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Wagner College Forum for
Undergraduate Research
Fall 2002
Volume I, Number 1
Wagner College Press
Staten Island, New York City
��EDITOR’S INTRODUCTION
This issue of the journal is of special significance. It is the first. The Wagner Forum for
Undergraduate Research was formed to fill a void. It was felt by the editors that it is
important to have 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.
To enhance readability, the Wagner Forum For Undergraduate Research has been
subdivided into three sections entitled The Natural Sciences, The Social Sciences and
Critical Essays respectively. The first two sections are limited to papers and abstracts
dealing with scientific investigations (experimental and theoretical). The third section is
reserved for speculative papers based on the scholarly review and critical examination of
previous works.
From the natural sciences, a paper by Shanfeld and Falabella describes winning lotto
numbers and to what extent winning the lotto is a matter of luck or chance. Those of you
interested in striking it rich and becoming wealthy quickly might be interested in this
article. A technical note by Alauddin and Alauddin addresses the serious problem of
arsenic contaminated groundwater in Bangladesh. The research focuses on the speciation
of metabolites as a means of gaining a better understanding of how arsenic is assimilated
by the body after ingestion and how individuals exposed can be detoxified. Another paper
by Christina Owens and Donald Stearns describes the photosensitivity of early stage
nauplii of brine shrimp. Many other articles encompassing the disciplines of physics,
chemistry, biology, mathematics and computer science await the curious reader.
Additionally, from the social sciences, there is a report by Jessica Morin on the impact of
a thin-ideal depiction in media and its impact on disordered eating among college
students. A critical essay by Michael O’Connor, in his Senior Honors Project, gives us
an interesting perspective on heroin abuse as a product of the urban environment as
depicted in the literary works of Burroughs, Selby, Algren and Baldwin.
This issue would not have been possible without the dedication of faculty and students
who have contributed to its publication. Special thanks go to the students who conducted
the research showcased in this multidisciplinary publication. It is our hope that this
forum will serve as a springboard for discussions amongst students and faculty and
provide motivation for future endeavors.
Gregory Falabella and Richard Brower, Editors
��Section I: The Natural Sciences
Full Length Papers
3
Winning Lotto Numbers: Pure Chance or Hidden Bias
Randye Shanfeld and Dr. Gregory J. Falabella
25 Behavioral Assay to Determine Photosensitivity of Early-Stage Nauplii
of the Brine Shrimp Artemia Franciscana
Christina M. Owens and Dr. Donald E. Stearns
45 Increased Functionality and Copy Protection for Online Images:
Dynamic Flash Images and the Web
Jason W. Nadal and Dr. Adrian Ionescu
Technical Notes
63 Speciation of Arsenic Metabolic Intermediates in Human Urine by IonExchange Chromatography and Flow Injection Hydride Generation
Atomic Absorption Spectrometry
Sarah Alauddin and Dr. Mohammad Alauddin
Abstracts/Extended Abstracts
69 Popcorn PVP Induced by Purified PVP
Dawn Pothier and Dr. Susan Tseng
70 Hydrothermal Growth of Iron Sulfide Crystals
Richard Moses and Dr. Maria Gelabert
71 Gases and Thermostatistics
Steven R. Corn, Randye Shanfeld and Dr. Gregory J. Falabella
73 Experimental Analysis of the Hydrolysis of Vinylpyrrolidone by Gas
Maryanne Gaul, Dr. Brian Palestis and Dr. Susan Tseng
74 Numerical Simulation of Free Convection
Peter Herbst and Dr. Gregory J. Falabella
76 Speciation of Arsenic Sediment Leachate by Solid Phase Extraction and
Flow Injection Hydride Generation Atomic Absorption Spectrometry
Margaret Fiasconaro and Dr. Mohammed Alauddin
77 Growth Kinetics of NiSO4≅7H2O Crystals
Luther Schaeffer and Dr. Maria Gelabert
��Winning Lotto Numbers: Pure Chance or Hidden Bias
Randye Joy Shanfeld and Dr. Gregory J. Falabella
Senior Honors Thesis1
This project is an investigation into whether or not picking certain numbers or
combinations of numbers can increase the odds of winning a lotto jackpot. Data from
recent New York State lotto drawings is collected and processed by a series of computer
programs developed specifically for this task. Through careful scrutiny and a variety of
statistical tests, interesting short and long-term trends are revealed. This information is
then exploited in an attempt to increase the probability of selecting a winning ticket.
I. Introduction
Ever dreamed of winning the lottery? Thought if you only had a feasible system
you could actually win? Well, it turns out that greed is wonderful motivation for
mathematical research. In order to begin this research, one must know a little
background information. To play the New York State lottery, a person first chooses six
numbers from one through fifty-nine. After choosing numbers, this person buys a ticket
for a dollar, in which they will be given two chances. Then all this person has to do is
watch the drawing of the winning numbers on television, which occurs twice a week.
But what are the odds of actually winning the lottery? This can be found by
performing a few simple mathematical calculations. The number of ways n objects taken
r at a time can be chosen or arranged, are called permutations and denoted nPr where
n
Pr =
( ) = (n −n!r )!
n
r
In a permutation the order of arrangement of the objects is important. For example, 123
is a different permutation than 132. If order is not important (e.g. lotto drawings) then
combinations, nCr, rather then permutations are computed.
n
Cr =
( ) = r!(nn−! r )!
n
r
The number of ways six numbers can be selected from a possible fifty-nine is
59
1
C6 =
( ) = 6!(5959−! 6)! = 45,057,474
59
6
Presented at the 56th Eastern Colleges Science Conference in Niagara, NY
1
�Since each lotto game calls for two sets of six numbers, the odds of winning a lotto
jackpot are 1 in 22,528,737. Another way of looking at this is that there are six chances
of selecting any one correct number out of a choice of 59. There are only five chances of
selecting a second number out of the remaining 58 choices and so on:
1
⎛ 6 ⎞ ⎛ 5 ⎞ ⎛ 4 ⎞ ⎛ 3 ⎞ ⎛ 2 ⎞ ⎛ 1 ⎞ 6!(59 − 6)!
=
⎜ ⎟×⎜ ⎟×⎜ ⎟×⎜ ⎟×⎜ ⎟×⎜ ⎟ =
59!
45,057,474
⎝ 59 ⎠ ⎝ 58 ⎠ ⎝ 57 ⎠ ⎝ 56 ⎠ ⎝ 55 ⎠ ⎝ 54 ⎠
In the past, it has been proven that the lottery, over any great length of time, is
indeed fair. However, the existence of recent short-term patterns, or trends, is largely
unknown. The discovery of short-term patterns could possibly help one make future
number predictions, and create better odds of winning the lottery. Hence, making greed
one of the objectives for the following research.
II. Governing Equations
When a population is numerically ordered according to size, the value that occupies
the middle position is known as the median. To locate the median one must calculate its
depth using the formula
n +1
d (~
x) =
2
If d(x) is a decimal, the next consecutive integer is used as the depth. When this
population is ordered it is beneficial to take its range, by subtracting the lowest value
from the highest value.
When discussing probability of a population, the mean, or average, is usually
calculated using the formula
n
µ = ∑ xP( x)
i =1
where each element, x, is multiplied by its own probability, P(x). The mean is also
known as the expectation, and can be expressed as
n
E ( x) = ∑ xi f ( xi ) =
i =1
2
1 n
∑ xi
n i =1
�The spread, or dispersion of data around the mean, is known as the variance, σ². The
variance can be found using
σ 2 = E [( x − µ ) 2 ] = ∑ ( xi − µ ) 2 f ( xi ) =
n
i =1
1 n
∑ ( xi − µ ) 2
n i =1
The nonnegative square root of the variance is the standard deviation, σ.
Expectation and variance apply to one variable. However, it is often useful to
examine if there is a relationship between two parameters. Covariance is a measure of
linear dependency, found by using the formula
[
]
Cov ( x, y ) = E ( x − µ x )( y − µ y )
Another way of understanding the relationship between two parameters is by finding the
linear correlation coefficient of the population. The linear correlation coefficient, ρ, is
defined as
ρ ( x, y ) =
Cov( x, y )
σ xσ y
0 ≤ ρ ≤1
When ρ equals zero, it is said that the parameters are linearly unrelated.
The probability that an event will occur, is defined as the relative frequency with
which that event can be expected to occur. More simply put,
P( A) =
XA
n
where XA is the number of times that event A occurs, and n is the total number of events.
However, many conditions can effect the probability of more than one event, such as
whether the events are independent. A and B are independent events, if the occurrence of
one event does not influence the probability of the other event. In the case of
independent events, the following formula can be used to calculate the probability of the
events occurring.
P ( A and B ) = P ( A) P ( B )
III. Results
Initially, winning lottery numbers were collected for two years, from September
1999 to September 2001. The winning numbers were examined individually, with no
regard to the specific ticket they came from or the other numbers involved in the jackpot.
A FORTRAN program was then written to calculate the frequency of each number, and
3
�the results were graphed. The resulting bar graph is known as a frequency distribution.
30
frequency
25
20
15
10
5
0
10
20
30
40
50
numbers
Figure 1: Winning New York State Lotto Numbers from 9/01/99 to 9/01/01
It can be seen in figure 1 that almost every lotto number has appeared between 15 and 34
times in lottery drawings between 9/01/99 and 9/01/01. Interestingly, the numbers 52
through 59 never once appeared during the time in question. Overall, the distribution of
winning lottery numbers was found to be fairly even as expected.
Following the frequency, other preliminary statistics were calculated. The mean of
the winning lottery numbers, µ, was found to be 24.88. Once the mean was computed,
the variance and standard deviation was found. However, other than the obvious
implications of the frequency distribution, the preliminary statistics did not reveal any
significant results.
• Due to the inadequacy of the preliminary statistics, the winning lottery numbers
needed to be examined more closely, looking at each individual ticket. With the
examination of the tickets, the following questions were raised:
• With good confidence, can one state that the average of the six winning numbers
fall within a specific range?
• Is there a high probability that the difference between the highest and lowest
entries will have an upper and a lower bound?
• Is there a larger probability that the standard deviation will fall within a certain
range?
A series of FORTRAN programs were then written to answer these questions. First,
the mean was computed for each winning ticket, and it can be seen from figure 2 that all
means fell between eleven and forty, with the majority between twenty and thirty.
4
�50
45
40
35
µ
30
25
20
15
10
5
0
50
100
150
200
ticket #
Figure 2: Mean of each winning ticket
The probability that the mean fell within a certain region was calculated, and it can be
seen from figure 3 that the probability was the greatest between twenty and thirty. It also
showed that it is largely improbable for the mean to fall within the regions zero to ten and
fifty to sixty.
0.6
Probability
0.5
0.4
0.3
0.2
0.1
0
0-10
10-20
20-30
30-40
40-50
50-60
Range
Figure 3: Probability of mean within a certain range
5
�Following the mean, the range was calculated for each winning ticket, and through
figure 4, it can be seen that all ranges fell between fourteen and fifty, with the majority
between twenty-five and forty-five.
24
22
20
18
16
σ
14
12
10
Figure 4:
8
6
4
2
0
50
100
150
200
ticket #
Figure 4: Range of each winning ticket
The probability that each ticket’s range would fall within a certain region was then
examined, and Figure 5 shows that the probability was the greatest with the range
between thirty and fifty, having a probability between .36 and .40. It can also be seen
that of all the winning tickets, no range fell between zero and ten.
0.4
0.35
Probability
0.3
0.25
0.2
0.15
0.1
Figure 5: Range within a certain region
0.05
0
0-10
10-20
20-30
30-40
40-50
Range
Figure 5: Range within a certain region
6
50-60
�Next, the standard deviation of each ticket was investigated. The standard
deviations, as shown in figure 6, all fell between 4.5 and 20.8, with the majority between
ten and sixteen.
60
55
50
45
40
range
35
30
25
20
15
10
5
0
50
100
150
200
ticket #
Figure 6: Standard Deviation of each ticket
The probability that the standard deviation fell in a certain range was also explored. It
can be seen from figure 7 that the probability was greatest between ten and fifteen.
Figure 7 also shows that it is improbable for the standard deviation to fall below five or
above twenty-five.
0.45
0.4
Probabilty
0.35
0.3
0.25
0.2
0.15
0.1
0.05
0
0-5
5-10
10-15
15-20
20-25
25-30
Range
Figure 7: Standard Deviation within a certain range
7
�After doing these basic statistical tests on the tickets themselves, it was necessary to
look for other patterns. Searching for more interesting patterns involved analyzing the
tickets to find:
• the maximum amount of consecutive numbers
• the range in which the lowest number falls
• the range in which the second lowest number falls
• the range in which the second highest number falls
• the range in which the highest number falls
First, the winning tickets were examined for consecutive numbers. As seen in figure
8, the probability of having a pair of consecutive numbers on a winning lottery ticket is
almost fifty percent. Obtaining three consecutive numbers on a winning ticket is rare,
having a probability of one percent. Moreover, the occurrence of two pairs of
consecutive numbers has a probability of ten percent. More than three consecutive
numbers never occurred.
probabilitybasedondatafromsample
0.7
0.6
0.5
0.4
0.3
0.2
0.1
0
2
3
4
5
6
2 sets of 2
number of consecutive entries appearing in a jackpot
Figure 8: Probability of consecutive entries
Next, the range in which the lowest number falls was found, and it can be seen from
figure 9 that the probability was greatest for the lowest number being between one and
nine. The lowest number never fell within a range greater than twenty to twenty-nine.
8
�0.7
lowest number
0.6
probability
0.5
0.4
0.3
0.2
0.1
0
1-9
10-19
20-29
30-39
40-49
50-59
range
Figure 9: Probability of the lowest number within a certain range
Following this, the range in which the second lowest number falls was explored. Figure
10 shows that it is most probable for the second lowest number to be between ten and
nineteen. The second lowest number never fell in a range above thirty to thirty-nine.
0.7
second lowest number
0.6
probability
0.5
0.4
0.3
0.2
0.1
0
1-9
10-19
20-29
30-39
40-49
50-59
range
Figure 10: Probability of the second lowest number within a certain range
9
�Next, the range was found in which the second highest number falls, and it can be
seen from figure 11 that the probability was the greatest for second highest number to fall
between thirty and forty-nine. It was interesting that there was some probability for the
number to be between ten and nineteen, which is quite low.
0.7
second highest number
0.6
probability
0.5
0.4
0.3
0.2
0.1
0
1-9
10-19
20-29
30-39
40-49
50-59
range
Figure 11: Probability of the second highest number within a certain range
The final examination was to look at the range in which the highest number falls,
and figure 12 shows that the probability was highest for the highest number to be
between forty and forty-nine. The figure also shows that the highest number was never
below twenty.
0.7
highest number
0.6
probability
0.5
0.4
0.3
0.2
0.1
0
1-9
10-19
20-29
30-39
40-49
50-59
range
Figure 12: Probability of the highest number within a certain range
10
�Based on the sample data collected from the preceding tests, it was concluded that
there is a:
•
93.3% probability that there will be at least two, but not more than three,
numbers in any one of the following six categories: 1-9, 10-19, 20-29, 30-39, 4049, 50-59
•
99.5% chance that the mean of the winning tickets will be greater than ten but
less than forty
•
94.74% probability that the range associated with the winning tickets will be
greater than twenty but less than fifty
•
98.56% chance that no more than two consecutive numbers will appear on any
winning ticket
•
90.43% probability that multiple sets of two consecutive numbers will not occur
•
94.36% chance that the lowest number will be less than twenty
•
92.33% chance that the second lowest number will be less than thirty
•
97.51% probability that the second highest number will be greater than nineteen
•
93.78% probability that the highest number will be greater than twenty-nine
These rules were applied to all the possible tickets, eliminating 31.1% of the tickets.
In other words, it reduced the odds of winning the lottery from one in 45 million to one in
31 million. However, when these rules were applied to the winning tickets, they
excluded 30.1% of the winning tickets.
In order to test these rules further, winning lottery numbers were collected from
9/6/01 through 12/31/01. These numbers were then analyzed by the same tests, to see if
they paralleled the previous results. When first examining the new numbers, the most
obvious difference can be seen in the frequency distribution. This shows (see figure 13)
an even distribution of the numbers fifty-two through fifty-nine, whereas previously the
frequency of these numbers was zero. The graph also shows that the frequency of the
numbers four, twelve, sixteen, and thirty-seven was zero.
For the second set of numbers, the region in which the mean, range, and standard
deviation fell followed that of the first set of numbers. However, the number of
consecutive entries on a ticket was slightly lower than the first set of numbers, as seen in
figure 14.
The rest of the results followed the patterns set forth previously. The numbers were
then tested by the rules created earlier, and 32.4% of the winning tickets were excluded.
The results associated with this set of numbers did not achieve any advantage, whereas
the first set achieved a small advantage. This indicates that the rules developed from the
data need to be refined and focused on achieving a small advantage.
11
�9
8
7
Frequency
6
5
4
3
2
1
0
10
20
30
Numbers
40
50
probabilitybasedondatafromsample
Figure 13: Winning New York State Lotto numbers from 9/06/01 to 12/31/01
0.35
0.3
0.25
0.2
0.15
0.1
0.05
0 2
3
4
5
6
2 sets of 2
number of consecutive entries appearing in jackpot
Figure 14: Probability of consecutive entries of second set of numbers
12
�IV. Conclusion
This research study indicates that the lottery is indeed quite fair and that it is
extremely difficult, if possible at all, to formulate a system to improve one’s odds of
winning. Despite this some interesting trends were found. These trends can be useful in
one’s approach to picking lottery numbers. The first pattern one should be aware of is
choosing six numbers that have a mean between ten and forty. The probability of a
winning ticket having a mean less than fifteen or greater than forty, is extremely small.
