hand, stylish coats and important Sfilata models, which are strongly advertised
by the company and have a higher average price due to their appearance in the Milan
fashion show, will be prevalent and largely demanded.
Pull Model
In the pull model the quantity of ordered merchandise remains unchanged, but
the amount of stock kept behind in centralized warehouses is much greater. This allows
the centralized management to analyze trends of each shop, identify popular items, spot
missing sizes and restock these immediately with the stock kept behind or “on holdâ€. In
this way, transfers between stores would disappear, leaving all restocking and
transferring activities to the centralized warehouses. Even if ordered clusters for stores
23
�wouldn’t change, there would be more freedom to mix them and allocate individual SKU
units in those stores that need it most during a given week in the season. While extremely
accurate forecasts of stores’ total merchandise allocation are essential in the push model,
in the pull system it is mainly important to have a more general forecast of quantities for
the season.
The question whether this model actually works in this industry goes back to the
point made earlier on, explaining that the luxury fashion business is not only very
vulnerable to customers, locations, styles and trends, but also the fact that quantities of a
specific model, color code and size are not very large.
II. Variables and Methodology
Database
Databases withdrawn from the general system are divided in departments and
seasons. Since the amount of data is too large and the time of the analysis is limited, two
seasons and six departments are taken as sample for the entire analysis. In order to
analyze and compare the two most recent time periods, the seasons that are chosen as
samples are FW-16 (Fall-Winter 2016) and SS-17 (Spring-Summer 2017), while the two
chosen brands are Max Mara and Max&Co. The analyzed departments for each season
are dresses, coats, knitwear, pants, tops in jersey and footwear, which is considered part
of accessories. The same analysis is carried out for each department after which seasonal
and annual aggregate results are calculated to make assumptions that lead to general
conclusions.
Independent Variables
Independent variables are those initially found in the database and not created or
changed for the analysis. Each database has from 80 to 200 thousand Excel lines,
representing a model of a collection, in a certain country, store, color and size during a
determined week in the season. Each file analyzes 133 direct stores in 10 different
countries, 42 exits of 21 collections and 2 brands. These are all considered independent
variables. It is then possible to match items and to find aggregate results by creating pivot
tables, which do not consider the week, the store or the nation of an item. These can also
be considered independent variables, although created by the author for this analysis.
Other variables are the number of supplied units of an item, its relative sellout amount,
transferred units, transferred sellout amount, sold units, and sold sellout amount. The
“maximum-†and “minimum-week†are also important variables representing
respectively the last week before sales start and the first week of possible sales when
24
�items are delivered to the store. The analysis and simulation is indeed only possible and
accurate if done over this period of time since sales are considered special events in
which clothing items are demanded according to different customer trends and patterns,
such as the act of prioritizing lower prices. While the Max-week differs for every
country, the Min-week changes for every individual item, since Model-SKUs are not
necessarily supplied at the same time. Finally, it is also necessary for the analysis to
differentiate from transfer in, which are positive numbers, and transfers out, which are
negative. The table below (see Figure 2) shows some independent variables that are
distributed by column for every SKU.
Figure 2. Independent Variables - Example Table from FW 16 Dress Department Database
Dependent variables
Initial Allocation
Initial Allocation or IA is the initial quantity of ID-SKU that is allocated in a
store at the beginning of the season excluding all restocked and transferred items. It is the
quantity needed to guarantee a determined service level from the first day of the season.
The average IA for an ID-store-SKU is three pieces for main sizes and one or two for the
remaining ones. Initial allocation quantities are calculated by complex algorithms and
then manually influenced by buyers, who are responsible to place the stores’ orders.
Stock Level – in store/boxes
The stock level of a store, mathematically represented by SLw, is calculated
weekly and represents the amount of units of a model/color/size still left in a store during
25
�a specific week. In the first week it is calculated by adding supplied and transferred units
and subtracting sold units of that item. For all the following weeks it is also necessary to
subtract the stock level of the week before, as seen in the formulas below.
Week 1
ð‘†ð¿ð‘¤ = ð‘ 𑤠+ ð‘¡ð‘¤ ‒ ð‘£ð‘¤
or
ð‘†ð¿ð‘¤ = ð‘𑤠‒ ð‘£ð‘¤
All weeks x ≠1
ð‘†ð¿ð‘¤ = ð‘ 𑤠+ ð‘¡ð‘¤ ‒ ð‘£ð‘¤ + ð‘†ð¿ð‘¤ ‒ 1
or
ð‘†ð¿ð‘¤ = ð‘𑤠‒ ð‘£ð‘¤ + ð‘†ð¿ð‘¤ ‒ 1
(1)
where
w=week
sw=supplied SKU quantity
tw=transferred SKU quantity
vw=sold SKU quantity
cw=sw+tw=in stock SKU quantity
GDO
Gross Domestic Outflow (GDO) is a sale forecast for a ID-store-SKU,
store/model/color/size, that projects, if used for future outcomes, or averages, if used with
past data, the amount of items sold in a week throughout a specific period. It considers
only the weeks where stock is greater than 0. It is an indicator that tells you how many
units of an ID-SKU (model/color/size) are going to be sold on average in one week.
Calculating GDOs is a very important component of this analysis, because it defines the
desirability of a SKU in mathematical terms.
26
�ð‘¡ð‘œð‘¡ð‘Žð‘™ ð‘¢ð‘›ð‘–ð‘¡ð‘ ð‘ ð‘œð‘™ð‘‘
ðºð·ð‘‚ð‘†ð¾ð‘ˆ = ð‘ð‘œ. ð‘œð‘“
ð‘¤ð‘’ð‘’ð‘˜ð‘ ð‘¤ð‘–ð‘¡â„Ž ð‘†ð¿ > 0
(2)
WOC
Weeks of Coverage (WOC) is the number of week over which the target stock
level needs to guarantee given quantities; in other words, it represents the period of
weeks over which the store should have coverage without replenishing the stock, given
the GDO and the initial allocation of a specific item in a specific store location. WOC
vary from a minimum of 8 weeks to a maximum of 22 weeks. The WOC variable can be
manually changed depending on the frequency with which a store can be physically
replenished.
ð´ð‘™ð‘™ð‘œð‘ð‘Žð‘¡ð‘–ð‘œð‘›
ð‘Šð‘‚ð¶ = ð¼ð‘›ð‘–ð‘¡ð‘–ð‘Žð‘™ðºð·ð‘‚
(3)
Service Level Percentage & Minimum Display Quantity - MDQ
Minimum Display Quantity (MDQ) is the minimum quantity of SKU needed to
support at least visual needs in the store and minimum required service levels. It is used
to calculate target stock levels and it has to take into account special event, festivities,
holidays and other special days for the retail industry. When MDQ equals to one it means
that the unit is present in the store. Minimum display quantities are calculated before
orders by predefined algorithms.
Service level is a percentage that indicates the average satisfaction of a customer
when entering the store and the service that is offered in a specific location and moment
in time. Service level is a mathematical and objective variable and it should not be
confused with the actual and subjective service offered by sale assistants or by the
physical facilities of the store. In other words, it indicates how many times the consumer
finds an ID-SKU (model/color/size) when desired. Mathematically it is calculated by
dividing (1 – GDO) over the Initial Allocation of the SKU.
ðºð·ð‘‚ ∗ 100
ð‘†ð‘’ð‘Ÿð‘£ð‘–ð‘ð‘’ ð¿ð‘’ð‘£ð‘’ð‘™ð‘†ð¾ð‘ˆ = 1 ‒ð¼ð´
(4)
27
�In-Season Processes
The in-season process analyzed in this thesis is composed by three main
planning processes Target-Stock-Level (TSL), Replenishment and Reorder, which
coordinate and control the SKU management during the retail season, defining sales
revenues, customer satisfaction and the brand’s general performances.
Target Stock Level – TSL
Target Stock Levels (TSL) refers to the process that controls the optimal
quantity needed to support sales in each different store location and their warehouse. It
includes the calculation of the optimal stock level according to the desired goals of the
management and the inventory management model in use. It is initially based on the preestablished sales expectations and on the stores’ coverage necessities, but since these
change as the retail sale season develops parameters of TSL quantities need to be
changed and adjusted throughout the season. More simply the TSL is a process matrix
that responds to the questions what will be needed, when – at what time in season – and
where or in which store location. It is generated in the ordering process and is essential
for the general stock distribution. Mathematically the TSL is calculated weekly for every
SKU combination with the following formula:
( (
ð‘‡ð‘†ð¿ð‘¤ = ð‘…ð‘œð‘¢ð‘›ð‘‘.ð‘¢ð‘ ð‘€ð‘Žð‘¥ ð‘€ð·ð‘„ð‘¤,
𑤠+ ð‘Šð‘‚ð¶ ‒ 1
∑
ð‘–=ð‘¤
ðºð·ð‘‚ð‘–
))
(5)
Replenishment
Replenishment is the process that focuses on the already produced and available
stock situated in stores or in centralized warehouses. Replenishment operations are
responsible for balancing and controlling stock quantities and clusters of merchandise in
final retail locations. The replenishment process follows five main planning criteria:
1.
Standard replenishment is the standard replenishment method where produced
merchandize is transferred from main warehouses to stores.
2.
Rationing is used in case of time scarcity when main warehouses are not able to
satisfy requirements and when it is more convenient to replenish stores from the
closest local warehouse; these are normally located in a main city such as
London, Milan, Rome, Paris, Madrid and some others.
28
�3.
Push replenishment, not to confuse with the Push Model, occurs when excess
merchandise is situated in centralized warehouses and therefore has to be
“pushed-out†to the stores.
4.
Store-to-store Transfers is a method to fulfill individual requirements of stores
and customers and it consists in transfers from one store to another, normally
within a country.
5.
Consolidating consists in replenishment operated primarily to give consistency
to a collection, look or brand; e.g. when skirts matching to its blazers are no
longer available.
Table 2 summarizes when and how these criteria are used.
Table 2. Logistics of InSeason-Process
Beginning of season
During season
End of season
From main warehouse
Replenishment
Rationing
Push
From other stores
Store to store transfers
Consolidation
Reorder
The reorder process overlooks general stock levels and the demand of products.
If it is necessary and logistically possible, additional SKU units will be reproduced and
supplied a second time during the season and strictly before reduced-price sales start.
III. Analysis AS/IS
Ordering and Screening of Database (AS/IS)
The first step of the AS/IS analysis is to clear the databases from all the
information that could be considered misleading inputs to the analysis. First, it is
important to delete all the ID-SKUs that were transferred, stocked or sold during reducedprice sale weeks, considered abnormal weeks in the retail industry since they do not
follow average sale patterns, sellout prices and much more. Another major database
screening step is to combine and match all codes and names of identical ID-SKUs, which
have been changed by the information technology systems that keep track of the
29
�company’s inventory and stock. When an ID-SKU item is restocked or replenished to the
store during the season due to its high demand and desirability, the code is changed and
one letter or symbol is also added to the name. For example, if the model DRY with IDSKU code 624926003-2-M is highly demanded it will be restocked with the name *DRY
and code 956926335-2-M. This is an essential change and correction that has to be made
to the database prior to any calculation to avoid that identical ID-SKUs are considered in
the analysis as completely different items. Finally in the database screening process
transfers have to be divided into transfers-in, received transfers, and transfers out, sent
transfers, in order to distinguish the ‘given’ and the ‘taken’ units.
Analysis of Current Performances of Push Model (AS/IS)
Once the database is cleared from misleading and incorrect inputs, it is possible
to proceed to the current performance analysis, which leads not only to the identification
of the strengths and weaknesses of the current push mode but also to ability of comparing
current results to the simulated performances of the new pull model. The four main steps
that are carried out in the current performance analysis are the calculation of first the
stock level, then the GDO and WOC of every store-SKU, followed by the formulation of
service levels that items are able to provide, and finally the calculation of stock quantities
kept on hold in centralized warehouses. The reason for keeping items “on hold†is to be
able to uniformly distribute this stock throughout the season.
Calculation of Stock Levels (AS/IS)
As explained above, the Stock Level (SL) is the quantity of an ID-Store-SKU
that is still in the store during week x. To calculate and display the stock level of an item
for every single week as shown table 3, it is necessary to create a pivot table in excel that
calculates the SL of a specific week considering the SL leftover from the prior week. The
first week starts with a SL of zero. It is important to take into account different first
weeks (Min-week), since every ID-SKU can be delivered and therefore available for sale
in separate weeks according to internal production and inventory management decisions.
This is why cells prior to the min-week are not considered and left empty instead of
having a SL= 0.
30
�Graph 1. Average Stock Level - Fall Winter 2016 Dress Department
The graph above shows the average stock level of the Fall Winter 2016 dress
department. Week 14 corresponds to the 14th week of the year that goes from 04/04/2016
to 04/10/2016 and represents the first week of the FW 16 season. The average stock level
goes down throughout the season when SKUs are sold, but it does not reach zero at week
49, since it is not the last week of the season but instead the last week before reducedprice sales start.
The calculation of stock levels is an essential step in the analysis making it
possible to calculate GDOs, WOCs and missed sale opportunities. By telling how many
SKUs are present in a store’s stock during every week, it is possible to see when and
where a determined clothing item in its color and size is no longer available. As seen in
the figure below, the cells representing the weeks after delivery, in which the SL of an
SKU unit is equal to zero, are highlighted in yellow with conditional formatting in order
to bring to the attention the potential missed sales opportunities due to stock outs.
31
�Figure 3. Stock Level per Week - Example Table from FW 16 Dress Department Database
32
�Table 3. Stock Level Calculation
Stock Level per Week
14 15 16 17 18
… 36 37 38 39 40 41 42 43 44 45 46 47 48 49
2
… 2
1
1
1
1
0
0
0
0
0
0
0
0
0
1
… 1
0
0
0
0
0
0
0
0
0
0
0
0
0
1
… 1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
… 1
1
1
1
1
0
0
0
0
0
0
0
0
0
1
… 0
0
0
0
0
0
0
0
0
0
0
0
0
0
1
1
1
1
1
1
1
…
…
1
1
1
0
0
0
0
0
0
0
0
…
1
2
1
1
1
0
0
0
0
0
0
…
1
1
1
0
1
1
1
1
1
1
1
1
1
1
1
1
1
1
…
…
… …
1
1
1
1
1
1
1
1
1
1
1
1
1
1
2
2
2
2
2
2
2
2
1
1
1
1
0
0
… … … … … … … … … … … … … … … … …
The method and formulas used in excel to calculate stock levels of a SKU for
every week of the analyzed season, as shown in Figure 3, are described in the following
table:
Table 4. Stock Levels Calculation in Excel
Excel Formula
Description
=IF(CG$5<$CD6;"";G6-AQ6)
 week 1.
=IF(CH$5<$CD6;"";(CG6+H6-AR6))
 weeks x ≠1
33
If week x is less that min
week than the cell has to be
empty, otherwise c(x)-v(X)
(in stock ID-SKU-sold IDSKU)
If week x is less that min
week than the cell has to be
empty, otherwise
c(x)-v(x)+SL(x-1)
�Calculation of GDO & WOC (AS/IS)
Calculating GDOs on past data is much easier than forecasting it for future data,
since no forecast is really needed. Indeed, the project supervisor Carlo Capoferri clarified
that if the term GDO is used for calculations with past data, it has to be clearly stated that
it is not referred to a forecast but simply to the number of sold SKU units over the
number of weeks with stock level greater than zero, as shown in the formula (2).
From the analysis it emerges that the average GDO of all departments from the
season FW 2016 and SS 16 was of 0.1, meaning that on average 0.1 store-SKU units (storemodel-color-size) were sold in one week. While the GDO is relatively low, as it is common
in the luxury fashion industry, the WOC has a high average of 19.5 meaning that the stores
are normally covered with a SKU item for nearly 20 weeks, without stock replenishment.
Calculation of Service Levels (AS/IS)
Service level is calculated in the AS/IS analysis with the intent to find how well
the current push model is able to satisfy the final customer. Service level varies
depending on the collection, brand and department of the SKU and it is a very important
parameter to keep under control especially in the luxury industry where customers expect
high service levels. Even if having a service level of 100% is always desired and
preferable, the current push model is able to provide on average 94%, which is
considered relatively high in the industry.
Calculation of Stock on Hold (AS/IS)
Stock on Hold is a variable that indicates how much inventory is kept in main
warehouses to be restocked later in the season. It is one of the most important variables of the
study since it is voluntarily going to be changed in the new pull model, with the assumption
that the more stock is kept on hold at the beginning of the season, the more managerial
freedom there will consequently be to allocate this remaining stock when and where it is most
needed. While stock on hold is very low in the push model, since most of the units are
immediately delivered to stores, or as the term says “pushed†to the stores, it is supposed to be
much higher in the pull model. Today only 5.6% of stock is kept on hold in main warehouses.
The table below (see Table 5) is an example of the AS/IS analysis results for the FW
16 Dress department. In this example, the average GDO is 0.1 and the average service
level is 93.07%, meaning that on average about 0,1 dresses of every SKU are sold per
week and that 9 times out of 10 the customer finds the dress, in the color and size she
needs it. Furthermore, in the Fall-Winter 2016 season 89,690 dresses were initially
34
�delivered and stocked in all European stores, while only 5.26% of the total amount of produced
units was later transferred and restocked.
Table 5. AS/IS Current Performance Results –
FW 16 Dress Department
Id Store-SKU
101062-626116906-1-44
101062-626116906-1-46
101062-626116906-1-48
101062-626156906-2-38
101062-626156906-2-40
101062-626156906-2-44
101062-626156906-2-46
101062-626156906-2-48
101062-626156906-5-38
101062-626156906-5-40
101062-626156906-5-42
101062-626156906-5-44
101062-626156906-5-46
101062-626156906-5-48
101062-626176906-2-44
Co
unt
ry
UK
UK
UK
UK
UK
UK
UK
UK
UK
UK
UK
UK
UK
UK
UK
Store
London
Harvey
Nichols
London
Harvey
Nichols
London
Harvey
Nichols
London
Harvey
Nichols
London
Harvey
Nichols
London
Harvey
Nichols
London
Harvey
Nichols
London
Harvey
Nichols
London
Harvey
Nichols
London
Harvey
Nichols
London
Harvey
Nichols
London
Harvey
Nichols
London
Harvey
Nichols
London
Harvey
Nichols
London
Harvey
Nichols
GDO
Collection
Model
MAXMARA 1^ Exit
OLBIA
MAXMARA 1^ Exit
MAXMARA 1^ Exit
MAXMARA 1^ Exit
MAXMARA 1^ Exit
MAXMARA 1^ Exit
MAXMARA 1^ Exit
MAXMARA 1^ Exit
MAXMARA 1^ Exit
MAXMARA 1^ Exit
MAXMARA 1^ Exit
MAXMARA 1^ Exit
MAXMARA 1^ Exit
WOC
Service
Level
IA
Stoc
k on
Hol
d
Stock
on
Hold
%
#
weeks
SL=0
ð‘¥Ì…
ð‘¥Ì…
ð‘¥Ì…
0.12
20.1
8
93.07%
∑
89,
690
∑
5,2
65
5.87
%
∑
344,47
4
0.00
15
100.0%
2
0
0%
9
0.00
16
100.0%
1
1
0%
13
0.00
22
100.0%
1
0
0%
0
0.00
19
100.0%
1
0
0%
9
0.00
23
100.0%
1
0
0.00
18
100.0%
1
0
0%
8
0.20
10
90.0%
2
0
4%
6
0.10
10
90.0%
1
3
3%
1
0.00
9
100.0%
1
0
1%
0
0.14
14
92.8%
2
0
0%
2
0.14
14
92.6%
2
0
0%
9
0.06
32
96.8%
2
0
0%
0
0.00
26
100.0%
1
0
0%
0
0.00
24
100.0%
1
0
0%
9
0.07
14
92,6%
1
1
0%
7
ð‘¥Ì…
OLBIA
OLBIA
GOLF
GOLF
0%
21
GOLF
GOLF
GOLF
GOLF
GOLF
GOLF
GOLF
GOLF
MAXMARA 1^ Exit
GOLF
MAXMARA 1^ Exit
MITIC
O
35
�IV. Analysis of Lost Opportunities
In order to calculate and analyze when and how often there are lost sale
opportunities in the current push model, it is necessary to create two tables that highlight
the frequency of possible missed sales and the probability of that sale actually happening
in the week where the item is not present in the store. The first table (see Table 6) shows
how many times an ID-SKU was needed and how probable the missing sale actually was.
The second table on the contrary (see Table 7), highlights how many times a store could
have given an SKU away to some other direct point-of-sale that needed it more. When
the cell is equal to zero it means that the SKU was neither needed nor available to be
transferred.
Table 6. Missed Sale Opportunity “to-take†– Example Table from FW 16 Coats
Department
SKU to Take - Missed Sale Opportunity
ID-SKU
16
10011-126016906-7-36
10011-126016906-7-38
10011-126016906-7-40
10011-126016906-7-42
10011-126016906-7-44
17
…
37
38
39
40
41
42
43
44
45
46
47
48
49
0
…
0
0
0
0
L
L
L
L
L
L
L
L
L
0
…
L
L
L
L
L
L
L
L
L
L
L
L
L
0
…
0
0
0
0
0
0
0
0
0
0
0
0
0
0
…
0
0
0
0
L
L
L
L
L
L
L
L
L
0
…
L
L
L
L
L
L
L
L
L
L
L
L
L
0
0
0
0
0
0
0
10011-126066306-5-38
…
10011-126066306-5-40
10011-126066306-5-42
…
0
0
0
L
L
L
L
L
L
L
L
…
0
0
0
0
0
ML
ML
ML
ML
ML
ML
0
0
0
L
0
0
0
0
0
0
0
0
0
0
0
0
0
0
…
…
…
…
…
…
…
10011-126066306-5-44
10011-126066306-5-46
…
…
…
…
…
…
…
…
36
…
…
�Table 7. Missed Sale Opportunity “to-give†– Example Table from FW 16 Coats Department
SKU to Give - when SL >= 1
ID-SKU
18
…
37
38
39
40
41
42
43
44
45
46
47
48
49
10011-126016906-7-36
15
16
17
L
…
L
L
L
L
0
0
0
0
0
0
0
0
0
10011-126016906-7-38
L
…
0
0
0
0
0
0
0
0
0
0
0
0
0
10011-126016906-7-40
L
…
L
L
L
L
L
L
L
L
L
L
L
L
L
10011-126016906-7-42
L
…
L
L
L
L
0
0
0
0
0
0
0
0
0
10011-126016906-7-44
L
…
0
0
0
0
0
0
0
0
0
0
0
0
0
L
L
L
L
L
L
L
10011-126066306-5-38
…
10011-126066306-5-40
…
L
L
L
0
0
0
0
0
0
0
0
ML
ML
ML
ML
ML
0
0
0
0
0
0
L
L
L
0
L
L
L
L
L
L
10011-126066306-5-46
L
L
L
L
L
L
10011-126066306-2-42
L
L
L
L
L
L
…
…
…
…
…
…
10011-126066306-5-42
10011-126066306-5-44
…
…
…
…
…
…
…
…
…
…
…
…
…
The formula that has been used is:
=IF(CG$5<$CD6;"";IF(CG6>=1;0;IF($DT6<=0,1;"L";IF($DT6<=0,2;"ML";IF($D
T6<=0,4;"MH";"H")))))
It presents 5 possible scenarios:
1.
If the week in charge is prior to the week of delivery then cell is empty;
2.
If the SL is higher that 1 then the there is 0 chances of losing a sale;
3.
If the GDO is lower or equal to 0.1 than the probability of losing a sale is low, L;
4.
If the GDO is lower or equal to 0.2 than the probability of losing a sale is
medium low, ML;
5.
If the GDO is lower or equal to 0.4 than the probability of losing a sale is
medium high, MH;
6.
If the GDO is higher than 0.4, all other cases, than the probability of losing a
sale is high, H;
37
�Each parameter is then added together for each department in order to find
which percentage of the total SL in Europe is considered a misallocation of stock and
could have been responsible for a missed sale opportunity. The summary table below (see
Table 8) shows the results of the missed opportunity analysis of the FW-16 Coats
department; from 1.5 million possible sale combinations 10.4% (158K) can be considered
missed sale opportunities, 3.3% of which have a high probability of occurrence. This
means that the current stock management system is not able to optimize sales’ efficiency
probably due to the lack of control that it has on 94% of the merchandise that is entirely
sent to the stores at beginning of the season. The downside of the current model described
above brought the company to question the push system and the reason for which Max
Mara decided to analyze the benefits and the downsides of a different inventory
management model.
Table 8. TOTAL Missed Sale Opportunity – Example Table from FW 16 Coats Department
Total Combination Missed Sale Opportunities % Missed Sale Opportunities
1,530,729
158,825
10.4%
H
1,530,729
50,447
3.3%
MH
1,530,729
47,428
3.1%
ML
1,530,729
60,950
4.0%
V. Analysis TO/BE
Analysis Performances of Simulated Pull Model (TO/BE)
The TO/BE analysis is the heart of this study and is a simulation of the new pull
model. It starts from the AS/IS database on which inputs are changed in order to achieve
greater stock efficiency and more beneficial sales outcomes. Simulations are made with
data of the Fall-Winter 2016 season in order to compare actual performance of the push
model with potential results that could be achieve with the pull model.
Simulations of IA, GDO, WOC & Service Level in the new Pull Model (TO/BE)
Since the pull model predicts a much lower initial store stock, the first variable
that is changed is the initial allocation of every SKU, which is calculate with the real
collection-based GDO and the desired WOC. The collection-based GDO is a brandcollection average calculated from the AS/IS model, and therefore nearly identical to the
GDOs of the push system; it is simply more accurate to use for future simulations
because abnormal events and special trends of certain SKU units that have very particular
38
�GDOs due to their design, price or style, are not taken into account. Weeks of coverage
on the other side are deliberately decreased since stores will have more frequent
replenishments and need to be covered for a smaller number of weeks. The pull model
assumes that the store is covered for about 8 to 10 weeks, about half of the WOC in the
push system. Initial allocation for the pull model is calculated multiplying the weekly sale
probability of the item’s collection (GDO) times the weeks over which the units need to
cover the store (WOC). Mathematically speaking it is obtained with the formula below:
ð¼ð´ = ð‘Šð‘‚ð¶ ∗ ðºð·ð‘‚ð‘ð‘œð‘™ð‘™ð‘’ð‘ð‘¡ð‘–ð‘œð‘› ≫ ð‘¡ð‘œ ð‘¡â„Žð‘’ ð‘›ð‘’ð‘Žð‘Ÿð‘’ð‘ ð‘¡ ð‘‘ð‘’ð‘ð‘–ð‘šð‘Žð‘™ ð‘ð‘™ð‘Žð‘ð‘’(6)
Predicted and simulated initial allocations cannot be in decimal form, since they
are actual supplied quantities of units. Due to the complexity of the formula, it is
necessary to calculate first a general IA that rounds the value to the nearest whole
number, and in a second time a more accurate one that takes into account the minimum
display quantity (MDQ) and the higher allocation needed for middle sizes.
The more general initially allocated (gen. IA) quantity is calculated with the following
criteria:
ï‚· If ðºð·ð‘‚ ∗ ð‘Šð‘‚ð¶ ≤ 2  then ð‘”ð‘’ð‘›.ð¼ð´ rounds upwards
ï‚· If ðºð·ð‘‚ ∗ ð‘Šð‘‚ð¶ > 2  then ð‘”ð‘’ð‘›.ð¼ð´ rounds downwards
It is then necessary to increase initial allocation quantities of the European middle
sizes 42 and M, which have a higher average GDO.
ï‚· If ð‘”ð‘’ð‘›.ð¼ð´ = 1  then ð¼ð´ = 2
ï‚·
ï‚·
If ð‘”ð‘’ð‘›.ð¼ð´ = 2  then ð¼ð´ = 3
If ð‘”ð‘’ð‘›.ð¼ð´ > 3  then ð¼ð´ = ð‘”ð‘’ð‘›.ð¼ð´
By changing this input the total initial allocation automatically decreases since
the aim is to keep only the minimum necessary stock in the stores. Since the weeks of
coverage in the pull model are more than halved, from an average of 20 weeks to about 8
or 10, the new system predicts that stores will be much less stocked than in the push
model (see Graph 2). This does not imply that stock is missing and causing missed sales,
but on the contrary that inventory carryover is reduced and profits are optimized. In the
graph below it is possibly to see the difference of stock quantities between the two
models.
39
�Graph 2. Initial Allocation by Collection – AS/IS & TO/BE
Even if the initial allocation is carefully calculated so that the store is fully
covered for 8 weeks with a balanced distribution of SKU units, it is impossible to predict
which collections, models, color or sizes are going to have the highest demand and GDO;
it is therefore inevitable that with less initial allocation the service level, also calculated
with the collection-average GDO, is going to be slightly affected in the new pull model.
As seen in the graph below (see Graph 3) service levels would all decrease by 2%, from
93.3% in the current model to 91.5% in the future inventory management system.
Calculation of Exit-Speed (TO/BE)
Exit-Speed is a parameter that is calculated in order to define the correct or
minimum number of weeks that a certain initial allocation quantity can cover. This
calculation finds the percentage of Model-SKU that has a fast exit-speed, meaning a
much higher GDO during the first four, six or eight weeks from when the Model-SKUs
are delivered to the stores, in relation to all the other weeks. It has been found that only
7.9% of merchandise has very high exit speed within 8 weeks, which is a sufficiently low
percentage to allow 8 weeks of coverage (WOC) to be a sustainable amount.
40
�Graph 3. Service Level by Collection – AS/IS & TO/BE
Table 9 below summarizes and outlines TO/BE and AS/IS results. The bottom
line represents the changes that would occur if the company decided to switch from the
push to the pull model. While the decrease of initial allocation is not necessary a negative
change, the decrease in the percentage of service level is certainly not a desirable factor.
Table 9. GDO, WOC, IA & Service Level results AS/IS & TO/BE
GDO
WOC
Initial Allocation
Service Level
AS/IS
0.1
19.7
83,656
93.3%
TO/BE
0.1
8.00
61,362
91.5%
From AS/IS to
TO/BE
=



Calculation of Stock on Hold (SoH) (TO/BE)
Once initial allocation is defined for the pull model, it is possible to calculate the
amount of stock that is kept on hold for more accurate replenishment during the season.
41
�Depending on how drastically the company is willing to adopt the push model, it is
sufficient to change the week of coverage length, which consequently increases the IA
input and decreases the stock on hold.
 WOC –  IA – SoH
(7)
If the minimum preferable WOC period for the pull model is 8 weeks, a more
mild approach would be maintaining an average of 10 weeks of coverage (WOC). To
calculate the new stock on hold, the initial allocation quantity of the pull model is
subtracted from the initial allocation plus the stock on hold of the push model, as shown
in the formula below.
ð‘†ð‘¡ð‘œð‘𑘠ð‘œð‘› ð»ð‘œð‘™ð‘‘ð‘ð‘¢ð‘™ð‘™ = (ð‘†ð‘œð»ð‘ð‘¢ð‘ â„Ž + ð¼ð´ð‘ð‘¢ð‘ â„Ž) ‒ ð¼ð´ð‘ð‘¢ð‘™ð‘™
(8)
According to the formula (8) and due to the fact that the initial allocation of the
pull model includes much smaller quantities, it is logical that the stock on hold of the pull
model will increase. While stock on hold is currently of 5.7%, the pull model would hold
back on average 32.1% of the total produced items as seen in table 10.
Table 10. Total Stock on Hold AS/IS – TO/BE
B2C/B2E – MM & MC – FW 2016
AS/IS
TO/BE
Stock on Hold Units
SoH %
Stock on Hold Units
oH%
52,246
5.7%
290,973
2.1%
VI. Spaces Analysis
Given that much less stock is kept in local and stores’ warehouses with the new
pull model, and that about the same quantity has to be allocated between stores, boxes
and main warehouses, it is important to analyze and consider in advance physical spaces
available, that will be in surplus or shortage. Boxes are actually found within the main
warehouse and they refer to stock that is physically divided and reserved for stores that a
have a low space capacity. In 2016 in Europe, MaxMara and Max&Co covered in total
54,610 square meters (m2) of direct store and stock area, 34.2% of which were occupied
by stores’ warehouses and 65.8% by retail space. This total area was able to hold a
maximum capacity of 822,220 clothing items, 90,170 on display in sale area and 732,050
42
�in warehouses. However, for both safety and quality reasons the company decided to hold
in store’s warehouses an average capacity of only 643,100 items.
Table 11. Total Store Area – Retail & Stock Surface
Area in m2
Total Area
Sale Area
Warehouse Area
% Retail % Warehouse
Total
54,610
35,942
18,668
65.8%
34.2%
MaxMara
41,027
27,290
13,737
66.5%
33.5%
Max&Co
13,583
8,652
4,932
63.7%
36.3%
From the AS/IS analysis it also emerged that as it is now, the two brands have a
density of 34 items per square meter including accessories, hanged items and laid out
units. This last variable however, has a relatively high standard deviation of 82.12
meaning that some stores have a much higher and more significant density than others. In
order to spot stores that have a high density and that need space attention, conditional
formatting has been applied as seen in the example table below (see Figure 4).
43
�Figure 4. Warehouse Density – AS/IS & TO/BE
The significant part of this sub-analysis is the TO/BE simulation of spaces that
calculates how much physical store and warehouse surface could be saved or is needed
with the pull model. Since the average utilized store and stock-area capacity is decrease
by 19.8%, 127,029 items are not physically present anymore in stores’ warehouses and
3,528 squared meters are therefore freed (see Table 12). The 17% of warehouse space
that is not occupied anymore, could be either used to spread out items and accelerate the
searching process of sale assistant, which would be the case of stores with very high
density, or could be possibly invested and transformed in display and retail surface. In a
third case scenario, when the pull model is fully implemented and if warehouses are
correctly managed, the possibility of closing some of the external and secondary
warehouses that are not need anymore could also be considered.
44
�Table 12. TO/BE Stock on Hold Simulation
TOBE Simulation of WOC 8
% Stock on Hold
Stock on Hold Freed m2 % Freed m2
19.8%
127,029
3,528
17.0%
16.4%
72,777
2,186
14.2%
27.2%
54,251
1,342
25.1%
As it is possible to see in the graph below the average density of stores
decreased from 34 to 28 SKU per square meter. This change in density is caused by the
drop in the total allocation of stock in all direct stores.
Graph 4. Average of Total Allocated Stock in all European direct stores
It is important to clarify to the reader that this specific part of the TO/BE
simulation is slightly less accurate and harder to do, since it is not possible to know how
exactly stores’ warehouses are laid out and what they are used for. Some external
warehouses for example are only used for windows’ material, office space or other
furniture. Moreover, at the beginning of the winter season the capacity of warehouses is
inferior due to the higher volumes of winter clothing items. It is however interesting to
have a general idea of how much space will be freed and if the utility of some external
warehouses and boxes can be reexamined.
The two diagrams below (Figure 5 & 6) give an outline of the push and pull
models. While secondary warehouses in Paris, London, Rome and other large cities are
extremely important in the push model, since a large amount of stock is kept and
distributed from there, their use is questionable in the new system, where a large portion
45
�of the stock is now kept “on hold†in main warehouses. In the pull model boxes in main
warehouses would disappear since stock not initially allocated is left pending and is not
yet in any store’s property and control. Its final allocation will be internally decided
throughout the season depending on its GDO and the location where the SKU in question
is most demanded and desired. Finally, the length of the arrows and the area of the stores
(N squares) symbolically represent the initial allocation quantity of SKU that every store
receives, explaining why in the second diagram these are much shorter and smaller.
Figure 5. Push Model Diagram
46
�Figure 6. Pull Model Diagram
As seen in the diagram above (see Figure 6) the main warehouse is much larger
than in the push systems since 25% more stock is now “on hold†within the warehouse.
This brings to the conclusion that enlargement of the warehouse is necessary and has to
be considered prior to the implementation of the system.
VII. Transfers Analysis
Until today transfers from store to store have been a major help and a significant
portion of additional revenue to the company, giving to sale assistants the possibility to
requests from other stores items that are desired by customers, but not present in that
particular location. This helps not only to increase sales and revenues but also to fulfill
the customers’ satisfaction and provide the best possible service. In 2016 45,632 units
were transferred in Italy only from the two brands MaxMara and Max&Co, which equals
to 3.6% of the 1,272,720 total supplied items. However, transfers are not always
successful and indeed only 62.1% of the transferred items are actually sold within two
weeks (see Table 13 & Figure 7).
Moreover, from the total 66,706 total transfers, 24.7% were denied due to
logistics problems such as shipping times, preordered items in stores or simply the store
manager’s decision to keep the item in his/her own store. Of these 16,473 not transferred
items, only 5,680 or 34.5% are sold within two weeks in the initial store, meaning that
47
�65.5% of these items could have been transfers without creating any problem in the
original location.
Table 13. Total Received Transfer Requests
Total Received Requests
Transfer Requests AS-IS Italy
2017
Total
Received %
Supplied
Transfers rec/sup
Sold
within 2
weeks
%
sold/rec
Total
1,272,720 45,632
3.6%
28,328
62.1%
Max Mara
730,116
35,335
4.8%
21,481
60.8%
MAX&Co.
542,604
10,297
1.9%
6,847
66.5%
Figure 7. Percentage of Sold Transfer from Receive Transfers
Table 14. Total Denied Transfer Requests
Denied Requests
Transfer Requests AS-IS Italy 2017
Total
Denied
Requests
Transfers
Total
66,706
16,463
Max Mara
50,896
MAX&Co.
15,810
48
% den/req
Sold within %
2 weeks
sold/den
24.7%
5,680
34.5%
11,732
23.1%
4,003
34.1%
4,731
29.9%
1,677
35.4%
�B2E/B2C Effect on Transfers
Business-to-consumer (B2C), more generally called e-commerce, occurs when
businesses sell directly to consumers, through the internet and their webpages. This
model, also commonly called “online shoppingâ€, was adopted by the Italian fashion
house in 2014 and was a significant step in the e-commerce world since a very important
priority for companies in the luxury industry is to provide to consumers a unique
customer experience during their purchasing process (Maramotti, 2017). Luxury fashion
brands strongly rely on direct and personalized service and customers’ desirability.
Business-to-employee (B2E) is similar to the B2C model because it also uses
information technology systems to facilitate retail operations, but it has the difference
that the employees are primarily responsible for the sale, while the final consumer is not
directly involved in the digital purchasing process. MaxMaraFashionGroup has only
recently started to use this model in pilot stores with the goal in the first place to decrease
store-to-store transfers and in a second time to increase sales and revenues. When a
customer demands a SKU that is not available and present in the store momentarily the
sale assistant asks the customer if she/he wants to digitally buy the item from the store’s
I-pad with the aid of the sale assistant. The customer is then invited to try the clothing
unit(s) at home when it is delivered and bring it to the store for any possible problem
such as size issue, pant length, additional look suggestions and others. If the item does
not satisfy her expectations, she can either give it back to the store or send it back to the
warehouse, as it occurs in B2C.
Operating B2E is not always as easy at is sounds and often both sale assistants
as well as customers are hesitant to offer and accept this business option. This however,
does not imply that the system doesn't work; on the contrary data has proven that in 2017
in Italy 8.4 items were transferred on average weekly in every MaxMara and Max&Co
store. As seen in the table below (see Table 15) Max Mara stores transfer about 10.2
items per week while Max&Co only 5.8; this is mainly due two major factors, the first
being the higher luxury desirability of the MaxMara brand, and the second due the much
lower number of different Model-SKU that Max&Co has. As seen in the summary table
below (see Table 15) B2E decreased transfers between Max&Co stores by 24% and it is
therefore possible to assume that the digital commerce model is bringing positive results.
In MaxMara stores on the other hand, physical transfers increased by 1% regardless of
the implementation and availability of the B2E system. This means that there is still
much improvement to be done and that transfers should not be stopped until B2E is fully
active and effective.
49
�Table 15. Impact of B2E on Transfers – Italy
Transfers & B2E
B2E Italy 2017
Weekly Received Impact of B2E % Impact of B2E
Transfers
on Transfers
on transfers
Total
8.4
-0.5
-6.0%
Max Mara
10.2
0.1
+1%
MAX&Co.
5.8
-1.4
-24.5%
One of the main problems that also emerges from B2E and on which managers
are strongly working, is the lack of control that the company has on franchisee stores.
Non-direct stores are often not willing to use B2E due to the scarce margin that they
make from it; items bought from B2E are indeed not voluntarily ordered by them in the
wholesale process and if the customer brings the item back to the store they are left with
an item that is not of their property. Two immediate solutions to solve this problem are to
ask the franchisee to send the item back to the company in the case of unsuccessful sale
or to buy it at the wholesale price and add it to their inventory. In the first case however,
franchisees have to take a risk, and even if they accept to install the B2E system, there is
no incentive for them to actually use it due to the small or inexistent profit margin that
they make. The second option presents a better scenario but still does not balances the
interest of the franchisees and the company, since there is always the risk of having to
keep the additional item in stock if the customer decides to bring it back. The only reason
for which they should therefore operate B2E is the willingness to satisfy their customers’
demands, hoping that they become “returning customersâ€.
In order to give real incentives to franchisees to use B2E it is necessary to give
them a profit margin in each case scenario, which could be the difference between sell-in
and sell-out price when the customer is satisfied with the item, and the option to send the
item back to the company if the customer brings it back to the store.
The complexity of the process could appear discouraging at first, but it gives
franchisee stores, who already have a smaller selection of models and SKU units, the
possibility to offer the customer a valid alternative for receiving the desired item. While
in direct stores for example, individual sale assistants are rewarded when completing a
B2E sale, it is not possible to do the same in franchisees. Although franchisee stores are a
minority, especially in Europe, this is an issue that needs close attention because
centralization of operations and services is essential in retail. When the customer is aware
of a service that the brand offers, he/she expects to receive the same service level in every
50
�store of that brand. The flow diagram below shows all possible options that the company
and the franchisee have if the B2E system is provided and installed in a franchisee store.
Figure 8. Implementation of B2E in Franchise Stores
VIII. Conclusion
After having carefully analyzed, considered and compared data results of the
AS/IS and TO/BE analysis, it is possible to conclude that the implementation of the pull
model would almost certainly optimize SKU and sales efficiency in Max Mara’s direct
retail, especially if carefully managed by specialists and controlled with advanced
information systems. On one side, the pull model would increase the number of sales and
reduce the possibilities of missed sale opportunities, but on the other hand it would
increase costs of shipments, time required in stores to receive and scan deliveries, as well
as create costs linked to the management and to the enlargement of the central
warehouses.
As it is today, the company does not have the facilities to provide a fully
functioning and effective pull inventory management system based on eight weeks of
coverage, and the risk of switching to something that has never been done before in the
company would be unreasonably high. However, if the company decided to implement
the pull model despite its downsides, it would be suggested to slowly and partially
implement the system step by step, starting from an intermediate 12-WOC model and
51
�then gradually switching to the ideal 8-WOC pull model, which has been simulated in the
analysis.
From the AS/IS analysis it emerged that 94% of the total stock is initially
allocated in retail points and is sufficient to cover stores for more than 19 consecutive
weeks. The TO/BE simulation brought to the conclusion that 32.1% of stock is on hold,
and therefore ready to cover possible missed sale opportunities in every location. Even if
service levels went down by 2% from the old inventory management system, the pull
model would still benefit retail operations increasing customers’ satisfaction throughout
the season.
The implementation of the pull model needs to be done very carefully not only
due to the slightly lower service levels in the new system, but also due to the drastic
logistical changes. Indeed, this project opened many other cost-related issues and
logistics questions that could not have possibly been analyzed in this study since time
was limited and the focus of the analysis was on direct retail. Given that the company is
aware of both downsides and benefits of the new inventory management system, the
question that emerges is whether managers would be willing to implement the new pull
model, which optimizes efficiency on the retail side but increases costs and logistics
issues on the other end.
IX. Bibliography
Babai, M., Ladhari, T., & Lajili, I. (2015). On the inventory performance of multi-criteria
classification methods: empirical investigation. International Journal Of Production
Research, 53(1), 279-290.
Caterina Maramotti. (2 June 2017). Transforming digitally the customer experience in the
luxury sector. HEC Master Thesis. P.29
Felipe, C., & Jérémie, G. (2010). Inventory Management of a Fast-Fashion Retail
Network. Operations Research, (2), 257.
Garrett van Ryzin, a., & Siddharth Mahajan, a. (1999). On the Relationship between
Inventory Costs and Variety Benefits in Retail Assortments. Management Science, (11),
1496.
Hannah, Lewis. (19 February 2015). The Amazing History of Max Mara. Global Blue.
Retrieved from: http://www.globalblue.com/destinations/italy/milan/history-of-maxmara/
52
�Max Mara Fashion Group. (2012). At a Glance. Retrieved from:
http://www.maxmarafashiongroup.com/en/at-a-glance
Morgan Swink & Steven Melnyk & M. Bixby Cooper & Janet L. Hartley. (2017).
Managing Operations Across the Supply Chain. 3rd Edition.
Ton, Z., & Raman, A. (2010). The Effect of Product Variety and Inventory Levels on
Retail Store Sales: A Longitudinal Study. Production & Operations Management, 19(5),
546-560.
Venugopal, P. (2008). Sales and Distribution Management: An Indian Perspective. New
Delhi, India: Sage Publications Pvt. Ltd.
Xiao, Y., & Chen, J. (2012). Supply Chain Management of Fresh Products with Producer
Transportation* Supply Chain Management of Fresh Products with Producer
Transportation. Decision Sciences, 43(5), 785-815.
53
����The Difference is in the Tales: The Relationship Between
Insurance Regulations and Accessible Abortion Care
Emma J. MacDonald (Sociology)1
This pilot study was conducted in order to determine the correlation between restrictions
on federal, state, and private insurance in regards to abortion and the accessibility of
abortion care for women in the United States. While working on a storytelling project for
the advocacy organization Physicians for Reproductive Health, patterns in the stories
about insurance coverage and abortion care were noticed. Many women, despite having
insurance, either through a private provider, the government, and/or their employer, were
forced to pay some or all of the cost of the abortion care they sought. This necessity was
largely due to policies such as the Hyde Amendment, which prevents federal funds from
being used for abortion care except in the cases of rape, incest, and immediate danger to
the mother’s life. The Hyde Amendment mainly affects Medicaid users and those who
use state equivalents. Indirectly, the Hyde Amendment affects women in marginalized
social groups, such as women of color, poor women, disabled women, LGBTQ+ women,
women living in rural communities, and others. These women already have trouble
accessing safe and affordable health care because of the systemic disadvantages they
face.
I. Introduction
“She asked me, ‘What is different from the last one?’
I replied, ‘A heartbeat.’â€
This is a conversation between a doctor and their patient when the latter
discovered that her insurance company would not cover her second abortion. Both
pregnancies she had were not viable, but the difference in detail – the heartbeat of the
second fetus – prevented her from receiving affordable abortion care.
Every day since the administration of the 45th president has taken office in the
United States, a story has been shared as part of a Physicians for Reproductive Health
project. These stories come from individuals all over the country – patients, providers,
and advocates alike – through an online submission form. These accounts shed light on
how individuals are affected by policies to show resistance against said policies and laws
1 Written under the direction of Dr. Bernadette Ludwig in partial fulfillment of the Senior
Program requirements.
57
�that pose a threat to safe and accessible reproductive health care. The stories that are
submitted are tales of loss, love, gratitude, determination and indignant righteousness.
Women share their experiences with abortion and organizations such as Planned
Parenthood, while providers share the stories of the women they have cared for and the
reaffirmation they feel that they have chosen the right profession, especially when their
right to practice is challenged every day by politicians.
However, restrictions on insurance in the context of abortion care can produce
heart-wrenching moments such as the one above. While many women have health
insurance, policies such as the 1976 Hyde Amendment – a law that prevents federal funds
from being used for abortion care – as well as state and more local legislation regulate
under what conditions, if any, an abortion may be paid for by an insurance company.
These laws and policies affect women nationwide, but affect women in marginalized
social groups in particular. These women are often systemically prevented from easily
accessing safe and affordable abortion care. An insurance company’s obligation or
decision to deny coverage for abortion care can put the health of women at risk, despite
the supposedly well-meaning policies and values they stand on.
II. Literature Review
Individual access to reproductive health care, specifically abortion services, is
restricted as a result of a number of federal and state regulations on funding. Most
prominently, the Hyde Amendment,2 which was passed in 1976, prohibits Medicaid3
insurance from covering abortion procedures, except in the cases of rape and incest, or if
a physician determines that the life of the mother is immediately endangered. According
to the Guttmacher Institute (2017), ten states have laws that make it illegal even for
private insurance companies to cover abortion services. 21 states pose restrictions on
abortion coverage for individuals who work in the public sector, such as federal, state,
and local governments. Similar to the rules of the Hyde Amendment, these restrictions,
2 No federal funds and no trust funds that the federal government is authorized to use
may be expended for abortion or health benefit plans that cover abortion. No federally
owned or operated health care facilities, nor any individuals employed by the federal
government may provide abortion services. State Medicaid funds are also restricted in
this manner (House of Representatives, 2014).
3 Eligibility for Medicaid is “based on modified adjusted gross income (MAGI) as
required by the Affordable Care Act.†Eligibility levels vary in each state relative to the
federal poverty guidelines, as of April 1, 2016 (Centers for Medicare and Medicaid
Services, 2017).
58
�under the most liberal of circumstances, cover abortion care only if the pregnant
individual was raped, is a victim of incest, or if the health or life of the mother and/or the
fetus is severely threatened (Guttmacher Institute, 2017). There are also cases where
abortion services are not covered under insurance plans because private insurance
companies or individuals’ employers simply choose to not cover it.
These regulations have been shown to have the most significant negative impact
on women from poor or low-income households, women of color, young women –
ranging from their adolescent years to their mid-twenties, queer women, disabled women,
and/or women who live in rural locations (Jackson, 2007; Jones, et al., 2011; Jones, et al.,
2013; Ely, et al., 2010; Hussey, 2010; Jones, et al., 2010; World Health Organization,
2012). Women belonging to these demographics are more likely to be recipients of
Medicaid, which, as has already been established, limits a woman’s access to abortion
unless she is seeking the procedure under these very specific circumstances.
Despite these limitations, studies have found that abortion rates are higher
among women of these marginalized demographics (Jones, et al., 2011; Finer, et al.,
2011; Hussey, 2010), and/or women who are covered by Medicaid insurance (Jackson,
2007; Jones, et al., 2013; Hussey, 2010). Some scholars speculate that the reason for
these increased rates of termination are due to the financial stress that bearing and raising
a child would create (Jones, et al., 2013; Hussey, 2010; Jones, et al., 2010), while others
argue that the initial cost of the abortion procedure is too great for many women, and they
are therefore more likely to carry the pregnancy to term (Finer, et al., 2011; Hussey,
2010; Dennis, et al., 2011). Jones, et al. (2013) add that “the financial costs of accessing
abortion services [extend] beyond paying for the procedure. Two thirds of patients
[report] that they incurred additional expenses for transportation… lost wages… [and]
childcare†(p. 176). Ely, et al. (2010) and a publication by the World Health Organization
(2012) support this finding. These additional expenses are multiplied in states where
abortion care is required to include a waiting period or pre-procedure counseling. In 27
states, there is a mandatory waiting period, typically 24 to 72 hours, between a
consultation and when an abortion can actually be performed, which often necessitates
multiple trips to a clinic or a hospital; and in 14 states, in-person counseling also
necessitates more than one trip (Guttmacher Institute, 2017). This means that in addition
to the cost of an abortion procedure, travel, lodging, and childcare costs are also
necessary for more than one day. Van Doorslaer, et al. (2006) suggest that those with less
disposable income will not follow through with an abortion procedure. They state,
“...[G]iven need, higher-income people are more likely to seek specialist care than lowerincome people†(p. 180). In other words, if an individual has more money to spend on
59
�specialist doctors’ visits, they are far more likely to make and follow through with those
appointments than someone who has a lower income. This means that insurance
restrictions on abortion care are classist and, by extension, racist. Poor women are subject
to greater financial difficulty in either circumstance – having an abortion or carrying the
pregnancy to term.
Noteworthy is that while many women in the United States, including poor and
low-income women, have some form of insurance coverage, a majority of those who both
have insurance and underwent an abortion procedure did not use their insurance to pay
for the service. This was found to be true because their insurance plans typically did not
cover the abortion for one reason or another, whether because of regulations or by choice
(Jones, et al., 2013; Dennis, et al., 2011; Jones, et al., 2010). Many individuals were also
unsure if their insurance plans covered abortion, so they did not use insurance. This
means that a majority of women paid out-of-pocket – an average of $485 for firsttrimester abortions and an average of $854 for second-trimester abortions (Jones, et al.,
2013) – in order to cover some or all of the cost of this aspect of reproductive health.
As the research shows, federal and state regulations surrounding insurance
coverage of abortion procedures have an undeniable impact on certain demographics in
the United States. Marginalized groups such as queer women, transgender men, women
of color, disabled women, women in low-income households, as well as many others, are
more heavily impacted by the lack of coverage for abortion care than their straight, white,
middle class, and/or able-bodied neighbors. While many regulations do not explicitly
limit access for certain social groups, the indirect results impact the groups greatly.
III. Data and Methods
This pilot study was conducted to gain a better understanding of how individual
access to reproductive health care, specifically to abortion services, or lack thereof is
restricted by insurance regulations in the United States.
From January 20th until early March 2017, stories were collected through a
storytelling project run by Physicians for Reproductive Health.4 In the process of editing
and tagging the stories, patterns in content were recognized. There were over 100 stories
that recounted the impacts of insurance regulations on reproductive health care. Many of
the individuals who shared their tales lamented over the fact that they ended up needing
to pay for their abortion care despite the fact that they were under some form of insurance
coverage.