Most people stray from choosing consecutive numbers, however, there is a fifty percent
chance of the winning ticket containing two consecutive numbers. Other important
trends include in which category the numbers fall. For the purpose of this study, the
categories were defined using a range of ten, producing the categories 1-9, 10-19, 20-29,
30-39, 40-49, and 50-59. Overall, there is nearly a one hundred percent chance of the
winning ticket containing any two numbers in one category. The odds drop considerably
to less than forty percent, when examining the winning tickets for three numbers in one
category. Moreover, the probability of obtaining four tickets in one category is almost
zero.
Future research will focus on obtaining a slight (1-5%) advantage, rather than
eliminating a sizable fraction of the total number of lottery tickets. More conservative
rules, a larger sample, and the discovery of additional trends, will be part of such an
investigation.
13
�Appendix A: Lotto Jackpots from 09/01/99 to 09/01/01
8
18
5
8
14
6
26
4
10
2
1
7
23
10
1
6
16
3
8
1
5
2
13
3
6
25
3
6
6
12
1
3
2
11
3
2
17
6
3
8
4
9
14
18
8
6
13
20
16
19
21
31
28
6
15
4
7
14
25
13
8
7
27
15
17
2
13
27
17
19
10
26
4
11
12
14
3
14
5
16
7
16
31
11
4
30
12
15
15
30
19
10
17
22
18
24
22
44
30
11
18
6
9
18
30
14
11
14
31
20
20
5
33
30
20
28
20
27
6
33
14
18
16
25
30
20
27
26
35
17
9
33
16
35
17
36
23
32
26
34
25
28
26
46
38
28
25
12
12
33
41
29
14
35
40
22
28
14
37
36
24
30
29
30
22
37
21
24
27
29
37
24
40
32
38
26
30
37
18
38
18
40
41
42
34
35
26
41
31
49
47
30
30
20
13
41
44
38
21
43
44
32
30
44
40
37
26
33
31
36
36
48
44
26
48
38
39
30
41
39
41
30
36
39
31
48
23
46
45
46
5
28
5
9
2
3
1
2
5
10
6
9
6
1
6
4
2
19
1
1
22
9
22
12
20
8
10
2
3
8
6
3
4
6
17
13
18
6
8
5
12
5
2
11
3
12
44
50
50
43
38
50
51
49
34
40
24
46
45
49
43
44
48
39
33
45
47
43
27
40
37
42
44
51
45
43
49
42
42
38
47
49
49
43
42
43
45
49
47
50
46
51
14
8
31
9
13
7
35
3
4
8
16
9
18
12
10
12
33
9
23
17
13
34
23
30
22
23
10
16
15
6
9
28
4
15
12
19
14
19
21
12
23
13
18
10
18
23
13
13
41
10
14
17
38
22
6
14
44
22
39
24
12
27
34
21
31
18
14
36
25
31
31
26
13
36
33
22
29
29
6
38
19
21
32
21
41
27
26
17
20
17
20
26
16
17
42
45
15
25
41
29
9
18
46
37
43
37
24
30
37
36
44
27
18
40
27
40
33
39
23
37
36
26
30
46
14
41
41
22
39
23
43
39
32
31
23
19
24
36
25
20
48
46
21
29
45
38
30
24
49
44
44
45
35
41
48
37
46
28
21
43
37
45
43
48
33
46
38
41
33
47
24
42
47
31
44
38
50
40
45
32
46
42
25
40
27
24
51
51
26
30
5
43
32
25
51
51
48
50
44
50
51
40
50
40
24
50
38
49
50
50
45
51
46
45
50
51
46
50
49
35
51
49
51
50
46
35
49
43
41
45
31
�8
19
6
11
6
11
1
18
1
3
9
4
22
4
19
16
1
20
4
5
4
13
17
19
17
3
1
18
1
13
2
3
1
7
5
11
6
2
3
2
26
7
4
8
3
6
2
5
3
13
32
11
14
8
21
8
29
2
8
15
11
31
6
22
25
13
21
8
22
8
16
19
29
23
9
3
20
3
14
12
7
11
15
14
22
17
11
12
4
27
13
13
13
4
8
8
7
4
24
33
25
20
9
25
13
30
15
21
19
22
35
16
26
36
38
31
9
25
19
18
25
33
26
29
15
23
13
16
19
45
16
32
15
25
38
20
17
10
30
19
15
22
6
14
10
22
6
42
41
30
25
33
32
35
32
32
28
23
31
38
24
38
45
40
33
29
34
21
29
32
38
28
31
31
25
16
17
22
46
19
36
16
32
40
30
21
30
36
25
18
23
10
29
11
28
16
43
50
42
31
34
37
44
38
33
30
34
34
41
37
44
48
43
34
32
37
26
44
34
48
33
49
37
30
18
40
33
50
25
39
24
38
43
36
34
32
43
40
20
29
14
32
19
49
27
2
2
1
4
15
3
15
13
9
15
1
1
3
1
6
5
17
6
2
3
8
12
3
7
6
11
3
2
1
4
4
9
7
14
4
1
3
7
4
11
25
3
1
11
19
2
7
1
47
51
49
33
40
49
46
43
48
45
51
35
48
49
48
50
45
36
34
50
32
45
49
50
36
50
45
33
27
48
41
51
29
47
37
51
46
37
49
43
50
43
24
47
45
44
2
51
40
17
4
6
20
18
18
29
17
23
23
17
18
8
4
6
9
11
30
21
3
9
13
14
6
8
22
12
23
7
8
17
18
26
14
30
12
9
8
8
5
32
30
4
4
17
22
7
12
3
27
9
28
23
20
30
25
32
35
28
21
35
25
26
11
12
32
31
10
24
23
21
11
24
29
22
24
8
10
25
22
29
17
35
15
20
17
24
17
35
36
9
7
19
23
13
23
18
32
12
34
28
23
38
26
33
36
29
29
40
32
29
40
34
37
38
17
33
33
35
20
36
33
29
33
15
17
27
23
34
31
38
19
28
21
29
34
36
37
33
30
30
32
21
32
27
34
32
40
34
37
40
32
36
41
33
33
42
38
39
45
35
45
42
28
37
46
39
42
40
36
45
34
25
34
43
41
37
41
39
31
29
38
37
41
41
39
35
32
35
36
36
35
43
35
46
47
44
48
46
47
37
47
40
46
43
43
51
48
45
48
51
36
50
49
42
43
51
50
47
47
26
41
49
43
43
46
51
39
47
46
42
42
45
51
37
36
42
48
48
44
47
�7
17
15
2
3
2
14
37
17
14
21
11
25
39
19
23
27
24
30
43
44
29
35
31
31
45
45
30
39
46
34
50
47
37
42
51
2
7
22
2
10
5
10
23
4
11
24
21
40
11
21
36
39
41
15
24
Appendix B: Lotto Jackpots from 09/06/01 to 12/31/01
2
18
10
8
1
3
21
15
21
3
8
1
5
5
8
3
1
1
8
9
6
21
5
5
10
2
7
1
6
2
6
19
2
17
11
27
15
13
15
8
25
19
25
8
14
6
17
8
18
8
17
2
18
10
8
27
7
22
25
14
43
11
15
9
15
20
18
26
24
38
28
26
24
29
39
32
27
13
19
23
30
21
34
25
25
32
21
20
11
29
13
35
35
15
46
35
18
18
26
25
21
35
18
31
48
29
35
31
30
50
38
39
21
35
30
35
24
44
31
27
33
22
34
17
34
38
47
45
21
49
50
31
26
30
36
38
47
46
49
35
45
34
31
54
47
44
33
42
40
41
50
50
38
28
36
26
55
22
41
44
52
48
48
52
55
48
36
55
38
39
55
51
51
42
51
44
49
59
50
56
41
50
51
49
56
54
44
50
39
49
56
41
48
48
58
49
51
57
56
53
57
56
53
44
57
47
49
46
20
33
48
50
51
23
41
�Appendix C: List of FORTRAN Programs Created and Used in the Analysis
Copies of the programs created and used in the analysis can be obtained from Professor
Gregory J. Falabella at:
Address: Dr. Gregory J. Falabella
Wagner College
Department of Chemistry and Physics
1 Campus Road
Staten Island, NY 10301
Phone:
(718) 390-3403
Email:
gfalabel@wagner.edu
Appendix D: List of FORTRAN Programs Developed and Used to Test Hypothesis
C
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60
50
40
30
20
10
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C
PROGRAM RFTX1
This program confirms numerically that the odds of winning
a lotto jackpot should be 2:45,057,474.
INTEGER I,J,K,L,M,N,X
X=0
DO 10 I=1,59
WRITE(*,*) I
DO 20 J=I+1,59
DO 30 K=J+1,59
DO 40 L=K+1,59
DO 50 M=L+1,59
DO 60 N=M+1,59
X=X+1
CONTINUE
CONTINUE
CONTINUE
CONTINUE
CONTINUE
CONTINUE
WRITE(*,*) X
END
PROGRAM RFTX2
This program determines the odds of winning a lotto jackpot
if the trends found in this study exclude certain combinations
of numbers.
INTEGER I,J,K,L,M,N,X,FLAG
19
�REAL AVG
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50
40
30
20
10
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C
X=0
DO 10 I=1,19
WRITE(*,*) I
DO 20 J=I+1,29
DO 30 K=J+1,59
DO 40 L=K+1,59
DO 50 M=L+1,59
DO 60 N=M+1,59
AVG=(1.0*I+1.0*J+1.0*K+1.0*L+1.0*M+1.0*N)/6.0
IF ((AVG .LT. 10.0) .OR. (AVG .GT. 40.0)) FLAG=1
IF (M .LT. 20) FLAG=1
IF (N .LT. 30) FLAG=1
IF ((M-I .LT. 20) .OR. (M-I .GT. 50)) FLAG=1
IF ((J .EQ. I+1) .AND. (K .EQ. I+2)) FLAG=1
IF ((K .EQ. J+1) .AND. (L .EQ. J+2)) FLAG=1
IF ((L .EQ. K+1) .AND. (M .EQ. K+2)) FLAG=1
IF ((M .EQ. L+1) .AND. (N .EQ. L+2)) FLAG=1
CALL CAT1(I,J,K,L,M,N,FLAG)
CALL CAT2(I,J,K,L,M,N,FLAG)
IF (FLAG .EQ. 0) X=X+1
FLAG=0
CONTINUE
CONTINUE
CONTINUE
CONTINUE
CONTINUE
CONTINUE
WRITE(*,*) X
END
******************************************************************
SUBROUTINE CAT1(I,J,K,L,M,N,FLAG)
This subroutine determines if more than one number falls into any
one category.
INTEGER I,J,K,L,M,N,FLAG
INTEGER FLAG1,FLAG2,FLAG3,FLAG4,FLAG5,FLAG6,FLAG7
Find out how many fall in a certain range
FLAG1=0
FLAG2=0
FLAG3=0
FLAG4=0
FLAG5=0
FLAG6=0
C
IF
IF
IF
IF
IF
IF
C
((I
((I
((I
((I
((I
((I
.GE.
.GE.
.GE.
.GE.
.GE.
.GE.
0) .AND. (I .LT. 10)) FLAG1=FLAG1+1
10) .AND. (I .LT. 20)) FLAG2=FLAG2+1
20) .AND. (I .LT. 30)) FLAG3=FLAG3+1
30) .AND. (I .LT. 40)) FLAG4=FLAG4+1
40) .AND. (I .LT. 50)) FLAG5=FLAG5+1
50) .AND. (I .LT. 60)) FLAG6=FLAG6+1
IF ((J .GE. 0) .AND. (J .LT. 10)) FLAG1=FLAG1+1
IF ((J .GE. 10) .AND. (J .LT. 20)) FLAG2=FLAG2+1
IF ((J .GE. 20) .AND. (J .LT. 30)) FLAG3=FLAG3+1
20
�IF ((J .GE. 30) .AND. (J .LT. 40)) FLAG4=FLAG4+1
IF ((J .GE. 40) .AND. (J .LT. 50)) FLAG5=FLAG5+1
IF ((J .GE. 50) .AND. (J .LT. 60)) FLAG6=FLAG6+1
C
C
C
C
C
IF
IF
IF
IF
IF
IF
((K
((K
((K
((K
((K
((K
.GE.
.GE.
.GE.
.GE.
.GE.
.GE.
0) .AND. (K .LT. 10)) FLAG1=FLAG1+1
10) .AND. (K .LT. 20)) FLAG2=FLAG2+1
20) .AND. (K .LT. 30)) FLAG3=FLAG3+1
30) .AND. (K .LT. 40)) FLAG4=FLAG4+1
40) .AND. (K .LT. 50)) FLAG5=FLAG5+1
50) .AND. (K .LT. 60)) FLAG6=FLAG6+1
IF
IF
IF
IF
IF
IF
((L
((L
((L
((L
((L
((L
.GE.
.GE.
.GE.
.GE.
.GE.
.GE.
0) .AND. (L .LT. 10)) FLAG1=FLAG1+1
10) .AND. (L .LT. 20)) FLAG2=FLAG2+1
20) .AND. (L .LT. 30)) FLAG3=FLAG3+1
30) .AND. (L .LT. 40)) FLAG4=FLAG4+1
40) .AND. (L .LT. 50)) FLAG5=FLAG5+1
50) .AND. (L .LT. 60)) FLAG6=FLAG6+1
IF
IF
IF
IF
IF
IF
((M
((M
((M
((M
((M
((M
.GE.
.GE.
.GE.
.GE.
.GE.
.GE.
0) .AND. (M .LT. 10)) FLAG1=FLAG1+1
10) .AND. (M .LT. 20)) FLAG2=FLAG2+1
20) .AND. (M .LT. 30)) FLAG3=FLAG3+1
30) .AND. (M .LT. 40)) FLAG4=FLAG4+1
40) .AND. (M .LT. 50)) FLAG5=FLAG5+1
50) .AND. (M .LT. 60)) FLAG6=FLAG6+1
IF
IF
IF
IF
IF
IF
((N
((N
((N
((N
((N
((N
.GE.
.GE.
.GE.
.GE.
.GE.
.GE.
0) .AND. (N .LT. 10)) FLAG1=FLAG1+1
10) .AND. (N .LT. 20)) FLAG2=FLAG2+1
20) .AND. (N .LT. 30)) FLAG3=FLAG3+1
30) .AND. (N .LT. 40)) FLAG4=FLAG4+1
40) .AND. (N .LT. 50)) FLAG5=FLAG5+1
50) .AND. (N .LT. 60)) FLAG6=FLAG6+1
FLAG7=0
IF (FLAG1
IF (FLAG2
IF (FLAG3
IF (FLAG4
IF (FLAG5
IF (FLAG6
IF (FLAG7
C
C
C
C
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C
C
.GT.
.GT.
.GT.
.GT.
.GT.
.GT.
.EQ.
1)
1)
1)
1)
1)
1)
0)
FLAG7=1
FLAG7=1
FLAG7=1
FLAG7=1
FLAG7=1
FLAG7=1
FLAG=1
IF (FLAG1 .GT. 3) FLAG=1
IF (FLAG2 .GT. 3) FLAG=1
IF (FLAG3 .GT. 3) FLAG=1
IF (FLAG4 .GT. 3) FLAG=1
IF (FLAG5 .GT. 3) FLAG=1
IF (FLAG6 .GT. 3) FLAG=1
END
******************************************************************
SUBROUTINE CAT2(I,J,K,L,M,N,FLAG)
This subroutine determines if a ticket contain two sets of
two consecutive numbers.
INTEGER I,J,K,L,M,N,FLAGX,FLAG
FLAGX=0
IF (J .EQ. I+1) FLAGX=FLAGX+1
IF (K .EQ. J+1) FLAGX=FLAGX+1
21
�IF (L .EQ. K+1) FLAGX=FLAGX+1
IF (M .EQ. L+1) FLAGX=FLAGX+1
IF (N .EQ. M+1) FLAGX=FLAGX+1
IF (FLAGX .GE. 2) FLAG=1
END
PROGRAM RFTX3
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20
10
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30
100
C
C
C
This program reads in the jackpot numbers from a sequential file
and determines how many winning tickets are excluded by the
general rules developed in this study.
INTEGER TICKET(209,6),COUNT
INTEGER I,J,K,L,M,N,X,FLAG
REAL AVG
OPEN(1,FILE='num.dat')
OPEN(2,FILE='outx.dat')
IMAX=209
JMAX=6
DO 10 I=1,IMAX
DO 20 J=1,JMAX
READ(1,*) TICKET(I,J)
CONTINUE
CONTINUE
X=0
DO 30 COUNT=1,IMAX
I=TICKET(COUNT,1)
J=TICKET(COUNT,2)
K=TICKET(COUNT,3)
L=TICKET(COUNT,4)
M=TICKET(COUNT,5)
N=TICKET(COUNT,6)
AVG=(1.0*I+1.0*J+1.0*K+1.0*L+1.0*M+1.0*N)/6.0
IF ((AVG .LT. 10.0) .OR. (AVG .GT. 40.0)) FLAG=1
IF (M .LT. 20) FLAG=1
IF (N .LT. 30) FLAG=1
IF ((M-I .LT. 20) .OR. (M-I .GT. 50)) FLAG=1
IF ((J .EQ. I+1) .AND. (K .EQ. I+2)) FLAG=1
IF ((K .EQ. J+1) .AND. (L .EQ. J+2)) FLAG=1
IF ((L .EQ. K+1) .AND. (M .EQ. K+2)) FLAG=1
IF ((M .EQ. L+1) .AND. (N .EQ. L+2)) FLAG=1
CALL CAT1(I,J,K,L,M,N,FLAG)
CALL CAT2(I,J,K,L,M,N,FLAG)
IF (FLAG .EQ. 0) X=X+1
IF (FLAG .EQ. 1) WRITE(2,100) I,J,K,L,M,N
FLAG=0
CONTINUE
WRITE(*,*) X
FORMAT(6I6)
END
******************************************************************
SUBROUTINE CAT1(I,J,K,L,M,N,FLAG)
This subroutine determines if more than one number falls into any
22
�C
C
C
C
C
one category.