4 This is an ongoing project. Physicians for Reproductive Health vows to keep publishing
stories until reproductive rights are no longer under threat.
60
�A total of 319 stories were submitted. 45 stories explicitly discussed abortion care
and insurance regulations. This subsample of 45 stories was used for this study. The
following themes were identified: a) if the individuals had insurance coverage, b) if their
insurance fully covered the cost of their abortion procedure, and c) what state the individual
was from. It was also determined whether or not the individual had private insurance or was
covered under state or federal Medicaid. Stories from the various states were grouped
together by region and division of the country based on the divisions put forth by the United
States Census Bureau. With this information, data was gathered on which regions and
divisions of the country had the greatest access to full insurance coverage for abortion care.
One of the 45 stories that were analyzed was not accompanied by an identifying state. As a
result, the percentages discussed in the findings were out of 44.
IV. Findings
Out of the sample size of 45, 40 individuals (88.9%) were reported to have some
form of insurance. Ten of those 40 (25%) were recipients of federal Medicaid or their
state equivalent, while the rest had insurance through private companies or their
employers, which include the government and the United States military. 28 of the 40
individuals with insurance (70%) reported that their abortion procedures were not fully
covered under their insurance plan, for one reason or another. It was unclear if two of the
40 (5%) individuals’ abortion procedures were fully covered by their insurance or not.
Coverage by Location
Table 1 shows the number of stories submitted from each region and the
divisions within those regions. The data show that only one story (2.3%) was submitted
from Division 1, and this individual had insurance, but it was unclear if the abortion
procedure was fully covered or not. 13 stories (29.5%) were submitted from Division 2:
five stories reported the individuals having insurance and having their abortion care fully
covered; six had insurance but did not have their abortion care fully covered; one had
insurance, but it was unclear if the abortion was fully covered by the insurance; and one
had no insurance at all. In Division 3, 11 stories (25%) were shared, three of which
reported full insurance coverage, and eight reported having insurance but not having their
procedure covered. Division 4 reported one individual (2.3%) having insurance but not
having abortion care covered by their insurance plan. Division 5 had five stories (11.4%):
one with full insurance coverage for their abortion, three with insurance but no coverage
for abortion, and one entirely without insurance. There were no stories from Division 6.
From Division 7, one individual (2.3%) reported having insurance but not being fully
61
�covered by their insurance for abortion care. Division 8 was home to two stories (4.5%)
of having insurance but a lack of coverage, and Division 9 hosted ten individuals
(22.7%), one with full insurance coverage, six with insurance but no coverage, and three
with no insurance at all.
These statistics imply that states on the East Coast and West Coast generally
have more liberal policies on abortion care, allowing women to get insurance coverage
for the procedure. Two of the four states with the lowest median annual household
income (less than $45,000 per year), Alabama and Mississippi, are part of Division 6, a
subdivision of the southern region, from which no stories regarding abortion care and
insurance coverage were submitted. Policies tend to be more restrictive in this region, as
well, as was stated by an anonymous affiliate of Physicians for Reproductive Health in an
interview about abortion care, and these factors contribute to the lack of abortion
providers in these states. According to the Guttmacher Institute (2017), in 2014, Alabama
had nine abortion providers in the state, and Mississippi only had two. In comparison,
California had 512 abortion providers, New York had 218, and Massachusetts had fortythree. In other terms, Alabama had one provider for every 113,887 women; Mississippi
had one provider per 321,215 women. There was one provider per 16,723 women in
California; one provider per 19,632 women in New York; and in Massachusetts, there
was one provider for every 33,689 women. Despite the significantly higher populations
of women in California and New York, especially, the disparity between the number of
women and the number of abortion providers is far greater in the southern states.
Table 1: Story Locations
Region
Division
Number of Stories
Northeast
1
1
Northeast
2
13
Midwest
3
11
Midwest
4
1
South
5
5
South
6
0
South
7
1
West
8
2
West
9
10
62
�Struggling for Funds
The data alone show the negative effects insurance restrictions have on access to
abortion care; but the stories of women illustrate this impact on a more personal level.
For example, one provider’s story tells of a patient who was forced to carry a fetus with
“a significant brain abnormality that would have resulted in nearly constant seizures,
profound disability, and likely very early death.†As a federal employee, the patient’s
health insurance would not cover the cost of abortion care.
Jackie and Brad5 struggled to come up with the thousands of dollars needed to
have the procedure in the hospital, and after three weeks of trying to collect the
money, they gave up. Dejected, they decided to just wait for their baby to be
born or to die in utero. Many weeks later, Jackie stopped feeling fetal
movement, and an ultrasound confirmed that her baby had died. Her only option
at that point was to labor and deliver her dead daughter.
However, in some circumstances, insurance coverage was the only way
individuals could financially proceed with an abortion, despite the hindering regulations.
One couple for whom this was the case also faced the heartbreaking news of fetal
anomaly. While there was little risk of the fetus dying in utero, it was likely that once the
child was born, she would not survive, and she certainly would not survive without
severe disability.
They chose to end the pregnancy. Kristen was now 23 weeks pregnant. Her
insurance company did not cover abortion unless it was medically necessary.
Because Kristen was healthy, she and her doctor had to go to great lengths to
convince the insurance company that the procedure was medically necessary for
the baby. Ultimately Kristen was able to have her insurance cover the abortion,
but if she had been on Medicaid or worked for the state or federal government,
she and Steve would have been left with overwhelming medical bills.
Despite the fact that Kristen was ultimately able to have her abortion procedure covered,
the amount of convincing it took for the insurance company to cover it would have been
utterly unnecessary if there were no restrictions on access to abortion care at all.
Indirect Impacts
These regulations on abortion care are implemented by both federal and state
governments. The Hyde Amendment already limits access to abortion care by nature, but
5 All names changed for privacy.
63
�an anonymous affiliate of Physicians for Reproductive Health explains restrictions on
another level:
There are so many hoops that you have to jump through to prove rape by the
standards that the government requires in order for it to be deemed... an abortion
that can be covered because of rape. There have to be police charges, rape kits
have to be completed. There are so many things that women… [must] go
through just to prove that they’ve been raped.
There are also some states that have laws restricting private insurance companies’ ability
to cover abortion. For example, “...in North Dakota, no one can get an insurance plan that
covers abortion care… It just doesn’t exist. There are no private insurance plans in North
Dakota – in the state – that cover abortion care,†as an anonymous affiliate of Physicians
for Reproductive Health explained.
This data indicates that the restrictions placed on insurance companies and
insurance policies do, in fact, impact individuals’ ability to access abortion care. The fact
that even with insurance, many people still end up paying for some or all of their abortion
procedure is evident in the statistics: the rates at which individuals cannot use their
insurance to cover the cost of an abortion are startlingly higher than the rates at which
insurance plans do cover abortion care. The lack of stories from certain divisions and
overall regions can also be indicative of how accessible abortion care is to individuals; if
abortion care is not at all accessible, it is more difficult to be able to share stories and
gather statistics about the extent of the care and insurance coverage.
V. Conclusion
The restrictions placed on insurance companies, insurance policies, and
women’s bodies, such as the Hyde Amendment and similar, more local laws, severely
impact the ability of women from varying walks of life to access abortion care. This pilot
study shows that even though a vast majority (88.9%) of the sample size have some form
of health insurance, on average, over two out of three women must pay for some or all of
the cost of their abortion. These regulations have a larger impact on women of color, poor
women, and/or disabled women. Little research has been done on the accessibility and
comprehensiveness of reproductive health care for transgender men, so it is difficult to
say exactly how insurance regulations on abortion care affect them.
While the sample for this pilot study was small and specific information on the
women’s demographics (e.g. age, race, socio-economic status) are not available, the
findings are important. The sparse abortion care in some states, the cost of terminating a
pregnancy, and the indirect impacts of insurance regulations cannot go unnoticed or
64
�unchanged. In an effort to expand the data on this issue and to hopefully implement
positive change, more in-depth research should be conducted. The use of an online
submission form limited the sample population to individuals who have access to and
knowledge of social media platforms, implying a certain level of socioeconomic standing
and, potentially, age, education levels, and physical and/or mental ability. With more
research including a more diverse sample population, this issue is likely to become more
recognized and the individuals and social groups who are most affected will be
acknowledged. Greater awareness of this social problem will mean greater progress in
guaranteeing safe and accessible abortion care for women across the nation.
VI. Acknowledgements
To my parents, who planted and nurtured my passion for social justice;
To Dr. Bernadette Ludwig, who pushed me to see the value of my work;
To Physicians for Reproductive Health, for the incredible opportunity they granted me.
VII. References
Centers for Medicare and Medicaid Services (2017). Medicaid and CHIP Eligibility
Levels. Retrieved from https://www.medicaid.gov/medicaid/programinformation/
medicaid-and-chip-eligibility-levels/index.html
Dennis, A., Blanchard, K., & Córdova, D. (2011). Strategies for securing funding for
abortion under the Hyde Amendment: A multistate study of abortion providers’
experiences managing Medicaid. American Journal of Public Health, 101(11), p. 21242149. doi:10.2105/AJPH.2011.300212
Ely, G., & Dulmus, C. (2010). Abortion policy and vulnerable women in the United
States: A call for social work policy practice. Journal of Human Behavior in the Social
Environment, 20(5), p. 658-671. doi:10.1080/10911351003749177
Finer, L., & Zolna, M. (2011). Unintended pregnancy in the United States: incidence and
disparities, 2006. Contraception, 84(5), p.478-485. Retrieved from
http://dx.doi.org/10.1016/j.contraception.2011.07.013
Guttmacher Institute (2017). Counseling and Waiting Periods for Abortion. Retrieved
from https://www.guttmacher.org/state-policy/explore/counseling-and-waiting-periodsabortion
65
�Guttmacher Institute (2017). Data Center. Retrieved from https://data.guttmacher.org/states
Guttmacher Institute (2017). Restricting Insurance Coverage of Abortion. Retrieved from
https://www.guttmacher.org/state-policy/explore/restricting-insurance-coverage- abortion
Hussey, L. (2010). Welfare generosity, abortion access, and abortion rates: A comparison
of state policy tools. Social Science Quarterly (Wiley-Blackwell), 91(1), p. 266-283.
Jackson, D. (2007). State policy restrictions on abortion. Journal of Policy Practice, 6(4),
p. 25-43. Retrieved from http://dx.doi.org/10.1300/J508v06n04_03
Jones, R., Finer, L., & Singh, S. (2010). Characteristics of U.S. abortion patients, 2008.
Guttmacher Institute. Retrieved from http://nyfamilylife.org/wp-content/uploads/2013/
11/ US-Abortion-Patients.pdf
Jones, R., & Kooistra, K. (2011). Abortion incidence and access to service in the United
States, 2008. Perspectives on Sexual and Reproductive Health, 43(1), p. 3-14. Retrieved
from http://onlinelibrary.wiley.com/doi/10.1363/4304111/pdf
Jones, R., Upadhyay, U., & Weitz, T. (2013). At what cost? Payment for abortion care by
U.S. women. Women’s Health Issues, 23(3), p. 173-178. Retrieved from
http://dx.doi.org/10.1016/j.whi.2013.03.001
United States Census Bureau (2015). Geographic Terms and Concepts: Census Divisions
and Census Regions. Retrieved from https://www.census.gov/geo/reference/ gtc/gtc_
census_divreg.html
United States Census Bureau (2016). Map: Median Household Income in the United
States: 2015. Retrieved from https://www.census.gov/library/visualizations/2016/
comm/cb16-158_median_hh_income_map.html
United States of America. House of Representatives. (2014). No Taxpayer Funding for
Abortion and Abortion Insurance Full Disclosure Act of 2014: To prohibit taxpayer
funded abortions. Retrieved from https://www.congress.gov/bill/113th-congress/housebill/7
66
�van Doorslaer, E., Masseria, C., & Koolman, X. (2006). Inequalities in access to medical
care by income in developed countries. Canadian Medical Association Journal, 174(2),
p. 177-183. doi:10.1503/cmaj.050584
World Health Organization (2012). Safe abortion: Technical and policy guidance for
health systems. Retrieved from http://apps.who.int/iris/bitstream/10665/70914/1/
9789241548434_eng.pdf
67
����The Palestinian Revolt against the British, 1936-1939:
Empowering Palestinian Voices and the Effects
the Revolt had on the Creation of Israel
Hadeel Mishal (History)1
Following the collapse of the Ottoman Empire after World War I, the Middle East was
broken into clusters. The League of Nations was quick to seize power in Palestine, and
established the British Mandate of Palestine in 1920, which thereby relinquished the
Palestinians’ power to self-govern, and affirmed a British presence in the region. From
1936-1939, in an act of anti-imperialist and anti-Zionist institutions, Palestinians revolted
against the British. This Revolt has been lost in history, overshadowed by the creation of
the State of Israel in 1948 and the ongoing genocide of the Palestinians. However, this
essay will argue that the Palestinian Revolt was significant for empowering the
Palestinian people, particularly as a peasant-led movement, and that the repression of the
revolt indirectly facilitated the establishment of the state of Israel. When the British were
fighting back, they used their dominance to exile and murder many Palestinian leaders
who were especially resistant to imperialist powers. The violent British imperialist
policies, by silencing indigenous Palestinian voices, created a vacuum of power and
ultimately led to the capacity for Israel to be established.
I. Background Information
In order to grasp the roots of the Palestinian Revolt against the British, a few key
points need to be deconstructed and explained. Some of these essential points are
Zionism, The Balfour Declaration, the British stance on a Jewish Homeland, and the
historic origins of Palestine. These terms, documents, and politics all inter-link in the way
that imperialism prevailed in Palestine, and the ways in which the British did not give the
Palestinians autonomy to govern themselves.
Zionism is the movement which aims to establish a Jewish homeland in
Palestine, using the rationale that this was the place where Jews believe they are destined
to be. The spread of Zionist ideology was prevalent during the end of the 19th century,
and into the 20th century in large part because of the rampant anti-Semitism that was
1 Written under the direction of Dr. Lori Weintrob in partial fulfillment of the Senior Program
requirements.
71
�present in Europe. The movement gained momentum when Theodor Herzl published The
Jewish State in 1896, a book about escaping European anti-Semitism through building a
Jewish state in Palestine.2 For example, the Russians and Romanians were taking part in
pogroms aiming to kill and exile Jews from their homes. Many fled to other nations or
regions, including to Palestine.3 In 1882, the population of Jews in Palestine was 24,000,
or 5% of the population. Following a wave of migrations in 1914, this number increased
to 85,000.4 Between 1922 and 1931, this number was further increased to 175,000.
It is important to note that this movement was largely rooted in European Jews,
not the indigenous ones of the Middle East, who had been living in the region for
centuries before. In fact, “of the 716,000 Jews living in the new state six months after it
declared its independence, 463,000- that is, nearly two-thirds- had been born abroad,
according to the November 11, 1948 census.â€5 Furthermore, Zionism was backed by
European nations, where either leaders or right-wing groups played up fear of Jewish and
foreign influences. Francis Nicosia, an American scholar on the Holocaust and the Arab
World, discusses this idea further:
Within Germany, Hitler actively intervened in the debate over Palestine in 1937
and early in 1938. He insisted on the stepped-up promotion of Jewish emigration
and deportation by all possible means, regardless of destination. According to
Hitler, Palestine was to continue as a prime destination for German Jewish
refugees and became an even more significant factor in Nazi emigration policies
in 1938 and 1939 as the Gestapo collaborated with underground Zionist
organizations in the “illegal†immigration of Jewish refugees past the British
blockade in Palestine.6
Nicosia’s commentary on Hitler and his views on encouraging migration to Palestine
show that Zionism was an idea that was pushed forward by people who were anti-Semitic
2
Wendy Pearlman, Violence, Nonviolence, and the Palestinian National Movement,
(Cambridge, MA: Cambridge University Press, 2011): 27.
3 Victor Kattan, From Coexistence to Conquest: International Law and the Origins of the
Arab-Israeli Conflict, 1891-1949, (London, England: Pluto Press, 2009), 9.
4 Neville J. Mandel, The Arabs and Zionism before World War I (Berkeley: University of
California Press, 1976: xxiv.
5 Gilbert Achcar, The Arabs and the Holocaust, (New York, NY: Metropolitan Books,
2009): 11.
6 Francis Nicosia, “Arab Nationalism and National Socialist Germany, 1933-1939:
Ideological and Strategic Incompatibility,†International Journal of Middle Eastern
Studies 12, no. 3 (November 1980): 358-359.
72
�in order to get rid of their Jewish populations. This is significant, because it is essential to
grasp the idea that Zionism was started as a movement to escape persecution for Jews,
but which resulted in the diaspora of millions of Palestinians.7 These connections are
important, because they show how different groups of people are interconnected, and
how frequently history manages to repeat itself.
When discussing the Palestinian-Israeli Conflict, one of the first questions to
come up is, who does Palestine belong to? This is a valid question, especially for an
audience that may not be well-versed on the politics and happenings of Palestine during
the 20th century. In 1920, there were 77,000 Christians, 76,000 Jews, and 547,000
Muslims in Palestine. There is large debate over who settled in the land first, who has
ownership over the land, and what should be done with it. Although this concern is valid,
it erases the bigger picture. To narrow such a large, controversial, sensitive topic to who
lived in Palestine first, is to insult the history, integrity, and struggle of the Palestinian
people. This is because analyzing the conflict from this lens invalidates the painful
experiences of the Palestinians. Let us say that a scholar came up with the conclusion that
the Jews were there first, and they therefore have the right to push Zionist ideals and
build their homeland, does this happen at the expense of the Palestinians? Is their
suffering and genocide worthwhile, because the land historically belonged to Jews? The
answers to these questions may vary, but the point is that this is a relatively modern issue,
because it happened in the 20th century. At this point in history, it is essential to leave
people with their humanity, and genuinely grasp an issue by seeing the different
perspectives of people, and how these perspectives influence the lives of millions.
To say that Palestine belongs to the Israelis because they were in the region first
oversimplifies the history, culture, and being of Palestinians, because it takes away their
right to exist peacefully in the place they have called home for centuries. In 1915, when
Palestine was still a part of the Ottoman Empire, the population was 78% Muslim
(590,000), 11% Christian (82,498), and 11% Jewish (83,794).8
The Balfour Declaration of November 2nd, 1917 is a pivotal point in
understanding the roots of the Palestinian Revolt against the British. This letter expressed
Great Britain’s support of a Jewish Homeland in Palestine to Lord Rothschild, a member
of one of the most prominent Jewish families in the world. The letter was written by
British Foreign Minister, Arthur James Balfour, and stated that “His Majesty's
Government view with favour the establishment in Palestine of a national home for the
7
8
Kattan, From Coexistence to Conquest, 2.
“Demographics of Israel: Population of Israel/Palestine,†jewishvirtuallibrary.org, n.d.
73
�Jewish people, and will use their best endeavors to facilitate the achievement of this
object...I should be grateful if you would bring this declaration to the knowledge of the
Zionist Federation.â€9 Balfour goes on to refer to “the non-Jewish communities,â€
beginning to erase the identity of the Palestinians by othering them as non-Jewish people.10
This document is significant in understanding the British Revolt, because it reflects the
lack of consideration that the British had for the Palestinians. By not even referring to
them by their nationality, Balfour strips the Palestinians of their identity and sets the
precedent for how the British and Zionists will treat the Palestinians. Rashid Khalidi,
author of Iron Cage: The Story of the Palestinian Struggle for Statehood, explains that
this Declaration resonated with the British support of a Zionist state:
The mandatory power was specifically called upon to extend all possible
assistance to the growth and development of this national entity, notably by
encouraging Jewish immigration and “close settlement on the land.†The tiny
Jewish community of Palestine, composing about 10 percent of the country’s
population at the time, was thereby placed in a distinctly privileged position. By
contrast, the Arab majority, constituting 90 percent of Palestine’s population,
was effectively ignored as a national or political entity. While the Mandate’s
twenty-eight articles included nine on antiquities, not one related to the
Palestinian people per se: they were variously and vaguely defined as a “section
of the population,†“natives,†or “peoples and communities.†As far as Great
Britain and the League of Nations were concerned, they were definitely not a
people.11
Here, Rashidi captures the way the British were consistent with their treatment of the
Palestinians, which shows why the Palestinians felt the need to revolt against them. By
stripping them of their identity, and by extent, their humanity, the British allow for the
Palestinians to be treated as second class citizens. The British, in other official
documents, begin to refer to the Palestinians by their names, but generally with a negative
connotation.
II: Analyzing Sources
9
“Balfour Declaration: Text of the Declaration,†jewishvirtuallibrary.org, n.d.
Rashid Khalidi, The Iron Cage: The Story of the Palestinian Struggle for Statehood
(Boston, MA: Beacon Press, 2006), 32.
11 Khalidi, The Iron Cage, 33.
10
74
�For this thesis, a plethora of resources were used. One source which has proven
useful to the construction of this thesis is The Iron Cage: The Story of the Palestinian
Struggle for Statehood by Rashid Khalidi. In his book, Khalidi is able to contextualize the
Palestinian-Israeli conflict through the lens of the struggle for statehood. However, he
sets up his book to provide a solid history, which serves as the foundation of his book.
Iron Cage becomes useful to the thesis because it contains important information on the
Revolt, as well as a means of making a concise, comprehensive understanding of the
history behind the movement. Khalidi heads the Middle East Institute at Columbia
University, and has written more than eighty articles pertaining to Middle Eastern history
and politics. This shows that Khalidi is a valid source of information, because he has the
necessary credentials to write about the Palestinian-Israeli Conflict.
Another important source is “The Palestinian Arab Revolt of 1936-1939,†by
James Jankowski. This article helped in conducting research, because it provides a
general history of the events in the Revolt, but with details on the particularly important
events, which was helpful because most other sources are focused on specific events in
the Revolt. This article gave me all the information I needed on the Revolt so that I may
find more substantial sources to analyze them further. Also, James Jankowski is a Middle
Eastern historian who has the credentials to write about the Revolt.
III: Life for Palestinians under the British Mandate of Palestine
Life for the Palestinians under the British Mandate was meager. Palestinians
were treated as second-class citizens in their own home, and were angry that after being
freed from the Ottomans (who they were with for four centuries), they were once again
being ruled by a higher power. In the Churchill White Paper, a response from Winston
Churchill, the Prime Minister, regarding the Arab concern over the Balfour Declaration,
he states “these apprehensions, so far as the Arabs are concerned, are partly based upon
exaggerated interpretations of the meaning of the Declaration favouring the establishment
of a Jewish National Home in Palestine, made on behalf of His Majesty's Government on
2nd November, 1917.â€12 Here, Churchill’s tone and diction seems to demean the
concerns of the Palestinians regarding their land being misused and given away. His use
of the phrase “so far as the Arabs are concerned†singles them out and makes them the
other, thereby creating a split between them and the Jews. Likewise, he is confounded by
their worry, saying that is based on “exaggerated interpretations†of the document at
12
Winston Churchill, The Churchill White Paper, (United Kingdom: 1922), 1.
75
�hand. By doing this, Churchill releases to the Palestinians, and the general public, a lack
of care for their own concerns, and invalidates them.
Donna Robinson Divine, who wrote “Islamic Culture and Political Practice in
British Mandated Palestine, 1918-1948,†described that:
Palestinian political activity depended upon and made use of the political
resources of the Ottoman Empire where family status, personal authority and
local autonomy had recognized meaning and value. When that era ended
abruptly with the defeat of the Ottoman Empire during World War I, familiar
patterns of political organization and behavior resumed, but they were no longer
relevant.13
This means that off the bat, the British instilled changes in how the autonomy would
work for the Palestinians, and it was different from what they were used to. Instead of
valuing the traits the Palestinians deemed important in their autonomy, it was not
relevant, which seemingly shook the core of their identities and practices. Despite this:
Experience of Western rule, full as it was for Palestinians of dissonance and
antagonism, Palestinian political leaders [were convinced] to retreat to family
networks-to be wary of broader political alliances and to attack large-scale
economic development, both of which had been set in motion in an environment
hostile to the primacy of their traditions and consequently impossible to affirm.14
This shows that the Palestinians attempted to hold onto their autonomy the way they were
used to it during the Ottoman Empire. Nonetheless, Palestinian leaders did take on
something new- attacking large scale economic development. This was done in the face
of being ruled by a people who did not understand, or quite frankly, care for the traditions
which the Palestinians engaged in, which stirred angry Palestinian sentiments. Moreover,
because Palestinians under the Ottomans did not have much autonomy, they were starting
to think of themselves in “national terms as a people… [and] this was only one of their
overlapping senses of identity, which included being part of the larger Arab people and of
Greater Syria, as well as having other religious, local, and familial identities.â€15 This was
significant, because this was the first step to establishing a state: having a national
identity.
13 Donna Robinson Divine, “Islamic Culture and Political Practice in British Mandated
Palestine, 1918-1948,†The Review of Politics 45, no. 1 (1983): 72.
14 Divine, “Islamic Culture and Political Practice in British Mandated Palestine, 19181948,†88.
15 Khalidi, The Iron Cage, 32.
76
�The Allied Powers had promised to support Arab independence during World
War I, but lacked the commitment to their words. In the face of their state being
colonized by the British and the Jews, the Palestinians almost had no means of
diplomatically fighting for their rights. Because they had been occupied for centuries by
the Ottomans, “the Palestinians had no international sanction for their identity, no
accepted and agreed context within which their putative nationhood and independence
could express itself, and their representatives had no access whatsoever to any of the
levers of state power.â€16 Here, Khalidi unloads a lot of information by explaining that
because they lacked a national identity that was well-known, it was hard for them to fight
for their freedom. Also, their leaders were not equipped with the diplomacy or resources
to take on a battle with the British. As stated by Khalidi, “none of the top appointees of
the mandatory administration outside the judiciary were Arab,†and this was the essence
of the root of the Palestinian problems with the British. Even when the new British High
Commissioner, Sir Wauchope pushed his superiors in the Colonial Office in London for
the establishment of a Palestinian Arab legislative council, pro-Zionist politicians
defeated this proposal in the British Parliament, frustrating the Palestinians, especially
because “neighboring Arab mandates, especially Syria, Iraq, and (earlier) Egypt, had
made strides towards sovereignty.â€17 The Palestinians, under the British, did not have
representation in the decisions that the government made, which supplemented them a
reason to revolt.
According to The Palestine Royal Commission Report of 1937, there was a large
influx of Jewish immigrants from1931-1936. The records indicate that in 1931, 4,075
Jews immigrated into Palestine. The numbers grow to 1932-9,533; 1933-30,327; 193442,359; 1935-61,854; 1936-29,727, respectively.18 This was due to the rise of Nazism
and Fascism in Europe. In a matter of six years, the population of Jews increased in
Palestine to 177,895, which reflected a large shifting of the population. When the Jews
came into Palestine in large masses, this changed the socio-political order that was in
place, and put the Palestinians as second-class citizens.
IV: Economic Boycotts
During the 1920s, the Jews in Palestine were becoming more affluent, and rising
to power. Indeed, “from 1921-1929, Jewish land possession nearly doubled, dozens of
16
Khalidi, The Iron Cage, 39.
Naseer H. Aruri and Samih K. Farsoun, Palestine and the Palestinians: A Social and
Political History, (Boulder, Colorado: Westview Press, 2006), 90.
18 Kattan, From Coexistence to Conquest, 11.
17
77
�new settlements were established, and Jewish owned enterprises multiplied.â€19 At the
same time, the Yishuv, a term to describe the Jewish residents of Palestine before 1948,
were founding character necessary for a state:
It created an elected national assembly, an armed defense force, and an array of
institutions to manage agricultural collectives, immigrant absorption, and
banking. An encompassing labor union served as an engine of employment,
public works, and economic self-sufficiency. Waves of immigrants brought
human and material resources. Effective champions outside Palestine offered
both funding and lobbying with foreign governments.20
This shows that although the migrant Jews were not being integrated into society with the
Palestinians, they were building their autonomy by establishing elements like an armed
force, banks, and settlements. Also, this reflects the upper hand that the Jews had when
establishing their national identity, because the Palestinians did not have foreign
governments to find and lobby on their behalf.
Economic opportunity for Palestinians was on a downward spiral, because
Zionist leaders made sure that the Jewish economic sector was growing and hiring Jewish
immigrants. The Ha’avara, an agreement between the Nazis and the World Zionist
Organization, allowed for Jews leaving Germany to import large amounts of capital into
Palestine. This allowed for “wealthy Jews to increase their investments in industry,
building, and citriculture.â€21 This meant that the Jews were allowed to bring their money
with them to Palestine, where they could further invest in business, and keep hiring
Jewish workers over Palestinians.
As a result of the growing presence of Jews that the British allowed into
Palestine, the lack of economic opportunity for peasants, and the British refusal to
establish the Palestinian people, there was an outbreak of anger, violence, and nonviolent
protest. The Palestinians came together to find the Arab Executive, a pan-Arab delegation
meant to show unity to the British. The AE believed that “the Jewish people held no right
to a national home in Palestine, urged a ban on the transfer of lands to Jewish control, and
demanded a halt to Jewish immigration.â€22 The Palestine Communist Party contributed to
this movement by handing out pamphlets to Jews in Tel Aviv, encouraging them to stand
19
Pearlman, Violence, Nonviolence, and the Palestinian National Movement, 35.
Pearlman, Violence, Nonviolence, and the Palestinian National Movement, 36.
21 Swedenburg, “The Role of the Palestinian Peasantry in the Great Revolt (1936-1939),â€
The Modern Middle East (1993): 184.
22 Pearlman, Violence, Nonviolence, and the Palestinian National Movement, 30.
20
78
�up against Zionism. They pushed these ideas forward to the Jews by saying that Zionism
was the root of their issues, and that this movement was pushing Jews into a dead end.
The Party was able to acknowledge that “to save the Jewish community in the country
from bloodshed, and to shake the country free from the oppressive imperialist yoke, it
was necessary for the Jews to form a united front with the Arabs.â€23 This was important,
because it shows that in some capacity, there were Palestinians who tried to create unity
between the Arabs and the Jews.
The Palestinians were able to successfully mobilize an economic boycott to
really bring action to their ideas. One of the ways this was achieved was through the Arab
Higher Committee, which was a new country-wide organization that successfully united
the Arabs and “gave official sanction and national leadership to the strike.â€24 This
committee was founded by the Palestinian parties and national committees as a
coordinating body to control the economic boycott through a united front.25 Further, the
AHC “represented all political factions and social sectors of Arab Palestinian society and
announced its goals to be the complete cessation of Jewish immigration, the prohibition
of land transfer to Jews, and the establishment of a national government responsible to a
representative faction.â€26 The AHC was presided over by Amin al-Hussayni, and served
as the national organization for the boycotts, but there were local national committees
that did a lot of organizing and extended the boycotts to the non-payment of taxes by the
Arabs of Palestine. This was economically successful, because “commercial intercourse
was seriously disrupted and the cost in revenue to the British administration in 1936 was
over one million pounds.27 Despite these economic blows to the British, the Palestinians
did not completely get what they wanted from the British politically. Their demands were
to limit Jewish immigration, but in July of 1936, the British did send out a Royal
Commission to investigate the situation in Palestine, and they came out with the Peel
Report.28 Wendy Pearlman, in her book, Violence, Nonviolence, and the Palestinian
National Movement, was able to analyze the way the Palestinians went about their
boycott in a united front against the British and the Jews:
23
Musa Budeiri, The Palestine Communist Party, 1919-1948, (Chicago, IL: Haymarket
Books, 2010), 64.
24 James Jankowski, “The Palestinian Arab Revolt of 1936-1939,†Muslim World 63, no.
3 (1973): 223.
25 Swedenburg, “Palestinian Peasantry in the Great Revolt,†190.
26 Aruri and Farsoun, Palestine and the Palestinians, 91.
27 Jankowski, “The Palestinian Arab Revolt of 1936-1939,†224.
28 Jankowski, “The Palestinian Arab Revolt of 1936-1939,†224.
79
�This cohesion enabled a national protest campaign in which diverse sectors of
society participated using the nonviolent means at their disposal. The Arab Car
Owners’ and Drivers’ Association halted transport facilities, merchants and city
laborers stayed home, prisoners refused to perform penal labor, and schools and
factories closed. The Jaffa port ceased operations. Local committees limited
farmers’ marketing to specified hours. Intellectuals published leaflets, and
newspapers urged the public to participate. Men, women, and children of all
ages took part in public demonstrations, and families across the country
observed a boycott of Jewish firms and products. Boy Scouts and shabab - urban
young men who would continue to play a key role in resistance activities for
generations thereafter - enforced compliance at the neighborhood level.
Although Arab civil servants did not go on strike, first- and second- tier public
officials came together to submit memorandum to the government explaining
Arab grievances and claims. Many also donated a percentage of their salaries to
help the national campaign.29
Pearlman includes a substantial amount of relevant information into her book. She is able
to point out that (a) the Arabs, Muslims and Christians were a united force against the
Jews and the British, (b) the Palestinians included their entire families in the boycott, and
(c) Palestinians took an economic route precluding the revolt, which is actually
ingenious. The Arabs understood that economics were the basis of existing, because
without economics, how are people going to disperse land, labor, and capital? If the Jews
and British suffer economically at the hands of the Palestinians, then the Palestinians will
be able to make their demands, and have more of a chance at success. Also, by
incorporating the support of entire families into the movement, they were instilling the
ideas of protest into their family units, and teaching civil disobedience.
The boycotts ended in October of 1936 for a wide array of reasons. There were
economic pressures for the Palestinians, which was the approach of their citrusharvesting season (a hot commodity for the Palestinians), leading to a crack in Arab
determination. Also, the Arab neighbors, Iraq, Transjordan, and Saudi Arabia, assured the
Palestinians that the British “would do justice, [thus giving] the AHC and the local
committees an acceptable reason for terminating their strike on October 12.â€30 However,
the lack of action on the part of the British resulted in Palestinian aggression, which
opened the doors to the Revolt.
29
30
Pearlman, Violence, Nonviolence, and the Palestinian National Movement, 43.
Jankowski, “The Palestinian Arab Revolt of 1936-1939,†224.
80
�V: The Impact of Education on Palestinians
The increase of education in Palestine directly affected Palestinian national
identity. As mentioned earlier, there was not much of a Palestinian identity that existed,
because the Palestinians were previously occupied by the Ottomans. Through education,
the Palestinians saw a growth in their nationalism and mobility to revolt:
The expansion of education, though lagging behind Palestinian demand, had a
similar effect. The percentage of Arab children enrolled in school rose from 20
percent in 1911 to approximately 34 percent by 1946. Education expanded the
ranks of a middle class whose ambitions could not be satisfied under the
traditional distribution of power. Teachers and civil servants assigned to work in
the countryside transmitted political debates from urban to rural areas. The
growth of literacy fostered the rise of nationalism. Giving voice to a small but
influential nationalist intelligentsia, newspapers helped Palestinians follow the
events transforming their country and region.31
Another benefit that came out of the rise of education was “a new generation of
radical nationalists were raising slogans of socioeconomic justice and Arab unity and
developing novel forms of political organization.â€32 This was positive, because the rise of
education made people politically active, and organized. A key term that Swedenburg
uses when describing the effects of education was Arab unity, because without a common
idea, there would not be success. Additionally, political organizations came to a rise
among Palestinians, with the founding of the Young Men’s Muslim Association, the Arab
Youth Conferences, the Arab Boy Scouts, and the Istiqlal (Independence) Party. The
Istiqlal Party was unique among the political organizations, because instead of being
organized based on family or clan loyalties, it was organized around a political program.
This appealed to the educated middle class, and distinguished itself by centering their
political actions to opposing the British Mandate government, instead of targeting the
Jewish community alone.33
On the other hand, “among the Arabs, economic change and education in
Western-model schools (both public and private) were gradually creating a modern Arab
31
Pearlman, Violence, Nonviolence, and the Palestinian National Movement, 40.
Swedenburg, “The Role of the Palestinian Peasantry in the Great Revolt (1936-1939),â€
186.
33 Swedenburg, “The Role of the Palestinian Peasantry in the Great Revolt (1936-1939),â€
186.
32
81
�elite.â€34 So although there was a growing sense of nationalism and identity, it caused the
development of an elitist class of Palestinians. Even Lord Peel commented on the
education of Jews and Palestinians, saying that “like Jewish nationalism, Arab
nationalism is stimulated by the educational system and by the growth of the Youth
Movement…. The existing Arab and Jewish school systems are definitely widening and
will continue to widen the gulf between the two races.â€35 This proves that the increase in
education created an Arab elite group, which is discussed more at length in Section VI.
VI: Classism in the Revolt/Urban v. Rural Palestine
When the Ottoman Empire collapsed, there was a shift in the political structure
among the Palestinians. The political leadership of the Palestinians during the Ottoman
rule and throughout the early years of the Mandate was based on the notable families,
who “had acquired lands, wealth, and local dominance in the Ottoman period.â€36 This
system that was in place was not successful for Mandate-era Palestinians, because “the
lines of political cleavage ran horizontally, following the most meaningful lines of social
cleavage (between village and village, between one notable family and its dependent
rural following),†showing that politics was centered on the notable families.37 This
traditional leadership was negated by the formation of Arab Congresses, assemblies, and
delegations, because the political system did not have any substantial means of
sublimating the Palestinians, or opposing the establishment of the Jewish National Home.38
Scholarship on the Revolt has typically painted the peasants as “traditional,
backward, and conservative… activated by tribal and religious loyalties...and as too
isolated, ignorant and poor,†thereby discrediting their role in the revolt, and ignoring
their legitimate social and political demands.39 However, the Revolt saw the rise of a
middle-class of peasants, and workers, who were able to develop a military force, and
implemented social and political programs that challenged the notable leadership that was
in place. This nationalist movement really threatened the mercantile-landlord system in
place and “the threat of a counter-hegemonic peasant leadership with a class-based
34
Jankowski, “The Palestinian Arab Revolt of 1936-1939,†221.
Earl Peel, Peel Commission Report, (Great Britain: United Kingdom Government,
1937).
36 Jankowski, “The Palestinian Arab Revolt of 1936-1939,†221.
37 Jankowski, “The Palestinian Arab Revolt of 1936-1939,†221.
38 Jankowski, “The Palestinian Arab Revolt of 1936-1939,†221.
39 Ted Swedenburg,“The Role of the Palestinian Peasantry in the Great Revolt (19361939),†169.
35
82
�program caused large numbers of wealthy urban Palestinians to flee the country.â€40
Moreover, this rise of a middle-class challenged the British military and strategy by
forcing them to expend military energies to crush the revolt.41
Class played a huge role in the way that the Palestinians reacted to the Jewish
homeland being established. For the Palestinian peasants, the selling of Arab land to Jews
led to an increase in landlessness and subsistent farming. Subsequently:
Tens of thousands of indebted farmers were forced to leave the fields that they
had worked for generations. Moving to shanties on the outskirts of Palestine’s
budding towns, they worked as cheap laborers. Hours were long and conditions
wretched. Peasants’ dislocation both nourished spaces of volatile bitterness and
corroded the ties that traditionally linked them to rural patrons.42
Pearlman’s inclusion of this information in her book, Violence, Nonviolence, and the
Palestinian National Movement, resonates with the reader, because it bridges the peasants
to the revolt. When the Jews were starting to establish themselves in Palestine, it most
directly affected the peasants, who were displaced from places that they hailed from for
generations. By 1928, the sale of land to Zionists by Palestinian landowners had eclipsed
those by non-Palestinians. A section of the notable class was “thus enriching itself
through land sales to Zionists and contributing directly to peasant landlessness, especially
in the northern and central plains.â€43 This also shows the disconnect that existed between
the elite class and the peasants. Although the elitists generally opposed Zionism, they
“urged prudence toward the government… [and] continued to extract profits from tenant
farmers, as some did from the sale of land to Jews.â€44
The peasants were quicker to take up arms in response to colonialism and
Zionism, because they were affected by it the most. When the Palestinians remained
vigilant against these outside forces, it led to some disunity in the movement. For
example, “while [the Palestinian Communist Party] condemned the terror in no uncertain
terms, it also tried to explain its occurrence as a result of the predominance in the armed
bands of peasants, who had felt more directly the pressure of Zionist colonization.â€45
40
Ted Swedenburg, “The Role of the Palestinian Peasantry in the Great Revolt (19361939),†170.
41 Ted Swedenburg, “The Role of the Palestinian Peasantry in the Great Revolt (19361939),†170.
42 Pearlman, Violence, Nonviolence, and the Palestinian National Movement, 36.
43 Ted Swedenburg, “The Role of the Palestinian Peasantry in the Great Revolt (19361939),†180.
44 Pearlman,Violence, Nonviolence, and the Palestinian National Movement, 36.
83
�Peasants were burdened with high rates of interest from usurers, rural property taxes
charged by the British, and regressive indirect taxes. This meant that “the weight of
taxation fell disproportionately on poor Palestinian fellahin (farmers) whose contributions
helped to finance industrial and agricultural development in the Jewish sector and to pay
Britain’s expenses in defending the Jewish ‘national home,’†and one of the ways they
alleviated these debts was by selling plots of their land to Zionists.46 This shows how the
peasants suffered in a plethora of ways at the hands of the British, Zionism, and upperclass Palestinians. They were removed from lands that they lived on for generations, were
stuck paying taxes that they could not afford, and had to resort to selling their land to the
very people who were causing them to be burdened with these issues, Zionists. This
information demonstrates the position peasants were put into by the Mandate, and how it
resulted in their aggression and violence.
After the economic boycotts were over, because the British decided to send out a
Royal Commission to investigate what was happening in Palestine, the rural areas
opposed the British by taking up arms. This was an interesting response, because there
has been no evidence that this was planned or organized the way the boycott was.
According to James Jankowski, who wrote an article called “The Palestinian Arab Revolt
of 1936-1939,†this was a result of the clash of the urban and rural approaches and
effects:
It seems to have been a spontaneous uprising of the Arab peasantry produced by
several processes: the accumulating fears of the past fifteen years, the
heightened Jewish immigration of the mid-1930s, the displacement of a portion
of the Arab peasantry from their traditional holdings through Zionist land
purchase, the undoubted use by at least one faction of the Arab leadership, that
of Hajj Amin al-Husayni, of xenophobic propaganda, and a temporary but
severe economic recession in 1935 and 1936. All these combined to provoke a
significant proportion of the peasantry to take up arms once an impetus to
resistance was provided by urban developments.47
Jankowski is able to capture the harsh realities and differences of class under the British
Mandate. It was easier for the urban areas to have faith in Great Britain, because they
45 Musa Budeiri, The Palestine Communist Party, (Chicago, IL: Haymarket Books,
2010), 64.
46 Ted Swedenburg, “The Role of the Palestinian Peasantry in the Great Revolt (19361939),†182.
47 Jankowski, “The Palestinian Arab Revolt of 1936-1939,†224.
84
�were not struck with economic hardship and displacement that the rural Palestinians were
experiencing. At this point, they were fed up with the civil disobedience that the
movement was taking on, because it did not produce better living conditions for them.
Therefore, they took it upon themselves to bear arms and put more pressure on the British
to change their policies in Palestine.
Although this divide in the classes was present, and was a surprise to members
of the AHC who spoke out against the rural violence, there were more extreme factions in
the AHC who supported the rural violent outbursts. The Husayni faction of the AHC was
able to “establish contacts with the guerrillas, and utilized their activities to increase
pressure on the British.â€48
VII: Phase I of the Revolt
The outbreak of the Revolt sixteen years after the British established their
presence in Palestine was rooted in the Palestinian realization that:
The security and efficiency of the British administration, the economic
prosperity of most of the interwar period, and the slow and often troubled
growth of the National Home until the 1930s, all combined to satisfy the bulk of
the population materially, and to lull its latent hostility to Jewish immigration
and alien rule.49
There were outbreaks of violence in 1921, and 1929, but they were scattered outbreaks by
angry Palestinians. However, from 1930 to 1935, the population of Jews grew from
175,000 to 400,000, which was a major concern to Palestinians as well. This was a result
of the growing anti-Semitism in Poland, the tightening of quotas in the United States, and
the success of Nazism in Europe.50
The Revolt has historically been viewed as a movement with two phases, both
serving two different platforms. Jankowski writes that “during the first phase of the revolt
in 1936, they aimed not at developing into a full-scale attempt to oust the British from
Palestine, but rather tried to use the revolt to change British policy.â€51 The Mufti Amin
al-Husayni’s confidant, Emile al-Ghuri told a British audience that “[the] strike has
developed into a revolution. It is not the act of terrorists or marauders or snipers: it is a
revolution. It is not a revolution designed to threaten the power of Great Britain, nor to
48
Jankowski, “The Palestinian Arab Revolt of 1936-1939,†224.
Jankowski, “The Palestinian Arab Revolt of 1936-1939,†221.
50 Swedenburg, “The Role of the Palestinian Peasantry in the Great Revolt (1936-1939),â€
184.
51 Jankowski, “The Palestinian Arab Revolt of 1936-1939,†224.
49
85
�force its hand, but to ask for justice.â€52 The first phase of the revolt can be described as
the Palestinians causing a scene to get the British to pay attention to them, and
accommodate their demands, which were rooted in limiting Jewish immigration into
Palestine.
Shaykh ‘Izz al-Din al-Qassam was a radical Islamic reformer, who used his
religious position as a shaykh (a leader in the mosque) to recruit followers among the
fellahin (farmers) and the laborers of Haifa. By 1935, he had recruited anywhere from
200-800 followers, who received military training, which was carried out in the dark. AlQassam instilled into his recruits’ messages of “strict piety, of struggle and sacrifice, of
patriotism, the necessity for unity, and the need to emulate early Islamic heroes.â€53
Although al-Qassam and his men did attack Zionist settlements from as early as 1931, the
group was not officially mobilized until November of 1935. Then, al-Qassam set out
from Haifa to raise the peasants into rebellion after it was discovered that an illegal arms
shipment was made to the Zionist movement in the port of Jaffa, which caused unrest
among the Palestinians.54 However, the group had an accidental encounter with the
police, which resulted in the death of al-Qassam and several of his followers.55 This led
to an outrage among the Palestinian middle class and peasants, who found comfort and
power in al-Qassam and his movement.
The Palestinians who were active in the Revolt “organized themselves into
guerrilla bands (fasa’il) of a few men with a leader (qa’id). Guerillas often used hit-andrun tactics, at night and principally in their local areas.â€56 This was strategic for the
guerrillas because it meant that they could disperse quickly, and with the advantage of
knowing the terrain, could hide among their kins and villagers.
Phase I of the Revolt lasted from the fall of 1936 to the summer of 1937, with
“the British discontinu[ing] attempts to actively seek out and identify the rebels, while the
rebels faded back into their villages.â€57 As the issues were escalating in Palestine, and
opening the doors for the Revolt, the British were unable to mount offensive operations,
52
“An Arab View of the Situation in Palestine,†International Affairs 15 (1936), 691692.
53 Swedenburg, “The Role of the Palestinian Peasantry in the Great Revolt (1936-1939),â€
189.
54 Achcar, The Arabs and the Holocaust, 135.
55 Swedenburg, “The Role of the Palestinian Peasantry in the Great Revolt (1936-1939),â€
190.
56 Aruri and Farsoun, Palestine and the Palestinians, 92.
57 Jankowski, “The Palestinian Arab Revolt of 1936-1939,†225.
86
�because they only had four battalions of British troops in Palestine (as of April 1936).
However, by September of that year, the British military increased their presence to
20,000 and offensive operations began. The suspension of the revolt was due to the
Palestinians waiting on the Royal Commissions to complete its deliberations.58 Husayni
and Lord Peel, who was heading the Palestine Royal Commission, were in contact with
one another in November and December of 1936. When Lord Peel inquired about the
Palestinians establishing a government, and what they would do with the 400,000 Jews,
Husayni responded with:
It will not be the first time that Jews have lived under the aegis of an Arab state.
In the past it has been the Arab states which were the more compassionate to
them. History shows that, during all periods, the Jews only found rest under the
protection of Arab rulers. The East was always a shelter for Jews escaping from
European pressure.59
Here, Husayni makes a valid point about the way the Jews have been historically treated
in Europe and in Palestine. The Jews have generally found a safe haven in Arabs, when
the Europeans have been anti-Semitic. The Arabs have had good intentions for the Jews,
which have been taken advantage of by the British, who just decided to establish a
National Home for the Jews in Palestine. Husayni’s words are significant, because his
tone is firm and to the point-- the Jews have historically coexisted with Arabs, and could
coexist if a Palestinian government was established.
The Commission published their findings in 1937, to which they expressed that
“the disease is so deep-rooted that in the Commissioners' firm conviction the only hope
of a cure lies in a surgical operation,†the surgical operation being the partition of the
land between the Jews and the Palestinians.60 They concluded that there was no way that
the two groups of people could coexist under the same government, and would need to
have their own, respective lands. The land that would be given to establish a Jewish
homeland was the coastal land along the Mediterranean, like Jaffa, Haifa, Tel Aviv, and
Acre, as well as the lands bordering Lebanon and Syria. It is important to point out that
these coastal cities were economically developed and bustling with business, but they
would have gone to the Jews under this Report. This infuriated Palestinians, who saw this
58
Jankowski, “The Palestinian Arab Revolt of 1936-1939,†225.
Amin Al-Husyani, “Hajj Amin to the Peel Commission in Palestine,†Center for
Online Judaic Studies, 1936.
60 Earl Peel, Peel Commission Report, (Great Britain: United Kingdom Government,
1937).
59
87
�as the “antithesis of what the general strike and the uprising of 1936 had been aimed at.â€61
The Arabs vehemently rejected the Peel Commission Report, and in Syria, “a pan-Arab
congress voted overwhelmingly and unequivocally†against it.62
VIII: Phase II of the Revolt
Phase II of the Revolt, which started in September of 1937, was “dominated by
the more radical within the Arab community, particularly the Husaynis,†because the
traditional notables and newer urban population were afraid of the violence in the
previous uprisings, and were hurt by the commercial and agricultural effects of the
general strike.63 This second phase for the revolt was interesting, because there was an
evident divide among the Palestinians, and a lot of the planning and organizing was
happening outside of Palestine. The British were prepared to immobilize the rebels by
any means, and in October of 1937, took it upon themselves to dissolve the AHC, exile
its prominent leaders, and intern about two hundred members of the Arab committees.64
In Damascus, Syria, a Central Committee of the Struggle was being spearheaded
by Palestinian exiles, who were not ready to give up on the idea of a Palestinian
homeland. This committee functioned by providing supplies and channeling volunteers
into Palestine, led by Husayni, who had fled Palestine in fear of being imprisoned by the
British.
Another element that distinguished phase II from phase I of the revolt, was the
aid that the rebels were able to obtain from outside of Palestine: “Funds collected in the
neighboring Arab countries played a major role in sustaining the rebels, volunteers came
from Syria, Lebanon, Iraq and Egypt, and by mid-1938 Germany had become aware of
the possibilities of the revolt and was supplying small amounts of modern arms.â€65
As mentioned earlier, the split among the Palestinians in regards to pursuing a
second phase to the revolt caused an issue. Husayni and his supporters were outraged by
this:
Those notables and village leaders reluctant to support the rebels were forced to
do so or were eliminated, those who collaborated with the British, especially the
Arab constabulary, became the target of attacks…. In 1938, the peak of the
61
Jankowski, “The Palestinian Arab Revolt of 1936-1939,†226.
Ronald Sanders, The High Walls of Jerusalem, (New York, NY: Holt, Rinehart and
Winston, 1983), 663.
63 Jankowski, “The Palestinian Arab Revolt of 1936-1939,†226.
64 Jankowski, “The Palestinian Arab Revolt of 1936-1939,†226.
65 Jankowski, “The Palestinian Arab Revolt of 1936-1939,†226.
62
88
�revolt, an estimated 454 Arab civilians were killed by the rebels themselves, as
compared to 206 Jewish civilians. Thus the revolt, while retaining its primarily
anti-British (rather than anti-Jewish) orientation, had become a struggle for
internal as well as external dominance.66
Another difference in the rekindling of the Revolt was the way the Palestinians
challenged the British over land control. The rebels went greater than just stirring the pot
for British policy change- they were reclaiming the very land that the British occupied
from them. The Central Committee of the Struggle, still functioning outside of Palestine,
“began to function partially as a government-in-exile, appointing administrators and
judges for the areas under rebel control.â€67 The British were not expecting such a harsh
pushback from the Arabs:
The British lost control of much of the countryside to armed bands and were
briefly forced to withdraw from several of the major cities, including the Old
City of Jerusalem, Jaffa, Acre, Jericho, and Bir Sabe’. The less accessible and
more rugged areas of the countryside escaped British control for a longer time.
The British military commander in Palestine wrote in August 1938 that “the
situation was such that civil administration of the country was, to all practical
purposes, nonexistent.†The spectacle of a few thousand poorly armed
Palestinian peasants successfully resisting the might of the British Empire for
such a lengthy time encouraged Britain’s aggressive and ambitious regional
rivals, Italy and Germany; had an impact on Arab and Islamic opinion on the
colonized world generally; discouraged and angered the Zionist movement; and
infuriated British politicians, officials, and military officials68
In August of 1938, with the Arab rebels gaining more power, they set up a High Council
of Command. The purpose of the command was to unify the rebel forces, in the same
way the AHC tried to unite Palestinian voices in the early 1930s. An empowering action
that the High Council put forth was the abandonment of the fez, which was worn by city
dwellers, for the flowing headdress of the peasant to make it easier for rebel forces to
infiltrate towns.69 This comes to be so significant, because it shows that the roots of the
revolt was lying in the hands of the peasants, who were putting action to their feelings,
and going full-force against the British. The peasants were demanding the upper-class
66
Jankowski, “The Palestinian Arab Revolt of 1936-1939,†227.
Jankowski, “The Palestinian Arab Revolt of 1936-1939,†227.