INTEGER I,J,K,L,M,N,FLAG
INTEGER FLAG1,FLAG2,FLAG3,FLAG4,FLAG5,FLAG6,FLAG7
Find out how many fall in a certain range
FLAG1=0
FLAG2=0
FLAG3=0
FLAG4=0
FLAG5=0
FLAG6=0
C
C
C
C
C
IF
IF
IF
IF
IF
IF
((I
((I
((I
((I
((I
((I
.GE.
.GE.
.GE.
.GE.
.GE.
.GE.
0) .AND. (I .LT. 10)) FLAG1=FLAG1+1
10) .AND. (I .LT. 20)) FLAG2=FLAG2+1
20) .AND. (I .LT. 30)) FLAG3=FLAG3+1
30) .AND. (I .LT. 40)) FLAG4=FLAG4+1
40) .AND. (I .LT. 50)) FLAG5=FLAG5+1
50) .AND. (I .LT. 60)) FLAG6=FLAG6+1
IF
IF
IF
IF
IF
IF
((J
((J
((J
((J
((J
((J
.GE.
.GE.
.GE.
.GE.
.GE.
.GE.
0) .AND. (J .LT. 10)) FLAG1=FLAG1+1
10) .AND. (J .LT. 20)) FLAG2=FLAG2+1
20) .AND. (J .LT. 30)) FLAG3=FLAG3+1
30) .AND. (J .LT. 40)) FLAG4=FLAG4+1
40) .AND. (J .LT. 50)) FLAG5=FLAG5+1
50) .AND. (J .LT. 60)) FLAG6=FLAG6+1
IF
IF
IF
IF
IF
IF
((K
((K
((K
((K
((K
((K
.GE.
.GE.
.GE.
.GE.
.GE.
.GE.
0) .AND. (K .LT. 10)) FLAG1=FLAG1+1
10) .AND. (K .LT. 20)) FLAG2=FLAG2+1
20) .AND. (K .LT. 30)) FLAG3=FLAG3+1
30) .AND. (K .LT. 40)) FLAG4=FLAG4+1
40) .AND. (K .LT. 50)) FLAG5=FLAG5+1
50) .AND. (K .LT. 60)) FLAG6=FLAG6+1
IF
IF
IF
IF
IF
IF
((L
((L
((L
((L
((L
((L
.GE.
.GE.
.GE.
.GE.
.GE.
.GE.
0) .AND. (L .LT. 10)) FLAG1=FLAG1+1
10) .AND. (L .LT. 20)) FLAG2=FLAG2+1
20) .AND. (L .LT. 30)) FLAG3=FLAG3+1
30) .AND. (L .LT. 40)) FLAG4=FLAG4+1
40) .AND. (L .LT. 50)) FLAG5=FLAG5+1
50) .AND. (L .LT. 60)) FLAG6=FLAG6+1
IF
IF
IF
IF
IF
IF
((M
((M
((M
((M
((M
((M
.GE.
.GE.
.GE.
.GE.
.GE.
.GE.
0) .AND. (M .LT. 10)) FLAG1=FLAG1+1
10) .AND. (M .LT. 20)) FLAG2=FLAG2+1
20) .AND. (M .LT. 30)) FLAG3=FLAG3+1
30) .AND. (M .LT. 40)) FLAG4=FLAG4+1
40) .AND. (M .LT. 50)) FLAG5=FLAG5+1
50) .AND. (M .LT. 60)) FLAG6=FLAG6+1
IF
IF
IF
IF
IF
IF
((N
((N
((N
((N
((N
((N
.GE.
.GE.
.GE.
.GE.
.GE.
.GE.
0) .AND. (N .LT. 10)) FLAG1=FLAG1+1
10) .AND. (N .LT. 20)) FLAG2=FLAG2+1
20) .AND. (N .LT. 30)) FLAG3=FLAG3+1
30) .AND. (N .LT. 40)) FLAG4=FLAG4+1
40) .AND. (N .LT. 50)) FLAG5=FLAG5+1
50) .AND. (N .LT. 60)) FLAG6=FLAG6+1
C
C
FLAG7=0
IF (FLAG1 .GT. 1) FLAG7=1
IF (FLAG2 .GT. 1) FLAG7=1
23
�IF
IF
IF
IF
IF
C
C
C
C
C
C
C
(FLAG3
(FLAG4
(FLAG5
(FLAG6
(FLAG7
.GT.
.GT.
.GT.
.GT.
.EQ.
1)
1)
1)
1)
0)
FLAG7=1
FLAG7=1
FLAG7=1
FLAG7=1
FLAG=1
IF (FLAG1 .GT. 3) FLAG=1
IF (FLAG2 .GT. 3) FLAG=1
IF (FLAG3 .GT. 3) FLAG=1
IF (FLAG4 .GT. 3) FLAG=1
IF (FLAG5 .GT. 3) FLAG=1
IF (FLAG6 .GT. 3) FLAG=1
END
******************************************************************
SUBROUTINE CAT2(I,J,K,L,M,N,FLAG)
This subroutine determines if a ticket contain two sets of
two consecutive numbers.
INTEGER I,J,K,L,M,N,FLAGX,FLAG
FLAGX=0
IF (J .EQ. I+1) FLAGX=FLAGX+1
IF (K .EQ. J+1) FLAGX=FLAGX+1
IF (L .EQ. K+1) FLAGX=FLAGX+1
IF (M .EQ. L+1) FLAGX=FLAGX+1
IF (N .EQ. M+1) FLAGX=FLAGX+1
IF (FLAGX .GE. 2) FLAG=1
END
24
�Behavioral Assay to Determine Photosensitivity of EarlyStage Nauplii of the Brine Shrimp Artemia Franciscana
Ms. Christina M. Owens and Dr. Donald E. Stearns
Thesis research1 in partial fulfillment of requirements for Reflective Tutorial in Biology 2
Dark-adapted nauplii (< 55h posthatch) of the brine shrimp Artemia franciscana were tested
for sensitivity to different light intensities and wavelengths by measuring phototactic
responses. Positive, negative and total phototaxis, regardless of sign, were used as
behavioral measures to assay the sensitivity of nauplii to 16 different wavelengths (range =
410 to 710nm at 20-nm intervals) using two stimulus intensities: 1.0 x 10-4 µEm-2s-1
and 1.0 x 10-5 µEm-2s-1. The experimental organisms showed photosensitivity to a broad
range of wavelengths, with greatest sensitivity in the blue-green portion of the visible
spectrum (450-550nm range). Maximal photosensitivity of this naupliar-eyed organism
was estimated to be 5.0 x 10-7 µEm-2s-1 (= 3.0 x 1011 photons m-2s-1), found at λ = 530nm.
This photosensitivity was as great as or greater than similarly determined photosensitivities
of crustaceans with compound eyes, indicating that photosensitivity is not heightened by
complex, compound eye structures. Phototactic sign and degree of response depended on
the particular combination of wavelength and intensity of the stimulus light. There was
evidence of individual variation in phototactic sign, as well as phototactic sign switching.
A comparison of photoresponses to different stimulus intensities (6.0 µEm-2s-1, 1.0 x 10-4
µEm-2s-1, 1.0 x 10-5 µEm-2s-1) indicated that, instead of a direct correlation between
intensity and response, there is an optimal intermediate light intensity that elicits a greater
response than higher or lower intensities.
I. Introduction
Light is a major factor in many aquatic environments and serves as a selective
feature for the evolution of ecologically meaningful behaviors, here referred to as
photobehaviors. Light conditions vary from place to place and time to time. Organisms
have evolved different abilities to perceive light in different photoenvironments.
Plankton are “organisms that drift or float passively with the current in a sea or lake”
(Martin 1990). The term zooplankton refers to “the animal component of plankton. All
major animal phyla are represented in zooplankton, as adults, larvae, or eggs” (Martin
1990). Many zooplankters have evolved behavioral mechanisms to avoid visual
1
2nd Prize, Best Student Research Paper in Biology, 56th Annual Eastern Colleges
Science Conference in Niagara University, New York
2
This manuscript is included here for the purpose of displaying Wagner College
undergraduate research, not as an official publication. It is being submitted to the
Bulletin of the New Jersey Academy of Science for publication consideration.
25
�predation by fish. Many use light as a timing cue for nocturnal vertical migration
(Stearns and Forward 1984b, reviews by Forward 1988 and Haney 1988), which places
them in deeper, darker waters during the day when visual predation is highest, then in
surface waters at night, when visual predation is minimized. Many zooplankters also
exhibit nocturnal grazing on phytoplankton (“the plant component of plankton, consisting
chiefly of microscopic algae, such as diatoms and dinoflagellates” [Martin 1990]). These
zooplankters fill their otherwise transparent guts with green chlorophyll primarily at
night, again when visual predation is low (e.g. Arfi et al. 1992, Stearns 1986, review by
Haney 1988, Bollens and Stearns 1992). Zooplankton also show light-mediated
responses to the chemicals given off by visual predatory fishes and exhibit nocturnal
vertical migration and nocturnal grazing only in the presence of fish chemicals (Loose et
al. 1993, Cieri and Stearns 1999, Forward and Rittschof 1999).
Photobehaviors have commonly been used to determine the spectral and intensity
sensitivities to light shown by aquatic organisms (review by Forward 1988). If an
organism is particularly sensitive to a color or intensity, then it will behaviorally respond
more readily to that light stimulus compared to other colors or intensities. Thus,
sensitivity to light can be determined using a photobehavioral assay. Other methods for
determining which colors and light intensities are perceived by an organism include
electrophysiological measurements involving measurements of neural activity via
implanted electrodes, and absorption spectra using extracted visual pigments and
spectrophotometry (Forward 1976). However, the photobehavioral assay is a more
appropriate method to measure light perception by zooplankton for ecological discussion,
because photobehaviors of these animals are directly linked to ecologically meaningful
behaviors such as nocturnal vertical migration and nocturnal feeding.
Phototaxis is a behavioral response to a light stimulus that results in a directional
movement either towards (positive) or away from (negative) the light source (Schneider
and Stearns 1998). To understand natural photobehaviors of zooplankton, one must first
know the organism’s ability to perceive light at various light intensities and wavelengths-in other words, the organism’s photosensitivity. This research is essentially a behavioral
assay designed to determine the photosensitivity of early-stage, brine shrimp (Artemia
franciscana) nauplii at several different wavelengths and intensities.
Study Organism
Artemia franciscana has the following taxonomic classification (Pechenik 1991, Fox
2001 July 26):
Kingdom Animalia
Phylum Arthropoda
Subphylum Crustacea
26
�Class Branchiopoda
Superorder Sarsostraca
Order Anostraca
Family Artemiidae
Genus Artemia
Species Artemia franciscana
This crustacean is commonly called brine shrimp, although it is not, strictly speaking, a
true shrimp (Browne 1993). The life cycle (Fox 2001 July 26) usually includes a
dormant cyst (approximately 200 µm in diameter [U.S. Geological Survey 2001]) that
can be kept for many years if dry. Once hydrated, the cyst hatches into the first naupliar
stage (Figure 1). The nauplius is free swimming. It feeds on its own yolk sac while
developing through a series of instars. When the yolk sac is consumed, the nauplius
feeds on small algal cells and detritus, using hair-like structures, known as setae, on
antennae (U.S. Geological Survey 2001). After several molts, the postlarval (zoeal) stage
is reached, in which the organism resembles a small adult. The adult stage (Figure 2),
which is the sexually mature stage, is reached after a total of approximately 15 molts
(U.S. Geological Survey 2001). Adult brine shrimp are about 1.0 cm in length (U.S.
Geological Survey 2001). The newly hatched larvae have only one, unstalked, median
naupliar eye consisting of three pigment cups, while the adults develop two additional,
stalked, compound eyes (Fox 2001 July 26).
Artemia franciscana was the experimental species used in these experiments for
several reasons. It is relatively easy, fast, inexpensive, and space-efficient to raise this
species in the laboratory. Raising the organisms to the experimental age does not require
feeding (Fox 2001 July 26). The experimental animals are hardy and tolerate handling
and sorting well. The nauplii respond phototactically to appropriate light stimuli and are
large enough to be seen with the unaided eye. While the experimental procedure
involved movements in relation to highly directional lighting conditions and therefore
cannot be considered ecologically meaningful photobehaviors, the purpose of this
research--to determine spectral and intensity photosensitvities of A. franciscana earlystage nauplii--was accomplished using a photobehavioral assay.
II. Materials and Methods
Culturing and Collection of Experimental Artemia franciscana
All Artemia culturing, sorting and testing were done at room temperature (~23° C).
A 3-L plastic cake container was used to store the seawater supply used for hatching
Artemia franciscana cysts (30 ‰ S, made from distilled water and commercially
available synthetic sea salts [Instant Ocean® and Reef Crystals TM ], using a refractometer
27
�for salinity measurement). The bottom of a 2-L, plastic, soda bottle was removed. The
remaining portion was placed upside down on a metal ring stand, filled with
approximately 1 L of the prepared seawater and vigorously aerated using an air stone,
with the bottom used as a cover. Approximately ½ to 1 teaspoonful of Great Salt Lake A.
franciscana cysts (90% viability, Sanders Brine Shrimp Company Inc., Ogden, Utah) was
added to the soda bottle, then covered with the remaining part of the bottle to keep out
foreign particles. After approximately 48 h, a mixture of hatched nauplii, unhatched cysts
and cyst debris was collected using a standard turkey baster. The collection procedure
involved removing the air stone, thoroughly mixing the contents and collecting a sample
using the turkey baster while the organisms were still being carried by the mixed water.
The remaining contents of the soda bottle were discarded and the bottle and air stone
were rinsed and cleaned in preparation for another batch of Artemia cysts. Three sodabottle setups were in the laboratory and used on a staggered basis to guarantee a sample
of hatched Artemia nauplii every day.
Each collection was transferred to a large finger bowl (ID = 17.78 cm, height = 6.35
cm) partially filled with the prepared seawater. The collection was released into a
strainer (mesh size = 158 µm) placed in the center of the finger bowl. A haphazard subset
from this strainer was transferred to a smaller finger bowl (ID = 10.16 cm, height =
3.81cm) by first swirling the strainer contents, then collecting and transferring using a 3ml pipet. Once in the small finger bowl, the experimental nauplii were haphazardly
collected using the same procedure and transferred to small weighing canoes (length =
3.49 cm, width = 4.76 cm, height = 1.27 cm, Cynmar® Corp.), with contoured sides ideal
for pouring. The nauplii were sorted into 10 groups with 9-13 individuals per group. In
this fashion, the experimental nauplii were separated from the unhatched cysts and cyst
debris. Of a total of 400 groups, 15 groups contained 9 individuals, 362 contained 10
individuals, 21 contained 11 individuals and two contained 13 individuals. Although
there was some variation in group size, the size range was adequate for estimating
percent response. No group smaller than nine individuals was used. All collections were
completed well after sunrise between 0800 and 1200h Eastern Standard Time. All
experiments were completed well before sunset, to minimize possible variation due to
circadian rhythmicity in photosensitivity. All experimental groups collected in a day were
placed on a laboratory cart and transported to the experimental setup for testing. All
nauplii were no older than 55h (post hatch) at the time of testing; most were no older than
50h.
Experimental Setup and Procedure
The phototaxis experiments took place in a light-tight dark room. In this room the
experimental groups for the day were placed in the light-tight drawer with the darkroom
lights off for at least 1h to allow time for the test organisms to reach their level of
28
�maximal photosensitivity. After dark adaptation, the experimental organisms were tested
for phototactic responses to selected light intensities and wavelengths using a specially
designed apparatus (Figure 3).
The light source was an 83V, 300W, FHS lamp fitted inside a Kodak Carousel 4200
slide projector. Light intensity was controlled by the use of neutral density filters (Oriel
Corporation) placed in the path of the light beam using a filter holder attached to the lens
of the slide projector. These neutral density filters altered the light intensity without
changing the wavelengths. Wavelength was controlled by the use of interference filters (λ
range = 410 to 710nm at 20-nm intervals, 1/2 bandwidth = 5nm, Omega Optical)
similarly placed in the filter holder. To prevent light leaks, the slide projector was placed
inside a cardboard box with an opening only for the selected light stimulus. The box was
covered with black felt to absorb stray light; black felt was also placed under the box, on
the inside doorknob of the dark room, and over the entire work area for the same purpose.
Black electrical tape was used to frame each filter and to surround the opening in the
cardboard, to further ensure that there was no stray light leakage.
The test chamber was a plexiglass trough (inside dimensions: length = 15 cm, width
= 3.4 cm, height = 3.9 cm) divided into five equally-sized sections by removable
plexiglass partitions. The chamber was positioned so that the light stimulus passed along
its long axis (Figure 3). A laboratory jack was used to position the test chamber. The
jack was lined with black felt to absorb any scattered light that might pass through the
bottom of the test chamber. The inside of the distal wall of the test chamber was painted
with licorice colored acrylic paint (Plaid #938), to minimize internal reflection of light.
Other precautions were taken to minimize artifactual responses. The projector was
connected to a Sola constant voltage transformer designed to maintain constant output
even in the presence of fluctuations in power from the wall outlet, thus ensuring
constancy of the stimulus light intensity throughout the experiment. Possible problems
due to vibrations from the constant voltage transformer were minimized by wrapping it in
foam rubber and placing it in a plastic container (Tucker tote, Tucker Housewares) in a
darkroom cabinet on the opposite side of the experimental station. Results using the dark
control samples, with the slide projector fan on only, showed no evidence of skewed
distribution of individuals that would otherwise indicate a directional response to
vibrations (see Results). All testing was done at approximately the same temperature
(23° C) and salinity (30 ‰ S) to avoid possible effects of changes in these environmental
factors on phototactic behavior reported by Seifert (1932) for Artemia.