68 Khalidi, The Iron Cage, 107.
69 Jankowski, “The Palestinian Arab Revolt of 1936-1939,†227.
67
89
�urban dwellers to alter their appearances to take control of Palestine and put it in the
hands of the peasants, which was incredibly courageous on their part.
The success of the rebels in the countryside encouraged them to take control of
interior cities, like Nablus, Hebron, Beersheba, Bethlehem, and Ramallah. At the same
time, the British administration in these cities began to deteriorate, and they were
withdrawing their forces.70 At this point, the British realized what they were up against,
and started to build new roads throughout 1938 to open the countryside to their forces.
Furthermore, they built the Tegart Wall along the Palestine-Syria border to prevent the
infiltration of rebels, which was a success for the British. With heightened numbers of
British security forces, which was nearly 25,000 by 1938, they were able to gain control
back from the rebels. Throughout 1939, there were steady British advances in subduing
the rebels, by taking measures like installing curfews, intensive searches, and the
prohibition of all road traffic that was not authorized by the security forces.71 Alongside
these measures to gain control, the British used force to repress the revolt.
IX: British Suppression of the Revolt
The British worked hard to suppress the revolt, and did so in cruel, violent
manners. In Halhul, the British killed fifteen Palestinians, the youngest being thirty-five
and the oldest being seventy-five. They did so by leaving them out in a caged enclosure
in the sun with insufficient water.72
Harry Arrigone, a British Palestine policeman in the village of al-Bassa recalled
a moment of British aggression towards the Palestinians, after local guerillas buried a
land mine meant to kill British officers:
The British “herded†about twenty men from al-Bassa onto a bus. Villagers who
panicked and tried to escape were shot. The driver of the bus was forced to drive
along the road, over a land mine buried by the soldiers. This second mine
completely destroyed the bus, scattering the maimed and mutilated bodies of the
men on board everywhere. The villagers were then forced to dig a pit, collect the
bodies, and throw them unceremoniously into it.73
This shows the absolutely cruelty, and lack of mercy that the British had towards the
Palestinians. They willingly chose to execute innocent villagers to make a statement to
70
Jankowski, “The Palestinian Arab Revolt of 1936-1939,†227.
Jankowski, “The Palestinian Arab Revolt of 1936-1939,†228.
72 Matthew Hughes, “Repression of the Arab Revolt in Palestine,†358.
73 Matthew Hughes, “Repression of the Arab Revolt in Palestine,†359.
71
90
�the Palestinians that their revolt would not give them power, and that their voices were
not heard. Furthermore, this one instance highlights the cruelty of the British, because
they forced the remaining villagers to dispose of the bodies in an “unceremonious†way.
The British went out of their way to make sure Palestinians understood that their revolt
would not be tolerated, as evidenced by not allowing the people slaughtered to have a
proper burial. Moreover, by forcing Palestinians to dump their bodies into a mass grave,
the British were reinforcing the idea that the Palestinians did not have an identity.
Another British officer in Palestine, Raymond Cafferata, in a letter to his wife, wrote
“Since that day not a single mine has been laid on that road,†showing that the British
were okay with making examples out of Palestinians if it meant that they could repress
the revolt.74
The British doctor, Forster, wrote that “we may teach Hitler something new
about the conduct of concentration camps,†when discussing Palestinian torture methods.75
Forster’s words are significant, because they highlight the hypocrisy of the British, on top
of shedding light on the torture methods of the British. The British willingly participate in
the torture of the Palestinians, who were revolting against the Zionist establishment in
Palestine, in the same manner that Hitler would treat a Jew in Europe. The British, here,
are helping to set up a National Home for the Jews, and work on decimating the native
population by means similar to that of Hitler. This is incredibly ironic, and terribly
horrendous.
In total, the Revolt, which lasted from 1936 to 1939, “saw more than 3,000
deaths, 146 executions by hanging, and 50,000 arrests leading to 2,000 stiff prison
sentences; 5,000 homes and businesses were demolished and long curfews were
imposed.â€76
X: The Role of the Media
The media played an important role in escalating tensions between Jews in
Palestine and Palestinians. Even for the Palestinians, “opposition to Zionism became
more political and profuse with the lifting of press censorship in 1908.â€77 An important
primary source in understanding the Palestinian Revolt against the British is a political
cartoon published in Davar, a Jewish newspaper that was being published under the
British Mandate of Palestine. The cartoon, titled “Education in Palestine,†contains a
74
Matthew Hughes, “Repression of the Arab Revolt in Palestine,†359.
Matthew Hughes, “Repression of the Arab Revolt in Palestine,†362.
76 Achcar, The Arabs and the Holocaust, 142.
77 Pearlman, Violence, Nonviolence, and the Palestinian National Movement, 27.
75
91
�mother figure with androgynous features, clearly dressed as an Arab, as indicated by the
Palestinian kuffiyeh (a scarf that Palestinians wear around their heads or their necks,
especially the peasants) and the black garb. The mother is reading to her child, and this
just means that the mother is blindly implanting the wrong ideas to her child from a
young age, creating an ignorant generation. The main character of the cartoon being a
peasant is significant, because it represents the masses of Palestinians who were
supporting the Revolt, and targets them instead of public officials and leaders.
Furthermore, by creating the idea that these peasants are uneducated, and just blindly
follow what the highly censored newspapers believe.
By creating this image to a large audience, the Jewish media is able to use their
power to instill the view that the revolt is being followed by the blind-- those who cannot
see that their reality is distorted. However, this invalidates the struggles of the Palestinian
people, who have been occupied for so many years, first by the Ottomans and then by the
British. To distort their views on Palestinian identity and nationalism takes away from
their being and humanity, and allows for them to subject to their inhumane treatment,
murder, exile, and torture. This cartoon is further significant for shedding light on the
way that Hebrew, the language of the Jews, is able to become prominent in Palestine
even before the establishment of the Jewish state. Political cartoons generally tend to be
valuable to historians for lending a helping hand to understanding the information that the
general population was constantly being fed, and thereby the way the government or
institutions act towards marginalized people. Likewise, it displays to the historian the
politics of the time by assessing the content of the cartoon, and how it fits into the bigger
picture of what was happening at the time.
Also, “strict British censorship during the uprising ensured that Palestinian
papers were closed for long periods of time and the Palestinian Arabic Press was unable
to make critical comment on British military activity in the country after 1936.â€78 By
blocking the Palestinians access to the media, the British could control the information
being fed to them and could sway popular opinion in their direction. The British were
strategic in blocking only Palestinian news media outlets, because “the Zionist Presssuch as the Palestine Post, Haaretz, or Davar- has more comment on Britain’s repression
of the revolt than the heavily censored Arabic-language newspapers.â€79 This means that
in some form, there was information on the repression of the revolt, but it was not to the
audience who could take action against it.
78
Mustafa Kabha, The Palestinian Press as Shaper of Public Opinion, 1929-1939:
Writing Up a Storm (London and Portland: Vallentine Mitchell, 2007), 227.
79 Matthew Hughes, “Repression of the Arab Revolt in Palestine,†358.
92
�XI: The White Papers of 1939
With the building of the Tegart Wall, there was difficulty in communication
among the rebels, which caused a break in the Central Committee of Struggle, when
several of the guerilla leaders left the group. Also, the Arab field commander, Abd al
Rahim al-Hajj Muhammad was killed in March 1939, and the rough treatment of the
rebel courts towards Arabs who did not want to participate in the revolt caused the
development of a pro-British, anti-Husayni faction called The Squadrons of Peace, who
took action against rebels.80
In May of 1939, the British government released the White Paper of 1939, after
much consultations and negotiations.81 This document “capped Jewish immigration at
seventy-five thousand over five years, restricted land transfers to limited areas, and
proposed to make Palestine independent within ten years if Arab-Jewish relations
improved.â€82 To the Palestinians, this was a partial victory, because they would be getting
an independent Palestine, but it would be split with the Jews. At this point, with the
escalation of global issues, the British did not prioritize the British Mandate and the
issues that the Palestinians were facing.
XII: Impact on the Creation of Israel
Rashidi, in The Iron Cage, does an in-depth analysis of the way the British
suppressed the revolt:
The number of those exiled or forced to flee is unknown, but probably in the
thousands. In the Arab population of about 1 million, these were considerable
figures; they meant that over 10 percent of the adult male population was killed,
wounded, imprisoned or exiled. Although some of these casualties were simply
bystanders, these figures give some indication of the extent of popular
participation in the revolt, and of its all-encompassing national nature…. A high
proportion of the Arab casualties included the most experienced military cadres
and enterprising fighters.83
80
Jankowski, “The Palestinian Arab Revolt of 1936-1939,†228.
Tom Segev, One Palestine, Complete: Jews and Arabs under the British Mandate,
(New York, NY: Metropolitan Books, 1999), 440.
82 Aruri and Farsoun, Palestine and the Palestinians, 93.
83 Rashidi, The Iron Cage, 108.
81
93
�On top of the casualties, and exiles, the British confiscated large amounts of weapons
from the Arabs during the revolt and in the years after. The diverging political views
between the Palestinians caused more divides in them, and the decline of the Palestinian
economy opened the door for Jewish industries to take control.84 Consequently, it was
easier for the State of Israel to be built, because there was a depletion of sources to resist
the establishment of the Jewish homeland. The Palestinian economic decline allowed for
the Jews to build themselves up further, and hold stakes in the land. Also, the nationalist
political leaders had, for the most part, been killed, imprisoned, or exiled, which meant
that the Palestinians did not have the leadership necessary to fight against the building of
Israel. Lastly, the weapons had by Palestinians were almost completely wiped out by the
British security forces.
This all shows that although the Revolt empowered Palestinians voices,
especially those of the peasants, it indirectly impacted the creation of Israel. When the
Arabs rejected the original Peel Commission Report, they completely shut out of the idea
of sharing the land under the advisement of the British, which would have been better
than their current situation. This is not to say that the Palestinians made a mistake making
that decision, because they believed so much in their nationalism and ability to gain
independence, and the British proved that they were not trustworthy with the way they
handled Palestine. However, this means that the events of phase II of the revolt could not
have been predicted by the Palestinians, and that nearsightedness resulted in the lack of a
Palestinian homeland. Lastly, the timing of the Revolt came at a time where the world
was breaking out into war, and World War II was more important to the world powers,
like Great Britain, than the question of what to do with the Mandate of Palestine.
XIII: Conclusion
As evidenced above, the British Mandate of Palestine was not a successful
system put in place by the West. By establishing an imperialist power, and opening the
doors to the facilitation of the building of a Jewish Homeland, the Palestinians were upset
with the British. Although the Revolt has been lost in history, it is important for showing
that the peasants were able to mobilize themselves for their cause, thereby empowering
their voices. Also, the repression of the Revolt indirectly facilitated the creation of Israel,
because the British killed, exiled, and imprisoned the leading voices against the British.
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�Beautiful Nude Girls: Art and Female
Sexuality in Nazi Germany
Jordan Gonzales (Art History and Anthropology)1
“In mobilizing leisure, National Socialism encountered one of the last bulwarks behind
which the progressive elements of individualism were still alive…In the solitude of
peaceful enjoyment, the individual may come to think, his impulses, feelings, and
thoughts may be driven to regions which are foreign and inimical to the prevailing
order. We mention here only two stimuli of this tendency: sex and art.â€
-
Herbert Marcuse, “State and Individual Under National Socialism,†in Technology,
War, and Fascism: Collected Papers of Herbert Marcuse, volume 1, ed. Douglas
Kellner (London: Routledge, 1998), 89, Taylor & Francis e-Library.
Dostoevsky creates characters based on the historical use of feminine
embodiment. Colleen Mack-Canty’s essay “Third-Wave Feminism and the Need to
Reweave the Nature/Culture Duality†discusses the importance of reclaiming that which
is deemed ‘natural.’ Mack-Canty defines embodiment as the physical characteristics of a
human being, derived from nature, and historically used in reference to women. As she
explains:
“in the nature/culture dualism [...] Men were identified with disembodied
characteristics such as order, freedom, light, and reason, which were seen as
better than, and in opposition to, women’s allegedly more ‘natural’ and/or
embodied characteristics such as disorder, physical necessity, darkness, and
passion†(Mack-Canty 158).
It is the aim of this essay to understand how the National Socialist regime used
fine art to exercise power affirmatively in order to control the body politic. Sexuality
presents a case in which both repression and affirmation play critical roles in the
consolidation of state power, particularly as sexuality is often perceived, both historically
and contemporaneously, as outside of the realm of control of state institutions. This
perception in itself often reflects a discordance with realities of modern Western
1 Written under the direction of Dr. Laura Morowitz for AR291H: Art and Aesthetics in the
Third Reich.
99
�societies, and the relationship between sex and state power is perhaps most acute and
catastrophic in the National Socialist regime. Crucial to the fortification of power derived
from controlling sexuality was the utilization of “polymorphous techniques of powerâ€2meaning the deployment of a variety of methods to exert power in multiple spheres of
life. Power can be exercised through written codification in the legal system, verbally
through official and unofficial iterations of administrative and popular leaders, and
visually through art and propaganda. This essay is concerned with the latter, particularly
with the subtle propagandistic edification of individuals through fine art.
‘Fine art,’ or ‘high art,’ in the Western world is characterized by being steeped
in European academic tradition and is associated with class, wealth, and privilege. For
these reasons, fine art may constitute a less aggressive form of propaganda, what
Propaganda Minister Josef Goebbels called ‘unsichtbare propaganda’ - invisible
propaganda.3 In this way, fine art has the potential to reach more educated and privileged
classes that may be more critical of overt or ostentatious approaches to propaganda.
Additionally, these same audiences are more likely to be beholden to traditional
constraints of behavior, especially sexual mores, characteristic of middle and higher
socioeconomic classes. Therefore, messages contained within works of fine art can be
posed subtly and amiably, particularly in the realm of sex and sexuality. One particularly
relevant and useful case is that of Botticelli's Primavera - placed in the sleeping quarters
of a Medici bride, the painting abounds in images of fertility. A reading of the painting
from right to left shows the scene of the rape of Chloris by Zephyrus, leading to her
impregnation and transformation into Flora. Along with the obvious intimation of the
bride’s responsibility of fertile reproduction, the rape scene provides a subtle reassurance
that even if the bride does not desire her husband, she must succumb to him so that she
may bear children. In this way, the repeated consumption of images in works of fine art
in quotidian experience helps to embed certain messages and ideas about the world and
how to behave in it.
In a similar way, fine art created within National Socialism and promoted by its
political and cultural leaders proliferated images meant to inculcate viewers about correct
ideas and behaviors. Female sexuality was not excluded from the realm of the
‘unsichtbare propaganda’ that characterized much (if not all) of the fine art approved by
the state. National Socialist artists and art critics appropriated the classical Italian
2
Michel Foucault, The History of Sexuality, volume 1: An Introduction (New York:
Vintage Books, 1990), 11.
3 Terri J. Gordon, “Fascism and the Female Form: Performance Art in the Third Reich,â€
Journal of the History of Sexuality 11, no. 1/2 (January/April 2002): 170.
100
�Renaissance genre of oil painting of the female nude to synthesize a quasi-classical
aesthetic. Through the appropriated aesthetic and its iconography, the National Socialist
regime constructed the ideal, liberated, female sexuality and edified women on this ideal;
however, this sexual liberation did not give the individual agency, but rather was a means
of subverting sexual behaviors to the benefit and greater control of the state.
The creation of a National Socialist quasi-classical or neo-classical aesthetic is
by no means novel or unknown. A whole host, if not all, post-Enlightenment societies
utilize the appropriated styles and aesthetics to visually legitimize their power by evoking
a sense of historical constitution and authority, both of which are actually constructions
of the institutions and administrations in power at a given time. While the first medium to
come to mind might be architecture4, the power of classical appropriation is no less true
for studio art forms. Accordingly, the National Socialist appropriation of the classical
language of the female nude helps to visually legitimize the intervention of the state over
the individual body, as well as indoctrinate ‘pure’ German women on virtuous behaviors,
appearance, and ideals in accordance with National Socialist Ideology. The evocation of a
historically constituted narrative within Germany and within the National Socialist
regime is relatively easy to ascertain. The relations of authority and agency which are
mediated in the genre of the female nude are more nuanced, in that the images attest to
the manipulation of individual female sexuality. Both the history and relations of power
evoked in paintings of the National Socialist style of the nude are premised on falsehoods
constructed by the state, in service of the state, with no actual regard for the
individualism of the viewers.
This essay raises the question of how, in the fine art of National Socialism, the
traditionally male gaze is conflated with, even replaced by, the gaze of the state. The
possibility of a ‘state gaze’ is proposed as the mechanism of control in the fine art of
National Socialist Germany, a gaze which unified works of art in light of unsuccessful
attempts of Party leaders to create an official and distinct National Socialist style of art.5
In this respect, it would not matter that the viewer have ownership of the subject and her
sexuality as they do in the classical genre, but rather the nude subject, and consequently
her sexuality, are constructed by and belong to the state, and that it is through the ‘state
gaze’ that the viewer understands the subject. Therefore, the relation of power between
Frederic Spotts, Hitler and the Power of Aesthetics (New York: Overlook Press, 2003),
311.
5 Olaf Peters, “Genesis, Conception, and Consequences: The ‘Entartete Kunst’ Exhibition
in Munich in 1937,†in Degenerate Art: The Attack on Modern art in Nazi Germany,
1937, ed. Olaf Peters (Munich: Prestel, 2014), 107.
4
101
�the subject and average viewer is altered, as the viewer no longer has ownership over the
subject and her sexuality, but rather an access that has been permitted by the owner - the
state. When the viewer is female, she may identify herself with the subject and the
sexuality with which she had been imbued. This is doubly enforced when one considers
how art acts as an apparatus of the state’s omnipresent control in individual life, and so
through the gaze of the state the female viewer “...comes to consider the surveyor and the
surveyed within her as the two constituent yet always distinct elements of her identity as
a woman,â€6 through which she is free to experience the subject’s sexuality as both her
own and belonging to the state. Attempting to identify how a ‘state gaze’ was imposed on
German art may prove to be more successful and revealing in understanding the
importance and role of fine art in the Reich than attempting to identify a distinct style of
National Socialist art.
The concerted efforts on the part of Hitler and Josef Goebbels to create an
official category of National Socialist art largely failed because there were no standards
established by which to judge works of art, although there was a more clear distinction of
what was considered unacceptable. General ideas about the importance of realism were
perhaps the only commonality among works chosen, and state-appointed juries generally
exalted “works that were not exactly ideologically motivated but rather mainly
landscapes, genre paintings, and paintings of animals. Other than that, they primarily
featured depictions of women, especially nudes vaguely modeled on antiquity.â€7 Works
deemed acceptable by these juries and other administrators were showcased in the Haus
der Deutschen Kunst (House of German Art), meant to house the best of German art and
serve as the “beginning of the end of the stultification of German art and the end of the
cultural destruction of [the German] people.â€8 One artist involved in the attempts to
visually stylize National Socialism and to be showcased in the Haus der Deutschen Kunst
was Adolf Ziegler, who also served as president of the Reichskammer der bildenden
Kunst (Reich Chamber of the Fine Arts) - his triptych Die vier Elemente (The Four
Elements) [see Figure I] was even bought by Hitler and hung above his fireplace at the
Führerbau in Munich.9
6
John Berger, Ways of seeing (London: British Broadcasting Corporation, 1973), 46.
Peters, “Genesis, Conception, and Consequences,†108.
8 “Hitler’s Speech at the Opening of the House of German Art in Munich (July 18,
1937),†German History in Documents and Images, accessed November 28, 2017,
http://germanhistorydocs.ghi-dc.org/docpage.cfm?docpage_id=2374
9 Peters, “Genesis, Conception, and Consequences,†110.
7
102
�In this kitschy appropriation of the classical nude, Ziegler imbued his female
subjects with a sexuality that was not entirely dependent upon the assumed male viewer,
but rather which was constructed in accordance with state ideology. Paradoxically,
however, his subjects were not endowed with agency over their sexuality and implicitly
accompanied sexual behaviors- these were to be channeled in service of the volk, a cause
more important and virtuous than a woman’s own individual desires. In this way, Ziegler
was able to edify women on their sexuality and how to behave as sexual beings not for
the sake of sex itself, but in service of the Reich. Such sexual ideologies as portrayed in
these paintings conform to the hypocritical and paradoxical nature of the National
Socialist regime, and attest to the cacophony of policies and attitudes towards the role of
women and their sexuality in National Socialist Germany.
National Socialist attitudes and policies regarding sex and sexuality deserve
particular scrutiny because of the way in which “sex was not something one simply
judged; it was something one administered.â€10 That is to say, sex and sexuality under
National Socialism was not just restricted and repressed for some groups, but
simultaneously promoted and proliferated for one group in service of the nation, that
group being healthy and racially pure Germans. The nature of power in modern Western
society is to be repressive, especially in regards to the repression of “useless energies, the
intensity of pleasure, and irregular modes of behaviorâ€11 like those stemming from sex
and sexuality. It cannot be contested that the National Socialist repression of ‘deviant’
and ‘perverse’ sexualities, behaviors, and relations were firmly founded in eugenics. Such
repression of deviance is certainly elucidated by the desire to extinguish any and all
behaviors which would subvert the ideologies and agenda of the National Socialist party.
However, when one considers what may be implied as the opposite of this - that is, the
promotion of energies, pleasures, and behaviors which are useful to the state - then
National Socialist attitudes towards sexual liberation begin to make sense.
Sexual desires and their fulfillment in the realm of and for the sake of the
individual are threatening to society and to the state. Within the realm of the individual,
the satisfaction and happiness which are derived from the fulfillment of sexual desires is
impervious to the intervention of external agencies and institutions, and therefore creates
a division between the individual and society grounded in the inability of the state to
fulfill those desires. In a fascist regime of the intensity of National Socialism, such
division undermines the authority and autonomy of the state over individual bodies and
the body politic, and constitutes a waste of time and energy on behaviors which do not
10
11
Foucault, The History of Sexuality, 24.
Foucault, The History of Sexuality, 9.
103
�serve a virtuous purpose. By socializing the individual and their sexuality, the state can
reconstitute its authority and channel sexually fulfilling behaviors to be ‘useful’ in
society. In the National Socialist regime, “the individual [was] ‘socialized’ in the
distorted sense that society itself [took] over his [or her] oppressed and deteriorated
instincts and interests and [asserted] then on an international scale…â€12 This assertion fell
under the label of ‘sexual liberation,’ and is very much framed within the context of
National Socialist racial policies and eugenic agenda.
Employing Foucault’s theories of sexuality and power is useful when examining
the dichotomy of sexual repression and sexual liberation in the ideologies and policies of
the National Socialist regime, and how the latter pair were successfully transmitted
through art. To begin, unlike other forms of repression, state repression of sex and
sexuality is often publicly acknowledged, and even lauded as a virtue of ‘civilization.’ In
this way, sexual repression of ‘racially impure,’ non-heterosexual relations provided the
regime with a publicly acceptable means to exert control over deviants within the body
politic. This also made more subtle expressions of this control through art all the more
effective and nonsuspect. However, in order to exert comprehensive control over sex and
sexuality, sexual repression alone is insufficient.
Repression worked in conjunction with methods focusing less on exterminating
measures and more on the employment of “a policing of sex: that is, not the rigor of a
taboo, but the necessity of regulating sex through useful and public discourses,â€13 such as
visually through the arts. Such policing characterizes the proliferation of discourses on
what sex should be and its greater purpose for the volk. It is in this context that sexual
liberation acted as a positive exercise of power, in that the promotion of certain
sexualities and sexual behaviors - in this case among racially pure, heterosexual men and
women - and their liberation from traditional mores promoted the control of the state over
the body politic, and in fact created the perception of this control as amicable to the
individual.
It must be admitted that “the working of socio-psychological mechanisms [of
the National Socialist Party] cannot be verified by official or semi-official documents; it
must be elucidated by careful interpretation of the behavior and utterances of National
Socialist groups in certain characteristic situations.â€14 Artistic creation can be understood
Herbert Marcuse, “State and Individual Under National Socialism,†in Technology,
War, and Fascism: Collected Papers of Herbert Marcuse, volume 1, ed. Douglas Kellner
(London: Routledge, 1998), 90, Taylor & Francis e-Library.
13 Foucault, The History of Sexuality, 25.
14 Marcuse, “State and Individual Under National Socialism,†87.
12
104
�as one such utterance, one whose subjectivity permits the interpretation and
reinterpretation of meaning and message which can help to penetrate the complexities of
human existence at any given moment in time. Art under National Socialism lends itself
well to such interpretations as even Hitler himself attested to the necessity of integrating
art into daily life so as to reconcile the individual and the masses with the world as it was,
or at the very least as Hitler wanted it to be.15 Through its efforts to bring ‘fine’ or ‘high’
art into the everyday lived experience of the body politic, the National Socialist
administration successfully employed fine art as ‘unsichtbare propaganda.’ The style and
subjects of such art, however, was meticulously selected so as to reflect the ideals and
vision of the Party - idyllic scenes of “beautiful nude girlsâ€16 in an appropriated, quasiclassical style were among the favored.
With Hitler’s and the National Socialist Party’s efforts to bring art into the
everyday lives of the German community, eroticized images of the female nude acted as
affirming and normalizing agents which reached a larger audience than might have
normally been exposed to the genre. Repeatedly seeing images of the nude figure “acts as
a confirmation and provokes a very strong sense of relief…[the viewer is] overwhelmed
by the marvelous simplicity of the familiar sexual mechanism.â€17 It follows, then, that
there might have existed comfort in the validation and reassurance of seeing young,
beautiful, Aryan women in the National Socialist appropriation of the genre of the nude.
This was perhaps further reinforced by the state’s explicit and implicit endorsement of
such images in fine art, images meant to attest to the racial perfection and superiority of
the German volk, and to the usefulness of sexual behaviors, traditionally deemed as
immoral misconduct, for the state. Through these artistic images, the viewer could be
reaffirmed of their relation to the subjects and their sexuality as they were oriented within
the mechanisms and ideals of the state.
It is imperative at this point to identify more explicitly the specific attitudes and
policies of the National Socialist administration which characterized sexual liberation,
and how liberation actually served as a means to greater control of the state over
individual and collective bodies. Most generally, the National Socialist party advocated
for a liberation from the “the Christian precepts of chastity, monogamy, and the sanctity
of the home,â€18 around which so much of Western morality was and continues to be built.
“Hitler’s Speech at the Opening of the House of German Art in Munich (July 18,
1937),†German History in Documents and Images, accessed November 28, 2017,
http://germanhistorydocs.ghi-dc.org/docpage.cfm?docpage_id=2374
16 Marcuse, “State and Individual Under National Socialism,†87 & 92.
17 Berger, Ways of seeing, 59.
18 Gordon, “Fascism and the Female Form,†166.
15
105
�The National Socialist Party achieved the rejection of and liberation from these sexual
mores through ending stigmatization and discrimination of illegitimate mothers and
children, through the promotion of extra-marital sex between healthy, heterosexual,
Aryan Germans, through introducing a new cult of nudity in art and entertainment, and
through dissolving the traditional, private responsibilities of the family unit and the
destruction of patriarchal and monogamous standards of individual, interpersonal
relationships.19 Furthermore, sexual liberation only created the veneer of individual
autonomy and agency over the use of sexuality, but the reality was that “the state
instituted a politics of the body that rendered the individual body a public site whose
purpose was to further the larger social organism.â€20 Sexual liberation, then, became a
privilege and perhaps even a right of those citizens subjects who belonged to the National
Socialist volksgemeinschaft, as these were the citizens who could (re)produce the Aryan
race and the German nation. Not only was this privilege affirmed politically by National
Socialist leaders, but it was affirmed and normalized culturally through the arts via
images of ideal Aryan bodies that constituted the cult of the body and the cult of nudity
of the time.
The argument and the questions raised in this essay must be contextualized
within this cult of nudity and the obsession of the National Socialist Party with the body
of the Aryan race; in order to understand images of nudity in fine art the precedent must
be understood of how these images operated in other spheres of visual culture and artistic
expression. Most fundamental to all of this is the National Socialist “notion of the healthy
body as a microcosm for the healthy state.â€21 In this regard, the Aryan body must be
exalted and venerated for its naturally superior vigor and beauty, and to see these bodies
nude is not shameful, but celebratory. In following this, sexual acts leading to the
creation of these bodies and the continuation of the race were to be equally exalted. This
cult obsession with nudity and the Aryan body is most manifest in film and the
performing arts, and much of the literature of the National Socialist cult of nudity focuses
on these areas of artistic production.22 Leading National Socialist race-theorist Dr. Hans
Endres attested to the usefulness of near-pornographic images of German men and
women in film as a means to “propagate a new way of life in Europe†in which Aryan
youth may “become proud of their bodies and enjoy the natural pleasures of sex without
being ashamed.â€23 It is not without precedent, therefore, that the imbuement of nude
Marcuse, “State and Individual Under National Socialism,†84.
Gordon, “Fascism and the Female Form,†164.
21 Gordon, “Fascism and the Female Form,†165.
22 Gordon, “Fascism and the Female Form.â€
19
20
106
�subjects in with a real and natural sexuality occured intentionally in the fine art of
National Socialist Germany. However, the relationship between nudity and sexuality in
the fine art of the regime differs from the classical genre of the female nude, and these
differences are slight but significant.
While the usefulness of emulating the classical female nude is necessary to
understanding the relationship between art, sexuality, and the National Socialist state, as
important is considering ways in which the appropriated, quasi-classical style deviated
from the tropes of the classical nude and the effect of such deviation. In appropriation,
deviating from the original creates a cognitive dissonance between what the viewer
expects based on prior experience with the original style, and what they actually see in
front of them in the new work. At the very least, the effect is to disrupt the viewer’s
experience of the work, whether the interruption be positive or negative. To the more
critical viewer, this disruption calls attention to what has changed and why, and prompts
the viewer to consider the effect of that change stylistically and interpretatively.
Generally, the National Socialist style of the nude oil painting deviates from the classical
genre in the way in which is creates a distinct subject both in the formal style and the
attributes of the nude subject.
Whereas the idealized rendering of the classical nude was meant to evoke the
sublime perfection of the Greek and Roman pantheons, the distinctive realism of the
National Socialist style was mean to attest to the natural beauty of the ideal German
woman. Hitler’s mandate that only true and great art could depict natural forms in the
highest degree of realism is reflected in the “...the stimulating distinctness with which
National Socialist artists expose the erogenous zones of the body. Hitler established the
combination of ‘expediency and beauty’ as the highest principle of art,†and demanded
that male and female bodies be presented with absolute realism and correctness. This
realism served as a celebration and exaltation of the German body, and reflected the
racist ideology and population politics of the National Socialist Party. Only the most
perfect Aryan forms were worthy of extolment and immortalization in the medium of fine
art, and only these bodies were worthy or reproduction (that is, both artistically and
physically).
Framing ‘racially pure’ German women as the subjects in the artistic tradition of
the nude provided German women a history they could potentially identify with, since in
the National Socialist model, “women had no history at all… Because they exerted no
force in politics and economic change, women would provide a constant backdrop to
23 Endres quoted in George W. Herald, “Sex is a Nazi Weapon,†The American Mercury
54, no. 222 (June 1942), 661.
107
�men’s history.â€24 In the same way that emulating classical architecture evokes the idea of
ancient origins of power for the state, appropriating the classical nude with the
undeniably Aryan woman as the subject evokes the idea that this breed of woman has
existed and been exalted since antiquity, and therefore is justified as an ideal standard. In
a society that gave women a scathingly limited role as active participants, creating this
sense of historical narrative vindicated the state’s view of women by giving them images
asserting their descent from these ancient, if not timeless, subjects.
Instrumental to enabling identification with the historical narrative of the genre
was painting women who looked undeniably Aryan. Take, for example, the four women
in Ziegler's triptych The Four Elements [fig I]. The facial features of each woman
conform distinctly to the ideal of the Aryan woman, yet their features are not so idealized
that they become nondescript or detached from reality, as the mythological figures of
classical nude paintings are often rendered. This ideal yet identifiable depiction gives the
female viewer a sense of a glorified place in the cultural history of Germany. It also gives
her a sense of the timeless and natural existence of her exalted sexuality which comes
from being a member of the Aryan race, thereby validating her own sexual desires and
contextualizing them as necessary to the development of German culture.
The distinction with which the faces of these subjects are painted approaches
portraiture. In this way, the nude subjects possess a degree of personhood or identity that
is normally absent in the generic beauty of the classical and Renaissance nudes. Allowing
the subject to possess her own identity disrupts the passivity characteristic of the classical
nude, and reinforces the idea that the woman is permitted to actively cultivate and
exercise her sexuality. However, this individuality is limited by the non-specificity of the
bodies of the subjects, as is apparent in The Four Elements [fig. I] - all four of the women
appear distinct in their facial features, but their bodies bear little, if any, individuality. It
almost appears as if the artist has taken portraits and transplanted them onto the same
body, and the effect is disorienting. Even so, the contrast illuminates how these paintings
at the very least attempted to mediate the paradox of simultaneous affirmation of female
sexuality while claiming the agency over that sexuality for the state rather than for the
individual. And although distinctive faces facilitated identification of the viewer with the
subjects, by associating the sexuality of the subject with a generic image of femininity,
sexuality becomes something which is not conflated with or constituted by individualism,
but rather is seen through the homogenizing gaze of the state. Still, despite the nonClaudia Koonz, “The Second Sex in the Third Reich†in Mothers in the Fatherland:
women, the family, and Nazi politics, ed. Claudia Koonz (New York: St. Martin’s Press,
1987), 178.
24
108
�specificity in rendering different images of the feminine form, these images were painted
with acute consideration for the real and natural beauty specific to the German female
body.
If the German female form was to be appreciated and celebrated in its totality
for its superior natural vigor and beauty, then true depictions of the female form could
exclude nothing, not even pubic hair. In this respect the National Socialist quasi-classical
genre of the nude deviates once more from the classical style in a subtle yet impactful
way. The convention in classical painting to exclude pubic hair from the female nude
reinforced the construction of the subject as a passive sexual object because “hair is
associated with sexual power, with passion. The woman’s sexual passion needs to be
minimized so that the spectator may feel that he has the monopoly of such passion.â€25
This is not to say that National Socialist artists intentionally included women’s pubic hair
for the sake of reflecting her sexual passion. Rather, the emphasis on the showing the
naturalness of the German female form inadvertently led to the incorporation of the
sexuality inherent in that form.
Likewise, the viewer of these highly realistic images does not possess a
‘monopoly’ of the subject’s passion, as that monopoly belongs exclusively to the state. In
this case, the subject’s sexuality does not necessarily require mediation by the
omnipresent state - it is clear that this sexuality comes not from the woman as an
individual, but is the result of the vigor of her superior Aryan body. Furthermore, the
sexuality which is evoked by endowing these figures with the utmost realism serves,
perhaps to a greater extent, to titillate the viewer in order to encourage sexual behaviors
which lead to the propagation of the German volk.
The appropriation of the classical genre of the nude by the National Socialist
regime was an intrinsically ironic practice when one considers how “the nude in
European oil painting is usually presented as an admirable expression of the European
humanist spirit,†and how “this spirit was inseparable from individualism.â€26 National
Socialism was by nature vehemently anti-individualist, but the creation of such works
concealed this nature by promoting a false image of humanism through the female form
while subtly dictating the ideals of the Aryan woman for the agenda of the state. Rather
than creating a distinct category of ‘National Socialist art,’ this subtle edification and
propagation was achieved through a state-constructed gaze which permeated fine art and
dictated modes of seeing and interpreting images. In this way, images of female subjects
endowed with sexuality transformed “stimuli for protest and rebellion into stimuli for
25
26
Berger, Ways of seeing, 55.
Berger, Ways of seeing, 62.
109
�coordination†and reconciliation of the paradoxical ideals and ideologies of National
Socialism.27 Through the medium of fine art, the National Socialist party was able to
penetrate into one of the most private spheres of individualist society and transform those
desires and actions embedded within it into a means by which to propagate the state and
the German volk.
Attempting to conceive art and sexuality as working in harmony with the agenda
of the National Socialist administration is difficult, but it is still important to pose such
questions in order to understand how the regime was able to irrationally harmonize
enormously dissonant ideas and behaviors to achieve their goals. It might not be
discernable to what extent the edification of women on sexuality through fine art was
actually effective, however it must at least be considered in order to understand the extent
to which National Socialist control intervened in every possible sphere of individual and
collective life. Likewise, it might be erroneous to draw such conclusions in hindsight, but
this essay does not propose to find conclusive answers. Rather the goal is to open up
possibilities for further exploration in order to understand the mechanisms of National
Socialist power more profoundly.
27
Marcuse, “State and Individual Under National Socialism,†92.
110
�Figure I. The Four Elements by Adolf Ziegler, Oil on canvas, 1937
https://www.sartle.com/artwork/the-four-elements-fire-water-and-earth-air-adolf-ziegler
Bibliography
Berger, John. Ways of seeing. London: British Broadcasting Corporation, 1973.
Foucault, Michel. The History of Sexuality, Volume 1: An Introduction. New York:
Vintage Books Edition, 1990.
German History in Documents and Images. “Hitler’s Speech at the Opening of the House
of German Art in Munich (July 18, 1937).†Accessed November 28, 2017.
http://germanhistorydocs.ghi-dc.org/docpage.cfm?docpage_id=2374
Gordon, Terri J. “Fascism and the Female Form: Performance Art in the Third Reich.â€
Journal of the History of Sexuality 11, no. 1/2 (January/April 2002): 164-200.
Herald, George W. “Sex is a Nazi Weapon.†The American Mercury 54, no. 222 (June
1942): 656-665.
111
�Koonz, Claudia. “The Second Sex in the Third Reich.†In Mothers in the Fatherland:
women, the family, and Nazi politics, edited by Claudia Koonz, 175-219. New York: St.
Martin’s Press, 1987
Marcuse, Herbert. “State and Individual Under National Socialism.†In Technology, War,
and Fascism: Collected Papers of Herbert Marcuse, Volume 1, edited by Douglas
Kellner. London: Routledge, 1998. 67-92. Taylor & Francis e-Library.
Peters, Olaf. “Genesis, Conception, and Consequences: The ‘Entartete Kunst’ Exhibition
in Munich in 1937.†In Degenerate Art: The Attack on Modern art in Nazi Germany,
1937. Edited by Olaf Peters, 106-125. Munich: Prestel, 2014.
Spotts, Frederic. Hitler and the Power of Aesthetics. New York: Overlook Press, 2003.
Von Lüttichau, Mario-Andreas. “Crazy at Any Price: The Pathologizing of Modernism in
the Run-Up to the ‘Entartete Kunst†Exhibition in Munich in 1937.†In Degenerate Art:
The Attack on Modern art in Nazi Germany, 1937, edited by Olaf Peters, 36-51. Munich:
Prestel, 2014.
112
�Woman as Witness: Embodiment and the Female
Christ-Figure in Dostoevsky’s Crime and Punishment
Katelyn Alcott (English and French Studies)1
Fyodor Dostoevsky's Crime and Punishment develops the female character as a
catalyst for the rebirth of the main character, Raskolnikov. The women appear as martyr
figures, whose stories run parallel with Raskolnikov’s, focusing on self-sacrifice for the
preservation of others, while Raskolnikov’s own story focuses on self-destruction for the
generation of self. The women, specifically Sonia, must endure great suffering in order for
their male counterparts to achieve revelation. Through the embodiment of these two
women, the degradation of their physical bodies, and the abandonment of their own
desires, Raskolnikov finds himself on a path to salvation. Raskolnikov’s interactions with
the ‘feminine’ embodied characteristics, physical illness, degradation, spirituality and
compassion, catalyze his renewal process. Dostoyevsky’s women stand witness to crime
within the novel, offering their bodies in exchange for their male counterpart’s
achievement of Christian salvation.
Dostoevsky creates characters based on the historical use of feminine
embodiment. Colleen Mack-Canty’s essay “Third-Wave Feminism and the Need to
Reweave the Nature/Culture Duality†discusses the importance of reclaiming that which
is deemed ‘natural.’ Mack-Canty defines embodiment as the physical characteristics of a
human being, derived from nature, and historically used in reference to women. As she
explains:
“in the nature/culture dualism [...] Men were identified with disembodied
characteristics such as order, freedom, light, and reason, which were seen as
better than, and in opposition to, women’s allegedly more ‘natural’ and/or
embodied characteristics such as disorder, physical necessity, darkness, and
passion†(Mack-Canty 158).
Crime and Punishment applies feminine embodiment to the image of Christ. Just as
Christ sacrificed himself for the sins of the world by taking a human embodied form, so
the female characters of Dostoevsky sacrifice themselves through their own embodied
degradation.
1
Written under the direction of Dr. Ann Hurley for EN425: Senior Seminar.
113
�Marmeladov introduces the character of Sonia. He describes the debasement of
Sonia, her selling her own body to support the family and maintain his alcoholism. A
defiled pub, full of mocking barmen and the grotesque Marmeladov, supplies the setting
for Marmeladov’s explanation of his ascent into the kingdom of heaven. Benjamin
Saxton explains in his essay how “Marmeladov’s vision, which presents an image of
infinite redemption, arises from his knowledge of infinite debasement†(101).
Marmeladov’s foulness forces the physical deprivation of Sonia, placing her in the role of
Christ figure. Elizabeth Blake’s essay traces the character of Sonia through her speech
acts. She explains how “before Sonya ever utters a word, her father, Raskolnikov, and
Luzhin present competing identities for her ranging from a model of Christian selfsacrifice to a common prostitute†(Blake 255). Though the image of Sonia as prostitute
may initially degrade her, the act achieves a sense of morality through her self-sacrifice.
Sonia’s deep shame surrounding her status, as well as her constant support of her family
explain how “this decision did not result from a moment of moral weakness on her partâ€
(257). She is instead read as Christ figure, the angel in the house, as discussed in Gilbert
and Gubar’s book. They explain how for the self-sacrificing woman “it is the surrender of
herself- of her personal comfort, her personal desires, or both - that is the beautiful angelwoman’s key act, while it is precisely this sacrifice which dooms her both to death and to
heaven†(Gilbert and Gubar 817). Sonia’s self-sacrifice gives her power over
Raskolnikov’s narrative. Although her power is indirect, she manages to manipulate his
eventual redemption. Sonia uses her spiritual and embodied self as a means of achieving
the redemption of Raskolnikov’s soul.
Raskolnikov initially mocks the family’s sacrifice of Sonia; “Hurrah for Sonia!
What a mine they’ve dug there!†(Dostoyevsky 22). His mocking reaction indicates his
alliance with the non-embodied characteristics, as indicated by Mack-Canty. Raskolnikov
looks only to reason, and refuses the needs of his body. His preoccupation with his plans
for murder cause him to neglect his body: “for two days he had scarcely tasted food. He
was so badly dressed that even a man accustomed to shabbiness would have been
ashamed to be seen in the street in such rags†(2). Marmeladov’s repulsive form offers an
example of the degradation of society. Raskolnikov attempts to escape this degradation
through intellectual means. Yet, his intellectualism leads him to madness. Marta
Wilkinson in her essay “Raskolnikov: Rodion Romanovich's struggle with the woman
within†observes how “Raskolnikov attempts to live only for the mind, as for him the
body carries associations with the abject, as is illustrated in the filthy, subservient and
objectified positions of the female characters. He refuses all association or identification
with the body by denying it food, rest and the benefits of decent clothing†(Wilkinson 1).
114
�Raskolnikov’s refusal of the body demonstrates his obsession with achieving hyper
masculinity. He associates the body with femininity, and therefore rejects it. Thus, the
sacrifice of the female body allows for his redemption.
What Raskolnikov does not understand is the Christian philosophy of suffering
as a means to salvation. The body must physically suffer while the mind remains pure, in
order for the soul to be saved. Therefore, the self-sacrificing nature of Sonia leads not
only to her own salvation, but also to the salvation of those around her. Forgiveness,
offered by these women, becomes close to the word of God. Their physical suffering
against their pure minds transforms them to the level of sainthood. Straus explains that “if
Alyana brokers jewelry, Sonya...brokers youth and sexuality†(Straus 59). Sonia
exchanges their bodies in order to provide for their families, and Raskolnikov resents this
physical exchange. Yet, Straus’ essay also highlights Raskolnikov’s own link with the
women throughout the text. Raskolnikov is unable to escape the image of the woman;
“female images (nag, pawnbroker, landlady, sister, mother) are sources of uncontrollable
misery which he longs to transcend through the ‘fascinating audacity’ of a violent, manly
act†(55). And yet, as Straus continues to explain, “this act, associated with the fantasy of
man’s illimitable freedom...receives its charge from the contrasting idea of woman’s
bondage†(56). Raskolnikov cannot escape the physical embodiment of the women of the
text because he requires their bondage to experience his complete masculinity.
Femininity and masculinity “enter into a dialogic relation with each other,†creating a
link between the two (57).
Raskolnikov’s murder of the two women depicts a twisted attempt at male
bravado, selfishly designed to prove his own value as a man. This ‘manly act,’ his murder
of Alyana and Lizaveta, cultivates his disdain for the embodied characteristics within
himself. Raskolnikov’s murder of the two women attempts to physically embody the
disembodied characteristics of Raskolinkov’s theory. Therefore, “the strike to the
pawnbroker's head as an act by which Raskolnikov attempts to release blocked energy
from his own head in an unconscious response to the split between his mind and bodyâ€
(Wilkinson 6). Raskolnikov’s internal conflict between the disembodied and the
embodied, between feminine and masculine, violence and prayer, creates conflict within
him: “the idea of ‘the feminine’ in Crime and Punishment is the symbolic hatchet that
breaks open men’s heads by destroying the distinctions between ‘low’ and ‘high’,
‘docile’ and ‘powerful’, victim and master, coward and hero†(Straus 56). It is therefore
through his own acceptance of the feminine within himself, the acceptance of the
embodied sacrifice of Sonia, which allows Raskolnikov to begin the path to redemption.
115
�Raskolnikov believes the seeming coincidence of his arrival in the Hay Market
at the exact moment this information is relayed, to be an act of fate, relinquishing his
responsibility for his actions. Raskolnikov's chance encounter at a tavern with two men
discussing the same idea for murder reinforces his belief that his decision to murder the
old woman truly represents the intentions of fate, “as though there really had been in it
something preordained, some guiding hint†(55). Raskolnikov’s intellectual justification,
his misinterpretation of and irrational reverence for signs, demonstrate his alienation from
his own embodied spirituality, His spirituality is instead warped by his desire to maintain
what he views as an ideal disembodied mind. Yet, his disembodiment leads expressly to
his descent into madness. Therefore Sonia, and her bodily sacrifice, leads to his own
rebirth as an embodied figure. As Wilkinson explains, “The humiliating and victimizing
experiences of these women mirror his own desperation and helplessness. Dostoevsky's
presentation of women as victims creates a paradigm of social abuses that
illustrate...Raskolnikov's struggle is against the feminine elements within himselfâ€
(Wilkinson 3). Raskolnikov’s own depravity, his intellectual baseness, requires a mirror
of physical baseness in order to establish balance. Sonia offers her physical body as
sacrifice, without sacrificing her sanity.
Sonia’s physical body becomes a religious icon for Raskolnikov. Yet as Saxton
indicates, the image of Sonia, who “appears as a living icon†(106). Religion, thus takes
its earthly form, not merely embodied as a human, but as a woman who is socially
shunned. Sonia, removed from her home because she was forced to turn to prostitution,
offers the entirety of her body for the sake of her family; “Sonya's spiritual purity despite
the squalor of her life drives Raskolnikov to confess his crime, after which she follows
him to Siberia where he is serving his sentence at the conclusion of the novelâ€
(Wilkinson 2). Raskolnikov turns to Sonia as a physical embodiment of all religion,
falling to her feet and declaring: “I did not bow down to you, I bowed down to all the
suffering of humanity†(Dostoyevsky 255). Raskolnikov makes Sonia into a symbol, an
icon for his backwards faith. Sonia becomes a Christ-figure, sacrificing her physical body
symbolizing Raskolnikov’s redemption.
The internal conflict between feminine and masculine, spiritual and intellectual,
redemption and violence, creates within Raskolnikov an imbalance, which is the origin of
his insanity. Raskolnikov, exhausted with his madness, turns to the salvation offered by
Sonia. Dostoyevsky portrays Sonia’s inherent need for self-sacrifice as most masochistic.
Upon hearing that Raskolnikov has murdered two women, one of whom was her friend,
Sonia embraces him declaring “No one in the whole world now so unhappy as you!â€
(323). Sonia is thrilled at the prospect of discovering the most depraved other for whom
116
�she can sacrifice herself. She asks Raskolnikov to explain his intentions, “Only speak,
speak daring and I shall understand, I shall understand in myself†(326). Her attempt to
understand him, her unconditional love for him, creates for him a path to salvation.
Almost immediately she offers to join him in his condemnation; “we will go to suffer
together, and together we will bare our cross†(332). Sonia’s quick disposal of her life
seems at first futile, naive and absurdly self-sacrificing. Yet, Dostoevsky creates in Sonia
the ultimate trap: she cannot escape her social situation and therefore enters into exile
regardless of her relationship with Raskolnikov. As a prostitute, Sonia already faces
social exile and at least in Siberia she will not be alone.
Raskolnikov accepts Sonia’s sacrifice and path to salvation. He agrees to turn
himself over to the police proclaiming, “I’ve come for your cross, Sonia†(410). A
moment of embodied revelation proceeds Raskolnikov’s confession. Raskolnikov,
leaving his intellectual madness, turns to worship the physical earth in all its deprivation;
“he knelt down in the middle of the square, bowed down to the earth, and kissed that
filthy earth with bliss and rapture†(413). Raskolnikov finally comprehends the need for
physical suffering and turns towards this feeling of spiritual purity “clutch[ing] at the
chance of this now unmixed complete sensation... Everything in him softened at once and
tears started into his eyes†(413). Sonia’s example of an embodied salvation has lead
Raskolnikov to his redemption. As Stellemen explains Sonia “represent[s] a way of
“being in the world†as opposed to the “being in the mind†represented at the ideological
level...this mode is easily transferred into the speech of “the heartâ€, as it is firmly rooted
in the immediate individual experience and therefore has no need for dialogizingâ€
(Stellemen 285).
Sonia’s salvation derives from a non-ideological belief in God. Her lack of
ideology maintains her purity, and keeps her from the madness which her physical
situation implies. Raskolnikov’s feeling of rapture as he kisses the earth derives from the
simplicity of Sonia’s faith. The unstructured, non-ideological belief in God offers
Raskolnikov an unlimited salvation from his violent sins. Raskolnikov therefore turns to
the unconditional love of Sonia, ipso facto God, and “his development thus moves from a
self-preserving life, in which he is divided by the rationalizing aspect, to an experiencing,
and ultimately loving life, which has no need for words†(288). Raskolnikov turns from
his disembodied intellectual pursuits, to the non-ideological embodied life Sonia offers.
Their exile to Siberia strips them of all their belongings and ideas and “the only thing of
value that remains, really, is the wordless power of existence itself: life†(289). For
Raskolnikov “life had stepped into the place of theory and something quite different
would work itself out in his mind†(Dostoyevsky 430). He achieves salvation through his
117
�acceptance of the embodied sacrifice of Sonia, and all the women in his life, and leaves
the madness of his intellect. He resolves to dedicate his life to loving Sonia, “he knew
with what infinite love he would now repay all her sufferings†(430). Their strange love,
built on sacrifice and salvation, transcends the physical world through non-ideological
and embodied purity.
Dostoevsky creates female characters whose embodiment becomes a temple of
rebirth and renewal. Yet the rebirth lies not for these women, but for their male
counterparts. The intellectual world, the psychological world of Raskolnikov, which he
believes would offer him revelation and enlightenment instead brings him only to
madness. His salvation, therefore, lies in his own embodiment, offered by the selfsacrifice and degradation of the women of the text, regenerating his spiritual and
embodied relationship with the church. Dostoyevsky’s female characters offer up their
bodies to illuminate Christian theology and the salvation of man.
Works Cited
Blake, Elizabeth. “Sonya, Silent No More: A Response to the Woman Question in
Dostoevsky's ‘Crime and Punishment.’†The Slavic and East European Journal, vol. 50,
no. 2, 2006, pp. 252 - 272.
Dostoyevsky, Fyodor. Crime and Punishment. Translated by Constance Garnett. Dover
Publications, 2001.
Gilbert, Sandra and Susan Gubar. “The Madwoman in the Atticâ€. Literary Theory: An
Anthology. Edited by Julie Rivkin and Michael Ryan. Chichester, West Sussex: John
Wiley & Sons, 2017, pp. 799-811.
Saxton, Benjamin. “From the Incarnational to the Grotesque in ‘Revelation’, ‘Parker's
Back’, and Dostoevsky's Crime and Punishment.†Flannery O'Connor Review, vol. 10,
2012, pp.97-111.
Stelleman, Jenny. “Raskol Nikov and His Womenâ€, Russian Literature, vol. 54, no. 1, To
Honour the Memory of Jan van der Eng, 01 Jan. 2003, pp. 279-296.
Straus, Nina Pelikan. “‘Why Did I Say ‘Women!’?Ë® Raskolnikov Reimagined.â€
Diacritics, vol. 23, no. 1, 1993, pp. 54–65.
Wilkinson, Marta L. “Raskolnikova: Rodion Romanovich's Struggle with the Woman
Within.Ë® Genders, vol. 50, 2009, pp. 1-7.
118
�“Be a Manâ€: How Hegemonic
Masculinity is Harming Humanity
Michael Cancelleri Jr. (Biology)1
Hegemonic masculinity is a social concept that promotes the dominant social position of
men and the subordinate social position of all women and of men who do not meet its
narrow definition. Women are oppressed by hegemonic masculinity, and men are
pressured to fit an idea of a “perfect man†that constricts the expression of all the
identities that men may possess. Hegemonic masculinity encourages men to be
emotionally restricted, controlling, and aggressive. Given that it is formulated as the
opposite of femininity, hegemonic masculinity devalues all women. Because it is based
on a narrow construction of masculinity that assumes heterosexuality, White race, and
wealth, men with identities that vary from the hegemonic norm are also devalued.