The selected light intensity was measured by placing the quantum light sensor
(Model LI-190SA, LI-COR®) in the center of the test chamber's outer wall closest to the
light source, with the sensor facing the light source (Figure 3). The sensor was connected
to a Model LI-1400 dataLOGGER (LI-COR®) used to record the quantal light intensity.
For light readings, one person positioned the light sensor while an assistant read the
29
�digital intensity measurements from a meter located in a sink on the other side of a
vertical dark curtain, using a dim light that did not reach the experimental setup.
A weighing canoe containing the dark-adapted nauplii was removed from the lighttight drawer in complete darkness. The nauplii were gently poured into the center section
of the test chamber, which had been previously filled with 70ml seawater with the
partitions already inserted. The canoe was then gently rinsed with seawater to ensure
successful transfer of all nauplii to the test chamber. This transfer was performed in
complete darkness. By placing the experimental organisms in the center chamber, each
individual would have an equal probability of moving toward or away from the light
source.
The nauplii were left in the center section of the test chamber for 1 min to allow
sufficient time to recover from the transfer process. All timing was done using a
stopwatch placed in a deep sink behind a vertical dark curtain. After 1 min, the stimulus
light was turned on and the partitions were simultaneously lifted from the test chamber.
The light stimulus remained on for 90s to allow the nauplii sufficient time to swim to
either end of the test chamber. Schneider and Stearns (1998), using a similar setup and
the same development stage of Artemia franciscana, found that 90s was sufficient
exposure time for each experiment. After the 90-s stimulus period, the partitions were
reinserted in the test chamber, the stimulus light was turned off, the overhead light was
turned on and the number of nauplii in each section was counted visually. Those
individuals found in the section closest to the light source were considered positively
phototactic, while those found in the section furthest from the light source were
considered negatively phototactic. Those nauplii found in the three remaining sections
were not considered to be phototactic. Percent positive and percent negative phototaxis
was determined for each experimental group. After the counts were made, the contents
of the test chamber were emptied into the darkroom sink and the test chamber was rinsed
with clean seawater. The test chamber was then repositioned on the laboratory jack,
realigned with the stimulus light beam, filled with 70ml fresh sea water and the partitions
were reinserted in preparation for the next run.
Using this procedure, Artemia franciscana nauplii were tested for phototactic
sensitivity to 16 different wavelengths (λ range = 410 to 710nm at 20-nm intervals,
½ bandwidth = 5nm, Omega Optical), all tested at both 1 x 10-4 and 1 x 10-5 µEm-2s-1.
Dark controls were tested in the same manner except that the stimulus light was not
turned on. The data collected were used to estimate response spectra for positive
phototaxis and negative phototaxis. By combining positive and negative phototaxis, total
phototactic responsiveness was used to describe a response spectrum for phototaxis
independent of sign.
Using the wavelength 530nm, the nauplii were similarly tested for phototactic
responses to seven different light intensities (1 x 10-4, 1 x 10-5, 1 x 10-6, 5 x 10-7, 2.3 x 10-7,
30
�1.6 x 10-7, and 1 x 10-7 µEm-2s-1). Intensity threshold for light perception was estimated
using this behavioral assay. For each wavelength/light intensity treatment, at least 10
replicates were tested, and at least nine nauplii were tested in each group. No organism
was used more than once.
Statistical Analysis
Before performing parametric statistical analyses, all percentage data were arcsinetransformed and tested for homoscedasticity using the Fmax-test for homogeneity of
variances (Sokal and Rohlf 1995). The transformed data were then tested using Model I,
one-way analysis of variance with equal sample sizes (Sokal and Rohlf 1995) followed
by the T-method for multiple comparisons among pairs of means based on equal sample
sizes (Sokal and Rohlf 1995), with α set to 0.05. To achieve equal sample sizes (n = 10
replicates), 10 data points were randomly eliminated from the dark controls, and five data
points were randomly eliminated from λ = 510nm at light intensity = 1 x 10-4 µEm-2s-1
and λ = 530nm at light intensity = 1.6 x 10-7 µEm-2s-1.
III. Results
Results of Spectral Sensitivity Experiments
Photoresponsiveness of dark-adapted Artemia franciscana nauplii to each
wavelength of the two stimulus intensities (1.0 x 10-4 µEm-2s-1, 1.0 x 10-5 µEm-2s-1) was
estimated by percent positive phototaxis, percent negative phototaxis and percent total
phototaxis regardless of sign. For the dark controls, the percent found in the section
closest to the slide projector averaged 8.0% + 13.17% SD (n = 10 replicates), the percent
found in the section furthest from the projector averaged 8.0% + 7.89% SD (n = 10
replicates), and the percent found in both end sections combined averaged 16.0% +
12.65% SD (n = 10 replicates).
When testing for positive phototaxis at a stimulus intensity of 1.0 x 10-4 µEm-2s-1, the
Model I, one-way ANOVA showed significance when all wavelengths and the dark
control were tested together (Fs = 11.58; df = 16, 153; p << 0.001). The subsequent Tmethod for multiple comparisons among pairs of means showed that, of the 16 tested
wavelengths, only 410, 690, and 710nm significantly differed from the dark control when
tested with α set to 0.05. The response spectrum for positive phototaxis at 1.0 x 10-4
µEm-2s-1 is shown in Figure 4.
When testing for positive phototaxis at a stimulus intensity of 1.0 x 10-5 µEm-2s-1, the
Model I, one-way ANOVA showed significance when all wavelengths and the dark
control were tested together (Fs = 5.44; df = 16, 153; p << 0.001). The subsequent Tmethod for multiple comparisons among pairs of means showed that, of the 16 tested
31
�wavelengths, only 510 and 530nm significantly differed from the dark control when
tested with α set to 0.05. The response spectrum for positive phototaxis at 1.0 x 10-5
µEm-2s-1 is shown in Figure 5.
A comparison of these two figures reveals a light intensity effect on the response at
selected wavelengths. For example, at 510nm, the nauplii showed a nonsignificant 0%
positive response when tested at 1.0 x 10-4 µEm-2s-1, compared with a highly significant
35.7% positive response when tested at 1.0 x 10-5 µEm-2s-1 (T-method for multiple
comparisons among pairs of means with α set at 0.01). The wavelengths showing
significant positive responses at the higher intensity did not overlap with those showing
significant response at the lower tested intensity (compare Figures 4 and 5).
A comparison of Figures 4 and 6 also reveals a wavelength effect on the type of
response at 1.0 x 10-4 µEm-2s-1. For example, at 690 and 710nm, the nauplii show
positive phototaxis, whereas they show negative phototaxis at many other wavelengths.
One interesting finding occurred at a wavelength of 410nm, where significant positive
and negative phototaxis were found. Since no significant negative phototaxis was found
at 1.0 x 10-5 µEm-2s-1, phototactic sign switching at different wavelengths was not found
at this intensity.
When testing for negative phototaxis at a stimulus intensity of 1.0 x 10-4 µEm-2s-1,
the Model I, one-way ANOVA showed significance when all wavelengths and the dark
control were tested together (Fs = 53.53; df = 16, 153; p << 0.001). The subsequent Tmethod for multiple comparisons among pairs of means showed that, of the 16 tested
wavelengths, the following 11 significantly differed from the dark control when tested
with α set to 0.05: 410, 430, 450, 470, 490, 510, 530, 550, 570, 590, 630nm. The
response spectrum for negative phototaxis at 1.0 x 10-4 µEm-2s-1 is shown in Figure 6.
When testing for negative phototaxis at a stimulus intensity of 1.0 x 10-5 µEm-2s-1,
the Model I, one-way ANOVA showed significance when all wavelengths and the dark
control were tested together (Fs = 4.05; df = 16, 153; p << 0.001). The subsequent Tmethod for multiple comparisons among pairs of means showed, however, that none of
the 16 tested wavelengths significantly differed from the dark control when tested with α
set to 0.05. The response spectrum for negative phototaxis at 1.0 x 10-5 µEm-2s-1 is
shown in Figure 7.
Using negative phototaxis as the measure of response, the intensity effect is even
more dramatic than that found earlier for positive phototaxis. While no significant
negative response was found for any tested wavelength at 1.0 x 10-5 µEm-2s-1, significant
responses at 1.0 x 10-4 µEm-2s-1 ranged from 31.4% to 97%. At the stimulus intensity
1.0 x 10-4 µEm-2s-1, negative phototaxis was much more evident than positive phototaxis
(compare Figures 4 and 6), whereas at the lower stimulus intensity of 1.0 x 10-5 µEm-2s-1,
the reverse was found (compare Figures 5 and 7). At 510 and 530nm, phototactic sign
32
�switching is evident, with significant positive phototaxis at 1.0 x 10-5 µEm-2s-1 and
significant negative phototaxis at 1.0 x 10-4 µEm-2s-1.
Since phototactic sign switching can occur, and since degree of response varies with
wavelength and intensity, total phototactic response regardless of sign may be a more
sensitive measure of photosensitivity than using positive or negative phototaxis alone.
When testing for total phototaxis, regardless of sign, at a stimulus intensity of 1.0 x 10-4
µEm-2s-1, the Model I, one-way ANOVA showed significance when all wavelengths and
the dark control were tested together (Fs = 37.62; df = 16, 153; p << 0.001). The
subsequent T-method for multiple comparisons among pairs of means showed that, of the
16 tested wavelengths, the following nine significantly differed from the dark control
when tested with α set to 0.05: 410, 430, 450, 470, 490, 510, 530, 550, 570nm. The
response spectrum for total phototaxis at 1.0 x 10-4 µEm-2s-1 is shown in Figure 8.
When testing for total phototaxis, regardless of sign, at a stimulus intensity of 1.0 x
-5
10 µEm2s-1, the Model I, one-way ANOVA showed significance when all wavelengths
and the dark control were tested together (Fs = 6.41; df = 16, 153; p << 0.001). The
subsequent T-method for multiple comparisons among pairs of means showed that, of the
16 tested wavelengths, only 510nm significantly differed from the dark control when
tested with α set to 0.05. The response spectrum for total phototaxis at 1.0 x 10-5 µEm-2s-1
is shown in Figure 9.
Results of Light Intensity Sensitivity Experiment Using 530-nm Light
Photoresponsiveness of dark-adapted Artemia franciscana nauplii to various
intensities at the same wavelength (530nm light) was also estimated by percent positive
phototaxis, percent negative phototaxis and percent total phototaxis regardless of sign.
The same dark controls used in the spectral experiments were used here. When testing for
positive phototaxis at λ = 530nm, the Model I, one-way ANOVA showed significance
when all intensities and the dark control were tested together (Fs = 8.65; df = 7, 72;
p << 0.001). The subsequent T-method for multiple comparisons among pairs of means
showed that, of the seven tested intensities, only one (1.0 x 10-5 µEm-2s-1) significantly
differed from the dark control when tested with α set to 0.05 (Figure 10).
When testing for negative phototaxis at λ = 530nm, the Model I, one-way ANOVA
showed significance when all intensities and the dark control were tested together (Fs =
48.74; df = 7, 72; p << 0.001). The subsequent T-method for multiple comparisons
among pairs of means showed that, of the seven tested intensities, the following three
significantly differed from the dark control when tested with α set to 0.05 (Figure 11):
5.0 x 10-7, 1.0 x 10-6, 1.0 x10-4µEm-2s-1.
When testing for total phototaxis, regardless of sign, at λ = 530nm, the Model I, oneway ANOVA showed significance when all intensities and the dark control were tested
33
�together (Fs = 35.85; df = 7, 72; p << 0.001). The subsequent T-method for multiple
comparisons among pairs of means showed that, of the seven tested intensities, the
following two significantly differed from the dark control when tested with α set to 0.05
(Figure 12): 5.0 x 10-7 and 1.0 x10-4µEm-2s-1. Since phototactic response indicates light
perception, regardless of the phototactic sign, Figure 12 was used to estimate the threshold
light intensity for visual detection by dark-adapted nauplii. This behavioral assay
estimated the threshold for visual perception to be approximately 5.0 x 10-7 µEm-2s-1.
IV. Discussion
The dark-adapted, naupliar-eyed Artemia franciscana nauplii showed phototaxis to
light intensities as low as 5.0 x 10-7 µEm-2s-1 (= 3.0 x 1011 photons m-2s-1). This
photosensitivity is similar (within an order of magnitude) to that estimated for the
naupliar-eyed nauplii of the barnacles Balanus improvisus (1.5 x 1012 photons m-2s-1,
Lang et al. 1979), Balanus balanoides (5.23 x 1010 photons m-2s-1, Barnes and Klepal
1972) and Elminius modestus (3.78 x 1011 photons m-2s-1, Barnes and Klepal 1972), the
compound-eyed zoeae of the mud crab Rhithropanopeus harrisii (2.8 x 1011photons m-2s-1,
Forward et al. 1984), as well as the adult, naupliar-eyed copepods Acartia tonsa (2.8 x
1011 photons m-2s-1, Stearns and Forward 1984a) and Mesocyclops edax (1.4 x 1011
photons m-2s-1, Swift and Forward 1983), the adult, naupliar-eyed and compound-eyed
Artemia salina (2.0 x 1012 photons m-2s-1, Bradley and Forward 1984) and the adult,
compound-eyed coastal mysid Praunus neglectus (7.0 x 1011 photons m-2s-1, Nicol 1959).
Other tested crustaceans appear to be much less photosensitive, such as the compoundeyed zoeae of the crabs Cancer gracilis (2.0 x 1013 photons m-2s-1), Hemigrapsus
oregonensis (7.5 x 1014 photons m-2s-1), Lophopanopeus bellus bellus (2.0 x 1013 photons
m-2s-1), Pagurus beringanus (2.0 x 1013 photons m-2s-1) and Pagurus granosimanus (2.0 x
1013 photons m-2s-1) (Forward 1987). These results suggest that structurally complex
compound eyes do not enhance photosensitivity over that achieved using naupliar eyes
alone.
The species of naupliar Artemia used in this research was the same species used in a
similar experiment by Schneider and Stearns (1998), having been obtained from the same
Great Salt Lake location through the same Sanders Brine Shrimp Company Inc., Ogden,
Utah, then delivered to Connecticut Valley Biological Supply Co., Inc., where it was sold
as Artemia salina instead of Artemia franciscana. Schneider and Stearns (1998) found a
threshold perception of light intensity of 8.6 x 10-6 µEm-2s-1, compared with the present
research’s somewhat lower threshold of 5.0 x 10-7 µEm-2s-1. Schneider and Stearns (1998)
used 450-nm light to estimate the threshold intensity, whereas the present research used
530-nm light. In both cases, the wavelength used for intensity perception was obtained by
examining the peaks in the response spectrum for total phototaxis, then using the
wavelength that appeared to show the greatest response at the tested intensity. Schneider
34
�and Stearns (1998) used a much higher stimulus intensity (6.0 µEm-2s-1) for their response
spectrum than was used in the present research (1.0 x 10-4 µEm-2s-1). At 6.0 µEm-2s-1,
average total phototactic responses were no higher than 65% at the peaks of the response
spectrum, even at λ = 450nm (Figures 2 and 3 of Schneider and Stearns 1998). In this
research, however, the total phototactic responses at 1.0 x 10-4 µEm-2s-1 exceeded 65% for
seven of 16 wavelengths and averaged 97% at λ = 530nm (Figure 8). These results
indicate that these nauplii can perceive light at intensities below those indicated by
Schneider and Stearns (1998). These results also show that degree of response is not
always directly correlated with the degree of stimulus. In this comparison, the same
developmental stage of the same species under similar conditions showed, for a number of
tested wavelengths, a much higher total phototactic response to a much lower stimulus
intensity.
At 1.0 x 10-4 µEm-2s-1, the nauplii were photosensitive to a broad range of
wavelengths, as measured by positive, negative or total phototaxis. The only tested
wavelengths showing no significant response were 610, 650, and 670nm. These results
indicate that the nauplii have several photopigments that collectively absorb light across a
broad spectrum. Schneider and Stearns (1998) also provided evidence of more than one
photopigment in their nauplii. Given the frequent changes in optical conditions that
characterize shallow waters and the concomitant changes in the light transmission
spectrum, it appears adaptive for a zooplankter living under such conditions to have
multiple photopigments for maintaining responsiveness in a changing optical
environment.
Artemia nauplii showed significant negative phototaxis at 11 of 16 tested
wavelengths when the intensity stimulus was 1.0 x 10-4 µEm-2s-1. When tested at 1.0 x
10-5 µEm-2s-1, however, the Artemia nauplii showed no significant negative phototaxis,
regardless of wavelength. These results may be due to low, less perceptible stimulus
intensity leading to decreased responsiveness. However, the experimental organisms can
perceive light intensities as low as 5.0 x 10-7 µEm-2s-1. Comparing positive responses for
the two tested stimulus intensities showed significant positive phototaxis at 410, 690, and
710nm at 1.0 x 10-4 µEm-2s-1; 510 and 530nm at 1.0 x 10-5 µEm-2s-1. However, at λ =
510nm, positive phototactic responsiveness was much greater (mean = 35.7%) at the
lower stimulus intensity than at the higher intensity (mean = 0%). It is clear from these
results that the naupliar phototactic response, in sign or degree, depends on the particular
combination of wavelength and intensity of the stimulus light.
It is of particular interest to note that, when tested at λ = 410nm at a stimulus
intensity of 1.0 x 10-4 µEm-2s-1, the nauplii responded with both significant positive
(~20%) and negative (~37%) phototaxis. Clearly, the nauplii were moving but not in a
single particular direction. Individual variation in phototactic sign may explain this
35
�result, or it may be the result of phototactic sign switching during the stimulus period.