Hegemonic masculinity is an institutionalized way of thinking that is instilled in young
children by their parents and reinforced by popular media and peer relationships.
Hegemonic ideals often lead to an internal struggle, especially in men whose identities
are other than White, wealthy, cisgender, and heterosexual. This internal struggle often
produces emotional restrictiveness, feelings of inferiority, and relationship stress.
Hegemonic masculinity is socially constructed, and it can be socially undone.
“Be a Manâ€: How Hegemonic Masculinity is Harming Humanity
Hegemonic masculinity oppresses women and imposes an idea of a “perfect
man†that constricts the expression of all the identities that men possess, therefore
crippling the growth of our society. Men who fit this ideal of a “perfect man†are often
entitled to privilege that others are not. This fluid concept is likely to vary from culture
to culture and its definition has changed over time (Connell & Messerschmidt, 2005;
Kane, 2006). J. M. O’Neil (1981) predicted that “the late 1970s and early 1980s will
probably be known as the times when men recognized that they are also victims of
restrictive gender role socialization and sexism in their lives†(p. 203). He also suggests
that a focus on men’s gender role socialization is essential in order to reduce the
oppressive aspects of sexism for both sexes.
Psychologists have approached this area of research with varying theoretical
perspectives, including essentialist theory, constructionist theory, and life course theory.
1 Written under the direction of Dr. Amy Eshleman for PS241: Psychology of Gender.
119
�Eliot (2010) explores the roles of both genetic factors (nature) and experiences (nurture)
in the development of our gender identity. “Researchers have found very few large-scale
differences between boys and girls in brain structure or function†(p. 22) and since
biological differences are minimal, there must be some other explanation for the
differences between men and women in our own and so many other cultures. “The
crucial, often overlooked fact is that experience itself changes brain structure and
function†(p. 22). Experiences have major influences on gender identity and can offer
insight into societal differences between genders.
Taking a nature perspective, essentialists view sexual orientation through a
biological lens and consider it an innate, deeply-rooted set of attributes that are immune
to any cultural or environmental influence. Constructionists, on the other hand, believe
that gender identity is socially constructed through one’s own life experiences, such as
cultural influences and personal relationships. Hammack (2005) realizes that both the
essentialist perspective and a purely social constructionist perspective that disregards
biology are radical approaches. Psychologists can gain deeper insight when they utilize a
more holistic approach. Although Hammack (2005) focuses on sexual orientation and
identity rather than gender, his promotion of life course theory, which integrates
essentialism and constructionism to “[consider] the biology of sexual desire while
simultaneously acknowledging the socially constructed nature of identity†can be applied
to understanding expression of gender (p. 267). Life course theory takes historical
moment in time and culture into account, which are two major influences on an
individual’s life experience. An individual born in the United States during the roaring
1920s would experience a much different social atmosphere than someone born ten years
later during the Great Depression; these changes could influence gender role
expectations, individuals’ responses to those expectations, sanctions for violating
expectations, and reinforcement for conforming to expectations. Life course theory takes
into account human agency; individuals are capable of making choices within the
opportunities and restrictions of history and social circumstances. “Life course theory
thus acknowledges the dialectical process between internal and external, biology and
culture, person and society†(p. 269) to give us the fullest understanding of hegemonic
masculinity.
Intersectionality plays an integral role in the development of hegemonic
masculinity. “Intersectionality makes plain that gender, race, class, and sexuality
simultaneously affect the perceptions, experiences, and opportunities of everyone living
in a society stratified along these dimensions†(Cole, 2009, p. 179). To understand
hegemonic masculinity, it is critical to explore the distinction between sex and gender,
120
�and how these identities intersect with other major categories of identity. Sex is a
biological category (male, female, or intersex) while gender is psychological identity,
such as identifying as a boy, a man, a girl, a woman, gender queer, or non-binary.
“Distinguishing sex from gender was a very important step in recognizing that biology is
not destiny—that many of the apparent differences between women and men might be
societally imposed rather than natural or inevitable†(Muelenhard & Peterson, 2011, p.
794).
Psychology has been affected by the patriarchal systems of the societies in
which the field has developed (Bem, 1994). Fausto-Sterling, Gowaty, and Zuk (1997)
expose androcentric bias in their criticism of evolutionary psychology, a theory that
suggests the differences in the social roles of men and women are due to biological
adaptations. Prior to the second wave of the feminist movement, men outnumbered
women in empirical investigations of gender. With more women exploring gender and
more men critically evaluating hegemonic masculinity, we are realizing that the
patriarchal goggles of Western societies have blinded us from some scientific discoveries.
“In Female Choices: The Sexual Behavior of Female Primates, Meredith Small found
evidence of sexually active female primates whose behavior is far from coy†(FaustoSterling et al., 1997, p. 407). This goes against a major belief in evolutionary psychology
that males usually engage in more sexual activity in order to increase their chances of
passing on their genes through their offspring. Critical evaluation suggests that
hegemonic masculinity may explain why beliefs like these have been accepted for so
long. Evolutionary psychology celebrated sexually prolific men—sometimes to the point
of justifying sexual aggression. In contrast, critical evaluation of evolutionary
psychology has contributed to psychologists’ understanding of potential bias, as well as
promoting advancements in the study of gender in order to reduce the harmful effects of
hegemonic masculinity.
Hegemonic masculinity is a fluid, time-sensitive concept that varies from culture
to culture. One distinguishing characteristic of hegemonic masculinity is its framing in
opposition to femininity. “When a man fears his feminine side he really fears that others
will see him as stereotypically and negatively feminine (e.g., weak, dependent,
submissive) rather than positively masculine†(O’Neil, 1981, p. 206). This fear of
femininity produces a gender role conflict that produces suppressed emotionality, a drive
for control, and homophobia fueled by stereotypes that homosexuality in men bears a
resemblance to femininity (O’Neil, 1981). Hegemonic masculinity has led to a fear of
femininity, and societal standards affect how an individual develops and expresses gender
identity. “Hegemonic masculinity is embodied at the specific intersections of race, class,
121
�and sexuality†(Hurtado & Sinha, 2008, p. 338), specifically White, rich, and
heterosexual men who demonstrate strength are privileged. The privilege associated with
these identities often excludes men of color, impoverished men and working-class men,
and gay, bisexual, and transgender men, who are identified within American society as
belonging to devalued social groups.
One may suggest we just change how society views gender in order to fix the
damage that has been caused by hegemonic masculinity, but it is difficult to revert years
of institutionalized thinking. Most sex differences are minimal at first, but they become
amplified by our patriarchal society (Eliot, 2010). Once a child’s sex has been
determined, societal expectations determine what behavior, attire, and relationships are
appropriate. Parents are an important influence in gender identity development,
especially for young children (Kane, 2006). “Parents anticipate sex differences from the
first prenatal ultrasound, but then seem amazed when their son goes gaga over trucks or
their daughter will wear nothing but pink†(Eliot, 2010, p. 22). Parents are aware of what
has been socially deemed appropriate for the male sex and understand the consequences
that come with stepping out of these societal bounds. Parents often condition, or nurture,
their children to accept and abide by socially determined gender roles, either to fulfill the
parents’ values or to avoid having their male children face criticism (Kane, 2006).
Parents tend to reinforce gender-appropriate behavior and to reprimand the
opposite, especially when it comes to young boys. Many parents are actually open to the
idea of their daughters exploring different opportunities, emotions, and interests than
those defined by gender stereotypes, however parents strictly limit what their sons are
exposed to (Kane, 2006). Blazina (2001) uses the all-too-familiar scene of a distressed
little boy who is crying out for emotional soothing. The father of the boy will more than
likely tell the boy that he is “acting like a little girl†(the opposite of the way he should be
acting) and that he needs to “man up†(suppress his emotions). This is a common
interaction for a young boy to experience that teaches him that he should oppose
femininity and bury his emotions (Blazina, 2001).
The behaviors children learn during critical developmental years are often the
ones they will carry for life. Korobov (2004) interacted with a group of adolescent boys
and recorded powerful examples of how hegemonic masculinity influences behavior.
The boys were uncomfortable with the concept of homosexuality, but the boys seemed
alarmingly more uncomfortable when asked to imagine that someone they associated
with often (e.g., a best friend) was homosexual. The boys expressed concern that people
on the outside looking in might question their masculine values. The boys felt that any
association with queer sexuality (e.g., having a gay friend) would make them less of a
122
�man. This is an antiquated, harmful way of thinking that leads to judgmental men who
lack self-expression.
This hegemonic behavior more often than not follows a child into adulthood
where the behavior materializes into much more than just a simple opposition to
femininity.
Men learn at an early age to compete for power and to establish their place in the
home, school, or work setting. Power, control, and competition are learned by
modeling after fathers and other men who have also learned that being powerful
is an essential part of being a man (O’Neil, 1981, p. 207).
This masculine adoration is exemplified in Korobov’s (2004) study. At the start of the
discussion, the seven boys involved are discussing their idols and all of them are male.
The boys may be unaware of it, but they are living products of hegemonic masculinity
and therefore idolizing anything other than a man would be a violation. Their idols, often
athletes, have risen to the top of their game by being dominant competitors, and the boys
think the only way to achieve success is by doing the same. This leads to men’s
obsession with success and the primary means to this success is through competing with
other men by using power and control (O’Neil, 1981).
This desire for success by power and control follows into manhood and
negatively impacts both men and women. Men fear failure, hunt for dominance and
power, and are forced to wear a mask to conceal their “weakness†(emotionality). This
hunt pushes women into a submissive role, not only in terms of relationships, but also in
society. Women are held to very different societal standards than men are. When young,
girls are not necessarily expected to play competitive sports. In contrast, it is extremely
rare for a boy not to be encouraged to partake in some type of organized, competitive,
often physically demanding sport (Eliot, 2010).
Traditional patriarchal views extend to expectations of men within familial
relationships. Some of the men interviewed for Dancy’s (2011) study signified that they
viewed themselves as the stronghold of the family. They believed their roles were to
protect and provide for their women and children. Though a kind thought, it devalues a
woman’s contributions to the family and implies that she cannot effectively provide for
herself. This way of thinking places women in the role of the homemaker while men
play a more dominant role.
Many men concur with this way of thinking and see themselves as having to be
proactive and outspoken. They feel they must protect their masculinity at all costs and
this may arise from the expectation that men are to be in control and emotionless. These
two expectations often force men to be overly-assertive, or even aggressive. Hoffman,
123
�Hattie, and Borders (2005) found that “35% of the men interviewed described their
masculinity as having a forceful/aggressive component†(p. 71). A good percentage of
men identify with this aggressive/forceful behavior because aggression is one of the few
emotions men are “allowed†to feel within the hegemonic form of masculinity. A man
who shows affection, cries when he is sad, or seems flustered when he is frustrated is
considered weak. Wong and Roclen (2005) discovered that men who adhere to
traditional societal gender roles are much less likely to openly express their feelings,
especially verbally.
This restrictive emotionality is an unhealthy characteristic of hegemonic
masculinity that harms men. Male restrictive emotionality predicts low self-esteem,
difficulties with relationship intimacy, anxiety, and depression (Wong & Rochlen, 2005).
Emotional limitations set by hegemonic masculinity lead to a grueling internal struggle
within men. This internal struggle resembles a game of tug of war. On each side of the
rope is a social category with which an individual identifies. Society places such an
emphasis on masculinity that most men desire to identify with it, but some men have
identities that “pull†them from the hegemonic ideal. Social class, race, and sexuality are
examples of identities that do not allow some men to experience full hegemonic
privilege.
Working class men of color tend to be a social group that struggles with
accepting all of their identities because they vary on two major dimensions from the ideal
hegemonic man, in that they are not White or rich. African American males interviewed
by Dancy (2011) reportedly struggle with a double identity crisis, or as he describes it
“double consciousness.†These men understand that they are not allowed full hegemonic
privilege because of their race and must act accordingly. They struggle to express two
identities: one is a hegemonic man and the other is an oppressed African American.
These men often analyze themselves in the eyes of others before they make any
conscious decisions, hence the term double consciousness. For these African American
men, “acting White†may be frowned upon in a Black community, but welcomed in
White communities. Therefore men of color often alter their behavior to reflect the
consciousness of those around them; they wish to blend into the social environment in
order to avoid judgment for one of their multiple identities (Dancy, 2011).
Each individual is a summation of all of their identities, shaped by prior
experiences and relationships. Some identities, such as masculinity, are favored by
society while others, such as skin of color, are often a hindrance to an individual. Cole
(2009) summarizes this point when she states, “constructs like race and gender affect the
beliefs about what is possible or desirable and define the contours of individuals’
124
�opportunities and life chances through social and institutional practice†(p. 173). In the
androcentric society of the contemporary United States, a woman’s worth is too often
based on her value to the hegemonic male. White women, although not masculine,
experience some of the privilege affiliated with hegemonic masculinity due to their
relationship with White men, while women of color receive double discrimination for
their race and sex (Cole, 2009). Even a woman’s place in society is dependent on her
relationship to men.
Although it may seem as though being at such a disadvantage may make
working class individuals of color resent hegemonic masculinity, these individuals have
offered some of the most constructive feedback of hegemonic masculinity. Men in
Dancy’s (2011) study constructed their own definitions of masculinity. They believe that
a man is someone who demonstrates leadership values, who is reliable, and who is true to
himself. This resembles hegemonic masculinity in that the dominant men desire control,
but it differs in the fact that these men believe true self-expression is integral to being a
man (Dancy, 2011). Men in Hurtado and Sinha’s (2008) study were worried that the
current cultural consensus on the definition of masculinity emphasized many negative
characteristics with which men did not want to be affiliated with. Some of these
characteristics included selfishness, emotionlessness, and closed mindedness. Rather
than accept these characteristics associated with hegemonic masculinity, the men decided
to take the admirable characteristics of manhood—such as selflessness, expressiveness,
and supportiveness—and personify those. It is empowering to see individuals who are
negatively impacted by hegemonic masculinity personally redefining what masculinity
means to them. A man to them is “a person who from now on instead of thinking about
himself is someone who starts thinking about repercussions about his actions for his
family and for [his] community†(Andres Elenes, 2008, as quoted by Hurtado & Sinha,
2008, p. 345).
The aspects of hegemonic masculinity that participants in Hurtado and Sinha’s
(2008) study rejected were male bonding over the objectification of women and physical
and sexual domination of women. The two ideas, major components of hegemonic
masculinity, devalue and dehumanize women. In a patriarchal society, women are
mainly worthwhile for sexual pleasure, childbearing, and home making. In fact, many
men look at sexual interaction with women as a game rather than an intimate connection.
The goal of “the game†is to assert male dominance over women and have sex with as
many women as possible (O’Neil, 1981). This way of thinking leaves no room for an
emotional connection.
125
�Fortunately, we have made some progress as a society in terms of seeing the true
worth of femininity. A woman should not be considered inferior to a man because of her
sex or gender, and the men in Hurtado and Sinha’s (2008) study recognize this. Women
have historically been at a severe disadvantage. Women had to fight for their right to
vote, a privilege granted to White, property-owning men, because women were
considered incapable of making rational decisions. Thankfully, women have been
progressively gaining equal rights, but true equality will never be granted until
hegemonic masculinity is a concept of the past.
We may not be able to fix the damage already caused by hegemonic
masculinity, but we do have the power to stop it from hindering any more of our growth
as a society. It is important to fix the issues people of color encounter, especially on
college campuses. People of color often feel that the White community is trying to hold
them back and oppress them, and this is a valid feeling considering the years of
oppression people of color have experienced, especially in the United States. Dancy
(2011) suggests the way to fix this mistrust is through “higher education practices†(p.
493). Dancy’s (2011) participants agreed that seeing diversity among institutional
leadership reinforces their self-expectations and shapes a sense of value in the institutions
they attend. Culturally-sensitive hiring is an important step in helping people of color
feel welcome and reach their potential within institutions. In order to get the White
community to accept diverse racial identities, colleges and communities should offer
cultural workshops to educate people on diversity within the community (Dancy, 2011).
Similarly, women should have equal chances for employment and more men
should make the effort to learn about what it is like to be a woman. There have been
many great strides, especially in mass media, taken to help prevent further hindrance by
hegemonic masculinity. “In the past few years, some [advertising] brands have finally
started to leverage sports and playing sporting events to promote healthier depictions of
masculinity†(Fischl, 2016). This is unusual from previous sporting advertisements that
typically capitalized on aspects of hegemonic masculinity to sell their products. In fact, a
commercial aired during Super Bowl 50 in 2016 that took Jordy Nelson (a male role
model) and put him in the position of a caregiver. The commercial portrays Nelson
taking his son to school, cooking breakfast for his son, and showing his son affection.
Nelson “wants [his kids] to understand that being a man is about being comfortable in
who you are, not someone that’s just fitting in because it’s the cool thing to do†(Fischl,
2016). This demonstrates a modern-day man redefining what it means to be a man.
Although hegemonic masculinity has crippled societal growth in the United
States over the years, we do not have to continue down this path. Now that we
126
�understand that hegemonic masculinity prevents men from full self-expression and
devalues women, we should all be able to reflect and evaluate what we are doing to
promote the abolishment of hegemonic masculinity, first at an individual level, then at a
societal level. If we can all band together to promote acceptance and a comfortable
environment for individuals to express all of their intersecting identities, the world would
benefit from diverse expressions of masculinity and femininity. “Patriarchy hurts
everyone and therefore manhood is a false ideology that should be questioned and
eventually obliterated and replaced with more equitable arrangements between peopleâ€
(Hurtado & Sinha, 2008, p. 347). If we wish to continue to grow and evolve as a society,
we must rid this world of hegemonic masculinity.
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to institutionalized androcentrism. In J. C. Chrisler, C. Golden, & P. D. Rozee (Eds.),
Lectures on the psychology of women, 3rd ed. (pp. 2–15). New York, NY: McGraw-Hill.
Cole, E. R. (2009). Intersectionality and research in psychology. American Psychologist,
64, 170–180.
Connell, R. W., & Messerschmidt, J. W. (2005). Hegemonic masculinity: Rethinking the
concept. Gender & Society, 19, 829–859. doi: 10.1177/0891243205278639
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perspectives on African American males. Gender & Education, 23, 477–495.
doi:10.1080/09540253.2010.508454
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�Hammack, P. L. (2005). An integrative paradigm. Human Development, 48, 267–290.
Hoffman, R. M., Hattie, J. A., & Borders, L. D. (2005). Personal definitions of
masculinity and femininity as an aspect of gender self-concept. Journal of Humanistic
Counseling, Education and Development, 44, 66–78.
Hurtado, A., & Sinha, M. (2008). More than men: Latino feminist masculinities and
intersectionality. Sex Roles, 59, 337–349.
Kane, E. W. (2006). “No way my boys are going to be like that!â€: Parents’ responses to
children’s gender nonconformity. Gender & Society, 20, 149–176.
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and sexism in adolescent male talk. Psychology of Men & Masculinity, 5, 178–189.
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femininity in men’s lives. Personnel & Guidance Journal, 60, 203–210.
Wong, Y. J., & Rochlen, A. B. (2005). Demystifying men’s emotional behavior: New
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128
�Los aspectos sociales y fÃsicos del bilingüismo
Tori Ross (Spanish)1
El bilingüismo es más que solo la capacidad de hablar dos idiomas. Son las
conexiones y funciones formadas en el cerebro. Es la habilidad del cerebro para distinguir
sonidos y palabras de diferentes idiomas y categorizar esas palabras apropiadamente. Es
la capacidad de cambiar de código entre dos idiomas cuando se comunica con otros. Es el
entorno en el que nacemos, las amistades que hacemos, la familia que cuidamos, el
pasado y el futuro de nuestra familia.
Antes de explicar cómo la gente aprende múltiples idiomas, es importante
discutir cómo el cerebro desarrolla cualquier lenguaje primero. Las principales áreas del
cerebro responsables de desarrollar y comprender el lenguaje son el área de Broca y el
área de Wernike. Estas áreas del cerebro son crÃticas para el lenguaje y juegan dos
papeles muy importantes.
El área de Broca es responsable de la producción del habla. Se encuentra en la
corteza frontal derecha detrás del ojo izquierdo y fue descubierto en 1861 por el cirujano
francés Paul Broca. Paul Broca descubrió este área al observar los cerebros de pacientes
que habÃan perdido la capacidad de hablar. Vio que esta área especÃfica estaba dañada y
se dio cuenta de que esta área del cerebro era responsable del habla (Pierre Paul Broca,
2017). Esta área del cerebro ahora se llama el área de Broca. Un estudio realizado en la
Johns Hopkins Medicine concluyó que el área de Broca “is developing a plan for
articulation, and then monitoring what is said to correct errors and make adjustments in
the flow of speech†(John Hopkins Medicine, 2015). Para esta prueba, los doctores
trabajaron con varios pacientes con epilepsia que fueron sometidos a la cartografÃa
cerebral para encontrar el origen de sus convulsiones. Durante este procedimiento, los
médicos ponen electrodos en la corteza frontal del paciente en diferentes lugares,
incluyendo el área de Broca. Con el paciente completamente despierto y sensible, los
médicos le pidieron al paciente que leyera o escuchara palabras de una sÃlaba y las
repitiera. Algunas de estas palabras eran reales, por ejemplo ‘book’, y algunas palabras
no eran reales, por ejemplo ‘yode’.
El estudio concluyó que el área de Broca era más activa “just before the words
were spoken, but its activity declined while the patients were speaking… [and the]
Written under the direction of Dr. Margarita Sanchez in partial fulfillment of the Senior
Program requirements.
1
129
�Broca’s area was most active, and stayed active longest, when the patients were asked to
pronounce nonsense words†(Johns Hopkins Medicine, 2015). Esto demuestra que el
área de Broca tiene que trabajar más duro para procesar sonidos y palabras desconocidas.
Por lo tanto, el área de Broca se apaga mientras la persona habla, pero puede permanecer
algo activa durante la conversación para planear palabras y oraciones futuras. El doctor
también concluyó que el área de Broca no sólo es responsable del habla. Conecta la
corteza temporal que es responsable de organizar la información sensorial y la corteza
motora que es responsable de los movimientos de la boca. Esto hace que el área de Broca
sea un área crÃtica para conectar la información del lenguaje a través de las diferentes
regiones del cerebro (Johns Hopkins Medicine, 2015).
La otra área del cerebro que es responsable de entender el lenguaje es el área de
Wernike. El área de Wernike se encuentra en el lóbulo Temporal en el lado
izquierdo del cerebro y fue descubierto diez años después del descubrimiento de la zona
de Broca por Carl Wernike. Carl Wernike descubrió este área realizando un estudio de
caso sobre un paciente que habÃa sufrido un accidente cerebrovascular. Este hombre no
tenÃa problemas para oÃr ni hablar, pero no podÃa entender nada de lo que se le decÃa o le
escribÃa. Cuando el paciente murió y Wernike pudo estudiar el cerebro, descubrió que
habÃa una lesión en el lóbulo temporal izquierdo. Concluyó que esta región del cerebro
era responsable de la comprensión del habla (Alic, 2017).
El área de Broca y el área de Wernike trabajan juntas para comprender y hablar
un idioma. Cuando queremos decir una palabra escrita, el cerebro pasa por un proceso
largo. Primero, vemos la palabra con nuestros ojos y esa imagen entra en la corteza visual
primaria, la parte del cerebro responsable de la vista. Entonces esa información es
transferida al área de Wernike donde la palabra es comprendida. Después de que la zona
de Wernike comprende la palabra, se envÃa a la zona de Broca donde la palabra se
pronuncia y está lista para ser enunciada. Finalmente después de que la información se
transfiere a la corteza motora primaria, la parte del cerebro es responsable del
movimiento para hacer que la boca se mueva y diga la palabra escrita. Si la palabra se
dice en voz alta, el proceso es muy similar. En lugar de pasar por la corteza visual
primaria sin embargo, la palabra pasa a través de la corteza auditiva primaria, que es
responsable de la audición. Una vez que se hace, la información pasa a través de la zona
de Wernike, a la zona de Broca, y finalmente a la Cortex motor primario de nuevo (Oh
Say Can You Say).
Aprender un idioma es una de las primeras cosas que aprendemos a hacer como
seres humanos. Mientras que algunas personas aprenden un idioma como un niño, otras
personas tienen la oportunidad de aprender varios idiomas desde el nacimiento dando
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�lugar al multilingüismo. La capacidad de aprender más de un idioma es el resultado de
atributos fÃsicos dentro del cuerpo, asà como factores externos y el entorno que nos rodea.
Aprender un idioma como un niño es muy diferente a aprender un idioma como
adulto. El cerebro se desarrolla de manera diferente durante la infancia y durante la edad
adulta. Durante la infancia, los niños pueden aprender cualquier idioma y pueden
aprender y responder fácilmente a palabras y sonidos en cualquier idioma.
Los cientÃficos han llegado a la conclusión de que hay un perÃodo crÃtico en el
que los niños pueden aprender un idioma más fácilmente. Este perÃodo de tiempo crÃtico
varÃa según el sujeto. Por ejemplo, el perÃodo crÃtico para el aprendizaje fonético ocurre
antes del final del primer año. La sintaxis de aprendizaje ocurre entre los 18 y 36 meses
de edad, y la adquisición de vocabulario comienza a los 18 meses de edad y continúa
siendo activa durante toda la vida (Kuhl, 2010).
Sin embargo, hay una pregunta importante que hacer: ¿si un cerebro adulto está
más desarrollado cognitivamente que el cerebro de un bebé, por qué los bebés aprenden
más fácilmente varios idiomas? La respuesta está en la pregunta. Dado que el cerebro de
un bebé tiene capacidades cognitivas limitadas, les permite aprender y dominar los
idiomas que les hablan haciendo patrones simples. Dado
que el cerebro aún no ha crecido, también puede hacer y distinguir patrones para
múltiples idiomas, que se integran en los circuitos del cerebro. Sin embargo, esta
capacidad comienza a disminuir entre los 6 y los 12 meses de edad porque disminuye la
capacidad del cerebro para distinguir idiomas extranjeros. Esto se debe a la mayor
comprensión y exposición a la lengua materna. Por eso es más difÃcil aprender un idioma
como adulto. Los nuevos patrones que están tratando de aprender no se ajustan a los
patrones de lenguaje original establecidos como niños (Kuhl, 2010).
Establecer estos patrones durante la infancia es extremadamente importante
porque hay aproximadamente 200 vocales y 600 consonantes utilizadas en todo el
mundo. Todas estas vocales y consonantes se llaman fonemas. Estos fonemas cambian el
significado de una palabra basada en el sonido, por ejemplo: baño y paño. Por lo tanto,
aprender a distinguir estos diferentes sonidos fonéticos es importante para comunicarse
correctamente. Esto es importante para los niños bilingües porque están siendo expuestos
a muchos fonemas que no pertenecen a un idioma. Entonces, los niños necesitan una
manera de agrupar cada idioma en consecuencia, por lo que el cerebro hace estos
patrones. En conclusión, la tarea del niño en el primer año de vida consiste en descubrir
la composición de las 40 categorÃas de fonemas en su idioma antes de tratar de adquirir
palabras en su lengua materna (Kuhl, 2010).
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�Desde un aspecto fÃsico, los niños son capaces de aprender otro idioma mucho
más fácilmente que los adultos que quieren aprender otro idioma. Este desarrollo del
lenguaje comienza cuando el niño está en el útero. A pesar de que el niño no ha nacido
todavÃa puede escuchar las palabras de su madre y recoger los sonidos de los alrededores
de la madre también. Una vez que el niño nace, hay una edad crÃtica del perÃodo de
adquisición que termina en la adolescencia, donde se pueden aprender múltiples lenguas
debido a la neuroplasticidad cerebral durante ese perÃodo de tiempo. Los bebés que están
expuestos a múltiples lenguas al nacer son capaces de demostrar "una capacidad
universal para percibir los fonemas de todas las lenguas habladas" (Berken, Gracco,
Klein, 221).
Por lo tanto, todos los niños tienen el potencial de aprender cualquier idioma, y
si se les da la oportunidad, tantos idiomas como puedan. Una vez que un bebé alcanza los
6 meses de edad, esta capacidad comienza a disminuir, y se hace más difÃcil percibir estos
sonidos diferentes. Este es un punto crÃtico en el desarrollo del lenguaje porque un idioma
nativo está empezando a establecerse en el niño aunque no puedan hablar todavÃa.
Los sonidos de vocales y consonantes, asociados al lenguaje al que el niño está
siendo constantemente expuesto, ahora están comenzando a ser grabados en las Ãreas de
Broca y Wernike del niño. A los 9-10 meses de edad, las primeras tapas de vocalización
comienzan a aparecer en forma de balbuceo. Este balbuceo refleja los sonidos y el acento
del idioma nativo al que están expuestos. Los niños que aprenden una lengua y se
vuelven multilingües a una edad temprana pueden dividirse en dos categorÃas diferentes:
bilingües simultáneos y bilingües secuenciales (Berken, Gracco, Klein, 221).
Los bilingües simultáneos son niños que aprenden dos idiomas al mismo tiempo,
y los bilingües secuenciales son niños que aprenden primero un idioma nativo y luego un
segundo idioma poco después. Aunque ambos idiomas se aprenden a una edad muy
joven, a menudo hay muchas diferencias con la competencia y cómo habla el niño. Como
se mencionó anteriormente, un niño después de los 6 meses de edad comienza a
reconocer y entender los sonidos en el idioma nativo. Un niño que aprende múltiples
idiomas a una edad muy temprana puede diferenciar los sonidos y fonemas de cada
lengua antes de que puedan hablar los idiomas (Berken, Gracco, Klein, 222). Esta
capacidad de aprender y diferenciar los sonidos según el lenguaje se debe al hecho de que
el cerebro está en su etapa de desarrollo óptimo. Nuevas sinapsis, mielinización,
conexiones neuronales y circuitos neuronales están constantemente creándose y
moldeándose dentro del cerebro. La actividad cerebral que ocurre en los primeros años de
vida crea un alto grado de neuroplasticidad. Sin embargo, al analizar los cerebros de los
bilingües simultáneos, se descubrió que utilizan "las mismas estructuras neuronales
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�implicadas en la adquisición de una primera lengua" (Berken, Gracco, Klein, 223). Sus
áreas de lenguaje en el cerebro son las mismas para ambos idiomas. Los bilingües
secuenciales, cuando se analizaron, mostraron mayor actividad en áreas del habla y
motor, y en sustratos más neuronales en comparación con un bilingüe simultáneo
(Berken, Gracco, Klein, 223).
Ambos conjuntos de bilingües usaron las mismas estructuras cerebrales para el
habla, pero hay estas ligeras diferencias en cómo estas regiones del cerebro están
conectadas. Esto demuestra que a pesar de que ambos conjuntos de bilingües aprendieron
un idioma a una edad temprana, todavÃa hay pequeñas diferencias en cómo el cerebro se
desarrolla debido a la diferencia de edad y el entorno en el que aprendieron el idioma.
Esto es evidente en un área especÃficamente: el acento. Los bilingües simultáneos fueron
capaces de hablar y escribir igualmente competentes en ambos idiomas, mostrando un
dominio igual en ambos idiomas. Estos bilingües simultáneos tenÃan un acento nativo en
ambos idiomas, mientras que los bilingües secuenciales eran tan proficientes en hablar y
escribir como bilingües simultáneos, sin embargo no tenÃan un acento nativo en el
segundo idioma aprendido (Berken, Gracco, Klein, 223).
Un niño puede aprender una gran cantidad de vocabulario antes de llegar a la
adolescencia. El vocabulario puede verse influido en gran medida por el entorno del niño
y su escolarización. Esto puede afectar su capacidad para comunicarse efectivamente en
múltiples idiomas.
El vocabulario es muy importante para comunicarse. Hay tres tipos diferentes de
vocabulario. Estas palabras de vocabulario están organizadas en tres niveles diferentes.
Las palabras de nivel 1 se conocen comúnmente como palabras reconocibles a primera
vista. Estas son palabras que un niño puede leer de una página e inmediatamente sabe lo
que dice. Estas palabras incluyen 'libro, niña, niño, triste, perro, gato' entre otras
(Sprenger, 2013).
Las palabras de Nivel 2 son palabras que los niños encuentran todos los dÃas.
Estas palabras tienen múltiples significados, se usan en múltiples áreas temáticas, son
palabras descriptivas, son necesarias para la comprensión de lectura y ayudan a construir
un lenguaje maduro. Algunos ejemplos de palabras de Nivel 2 incluyen "benevolente,
coincidencia, obra maestra" entre otras. Las palabras de Nivel 2 causan muchos
problemas para los estudiantes cuando leen porque son palabras muy maduras (Sprenger,
2013).
La categorÃa final de palabras es palabras de Nivel 3. Estas palabras son palabras
especÃficas del contenido y se usan cuando se estudia un tema. Estas palabras son
fundamentales para construir conocimiento y comprensión dentro de un tema académico.
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�Algunos ejemplos de palabras de Nivel 3 son 'hipótesis, precipitación, mediana,
cuadrática' entre otras (Sprenger, 2013).
El medio ambiente de un niño afecta enormemente el desarrollo del vocabulario,
especialmente si el niño creció hablando más de un idioma. Ha habido un largo debate
sobre si los bilingües tienen o no un vocabulario más extenso que un monolingüe. Para
encontrar una respuesta a esta pregunta, se realizó un estudio con niños de habla inglesa y
niños bilingües que hablan inglés y español. Estos niños recibieron el Examen de
vocabulario expresivo de una palabra (EOWPVT). Esta es una prueba donde los sujetos
de prueba tuvieron que identificar una imagen usando solo una palabra. Los niños que
eran bilingües recibieron la prueba en inglés y español, los niños que eran monolingües
solo recibieron la prueba en inglés. Los resultados de la prueba fueron muy
sorprendentes. Los niños que eran hablantes de inglés monolingües obtuvieron el puntaje
más alto. Los niños que eran bilingües, pero el inglés era su idioma dominante,
obtuvieron el segundo puntaje. Los niños que eran igualmente competentes en inglés y
español obtuvieron el tercer puntaje más alto, y finalmente los bilingües que identificaron
el español como su idioma dominante obtuvieron el cuarto puntaje más alto (Allman,
2005).
El lenguaje no es solo el resultado del desarrollo del cerebro y las caracterÃsticas
fÃsicas, también es el resultado de nuestro entorno. Para entender por qué aprender otro
idioma es importante desde un punto de vista global, tenemos que volver a la prehistoria,
cuando los humanos todavÃa estaban migrando y estableciéndose en todo el mundo.
Durante la prehistoria, muchos grupos diferentes de personas migraron en todo
el mundo. Cuando estos grupos de personas migraban, generalmente se dividÃan porque
sus grupos se volvÃan demasiado grandes o se separaban unos de otros. Cuando estos
grupos se separaron, por lo general se aislaron de otros seres humanos durante muchos
años. Una vez que estos grupos se aislaron, eventualmente comenzarÃan a desarrollar sus
propios idiomas y dialectos. Estos nuevos lenguajes se desarrollaron en el transcurso de
miles de años, razón por la cual cada idioma es diferente e incomprensible para personas
ajenas a esa sociedad. (Hagen, 52).
Cuando estas diferencias idiomáticas evolucionan debido a que están aisladas
del mundo, las diferencias culturales también evolucionan. Estas diferencias culturales y
de idioma pueden causar hostilidades y malentendidos. Es por eso que es importante que
las personas de ese momento aprendan un segundo idioma. Al aprender un segundo
idioma, estos grupos de personas podrÃan comenzar a comerciar con otros grupos de
personas y mantener buenas relaciones con otros grupos. (Hagen, 52).
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�Si un grupo entraba en contacto con otro grupo y no hablaban un idioma común,
ambos grupos probablemente recurrÃan a la violencia. Esto se debe a que un grupo de
personas protegÃa a su propia gente, sin embargo, no harÃan lo mismo con un extraño. Es
más fácil para alguien cometer un acto de violencia contra alguien con quien no se puede
comunicar que alguien en su grupo porque es más fácil para ellos deshumanizarse
mutuamente. Hay una falta de empatÃa y conexión entre los grupos. Si un grupo de
personas no puede comunicar sus deseos y necesidades entre sÃ, hay margen para
malentendidos. Este malentendido puede llevar a que alguien se ofenda
involuntariamente, lo que conducirá a la violencia. (Hagen, 55-57).
El desarrollo del lenguaje bilingüe ha cambiado mucho desde tiempos
prehistóricos, especialmente para niños. Los niños bilingües están muy influenciados por
su entorno. Este entorno no solo ayuda a dar forma a los idiomas que estos niños
aprenden, sino que también ayuda a dar forma a su identidad. Estos aspectos ambientales
tienen un impacto en los niños bilingües, asà como en sus familias.
Se realizó un estudio sobre los inmigrantes y sus descendientes al mudarse a
otro paÃs y conservar su identidad lingüÃstica y cultural. Este estudio mostró que
habÃa un deseo de que estos inmigrantes se integraran y se asimilaran en su nuevo paÃs.
Al tratar de asimilarse en su nuevo paÃs, los inmigrantes intentan aprender el idioma
nativo de ese paÃs. Durante este proceso hay una mezcla constante del idioma del paÃs y
el idioma nativo de los inmigrantes que se llama 'Parler Bilingue'. Para los hablantes de
español e inglés esto se llama 'Spanglish'. Para los inmigrantes de primera generación,
esto es importante porque quieren conservar su identidad cultural, y aún asà ser capaces
de integrarse en su nueva sociedad. Una vez que se logra la fluidez en ambos idiomas, el
idioma nativo se usa en el hogar y durante otras interacciones familiares, mientras que el
nuevo idioma se usa en el trabajo y en las interacciones sociales. (Avenas, 1998)
Para los inmigrantes de segunda generación, sin embargo, el bilingüismo se veÃa
de manera más negativa porque temen ser discriminados. Están atrapados entre el paÃs de
origen de sus padres y las tradiciones, y entre su nuevo paÃs y sus tradiciones. No quieren
ser vistos como ‘extranjeros’. Como resultado, usan el idioma del nuevo paÃs y rechazan
el idioma de su paÃs de origen. Sin embargo, muchos inmigrantes de segunda generación
todavÃa practican su lengua materna para que puedan integrarse en su grupo étnico solo
cuando sea necesario. (Avenas, 1998).
Mi familia ha experimentado esto con mi abuelo. Mi abuelo emigró a América
desde Puerto Rico con su padre cuando era muy joven. Cuando crecÃa en Estados Unidos,
mi abuelo usaba el español solo con su padre en casa. Intentó mucho aprender inglés
hasta el punto en que se deshizo de su acento español. Para encajar mejor con la cultura
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�estadounidense, procedió a cambiar su apellido de 'Torres' a 'Ross'. Luego logró
convencer a sus hermanos y padre de cambiar sus apellidos a 'Ross' también. Luego mi
abuelo se deshizo de cualquier evidencia de que era puertorriqueño, y escondió cualquier
documento que tuviera su apellido. Esto incluÃa boletas de calificaciones, cartas,
documentos personales y otros documentos personales que pertenecÃan a su padre y
hermanos. Esto fue descubierto por mi padre hace unos años cuando encontró un boletÃn
de calificaciones de la escuela primaria que pertenecÃa a su tÃo en el ático de mi abuelo.
El concepto de 'Spanglish' es importante para cada generación de inmigrantes
porque muestra la fusión de dos culturas. Lo que es interesante de descubrir es que hay
dos tipos diferentes de 'Parler Bilingue' o 'Spanglish'. Está el spanglish 'inglés-español' y
el spanglish 'español-inglés'. Ambos son la mezcla del idioma inglés y el español, pero
hay algunas diferencias. Con el spanglish 'inglés-español', los inmigrantes principalmente
hablan inglés e integran el español como consecuencia. Con el spanglish 'español-inglés',
los inmigrantes principalmente hablan español e integran el inglés como consecuencia.
Cualquiera que sea la forma de Spanglish que usen depende de su competencia
lingüÃstica, asà como de su identidad cultural (Avenas, 1998).
El spanglish es importante hoy porque según la Oficina del Censo de EE. UU.,
la población hispana total en los Estados Unidos supera los 37,4 millones y sigue
creciendo. Estiman que para 2020, la comunidad hispana será el grupo minoritario más
grande en los Estados Unidos. Con este gran aumento de la población, la sociedad y la
cultura estadounidense cambiarán enormemente, y esto incluye el uso del spanglish. Esto
se debe a que los inmigrantes de habla hispana y las personas de origen hispano, que
hablan español e inglés, y que ya viven en Estados Unidos interactúan más entre sÃ. Las
interacciones que ocurren finalmente conducen a la mezcla del idioma español e inglés
(Hernández, 21-22).
Muchas generaciones de habla hispana e inglesa reaccionan al hablar spanglish
de la misma manera en que reaccionan por ser bilingües. Como se mencionó
anteriormente, algunos inmigrantes no quieren hablar Spanglish porque quieren
asimilarse a Estados Unidos y están avergonzados de su origen. Por lo tanto, estos
inmigrantes solo hablarán inglés, como lo hizo mi abuelo, o usarán Spanglish con
palabras especÃficas en inglés porque les hace sentirse con poder y listos. Algunos
inmigrantes usan Spanglish porque viven en una comunidad donde el Spanglish es el
dialecto principal, y hablar Spanglish crea un sentido de pertenencia. Algunos
inmigrantes se niegan a hablar Spanglish porque lo ven como una corrupción del idioma
inglés y español, o no se sienten cómodos de alternar entre idiomas porque nunca antes
han estado expuestos a un entorno bilingüe (Hernandez, 22-23).
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�El idioma español, asà como el spanglish, es muy diferente entre cada
comunidad hispana. Ciertas palabras pueden significar una cosa en cierta comunidad,
pero pueden significar algo completamente diferente en otra comunidad. Es por eso que
en ciertos paÃses de habla hispana puedes decir "coger al autobus", pero en México nunca
puedes decir "coger al autobus" porque tiene una connotación sexual.
A menudo, estas diferencias en el significado de la palabra pueden causar
malentendidos. Otro ejemplo de esto ocurrió cuando una compañÃa de insecticidas
decidió anunciar su producto a la comunidad de habla hispana. Contrataron a alguien que
no tenÃa experiencia y carecÃa de conocimiento sobre estas diferencias de idioma. Por lo
tanto, la compañÃa en su anuncio declaró que eran “infallible at killing bichosâ€
(Hernandez, 24). Cuando este anuncio se hizo público, muchos hispanohablantes se
rieron porque, aunque bicho significa "insecto" en la comunidad mexicana, se refiere a
los genitales masculinos en la comunidad puertorriqueña. (Hernandez, 24).
Debido a estas ligeras diferencias de idioma, hay múltiples comunidades
hispanas en todo Estados Unidos que son únicas a su manera. Por ejemplo, en Miami hay
una mayor población de cubanos, en Nueva York hay una gran comunidad
puertorriqueña, en el suroeste, especialmente Texas, hay una gran comunidad mexicana.
Cada comunidad tiene su propia forma de Spanglish. En Miami, su forma de Spanglish se
llama Cubonics, en Nueva York, su forma de Spanglish se llama Nuyorrican, y en Texas,
su forma de Spanglish se llama Tex-Mex. El Spanglish por lo tanto es el término general
que cubre todos estos dialectos español-inglés (Hernandez, 24).
A pesar de estas diferentes formas de Spanglish, la mayorÃa de estos bilingües
solo usan Spanglish en conversaciones informales. La mayorÃa de sus
conversaciones en Spanglish solo ocurrirán con sus familias y amigos muy cercanos.
Estos bilingües hacen esto para expresarse más fácilmente, especialmente cuando no
conocen una traducción adecuada para una palabra. Ser bilingüe abre un mayor rango de
expresión porque tienen la capacidad de elegir en qué idioma se expresan. Sin embargo,
casi todos los bilingües entrevistados dijeron que no les gustaba usar Spanglish porque la
mezcla de ambos idiomas no es atractiva y no es estéticamente agradable hablar
(Hernandez, 25-26).
Sin embargo, hay excepciones a este sentimiento hacia el spanglish. Muchos
escritores hispanos famosos como Junot DÃaz usan Spanglish en sus galardonados libros
y escritos todo el tiempo. Cuando Junot DÃaz fue entrevistado acerca de su novela
ganadora del Premio Pulitzer, The Brief Wondrous Life of Oscar Wao, se le preguntó si
siempre usa el spanglish en sus escritos y por qué? Él dijo:
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�“Since I can remember, English was present in my Spanish. And clearly Spanish
was always present in my English… the technique, the mixture, has always been within
me. An accident of immigrant history, but one that I've pursued relentlessly and
rigorously.†(O’Rourke, 2008)
DÃaz usa exactamente la misma razón por la que la gente no quiere usar
Spanglish, para justificar por qué usa Spanglish en sus escritos. También usa Spanglish
como un medio para conectarse con las comunidades de habla inglesa e hispanohablante.
Al hacer esto, los lectores conocen el idioma y la comunidad que conocen, asà como el
idioma y la comunidad que no conocen. (Shanesy, 2010).
Usar Spanglish es ventajoso porque ciertas cosas se pueden explicar más
fácilmente en inglés que en español, y viceversa. Esto permite que los hablantes de
español e inglés se comuniquen de manera más eficiente y efectiva. Esta 'ley del esfuerzo
más fácil' permite que los bilingües se comuniquen sin usar mucha energÃa, mientras que
el 'principio de eficiencia' permite a los bilingües comunicarse con más energÃa cuando
sea necesario y con menos energÃa cuando no sea necesario. (Hernandez, 26-27).
Esta adaptación del bilingüismo continúa evolucionando incluso hoy en dÃa.
Para mis horas de tesis para Seniors, yo era la supervisora del programa de ayuda para
tareas después de la escuela en el Centro de Inmigración de Make the Road Nueva York.
Ayudaba a los estudiantes de primaria a completar sus tareas, asà como a mejorar sus
habilidades de lectura y escritura en inglés. En el Centro de Inmigración de Make The
Road, realicé una serie de pequeñas entrevistas con los niños a los que enseño allÃ. Todos
estos niños están en la escuela primaria, a pesar de que sus edades y grados son
diferentes. Sin embargo, casi todas sus respuestas fueron muy similares. Todos estos
niños dijeron que eran bilingües y hablaban inglés y español. Todos estos niños dijeron
que predominantemente hablaban español con solo un poco de inglés en casa. Estos niños
dijeron que solo usaban Spanglish a veces con sus amigos porque sus padres no hablan
mucho inglés. Solo un niño dijo que hablaba Spanglish en casa con sus padres, y otro
niño dijo que usa Spanglish con su madre porque, como se mencionó anteriormente en
otros casos, ella no conoce una traducción adecuada de una palabra.
A pesar de esto, todos los niños dijeron que ser bilingüe los hace felices. Todas
sus razones fueron muy similares en el hecho de que ayudan a enseñar inglés a un ser
querido. Un niño dijo que les gustaba poder hablar dos idiomas porque cuando su
hermana llega a Nueva York desde México, pueden ayudarle a aprender inglés. Muchos
niños dijeron que estaban felices porque les enseñan inglés a sus padres y sienten que
están ayudando a su familia. El bilingüismo para estos niños es algo positivo, y en mi
138
�opinión, es una forma de contribución de su parte porque están contribuyendo a su hogar
y ayudan a sus familias.
Spanglish es el resultado de 'code-switching’ o el cambio de código. La
definición oficial del diccionario para el cambio de código es "el cambio del sistema
lingüÃstico de un idioma o dialecto al de otro" (Merriam-Webster's Dictionary). La
conmutación de código para Spanglish se identifica por el hecho de que el hablante
cambia a palabras inglesas o españolas sin cambios, y las palabras que se dicen se
pronuncian de la misma manera que un hablante nativo de cada idioma las pronunciarÃa.
Sin embargo, para cambiar el código, el hablante debe tener competencia en ambos
idiomas. Deben comprender los formatos de idioma de español e inglés. Si no se pueden
cometer muchos errores.
Por ejemplo, una vez un niño jugaba al tag en la escuela y constantemente lo
estaban molestando. El niño querÃa que esto se detuviera, y querÃa decirles a los niños
‘Stop bothering me!’ Sin embargo, el niño no sabÃa la palabra ‘bother’ en inglés, pero en
cambio sabÃa que ‘molestar’ significaba lo mismo. Por lo tanto, cuando fue a decirles que
lo dejaran en paz, dijo ‘Stop molesting me!’, lo que significa
algo completamente diferente en inglés. Esta es la razón por la cual la comprensión del
trabajo en español e inglés es extremadamente importante cuando se cambia de código
(Jiménez, 2017).
El cambio de código requiere tanto de la gramática inglesa como de la española,
y debe fluir y sonar correctamente. Esta es la razón por la cual las personas que hablan
Spanglish no pueden decir ‘Stop molesting me!’ or ‘Yo am going to the baile in the
noche.’ No parece correcto, y no muestra competencia en ambos idiomas. En cambio,
frases como ‘El libro me costó twenty dollars’, y ‘I’m going home pasado mañana.’ son
ejemplos efectivos de cambio de código porque muestra una estructura gramatical
adecuada en el idioma español, asà como en el idioma inglés. Las personas que cambian
de código en Spanglish hablan de una manera única y compleja dentro de las reglas de
ambos idiomas (Jiménez, 2017).
Los beneficios del bilingüismo son increÃbles porque abren muchas
oportunidades diferentes. Una persona bilingüe puede comunicarse con más personas y
conectarse con las diferentes comunidades de habla. Esto es extremadamente importante
en el mercado de trabajo de hoy. Anotar que eres bilingüe te da una ventaja increÃble
sobre tus competidores porque la compañÃa a la que postulas puede ampliar su mercado
en todo el mundo, asà como anunciar a diferentes comunidades de habla hispana.
Mi familia también tiene experiencia de primera mano en esto. Mi padre es un
oficial de policÃa del Departamento de PolicÃa del Condado de Suffolk (SCPD) y trabaja
139
�en la Academia de PolicÃa. Cuando es hora de contratar una nueva clase de reclutas, mi
padre y sus compañeros de trabajo se sientan y miran las solicitudes. Me dijo que
aquellos que hablan más de un idioma, especialmente español e inglés, son incluidos en
una lista de contratación preferencial por separado. Esto se debe a que el SCPD está al
tanto de la creciente población de habla hispana en Long Island, y desean poder
conectarse positivamente con esa comunidad. El trabajo de mi padre quiere ser accesible,
y eso es muy difÃcil de hacer si hay una barrera del idioma.
Toda esta investigación que he hecho la he podido experimentar en Make the
Road New York. Todos los niños con los que he tenido la oportunidad de trabajar han
hablado inglés y español desde que eran muy jóvenes. Casi todos ellos hablan con un
perfecto acento inglés cuando hablan inglés, y un acento español perfecto cuando hablan
español. Todos ellos pueden alternar entre inglés y español sin esfuerzo, dependiendo de
con quién están hablando y de qué están hablando. Estos niños también pueden cambiar
de idioma y hablar Spanglish para ayudar a sus familias y amigos a aprender inglés o
spanglish.
El bilingüismo es más que solo la capacidad de hablar dos idiomas. Son las
conexiones y funciones formadas en el cerebro. Es la habilidad del cerebro para distinguir
sonidos y palabras de diferentes idiomas y categorizar esas palabras apropiadamente. Es
la capacidad de cambiar de código entre dos idiomas cuando se comunica con otros. Es el
entorno en el que nacemos, las amistades que hacemos, la familia que cuidamos, el
pasado y el futuro de nuestra familia. El bilingüismo es más
que un término descriptivo, simplemente elegimos mirar más allá de su significado
superficial para encontrarlo.
Works Cited
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Encephalopathy.†Right Hemisphere of The Brain, Right Brain, and Brain - JRank
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Preschool Children.†ISB4: Proceedings of the 4th International Symposium on
Bilingualism, 2005, www.lingref.com/isb/4/004ISB4.PDF.
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�
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Wagner College Forum for Undergraduate Research
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The <em>Wagner College Forum for Undergraduate Research</em> provides an arena where students can publish their research and have a wider audience that can see what types of areas of academic intellect and expertise are being explored at Wagner College. The journal is devoted to publishing empirical and theoretical papers by undergraduate students in all disciplines. Papers are reviewed with respect to their scholarly merit. Length and type of articles have been determined by the paper’s objectives and scope of contribution to its respective field. This collection houses all issues of the <em>Forum</em> from 2002 to the present.
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Volume 16, Number 2
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Section I: The Natural Sciences & Quantitative Analysis -- Full Length Papers -- 3 The Behavioral Effects of Caffeine on Zebrafish (Danio rerio) / Michelle DeTomaso -- 19 Optimizing Stock Keeping Unit Efficiency in Max Mara’s Direct Retail: Analysis of the Effects of Implementing a New Inventory Management Model / Fabia Maramotti -- Section II: The Social Sciences -- Full Length Papers -- 57 The Difference is in the Tales: The Relationship Between Insurance Regulations and Accessible Abortion Care / Emma J. MacDonald -- Section III: Critical Essays -- Full Length Papers -- 71 The Palestinian Revolt against the British, 1936-1939: Empowering Palestinian Voices and the Effects the Revolt had on the Creation of Israel / Hadeel Mishal -- 99 Beautiful Nude Girls: Art and Female Sexuality in Nazi Germany / Jordan Gonzales -- 113 Woman as Witness: Embodiment and the Female Christ-Figure in Dostoevsky’s Crime and Punishment / Katelyn Alcott -- 119 “Be a Man”: How Hegemonic Masculinity is Harming Humanity / Michael Cancelleri Jr. -- 129 Los aspectos sociales y físicos del bilingüismo / Tori Ross
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