For each of two stimulus intensities at λ = 450nm (2.4 x 10-5 and 7.7 x 10-4 µEm-2s-1),
Schneider and Stearns (1998) similarly reported both significant positive and negative
phototaxis for the same developmental stage of this species. Seifert (1932) found that
Artemia populations at some intensities split into photopositive and photonegative
groups. These results support the possibility of individual variation in sign of phototactic
response at least to some light stimuli. Additional research is needed to further
understand the underlying cause(s) for such variation. Given the unnatural light setup in
which these experiments were conducted, it is not appropriate to assume an adaptive
value for individual variation in phototactic sign in nature or to attempt to apply
ecological significance to it. Additional research using light stimuli that are found in the
natural environment is needed to determine the possible occurrence of this behavior in
nature.
For λ = 510nm and λ = 530nm, a comparison of Figures 5 and 6 shows that
significant positive phototaxis at a stimulus intensity of 1.0 x 10-5 µEm-2s-1 switches to
significant negative phototaxis at a stimulus intensity of 1.0 x 10-4 µEm-2s-1--direct
evidence of intensity-dependent, phototactic sign switching. Schneider and Stearns
(1998) also found evidence of intensity-dependent, phototactic sign switching in nauplii
of this species. For the same reasons stated in regard to individual variation in
phototactic sign, it is not appropriate to assume an adaptive value for phototactic sign
switching in nature or to attempt to apply ecological significance to it.
In summary, early-stage nauplii of Artemia franciscana showed photosensitivity to a
broad range of wavelengths, with greatest sensitivity in the blue-green portion of the
visible spectrum (450-550 nm range). Maximal photosensitivity was estimated to be 5.0
x 10-7 µEm-2s-1 (= 3.0 x 1011 photons m-2s-1), found at λ = 530nm. Phototactic sign and
degree of response depended on the particular combination of wavelength and intensity
of the stimulus light. There was evidence of individual variation in phototactic sign, as
well as phototactic sign switching. A review of the research literature revealed that A.
franciscana nauplii show similar photosensitivity when compared with many other tested
crustaceans, including larval stages, adults, those with naupliar eyes only, those with
compound eyes only, and those with both naupliar and compound eyes. There was no
evidence indicating enhanced photosensitivity of compound eyes compared with simple
nauliar eyes. A comparison of photoresponses to different stimulus intensities (6.0 µEm-2
s-1, 1.0 x 10-4 µEm-2s-1, 1.0 x 10-5 µEm-2s-1) indicated that, instead of a direct correlation
between intensity and response, there is an optimal intermediate light intensity that elicits
a greater response than higher or lower intensities.
36
�V. Acknowledgements
I give special thanks to Dr. Donald Stearns for his supervision of my research
and for his help at every stage of the project, especially with statistical analysis,
conceptual understanding of the research papers, figures and experimental design. I also
thank Dr. Zoltán Fülöp for allowing me access to the darkroom in the Megerle Science
Building and for his help in using a software program to generate figures. I also thank
Ms. Amanda Marks, Mr. Michael Burke, and Mr. Robert Svet for their assistance during
this project. I thank all members of my committee (Drs. Fülöp, Palestis, Pfister and
Stearns) for their time and effort in reading and evaluating this research.
VI. Literature Cited
1.
Arfi R, Leveau M, Pagano M. 1992. Diel variations of the filtering rate by the
copepod Acartia tonsa on the natural phytoplankton in Berre lagoon. CR Acad Sci
III-Vie 314: 213-218.
2. Barnes H, Klepal W. 1972. Phototaxis in Stage I nauplius larvae of two cirripedes. J
Exp Mar Biol Ecol 10: 267-273.
3. Bollens SM, Stearns DE. 1992. Predator-induced changes in the diel feeding cycle of
a planktonic copepod. J Exp Mar Biol Ecol 156: 179-186.
4. Bradley DJ, Forward EB Jr. 1984. Phototaxis of adult brine shrimp, Artemia salina.
Can J Zool 62: 2357-2359.
5. Browne RA. 1993. Sex and the single brine shrimp. Nat Hist 102(5): 34-39.
6. Cieri MD, Stearns DE. 1999. Reduction of grazing activity of two estuarine
copepods in response to the exudate of a visuial predator. Mar Ecol Prog Ser 177:
157-163.
7. Forward RB Jr. 1976. Light and diurnal vertical migration: photobehavior and
photophysiology of plankton. In Smith KC, editor. Photochemical and
photobiological reviews, Vol 1. New York: Plenum Publishing Corporation. p. 157209.
8. Forward RB Jr. 1987. A comparative study of crustacean larval photoresponses. Mar
Biol 94: 589-595.
9. Forward RB Jr. 1988. Diel vertical migration: zooplankton photobiology and
behaviour. Oceanogr Mar Biol Annu Rev 26: 361-393.
10. Forward RB Jr, Cronin TW, Stearns DE. 1984. Control of diel vertical migration:
photoresponses of a larval crustacean. Limnol Oceanogr 29: 146-154.
11. Forward RB Jr, Rittschof D. 1999. Brine shrimp larval photoresponses involved in
diel vertical migration: activation by fish mucus and modified amino sugars. Limnol
Oceanogr 44: 1904-1916.
12. Fox R. 2001 July 26. Artemia franciscana.
<http://www.science.lander.edu/rsfox/310artemiaLab.html> Accessed March 2002.
37
�13. Haney JF. 1988. Diel patterns of zooplankton behavior. Bull Mar Sci 43: 583-603.
14. Lang WH, Forward RB Jr, Miller DC. 1979. Behavioral responses of Balanus
improvisus nauplii to light intensity and spectrum. Biol Bull 157: 166-181.
15. Loose CJ, von Elert E, Dawidowicz P. 1993. Chemically-induced diel vertical
migration in Daphnia: a new bioassay for kairomones exuded by fish. Arch
Hydrobiol 126: 329-337.
16. Martin E (ed). 1990. A concise dictionary of biology. New York: Oxford University
Press. 266 p.
17. Nicol JAC. 1959. Studies on luminescence. Attraction of animals to a weak light. J
Mar Biol Ass United Kingdom 38: 477-479.
18. Pechenik JA. 1991. Biology of the invertebrates, 2nd ed. Dubuque, Iowa: Wm. C.
Brown Publishers. 567 p.
19. Schneider HM, Stearns DE. 1998. Phototactic responses of the brine shrimp Artemia
salina L. during the early naupliar stage of development. Bull New Jersey Acad Sci
43: 11-16.
20. Seifert R. 1932. Raumorientierung und phototaxis der anostraken Euphyllopoden
(Chirocephaulus und Artemia). Z vergl Physiol 16: 111-184.
21. Sokal RR, Rohlf FJ. 1995. Biometry. The principles and practice of statistics in
biological research. 3rd ed. New York: W.H. Freeman and Company. 887 p.
22. Stearns DE. 1986. Copepod grazing behavior in simulated natural light and its
relation to nocturnal feeding. Mar Ecol Prog Ser 30: 65-76.
23. Stearns DE, Forward RB Jr. 1984a. Photosensitivity of the calanoid copepod Acartia
tonsa. Mar Biol 82: 85-89.
24. Stearns DE, Forward RB Jr. 1984b. Copepod photobehavior in a simulated natural
light environment and its relation to nocturnal vertical migration. Mar Biol 82: 91100.
25. Swift MC, Forward RB Jr. 1983. Photoresponses of the copepod Mesocyclops edax.
J Plank Res 5: 407-415.
26. United States Geological Survey. 2001 March 26. Brine shrimp and ecology of Great
Salt Lake. <http://ut.water.usgs.gov/shrimp/index.html> Accessed March 2002.
38
�Figure 1. Dorsal (left) and ventral (right) views of Artemia franciscana nauplius
(from Fox 2001 July 26)
Figure 2. Adult, female Artemia franciscana, viewed from the left (from Fox 2001
July 26)
39
�Figure 3. Diagram of laboratory setup for phototaxis experiments with Artemia
franciscana nauplii (from Schneider and Stearns 1998)
Figure 4. Percent positive phototactic response (mean, standard deviation) of < 55 h
posthatch Artemia franciscana nauplii when exposed to different wavelengths of
light of the same intensity (1 x 10-4 µEm-2s-1). Standard deviation bars were not
extended below the x-axis. n = 10 replicates of at least nine nauplii per replicate. DC
= dark control group; * = response that is significantly (p < 0.05) different from DC
40
�Figure 5. Percent positive phototactic response (mean, standard deviation) of < 55h
posthatch Artemia franciscana nauplii when exposed to different wavelengths of
light of the same intensity (1 x 10-5 µEm-2s-1). Standard deviation bars were not
extended below the x-axis. n = 10 replicates of at least nine nauplii per replicate. DC
= dark control group; * = response that is significantly (p < 0.05) different from DC
Figure 6. Percent negative phototactic response (mean, standard deviation)of < 55 h
posthatch Artemia franciscana nauplii when exposed to different wavelengths of
light of the same intensity (1 x 10-4 µEm-2s-1). Standard deviation bars were not
extended below the x-axis. n = 10 replicates of at least nine nauplii per replicate. DC
= dark control group; * = response that is significantly (p < 0.05) different from DC
41
�Figure 7. Percent negative phototactic response (mean, standard deviation)of < 55 h
posthatch Artemia franciscana nauplii when exposed to different wavelengths of
light of the same intensity (1 x 10-5 µEm-2s-1). Standard deviation bars were not
extended below the x-axis. n = 10 replicates of at least nine nauplii per replicate. DC
= dark control group; * = response that is significantly (p < 0.05) different from DC
Figure 8. Percent total phototactic response (positive + negative mean, standard
deviation) of < 55 h posthatch Artemia franciscana nauplii when exposed to different
wavelengths of light of the same intensity (1 x 10-4 µEm-2s-1). n = 10 replicates of at
least nine nauplii per replicate. DC = dark control group; * = response that is
significantly (p < 0.05) different from DC
42
�Figure 9. Percent total phototactic response (positive + negative mean, standard
deviation) of < 55 h posthatch Artemia franciscana nauplii when exposed to different
wavelengths of light of the same intensity (1 x 10-5 µEm-2s-1). Standard deviation
bars were not extended below the x-axis. n = 10 replicates of at least nine nauplii per
replicate. DC = dark control group; * = response that is significantly (p < 0.05)
different from DC
Figure 10. Percent positive phototactic response (mean, standard deviation) of < 55h
posthatch Artemia franciscana nauplii when exposed to different intensities of light
of the same wavelength (λ = 450 nm). Standard deviation bars were not extended
below the x-axis. n = 10 replicates of at least nine nauplii per replicate. DC = dark
control group; * = response that is significantly (p < 0.05) different from DC
43
�Figure 11. Percent negative phototactic response (mean, standard deviation) of <55h
posthatch Artemia franciscana nauplii when exposed to different intensities of light
of the same wavelength (λ = 450 nm). Standard deviation bars were not extended
below the x-axis. n = 10 replicates of at least nine nauplii per replicate. DC = dark
control group; * = response that is significantly (p < 0.05) different from DC
Figure 12. Percent total phototactic response (positive + negative mean, standard
deviation) of < 55 h posthatch Artemia franciscana nauplii when exposed to different
intensities of light of the same wavelength (λ = 450 nm). n = 10 replicates of at least
nine nauplii per replicate. DC =dark control group; * = response that is significantly
(p < 0.05) different from DC
44
�Increased Functionality and Copy Protection for Online
Images: Dynamic Flash Images and the Web
Jason W. Nadal and Dr. Adrian Ionescu
Presented at the 7th CCSC Northeastern Conference in Worcester, MA
Streaming data driven applets and pages is what drives today’s Internet. It is because of
this that ways need to be made to create interfaces between today’s technologies. Using
formats such as Macromedia’s SWF (shockwave) files, for its strength in streaming
multimedia and animation, the PHP Group’s PHP (Personal Home Page) files, for their
easy access to databases, and either MySQL or Microsoft SQL Server 2000, one can
create professional, dynamic presentations on the web that can be modified while
unattended on the server side.
One may either store the binary information from the images in a database, or simply link
to the location of the location, creating either a secure way to get to the data, or a network
of resources, that can then be processed by the PHP to be used dynamically; changing the
image that is linked to will change the image in the data-driven application immediately,
cutting down on any publishing or compiling time for the programmer.
This was done to create a single location for data that is easily transported between
servers. It may be expanded by creating more applications that use the same set of data,
or through other tables, accessible through either a drop-down menu, or links, or in the
case of flash, buttons. Different data sets may be chosen through time events, as well.
I. Introduction
Online copy protection is a gray area when considering jurisdiction and enforcement
of laws. While the actions of many on the Internet are questionable at best, because
copyright infringement is so rampant, they fail to be held accountable for their actions.
An example of this is the relative ease with which one may copy an image from a web
page, to be used either in another publication, or even another website. This prevents the
original author of the work for getting credit for it.
Since it is hard to find violators of online copyright, and even harder to get the
material removed, it is up to the website administrators to find ways to prevent copying
of online materials. The main method in use to copy images is the right-click method. A
visitor to a web site right-clicks on the image, and clicks “Save Picture As…” and can
simply enter a folder location and the file is transferred to be used as they wish. To
circumvent this, many websites have taken to disabling the right mouse button from their
websites. Some example code of this, shown in JavaScript, is in Listing 1.
45
�if (document.layers)
{document.captureEvents(Event.MOUSEDOWN);document.onmousedown=clickNS;}
else{document.onmouseup=clickNS;document.oncontextmenu=clickIE;}
document.oncontextmenu=new Function("return false")
Listing 1: JavaScript to Disable Right-Clicking
This works by intercepting the right clicks and calling a function instead of the
original context menu. The line “new Function(“return false”)” just pops up a message
window, completely circumventing the context menu. While this may succeed in
diverting some web visitors, it is growing less effective as those who search for these
images look for ways to circumvent this. In most cases, by going to the view menu, and
clicking source, one may find the uniform resource locator (URL) of the original image.
An example from Google.Com of an image URL follows:
<img src=images/res0.gif alt="Go to Google Home" border=0 width=110 height=58>
From this point, the user may enter the full URL (including the server) to get the
image, in this example, http://www.google.com/images/res0.gif . In essence, this may be
done very simply in a matter of about 30 seconds. A more complex way needed to be
created for images that are particularly in danger of being copied.
From its inception, Macromedia’s Flash did not provide an easy way to copy its
online movies, in the form of SWF files. One may not simply right-click a file to save it,
and browsers will not simply allow you to save it unless a link to just the file is created.
The method to circumvent this is very similar to that for images, where one searches for
the SWF reference within a page, but differs in that a new page must be created with a
link to that SWF movie, the page must be loaded, and then the user may right-click and
click “Save Target As…” in order to get the movie. However there is an added layer of
protection for the images held within. The author of an SWF file may choose to make it
protected, or read-only, thus putting a barrier between the person that copies the file, and
the image itself. In fact, even if there is no protection on the Flash movie, images cannot
be exported from the movie once they have been imported without additional programs.
Since SWF files do have this additional layer of protection, putting images into Flash
movies is a sound way to protect them from copyright infringes. This can be extended to
unprotected images via server-side processing using active server pages, such as either
Microsoft’s ASP or PHP Group’s PHP format. As shown in listing 1, images may be
stored in a central database, and transferred through server side COM+ DLLs to a form
that can be dynamically transformed into a Flash Movie.
46
�Figure 1: Online Images – From Database to SWF
II. Implementation Using PHP And MySQL
The first step in creating this solution was to create the database to store the images,
as well as an easy way for the server administrator to upload images to this database.
Any database server may be used, provided that a connection exists from the preferred
active server page format. In this case, since PHP was used for the database access,
MySQL was a natural choice. A table was created to store the long blob information,
which was actually the binary content of the image. Also stored is the file size, a type
descriptor for the row (in the case of an image, “file”), and a brief text description of the
image. Listing 2 shows the SQL command to create the table.
CREATE TABLE testjpgs
(
id INT(4) NOT NULL AUTO_INCREMENT PRIMARY KEY,
description CHAR(255),
bin_data LONGBLOB,
filename CHAR(255),
filesize CHAR(50),
47
�filetype CHAR(50)
);
Listing 2: SQL command for Image Data Table
At this point, the table needs to be filled with some initial images, requiring an
upload script to be made. To keep the project as concise as possible, a PHP script was
used to connect and upload the images, through a form on a web page. The code for this
is shown in Listing 3.
<?php
// store.php - (C)2001, Jason W. Nadal
//
modified from original version from Florian Dittmer
//PHP Script to insert a binary jpg or other image into a database table with the
//following specification:
//table creation line:
//
//
//
//
//
//
//
//
//
?>
CREATE TABLE testjpgs
(
id INT(4) NOT NULL AUTO_INCREMENT PRIMARY KEY,
description CHAR(255),
bin_data LONGBLOB,
filename CHAR(255),
filesize CHAR(50),
filetype CHAR(50)
);
<HTML>
<HEAD><TITLE>Store binary data into SQL Database</TITLE></HEAD>
<BODY>
<?php
print "book = ".$book;
// code that will be executed if the form has been submitted:
if ($submit) {
// connect to the database
// (you may have to adjust the hostname,username or password)
48
�MYSQL_CONNECT("localhost","root","");
mysql_select_db("imageDB");
$form_data_size = filesize($form_data);
$form_data_name = $form_data;
$data = addslashes(fread(fopen($form_data, "r"), filesize($form_data)));
$result=MYSQL_QUERY("INSERT INTO
".$book."(description,bin_data,filename,filesize,filetype) ".
"VALUES
('$form_description','$data','$form_data_name','$form_data_size','$form_data_type')");
$id= mysql_insert_id();
print "<p>This file has the following Database ID: <b>$id</b>";
?><img src="read.php?id=<?print"$id";?>"><?
MYSQL_CLOSE();
} else {
// else show the form to submit new data:
?>
<form method="get" action="store.php?book=<?$book?>" enctype="multipart/form-data">
File Description:<br>
<input type="text" name="form_description" size="40">
<INPUT TYPE="hidden" name="MAX_FILE_SIZE" value="1000000">
<INPUT TYPE="hidden" name="book" value="<?print $book;?>">
<br>File to upload/store in database:<br>
<input type="file" name="form_data" size="40">
<p><input type="submit" name="submit" value="submit">
</form>
<?php
}
?>
</BODY>
</HTML>
Listing 3: Store.PHP Source
49
�The MYSQL_CONNECT line needs to be modified to use the correct username and
password. The final product is shown below, in Figure 2. All the administrator needs to
do is to click the “Browse…” button and enter the description.
Figure 2: Store.PHP – The upload Script
From there, the image may be added from a disk or the server’s hard drive to the
database. To see the full contents of the database, an unprotected list with thumbnails was
made, to be stored in a secure directory on the server. In this way, the admin may see the
full quality, full sized image in order to add the images to pages. Listing 4 shows the code
for the image gallery, and Figure 3 shows the final result of this.
<html>
<head>
<title>Image Database</title>
</head>
<body bgcolor=black text=white marginwidth="0" marginheight="0" topmargin="0"
leftmargin="0">
<table border=1 bgcolor=black width=75%>
<tr>
<td><font face=Verdana, Arial, Helvetica, sans-serif size=2><b>ID</b></font></td>
<td><font face=Verdana, Arial, Helvetica, sans-serif size=2><b>Name</b></font></td>
<td><font face=Verdana, Arial, Helvetica, sans-serif size=2><b>Size</b></font></td>
<td><font face=Verdana, Arial, Helvetica, sans-serif size=2><b>Type</b></font></td>
<td><font face=Verdana, Arial, Helvetica, sans-serif size=2><b>Description</b></font></td>
<td><font face=Verdana, Arial, Helvetica, sans-serif size=2><b>Thumb</b></font></td>
50
�</tr>
<?
// Lister.php - (C)2001, Jason W. Nadal
//
modified from alternatingColors2.php by J. Nadal
//PHP Script to display entries in the image database with the following fields:
//
id INT(4) NOT NULL AUTO_INCREMENT PRIMARY KEY,
//
description CHAR(255),
//
bin_data LONGBLOB,
//
filename CHAR(255),
//
filesize CHAR(50),
//
filetype CHAR(50)
$connection=mysql_connect ('localhost', 'root', '');
$db=mysql_select_db ('imageDB');
//
$theQuery = "SELECT filename,description FROM testJPGs";
$theQuery = "SELECT filename,description FROM ".$book;
$result = mysql_query ($theQuery);
$colorNum=1;
$count=1;
//color alternator code:
$colors[1]="B0C4DE";
$colors[0]="F0F8FF";
$colorNum=0;
$color=$colors[0];
//dark
//light
while ($row = mysql_fetch_array($result))
{
//color alternater code begin
$colorNumOffset = $colorNum % 5;
if($colorNum%5 == 0)
{
if ($color == $colors[0]) {$color = $colors[1];}
else {$color=$colors[0];}
$colorNum=1;
}
else
{
$colorNum++;
}
//end color alternator code
51
�$name=$row["filename"];
$size=filesize($name)." b";
$type=filetype($name);
$desc=$row["description"];
print("<tr>
<td bgcolor=$color><font face=Verdana, Arial,
Helvetica, sans-serif size=2 color=black>$count</font></td><td bgcolor=$color><font
face=Verdana, Arial, Helvetica, sans-serif size=2 color=black>$name</font></td><td
bgcolor=$color><font face=Verdana, Arial, Helvetica, sans-serif size=2
color=black>$size</font></td><td bgcolor=$color><font face=Verdana, Arial, Helvetica, sansserif size=2 color=black>$type</font></td><td bgcolor=$color><font face=Verdana, Arial,
Helvetica, sans-serif size=2 color=black>$desc</font></td><td bgcolor=$color><a
href=\"../read.php?id=$count&book=$book\"><img border=0
src=\"../read.php?id=$count&book=$book\" height=100 width=100></a></td></tr>");
$count++;
}
?>
</table>
</body>
</html>
Listing 4: Lister.PHP source
Figure 3: Lister.PHP – The administrative image gallery
52
�This listing script utilizes another script to read a single image at a time from the
database, and return the blob data, in this case the binary data of the image, as an image.
This is done through the short Read.PHP file, in Listing 5.
<?php
// read.php - (C)2001, Jason W. Nadal
//PHP Script to view a binary jpg or other image from a database table
if($id) {
// you may have to modify login information for your database server:
@MYSQL_CONNECT("localhost","root","");
@mysql_select_db("imageDB");
$query = "select bin_data,filetype from ".$book;
$result = @MYSQL_QUERY($query);
$data = @MYSQL_RESULT($result,$id-1,"bin_data");
$type = @MYSQL_RESULT($result,$id-1,"filetype");
Header( "Content-type: $type");
echo $data;
};
?>
Listing 5: Store.PHP source code
Read.PHP is available only on the local network in order to only allow access to the
full JPEG version of the image for trusted machines. In this way, security is still
maintained. Read.PHP is only passed two variables: the row number of the image ($id),
and the specific table in the database where the image is located ($book). The result,
shown in Figure 4, is a URL that mimics an actual JPEG file.
53
�Figure 4: An example image from Read.PHP
At this point, the image needs to be taken and converted by the server to a Flash file.
This will be a single frame looping movie that just displays the image. For distinction, a
text field was added that displays “Protected Image.” This may be changed through
generator scripting, explained later.
Since there was not an existing prepackaged active template library (ATL) control
that would let the final page take an image from a URL to convert it into a single frame
SWF movie, one had to be created. ServerWriteJPEG.DLL is a COM+ ATL control
written in Java (specifically Microsoft’s Visual J++ 6.0) to do just that. The code for the
control is shown in Listing 6.
//JASON W. NADAL
//January, 2002
//ServerWriteJPEG.dll
//JAVA (Visual J++) Com+ DLL
//Reads a file from a web address, and writes that file to the
//Server's hard drive to the location given.
import java.awt.*;
import java.awt.event.*;
import java.net.*;
import java.io.*;
54
�import java.applet.Applet;
/**
* This class is designed to be packaged with a COM DLL output format.
* The class has no standard entry points, other than the constructor.
* Public methods will be exposed as methods on the default COM interface.
* @com.register ( clsid=9AC16B8C-466F-44FF-8702-4DCA956D28A5,
typelib=05AFCB28-DA82-4846-84FA-695BD3345B4D )
*/
public class WriteJPEG
{
//how to register a dll:
//regsvr32 c:\xyz\abc.dll
//how to unregister a dll:
//regsvr32 /u c:\xyz\abc.dll
public static void onCOMRegister(boolean register)
{
//No specific registration code is needed.
}
public String copyFileFromURL(String theURL, String outFile)
{
//takes the file at fileURL and copies it to a file
//on the server's hard drive, destFile
URL url;
try
{
url = new URL(theURL);
File outputFile = new File(outFile);
URLConnection conn = url.openConnection();
InputStream in = conn.getInputStream();
FileOutputStream out = new FileOutputStream(outputFile);
int c;
while ((c = in.read()) != -1)
out.write(c);
in.close();
out.close();
}
55
�catch (Exception exc) {}
return "Finished.";
}
public String copyFile(String inFile, String outFile)
{
//copies a file from the server to another location on the server.
File inputFile = new File(inFile);
File outputFile = new File(outFile);
try
{
FileInputStream in = new FileInputStream(inputFile);
FileOutputStream out = new FileOutputStream(outputFile);
int c;
while ((c = in.read()) != -1)
out.write(c);
in.close();
out.close();
}
catch (Exception exc) {}
return "Finished.";
}
}
Listing 6: ServerWriteJPEG.JAVA source code
A temporary image file now exists on the server. This paves the way for the file to be
converted into a single frame flash image. A prepackaged DLL, J2S.DLL already exists
for the purposes of taking a file on a server and making a single frame movie. Now that
the image is on the server’s hard drive, the component J2S.Converter.1 has the method
Convert, which takes two file arguments, input and output, and generates an SWF file on
the backend when the client requests a page. In the Java ATL control, the
copyFileFromURL() method provides the interface to move the file from the LAN onto
the server.
Swift-Generator (swiftgen.exe), is a CGI program written in C/C++ that allows the
programmer to add dynamic content to a Flash movie. It takes one argument, the
location of the SWS scripting file (ie: “/CGI/SWIFTGEN.EXE?SWS=
/ASSETS/SWS/MOVIE.SWS”). Swift-Generator then compiles the published SWT
template file along with any assets mentioned in the SWS scripting file and creates the
final compiled movie, at the time the page is requested. The scripting file used in the
example is shown in Listing 7a.
56
�% Jason Nadal
%
(c)2002
%
mainMovie.sws
Swift-Generator Scripting file
%
Script template from Template file mainMovie.swt
%
compiles the Template File (mainMovie.swt) with the assets into the final
%
result SWF movie when called with Swift-Generator CGI program.
INPUT "../php/ccsc/flashMovie/mainMovie.swt"
% Output for testing
%OUTPUT "export.swf"
% Output for CGI
OUTPUT -cgi "-"
% Font definitions
% FONT 4 is Times New Roman (224 glyphs)
SUBSTITUTE TEXT 5 {
FONT 4 HEIGHT 24 KERNING 0.98 COLOR #ffff80
STRING "Image Gallery - Protected Image"
}
Listing 7a: MainMovie.SWS Generator Scripting File
To get this scripting file, an initial Flash movie needs to be created with the
placeholder for the image, as well as any text fields that are wanted. The main movie file,
named MainMovie.FLA in the example, contains a separate movie instance from _ROOT
which loads the generated single frame looping image movie using the command:
LOADMOVIE(“IMAGE.SWF”,_ROOT.SPOTFORMOVIE);
This will change dynamically without changing the flash source every time the client
requests an image.
The movie is then exported to a template file, in the form of SWT. The file may
be fed into SWIFTGEN.EXE and the resources dumped to a skeleton scripting file,
which is modified to the final scripting file in Listing 6. The movie location is added to
an object to be displayed via the final asp page, as shown in Listing 7b.
<BODY bgcolor=black text=white>
<OBJECT classid="clsid:D27CDB6E-AE6D-11cf-96B8-444553540000"
codebase="http://download.macromedia.com/pub/shockwave/cabs/flash/s
wflash.cab#version=5,0,0,0"
WIDTH=450 HEIGHT=350>
57
�<PARAM NAME=movie
VALUE="http://1.1.0.9:5080/cgibin/swiftgen.exe?sws=../php/ccsc/flashMovie/mainMovie.sws">
<PARAM NAME=quality VALUE=high>
<PARAM NAME=bgcolor VALUE=#000000>
<EMBED src="http://1.1.0.9:5080/cgibin/swiftgen.exe?sws=../php/ccsc/flashMovie/mainMovie.sws"
quality=high bgcolor=#000000 WIDTH=450 HEIGHT=350
TYPE="application/x-shockwave-flash"
PLUGINSPAGE="http://www.macromedia.com/shockwave/download/index.cgi?
P1_Prod_Version=ShockwaveFlash">
</EMBED>
</OBJECT>
</BODY>
Listing 7b: HTML Markup for SWF Movie
Note that in this scenario, even if a user does look at the source code and recognize the
image as a Flash movie, they must discover that the results of the CGI program must be
an SWF file, and decide how to get that file, before even trying to recover the image from
within.
ShowResult.ASP is the container that holds all of the elements of the protection
scheme. It contains the calls to all of the COM+ components to do all of the dirty work
of creating the copy of the LAN image, the single frame Flash movie, and the final result
window. The code for this is shown in Listing 8.
<%@ Language = "VBScript" %>
<% Response.Buffer = True %>
<html>
<head>
<%
theImageName = Request("name")
Response.Write("<title>Show Protected Image -")
Response.Write(theImageName)
Response.Write("</title>")
%>
<body topmargin="3" leftmargin="3" marginheight="0" marginwidth="0" bgcolor="#000000"
link="#000066" vlink="#000000" alink="#0000FF" text="#FFFFFF">
<%
58
�Set myObject2 = Server.CreateObject("ServerWriteJPEG.WriteJPEG")
theURL="http://1.1.0.9:5080/php/ccsc/read.php?id="
theID = Request("id")
theBook = Request("book")
getBook = "&book="
theURL=theUrl+theID+getBook+theBook
result = myObject2.copyFileFromURL(theURL,
"d:\xitami\webpages\php\ccsc\imageTemp\image.jpg")
Set myObject = Server.CreateObject("J2S.Converter.1")
myObject.FlashVersion = 5
Response.write("theURL=")
Response.write(theURL)
%>
<br>
<%
result = myObject.Convert("d:\xitami\webpages\php\ccsc\imagetemp\image.jpg",
"d:\xitami\webpages\php\ccsc\flashMovie\image.swf")
%>
<br>
<iFrame src="http://1.1.0.9:5080/php/ccsc/flashMovie/showMovieSwiftGen.php" width="460"
height="360"
border="0" frameborder="0" scrolling=no>
</iFrame>
</body>
</html>
Listing 8: ShowResult.ASP source code
A form for the gallery was made to fully demonstrate the final result, since the
original process from Figure 1 is complete at this point. This was done in PHP to allow
the addition of other tables ($book). The code is shown in Listing 9, with the web view
shown in Figure 5 below it.
<!DOCTYPE HTML PUBLIC "-//W3C//DTD HTML 4.0 Transitional//EN">
<HTML>
<HEAD>
<TITLE> Image Form </TITLE>
<META NAME="Generator" CONTENT="EditPlus">
<META NAME="Author" CONTENT="">
<META NAME="Keywords" CONTENT="">
<META NAME="Description" CONTENT="">
</HEAD>
59
�<BODY bgcolor="#000000" text="#FFFFFF">
<form action="http://172.16.0.98/imageForm/showResult.asp?book=<?print $book?>"
method="GET" target="bottom" name="thisForm">
<?
// imageForm.php - (C)2002, Jason W. Nadal
//
modified from store.php by J. Nadal
//PHP Script to display entries in the image database with the following fields:
//
id INT(4) NOT NULL AUTO_INCREMENT PRIMARY KEY,
//
description CHAR(50),
//
bin_data LONGBLOB,
//
filename CHAR(50),
//
filesize CHAR(50),
//
filetype CHAR(50)
//format is display as radio buttons with the labels as the file descriptors
//
$connection=mysql_connect ('localhost', 'root', '');
$db=mysql_select_db ('imageDB');
$result = mysql_query ("SELECT description FROM testJPGs");
$result = mysql_query ("SELECT description FROM ".$book);
$count=1;
while ($row = mysql_fetch_array($result))
{
$desc=$row["description"];
$line = "<input type=\"radio\" name=\"id\" value=\"".$count."\"
onclick=\"document.thisForm.submit();\">".$desc."<br>";
print($line);
$count++;
}
?>
<input type="hidden" name="book" value="<?print $book?>">
</FORM>
</BODY>
</HTML>
Listing 9: FormMain.PHP source code
60
�Figure 5: The Completed ImageForm.PHP
The form shown in Figure 5 consists of radio boxes corresponding to all rows of
the selected table ($book). For each radio box, the image descriptor taken from the
description field in the database is used as the title of the image. The original file
names are never shown, adding some additional security to the file. The conventional
way of images is shown below in Figure 6, using the insecure Read.php (which
should be put in a secure location of the server, since by itself it is insecure). Lastly,
the final SWF movie is shown in Figure 7, with all security in place.
Figure 6: The conventional method of saving images
61
�Figure 7: The new protected SWF image
62
�Speciation of Arsenic Metabolic Intermediates in Human
Urine by Ion-Exchange Chromatography & Flow Injection
Hydride Generation Atomic Absorption Spectrometry
Sarah Alauddin and Dr. Mohammad Alauddin
Presented1 at the 56th Eastern Colleges Science Conference in Niagara, NY
Biomethylation is considered as the principal metabolic and detoxification pathway for
inorganic arsenic in human. The end products of methylation are less toxic and more
readily excreted through urine. Therefore, speciation of metabolites in urine is essential to
a better understanding of arsenic metabolism, health effects and detoxification ability of
individuals exposed to arsenic through drinking water, food and environmental materials.
Speciation of inorganic and methylated arsenic in urine is an analytical challenge. We
have developed a technique for separating and analysis of various arsenic species, such
as, arsenite, arsenate, monomethylarsonic acid (MMA) and dimethylarsinic acid (DMA)
in urine. The technique is based on chromatographic separation followed by flow
injection hydride generation atomic absorption spectrometry (FI-HG-AAS). Arsenite
(AsIII) was found to be the major component in urine. The detection limit varies from 1.0
– 2.0 µg/l for various species. The technique has been successfully applied to speciation
of arsenic metabolite intermediates in urine samples collected from patients in
Bangladesh. Results from our findings from an arsenic affected area in Bangladesh will
be discussed. The technique will permit us to carry out routine arsenic speciation in
biological tissues, essential for toxicological and epidemiological studies.
I. Introduction
Bangladesh is in the grip of worst mass poisoning the world has ever witnessed. This
poisoning is taking place from drinking arsenic contaminated groundwater, typically
pumped by a hand pump attached to tube well. Arsenic contamination in groundwater is
nothing new to developed countries. Previously arsenic contamination of groundwater
has occurred in Chile, Argentina, USA, inner Mongolia, Hungary, New Zealand, West
Bengal, India. But the case of Bangladesh is the worst.
The maximum permissible level of arsenic in drinking water in Bangladesh is 50
microgram per liter. About 80 million people of Bangladesh are drinking water over this
limit. About 35 million children are at risk of developing arsenicosis. The extent of
arsenic contamination in Bangladesh groundwater has surpassed all previous incidences
1
Received award for Outstanding Presentation in Chemistry
63
�recorded anywhere in the world. Currently the USA drinking water permissible level is 5
microgram per liter. In Bangladesh, arsenic levels in groundwater in some of the severely
affected areas like Kushtia, Comilla, Chandpur, Noakhali and Barisal range from 600 to
3200 microgram per liter. The highest recorded arsenic level so far is 4720 microgram
per liter of water (1).
Absorption of arsenic at levels of few hundred microgram per liter has led to cancers
of bladder, skin, lung and some non-cancer effects such as melanosis and keratosis in
different parts of the world including Bangladesh (2,3). Chronic arsenic poisoning cases
result from the ingestion and absorption of inorganic arsenic from groundwater (2, 4).
Once the arsenic is ingested, partly it is excreted through urine, hair and nail. The body
then tries to detoxify arsenic. Inorganic arsenic, As(III) and As(V) undergo
biomethylation in the human body through a series of reaction. The final products are less
toxic metabolites, such as, monomethyl arsonic acid (MMA), dimethyl arsinic acid
(DMA) and these are readily excreted through the urine (5). The toxicity decreases from
inorganic arsenite and arsenate to MMA and DMA, the biomethylation of arsenic in the
body is considered as a major detoxification pathway (6). The conversion of inorganic
arsenic to organic arsenic in the biological system does not stop here. The organification
of arsenic leads to the formation of trimethyl arsine oxide (TMAO), arsenobetaine and
arsenocholine. In human, the biomethylation occurs mostly in the liver. The actual
methylation process involves reduction of pentavalent arsenic to trivalent state followed
by addition of a methyl group from the methyl donor S-adenosylmethyonine (SAM) (7).
The metabolites MMA, DMA are commonly observed in the urine of people exposed to
inorganic arsenic (7). The methyl donor after donating its methyl group, itself is
converted to S-adenosylhomocysteine (SAH). The regeneration of SAM from SAH is
possible by 5,10-methyltetrahydrofolate, vitamin B6 and B12. So if we analyze urine
sample from arsenic affected people and check the concentration of MMA and DMA we
can tell who is methylating and detoxifying arsenic and who is not. It is believed that
good nutrition and methionine rich food may help an individual in methylating arsenic.
II. Objectives of the study
1.
2.
3.
4.
Estimate recent exposure to arsenic by individuals in a seriously affected area in
Bangladesh.
Determine key arsenic metabolites, such as arsenite, arsenate, monomethylarsonate
(MMA),
dimethylarsinate (DMA) in urine of patients from affected area.
Determine MMA/DMA ratio for male, female adults and children.
Estimate the extent of methylation by the individuals in the same area. Presence or
absence of methylated arsenic (MMA, DMA) in urine will indicate relative
detoxification ability and nutritional intervention can be recommended.
64
�III. Methodology
The samples were collected from Hajiganj, Bangladesh in January 2002. Dr.
Alauddin visits this area with his Bangladesh collaborating institution, International
Center for Diarrhea and Disease Research. I visited Bangladesh in March 2002 and
worked with Dr. Alauddin’s research group in Dhaka, Bangladesh. The analytical
technique for measuring inorganic and methylated arsenic species in human urine
involves (a) separation of different chemical forms of arsenic and then (b) detection of
arsenic species by hydride-generation atomic absorption spectroscopy (HG-AAS). The
flow sheet for the methodology is given in Figure 1. The separation is based on ionexchange chromatography. The arsenic species like, arsenite occurs as aneutral species,
arsenate and MMA occur as anion and DMA occurs as cation in body pH. So anion and
cation exchange columns retain these species, while arsenite is not retained by columns.
The retained arsenic species are then washed out of columns with hydrochloric acid and
acetic acid buffers (Figure 1) . The method development was presented by Dr. M.
Alauddin previously in an overseas seminar(8).
We followed HG-AAS method for measuring arsenic. In this method, hydrogen gas
is produced by the reaction of sodium borohydride and hydrochloric acid. Arsenic from
sample, then reacts with hydrogen to form arsine vapor (AsH3) which is then transported
to a quartz tube placed in a burner. The arsine vapor breaks into arsenic atoms. The
arsenic atoms then absorbs light (193.7 nm wavelength) from a arsenic lamp and the
absorbance is proportional to concentration of arsenic in sample. The AAS is calibrated
with known standard solutions of arsenic.
IV. Results
The detection limit for all the species ranged from 1 to 2 microgram per liter of
sample. In almost all samples from male and female individuals it is observed that
arsenite is the major species present in urine and the amount of both MMA and DMA are
very low (Table I). Only the average values for male and female groups are indicated in
the following table. The detailed data were presented in the Eastern Colleges Science
Conference 2002 at Niagara University (9). In the first column, the parentheses show the
number of samples analyzed. Arsenite (As3+) is the most toxic form of arsenic in this
group and most of the arsenic in urine is arsenite and least toxic DMA is rather low.
The methylated arsenic species in urine indicate the degree of individual
detoxification ability. A low concentration of MMA and DMA in urine indicate a high
degree of arsenic retention in the body and the person needs help in methylating arsenic
from the body. Our current study is very important in Bangladesh, because, arsenic
speciation in urine allows us to screen patients who are poor methylator and at risk of
developing severe form of arsenicosis and cancer. In that case, vitamin and nutrition
supplements may help biomethylation and detoxification. Of course, the individual must
stop drinking arsenic contaminated water.
65
�Figure 1. Flow sheet of the separation of arsenic species in urine and detection by HG-AAS
Table I. Arsenic speciation in Male-Female urine samples (average values)
(unit: microgram per liter urine)
_______ ________________________________________________________________
M/F
As(part.)
As(III)
As(V)
MMA
DMA
MMA/DMA
Male(8)
3.85
117
15.2
5.51
25.4
0.25
Female(12)
3.18
126
32.2
7.26
25.5
0.35
66
�V. Conclusions
1.
Solid phase extraction (SPE) through ion exchange columns permits speciation of
major arsenic metabolites in urine.
2. SPE is a slow separation process, only 2 to 3 samples could be separated and
analyzed in a day. Routine speciation of large number of samples will require
adoption of high performance liquid chromatography technique.
3. Arsenite was the major component in urine of all individuals tested, MMA/DMA
ratio indicates poor methylation capacity by all patients, most likely due to poor
nutrition status.
4. Purification of key enzymes and measurement of enzyme activities involved in
arsenic methylation, need to be carried out, nutrition definitely plays a role in
detoxification of arsenic.
5. The speciation technique can be extended to crops, vegetables grown in arsenic
affected areas.
Safe drinking water and good nutrition, along with proper hygiene and sanitation practice
are must for rural people in Bangladesh in combating what is shaping up as the worst
mass poisoning in the world.
VI. Acknowledgements
We acknowledge International Center for Diarrhea and Disease Research, Bangladesh
(ICDDR,B) for collecting the samples for us and the Intronics Technology Center,
Dhaka, Bangladesh for allowing me to analyze some samples in their facility. We
acknowledge Dr. George and Eva Megerle for funding this project.
VII. References
1. Chowdhury UK, Biswas BK, Chowdhury TR et al. Groundwater arsenic
contamination in Bangladesh and West Bengal, India. Env Health Perspectives, 108,
393-987 (2000).
2. National Research Council, Arsenic in drinking water, National Academy Press,
Washington, DC, 1999.
3. A. Chatterjee, D. Das B.K. Mandal, T.R. Chowdhury, G.Samanta, D. Chakraborti,
Analyst, 120, 643-650 (1995).
4. G. Samanta, T. R. Chowdhury, B.K. Mandel, B.K. Biswas, U.K. Chowdhury, G.K.
Basu, C.R. Chanda, D. Lodh and D. Chakraborti, Flow injection hydride generating
atomic absorption spectroscopy for determination of arsenic in water and biological
samples from Arsenic affected districts of West Bengal, India and Bangladesh,
Microchemical Journal, 62, 174-191 (1999).
67
�5. H.V. Aposhian, Enzymatic methylation of arsenic species and other new approaches
to arsenic toxicity, Annu Rev Pharmacol Toxicol, 37, 397-419 (1997).
6. H. Yamauchi, B.A. Fowler, In: Arsenic in environment, Part II: Human health and
ecosystem effects; J.O. Nriago, Ed., Wiley, New ,York, 35-43, 1994.
7. X.C. Le, X, Lu, M. Ma, W. R. Cullen, H. V. Aposhian, I. B. Zhang, Speciation of key
arsenic metabolic intermediates in human urine, Analytical Chemistry, 72, 5171-5177
(2000).
8. M. Alauddin, H. Bibi, D. Chowdhury, S. Islam, Speciation of key arsenic metabolites
in urine specimens, Seminar at the ICMH, March 12, 2001.
9. S. Alauddin and M. Alauddin, Speciation of key arsenic metabolic intermediates in
human urine by ion-exchange chromatography and HG-AAS, presented in Chemistry
session, Eastern Colleges Science Conference 2002, Niagara University.
68
�Popcorn PVP Induced by Purified EVP
Dawn Pothier and Dr. Susan Tseng
Presented1 at the 56th Eastern Colleges Science Conference in Niagara, NY
Without the addition of any free radical initiators, the crosslinking agent 1-vinyl-3ethylidenepyrrolidone (EVP) facilitates the polymerization of vinylpyrrolidone (VP) to
form popcorn polyvinylpyrrolidone (PVP). A pressure tube reactor was placed in a
heated glycerin oil bath. A solution of a known concentration of VP and approximately
2% EVP (based on the weight of VP monomer) was added to the reactor. Using a data
acquisition program, the temperature was recorded by a thermocouple probe connected to
a computer. Pictures of the reaction were also taken approximately every two seconds
with a digital camera and saved to the computer. In some reactions, other cross-linking
agents were substituted for EVP.
Temperature (ºC)
Once a PVP nucleus has formed, the monomer diffuses into the nucleus and reacts with
the active radical sites. The exothermic polymerization is observed as an expanding
popcorn-like formation. Measuring the temperature, the rate of the reaction of the system
at various monomer concentrations (60 – 80%) was analyzed. The results of the sStudy
indicated that the pre-polymerized PVP, trially-1,3,5-triazine-2,4,6-(1H, 3H, 5H)-trione
and N,N’methylenebisacrylamide did not react efficiently with the monomer. The
EVP/VP systems in Figure 1, show that the induction period lengthened and the peak
temperature dropped as the VP monomer concentration was decreased. Also, during the
200
150
80%
70%
60%
100
50
0
0:00:00
1:12:00
2:24:00
3:36:00
Time (hh:mm:ss)
Figure 1: Temperature Profile for EVP Induced Popcorn PVP with Varying
Monomer Concentrations
1
received outstanding presentation in Chemistry award
69
�Temperature (ºC)
nucleation period of the reaction, the temperature of a single nucleus polymerization
appeared to oscillate, while the ambient temperature remained relatively stable (shown in
Figure 2). This phenomenon is interpreted as the process of monomer diffusion and
propagation. More experimental evidence is needed before further conclusions are made.
98
97
96
95
94
93
92
91
90
89
88
12.0
38
36
34
32
30
28
22.0
32.0
42.0
52.0
Time (minutes)
Figure 2. Temperature Oscillation in the nucleation Stage
( - ■ – 80% VP with one nucleus, - ♦ - Ambient)
Hydrothermal Growth of Iron Sulfide Crystals
Richard Moses and Dr. Maria Gelabert
Presented at the 56th Eastern Colleges Science Conference in Niagara, NY
The chemistry of deep-sea hydrothermal chimneys involves anions other than oxygen,
most notably sulfur. In this anaerobic environment, minerals such as pyrite (FeS2) grow
readily on the inside of the chimneys and organisms metabolize hydrogen sulfide. In the
effort to better understand the sulfide chemistry in hydrothermal vents, a laboratory
investigation was conducted to determine optimum conditions for growth of sulfide
crystals. Most literature in hydrothermal synthesis involves study of compound classes
such as oxides and phosphates, not sulfides. Here, we report the crystal growth of iron
sulfides under hydrothermal conditions in the presence of ammonia. Experimental
conditions such as concentration and reactants were monitored. Optimum conditions for
growth of iron sulfide crystals will be discussed.
70
�Gases and Thermostatistics
Randye Joy Shanfeld, Steven R. Corn and Dr. Gregory J. Falabella
Presented at the 55th Eastern Colleges Science Conference in Wilkes Barre, PA
Physical systems are often analyzed from a large-scale or macroscopic point of view. The
substances of which they are comprised are assumed to be continuous and governed by gross
or average effects. This is done to keep problems tractable from a computational point of
view. In reality, the behavior of the individual molecules determines the observed properties
and the concept of a continuum has limitations. This research effort is an investigation into
the actions of the individual molecules of a gas. Emphasis is on the validity of the kinetic
molecular theory of gases and the associated Maxwell-Boltzmann distribution for a system
containing a small number of molecules and relatively short mean free paths (figure 1).
Procedure
1.
Using the Kinetic Molecular Theory of Gases as a guide develop a mathematical model
which describes the motion of individual gas molecules confined to given region of
space.
2. Create a computer program to simulate the interactions between a given number of
molecules.
3. Use the code to determine if the velocities of each individual molecules fall into a
general pattern. Also, investigate what effect the total amount of energy contained in
the system has on the shape of this distribution.
4. Compare the results to accepted theory.
Maxwell-Boltzmann Distribution
The temperature of a gas is a measure of the net molecular motion but what about the
velocities of the individual molecules?
Maxwell-Boltzmann distribution- a characteristic distribution of molecular speeds which
depends on temperature (i.e. v2rms).
3
3
3v 2
−
−
⎛ m ⎞ 2 2 − mv
⎛ 2 2 ⎞ 2 2 2v 2rms
2 kT
P( v ) = 4π N ⎜
= 4π N ⎜ π v rms⎟ v e
⎟ v e
⎝3
⎠
⎝ 2π kT ⎠
1
Pr( v a ≤ v ≤ v b ) =
N
2
vb
∫ P( v )dv
va
Pr is the probability that a molecule has a speed between va and vb
N ≅Pr is the number of molecules moving at speeds in the range va#v#vb.
71
�Figure 1: Results indicating that the kinetic molecular theory of gases is a good
approximation for a system containing only a small number of molecules
in relatively close proximity.
72
�Experimental Analysis of the Hydrolysis
of Vinylpyrrolidone by Gas
Maryanne Gaul, Dr. Brian Palestis and Dr. Susan Tseng
Presented at the 56th Eastern Colleges Science Conference in Niagara, NY
The competing side reaction of the polymerization of polyvinylpyrrolidone is the
hydrolysis of vinylpyrrolidone. The hydrolysis is acid catalyzed as shown:
Therefore, the VP polymerization condition should be in relatively basic aqueous
solution. The purpose of this research is to define the best polymerization condition such
that the monomer solution is not hydrolyzed in the time frame of the polymerization
reaction. In order to do this, a good analytical method must be used to determine the
percentage of unhydrolyzed vinylpyrrolidone under each reaction condition. Gas
chromatography (Varian 3300) was utilized with a relatively non-polar capillary column
(DB5), and the technique of using an internal standard was applied.
N.N'Dimethylacetamide was selected as an internal standard because of its similar
molecular weight, polarity and of course retention time to VP. Response factors of these
two compounds will be determined. The hydrolysis reaction conditions that we chose to
investigate are the concentration of VP aqueous solution, the pH range form 4-8, third
reaction temperature, and fourth reaction time. A statistical computer program
(JPM/SAS Institute) will be used to establish a matrix, and all parameters will be able to
be studied simultaneously. All the reactions after completion will be subjected to GC
analysis to determine the % VP remaining intact, and the results from the GC analysis
will be subjected to statistical analysis. From this we can find the best reaction condition
to avoid vinylpyrrolidone hydrolysis. This paper reports the quantitative GC analytical
method of unhydrolyzed VP.
73
�Numerical Simulation of Free Convection
Peter Herbst and Dr. Gregory J. Falabella
Presented at the 55th Eastern Colleges Science Conference in Wilkes Barre, PA
Convection is the transfer of heat energy by the bulk motion of a fluid. If this flow is
generated by thermally induced density variations it is known as natural or free convection.
It is tempting to overlook such flows because the velocities and heat transfer rates associated
with them are small. This, however, is a mistake. The design of many systems is often
influenced by natural convection. More importantly, buoyant flows are the driving force
behind many significant environmental processes and are especially of interest when
considering the impact of thermal energy discharge by chimneys and cooling towers. The
current research effort is a numerical investigation of the effect of immersing a heated
vertical plate into a quiescent fluid (figure 1). The two-dimensional Navier-Stokes equations
are solved using finite-differences. Boundary layer and Boussinesq approximations are
made use of to maintain a reasonable computational effort.
Background
Convection is the transfer of heat energy by the bulk motion of a fluid. It is governed by
Newton's Law of Cooling
q = hA( T − T∞ )
where
q is the rate of heat transfer to or from the fluid
T is the temperature of the fluid
A and T are the area and temperature of the surface in contact with the fluid
Forced Convection
-motion produced by some external means such as a fan, a pump or the wind
-relatively high velocities and heat transfer coefficients (h.25-250W/m2≅K for gases and
h.50-20000W/m2≅K for liquids)
Free or Natural Convection
-flow induced by thermal density variations (buoyancy driven)
-sometimes mistakenly overlooked because associated velocities and heat transfer
coefficients are small (h.5-25W/m2≅K)
-often the driving force behind many significant environmental processes
-especially of interest when considering the impact of thermal energy discharge by chimneys
and cooling towers
74
�Governing Equations and Assumptions
Navier-Stokes Equations
-five nonlinear partial differential equations (hyperbolic) which represent the conservation of
mass, momentum and energy and an equation of state
-govern all fluid (liquid and gas) flow as long as fluid can be modeled as a continuum (i.e.
matter distributed uniformly throughout space)
-extremely complex and can only be solved analytically for a handful of situations
Boundary Layer Equations
-simplification of the Navier-Stokes equations
-applicable when the boundary layer is thin and viscous effects are confined to extremely
small regions close to solid surfaces (no separation)
-velocity and pressure gradients normal to and diffusion parallel to the primary flow
direction neglected
Boussinesq Approximation
-allows boundary layer equations to be further simplified
-accounts for the effect of variable density with just one buoyancy force term permitting the
density variation in the continuity equation to be neglected
-essentially assumes a linear dependence of the density on the temperature
∂u ∂v
+
=0
∂x ∂y
∂u
∂u
∂u
∂ 2u
+u
+v
= gβ ( T − T∞ ) + υ
∂t
∂x
∂y
∂ y2
∂T
∂T
∂T
∂ 2T
+u
+v
=α
∂t
∂x
∂y
∂ y2
75
�Figure 1: The motion and thermal diffusion that result when a heated
(T=400K) vertical plate (left boundary) is placed in a
quiescent fluid (air, T=300K)
76
�Speciation of Arsenic Sediment Leachate by Solid Phase
Extraction and Flow Injection Hydride Generation
Atomic Absorption Spectrometry
Margaret Fiasconaro and Dr. Mohammad Alauddin.
Presented at the 56th Eastern Colleges Science Conference in Niagara, NY
Bangladesh is under the grip of worst ever mass poisoning the world has ever witnessed.
The poisoning is taking place through arsenic laced underground water from tube-wells in
the country. Analysis of a set of bore-hole sediments from Itchapur village in Comilla
(located near the junction of River Jamuna and Meghna) in Bangladesh at depths ranging
from 5 to 90 feet revealed presence of high levels of arsenic. The groundwater samples from
the same village also contained elevated levels of arsenic. Bacteria and microorganisms in
soil and sediment can transform inorganic arsenic to methylated species, namely,
monomethylarsonate (MMA) and dimethylarsonate (DMA). The methylated arsenic species
are relatively less toxic than inorganic arsenic. The speciation of methylated arsenic in
sediments and groundwater is essential to assess arsenic exposure and health risks from
consumption of well water and crops grown in surface soil.
We have developed a technique for separating and analyzing various arsenic species, such as
arsenite, arsenate, monomethylarsonate (MMA), and dimethylarsonate (DMA) in sediment
leachate and groundwater collected from the same area. The technique is based on ionexchange chromatographic separation followed by flow injection hydride generation atomic
absorption spectrometry (FI-HG-AAS). Arsenite was found to be a major component and
lower levels of MMA (6 to 61 ppb) and DMA(5 to 19 ppb) were detected in these samples.
The detection limit varies from 1.0- 2.0 ppb for various species. The findings of the research
project has far reaching impact on the drinking water supply and crops grown in arsenic
affected areas of Bangladesh. Results from our findings and future application of the
methodologies will be discussed.
77
�Growth Kinetics of NiSO4.7H2O Crystals
Luther Schaeffer and Dr. Maria Gelabert
Presented at the 56th Eastern Colleges Science Conference in Niagara, NY
Undergraduate laboratories involving thermodynamics of crystal growth are rare. Yet,
the general area of crystal growth is critical to many materials-related technologies.
Here, growth of nickel sulfate heptaahydrate crystals was studied by two different
methods: slow cooling of a saturated solution, and constant-temperature growth from
supersaturated solution. In both sets of experiments, concentration and time were
monitored simultaneously to yield growth rate and time data. After obtaining data,
graphical plots such as ln(rate) vs. time were done in order to obtain meaningful
thermodynamics quantities. The special challenges posed by the experimental design
will be discussed, as well as the mathematical relationships of the crystal growth
variables.
78
�Section II: The Social Sciences
Full Length Papers
80 The Impact of Thin-Ideal Depicting Media on Disordered Eating
Among College Students
Jessica Morin
87 The Effects of Mortality Salience on Social Evaluation
Matteo Rosselli
Abstracts/Extended Abstracts
101 Methadone Maintenance and Preference Rating of Sweet Foods
Lisa M. Scagnelli and Dr. Laurence J. Nolan
79
�The Impact of Thin-Ideal Depicting Media
on Disordered Eating Among College Students
Jessica Morin
As the prevalence of eating disorders in America has increased over the past thirty years,
the influence of sociocultural factors, such as the media, have been spotlighted as
potentially causing this influx in the number of Americans suffering from these disorders.
This study is interested in the relationship between eating disorders and thin-depicting
media. Forty-two students from a private, Northeastern college participated in the study,
which measured the amount of candy consumed after viewing thin-depicting media
compared to viewing non-thin-depicting media. The study supported the hypothesis that
female college students who viewed thin-depicting media ate less than did those who
viewed non-thin-depicting media. The study supports a possible causal relationship
between thin-depicting media and eating disorder symptomatology.
I. Introduction
Everyone will grapple, now and then, with feelings of dissatisfaction with their
appearance. As a society, this has become a normal part of the development process
among adolescents. In some cases, however, the evaluation of one’s physical appearance
becomes an obsession with changing it. This can lead to a variety of body-image
disorders, eating disorders, and behavior disorders aimed at changing one’s body
composition in an attempt to achieve an irrational concept of perfection. A variety of
factors have been proposed as influencing the development of eating disorders, including
familial, psychological, biological, and sociocultural influences. As the prevalence of
eating disorders in America has increased over the past thirty years (American
Psychiatric Association, 1994), the influence of sociocultural factors, such as the media,
have been spotlighted as potentially causing this influx in the numbers of Americans
suffering from these disorders.
In modern media, thinness is equated with attractiveness, success, and happiness
(Garfinkel and Garner, 1982). As actors and models have gotten thinner and thinner, the
average American’s weight has actually increased, causing a greater discrepancy between
the media’s images and ideals, and the realistic body-type of the average American
viewer (Garner, Garfinkel, Schwartz, & Thompson, 1980). This may account for
America’s growing obsession with fitness and weight loss. As the struggle to be thin
increases, the prevalence of eating disorders has followed as a way of achieving the
desired thinness.
80
�Cantor and Harrison (1997) studied the relationship between media exposure
and eating disorder symptomatology. They proposed that “Television and magazine
consumption, especially thinness-depicting and thinness promoting (TDP) television, will
be positively associated with eating disorder symptomatology” (p. 46). Media exposure
was measured as the quantity of media use, including television programming viewed
and magazine genres read. TDP television was defined as programs with primarily thin
main characters; TDP magazines emphasize thin models and dieting behaviors. The
extent of disordered eating and related symptoms—body dissatisfaction, drive for
thinness, perfectionism, and ineffectiveness—were measured using two previously
validated scales, the Eating Attitudes Scale (EAT) and the Eating Disorders Inventory
(EDI). The participants of the study were 232 female and 190 male undergraduate
students from a large Midwestern university. Most were white and middle to uppermiddle class.
Cantor and Harrison’s (1997) hypothesis was supported: the amount of media
consumption, especially TDP media, significantly predicted women’s eating disorder
symptomatology and men’s attitudes in favor of their own personal thinness and dieting.
This study supports the argument that the overabundance of ultra-thin fashion models and
actresses in current media is an unhealthy promoter of personally destructive behaviors.
One weakness of this study was its inability to prove causation because of its
correlational methodology. Consumption of TDP media may cause eating disorder
symptomatology, yet eating disordered persons might chooses to consume TDP media.
Alternatively, both behaviors could be caused by some other variable, such as familial
influence. Therefore, this study failed to provide support for the hypothesis that
consumption of TDP media causes eating disorders. A strength of this study was the use
of multiple scales and variables to look at both media consumption and eating disorder
symptomatology. By using more than one scale (EAT and EDI), as well as researcherformulated questions, they were able to look at many dimensions of this issue.
Wegner, Hartmann, and Geist (2000) conducted another study that looked at the
media’s influence on body image. They proposed that “women who were exposed to the
photographs of models would report greater general self-consciousness and specifically
body self-consciousness than college women exposed to control photographs" (p. 1151).
In this experiment, the independent variable was the type of photographs that were shown
to the participants. The dependent variable was self-consciousness as measured by the
Self-consciousness Scale and the Body Self-consciousness Questionnaire. Female
undergraduate students were randomly assigned to view one of two notebooks filled with
photographs. One book was filled with images of thin models from popular magazines,
and the other was filled with images of other types of models (children, older adults, nonthin). After viewing the photographs, the participants completed both surveys.
81
�Analysis of the data showed that the experimental group was more self-conscious
on both measures of self-consciousness than was the control group. This implies that the
women compared themselves to the thin models that they viewed. The results provide
evidence that self-consciousness of college women may be attributed, in part, to the
depiction of thin models in today’s media.
One weakness of this study is that it does not show whether self-consciousness
caused by viewing of thin media images is temporary or perpetual. Self-consciousness
was measured only once, immediately after viewing. Another weakness of this study is
that it does not show media viewing to be related to any sort of behavior. Although this
study supports a link between media and body image concerns, it fails to provide
evidence that body image concerns lead to disordered behavior.
The present study will explore the relationship between the viewing of popular thindepicting television and eating habits. College students will eat less during and after
viewing a thin-ideal depicting television program than during and after viewing a nonthin-ideal depicting television program.
II. Method
Participants
Participants were all undergraduate students from a small, liberal arts college.
Thirty-two women and ten men participated in the study; most were white, middle to
upper class, aged late teens to early twenties. The participants were members of courses
in Social Psychology or Gender Studies.
Materials
Two videos were used in the study. The first video, a two-minute minute clip from
the television show Friends, was used as the thin-depicting media. The scene concerned
a romantic interchange between characters. The second video, a two-minute clip from
the television show Designing Women was used as the control (non-thin depicting)
media. The subject of this scene was buying a used van. Both clips were matched for
humor and number of characters.
Each participant received a small plastic bag of Halloween candy, containing 1
chocolate bar, 2 tootsie rolls, 1 lollipop, and 2 boxed candies (Good & Plenty, Milk Duds,
or M & M’s).
Procedure
The experiment was conducted in two class periods. Each class was randomly
assigned to one experimental condition. The instructor of the class acted as a
confederate, explaining to the participants that they would be seeing a clip from a
82
�television show to illustrate the concept of the discussion for that day. Before watching
the clip, the instructor (confederate) also explained that she had some Halloween candy
left over from Halloween and had brought it in for her students. She then distributed one
bag of candy to each participant.
The participants were then shown one of the clips. The first course was randomly
assigned to view the control clip. The second course was randomly assigned to view the
thin-depicting clip. At the end of class, the confederate asked the participants to put the
remaining candy, as well as the empty candy wrappers, back in the bags, and to hand
them in to the confederate. The men's bags were collected separately from the women's
bags.
The participants were fully debriefed. The participants were asked how they felt
about the study and if they thought that their eating had been affected by viewing the clip.
The confederate explained to the participants that the study concerned the effect of
viewing thin-depicting media on eating behavior, as it may relate to disordered eating
behavior.
Each bag was later examined; the amount and types of candy eaten was
recorded. The number of pieces of candy, the total calorie consumption, and the total fat
grams consumption for each participant were determined.
III. Results
To test the hypothesis is that college students will eat less during and after viewing
a thin-ideal depicting television program than during and after viewing a non-thin-ideal
depicting television program, I conducted a series of Analyses of Variance (ANOVAs)
predicting the dependent variables (number of pieces of candy consumed, total calories
consumed, and number of fat grams consumed) by condition (thin-ideal depicting or nonthin-ideal depicting) and sex.
In the ANOVA predicting number of pieces of candy consumed, condition was
a significant predictor, F (1, 35)= 4.12, p < .05. Contrary to prediction, participants in the
thin depicting group consumed a greater number of pieces of candy (M = 2.30, SD =
1.46) than did the non-thin depicting group (M = 2.11, SD = 1.10). However, this main
effect was qualified by a significant interaction, F (1, 38)= 12.03, p < .01. Women in the
control group consumed more pieces of candy (M= 2.46, SD= 1.05) than did women in
the experimental group (M= 1.81, SD= 1.28), whereas men in the experimental group
consumed more pieces of candy (M= 3.67, SD= 1.21) than did men in the control group
(M=1.25, SD= .96). (See Figure 1).
In the ANOVA predicting number of calories consumed, condition was not a
significant predictor. However, there was a significant interaction between condition and
sex, F (1, 35)= 10.41, p < .01. As predicted, the women in the control group consumed
more calories (M= 266.54, SD= 138.79) than the women in the experimental group (M=
83
�183.56, SD= 120.73). The men in the experimental group consumed more calories (M=
328.50, SD= 162.29) than the men in the control group (M= 97.5, SD= 69.58).
In the ANOVA predicting number of fat grams consumed, there were no
significant main effects nor an interaction (overall M= 10.55, SD = 25.77).
IV. Discussion
The hypothesis was supported, but in a modified form. Female college students
ate less when showed an example of thin-depicting media than when showed an example
of non-thin depicting media. However, male college students who watched thindepicting media ate more than did those shown non-thin depicting media.
The first concern that must be examined as a limitation of the study was the
different times of day at which each trial was conducted. The control group trial was run
in the early morning (9:30 a.m.), whereas the experimental group trial was run in the
early afternoon (2:00 p.m.). The experimental group might have been more hungry
(especially for sugar) than was the control group.
The interaction between condition and sex on number of pieces of candy
consumed and number of calories consumed suggests that men may not be affected by
the media in the same way as are women. If men’s eating behavior is not strongly
affected by media, the men could serve as controls within each condition. As a way of
factoring out the possible influences of time of day, we can compare the men within each
condition to the women in that condition. The women in the experimental group showed
suppressed eating (they ate significantly less than the men) compared to the women in the
control group (who actually ate more than the men).
Another limitation of the study was the type of food used in the experiment.
First of all, not all people like all types of candy. Therefore, some people may not have
eaten candy simply because they do not like it. Also, some people may not have wanted
candy early in the morning, when the control group trial was conducted. Secondly, due
to the high cost of candy, it was not possible for an unlimited amount of candy to be
available. If an unlimited amount of candy had been available, the people who ate larger
amounts of candy may have eaten even larger amounts of candy, increasing the variance
of amounts of candy consumed.
Another factor that may have affected participants' eating behavior was the
presence of other people during the study. Their eating behavior may have been affected
by the social context of the trial. The participants' eating behavior might be different in
the absence of others, or in the presence of groups of non-classmates. Therefore, we
cannot conclude that eating behavior was solely affected by the media presented.
No single study can provide definitive proof that thin-depicting media causes
eating disorders, but it does support a link between thin-depicting media and the
exhibition of eating disorder-related behavior (suppressed eating).
84
�This study warrants further research into the relationship between thin-depicting
media and eating disorders. Because of the great implications of the subject matter, this
area of research deserves the attention of the psychology field. If additional evidence
could be found that the media has a significant role in causing eating disorders, action
could be taken to reduce the occurrence of thin-depicting media.
In the future, it would be my goal to continue research to try to prove a causal
relationship between thin-depicting media and eating disorders. Such disorders currently
disrupt and destroy the lives of many people, especially young American women. It is
my opinion that thin-depicting media is an attack on American women. It is a way of
suppressing women, by using the drive for thinness to lead them into a powerless state of
illness through eating disorders. Anything that can be done to reduce the occurrence of
these disorders is a moral responsibility of the psychology field.
V. References
1.American Psychiatric Association. (1994). Diagnostic and statistical manual of mental
disorders (Fourth Edition). Washington, DC: American Psychiatric Press.
2. Cantor, J. & Harrison, K. (1997). The relationship between media consumption and
eating disorders. Journal of Communications, 47, 40-67.
3. Garfinkel, P.E. & Garner, D.M. (1982). Anorexia nervosa: A multidimensional
perspective. York: Brunner- Mazel.
4. Garner, D. M., Garfinkel, P.E., Schwartz, D., & Thompson, M. (1980). Cultural
expectations of thinness in women. Psychological Reports, 47, 483-491.
5. Wegner, B.S., Hartmann, A.M., & Geist, C.R. (2000). Effect of exposure to
photographs of thin models on self-consciousness in female college students.
Psychological Reports, 86, 1149-1154.
85
�4
3.5
3
2.5
2
1.5
1
0.5
0
Control women
Control men
Experimental women
Experimental men
Figure 1. Mean Pieces of Candy Consumed by Condition and Sex.
86
�The Effects of Mortality Salience on Social Evaluation
Matteo Rosselli
The current study tests the hypothesis, derived from Terror Management Theory, that
reminding people of their mortality increases liking for and agreement with individuals
who support their cultural worldview and decreases ratings of individuals who threaten
the cultural worldview. College students evaluated the writers of essays containing either
Pro-American or Anti-American content. Before doing so, mortality was made salient to
half of the participants by asking them to contemplate their own death. Mortality salience
led to more negative reactions to the Anti-American essayist. In addition, a significant
interaction was found between experimental condition and order of essay presentation;
evaluations were harsher against an Anti-American essay writer after reading a ProAmerican essay. The current study supports Terror Management Theory.
I. Introduction
Terror Management Theory starts from the basic premise that behavior is driven by
a desire for survival and self-preservation. Human beings, being distinct in the ability to
think about and understand death, find the fear of death to be a source of paralyzing
terror. Thus humans must, by necessity, develop defense mechanisms that buffer against
the fear caused by awareness of the inevitability of death. Pyszczynski, Greenberg, and
Solomon (1999) propose that people do so on two levels. On the conscious level, we
establish proximal defenses which involve rational defenses against death. This might
involve pushing thoughts out of consciousness by distracting oneself. On the unconscious
level, we develop distal defenses which are the defensive behaviors that most concern
terror management theory.
The two major components of the distal defense system are worldview and selfesteem. Worldview is the group of values that set the standard for people’s aspirations in
a particular culture. People can judge themselves against these values in the hope of
gaining some type of symbolic immortality. A worldview gives people a sense of order in
an uncontrollable and chaotic universe. The second component of the distal defense
system is self-esteem. Terror management theorists define self-esteem as a “sense of
value and immortality attained by successfully living up to the rules and standards
provided by a particular worldview” (Janssen, Dechesne, & Knippenberg, 1999, p. 155).
Thus worldview and self-esteem are merely social constructs that people have evolved to
buffer against the terror and anxiety caused by awareness of their own mortality. Social
inventions are by definition fragile constructions (Janssen et al., 1999). Terror
management theorists propose that most social behavior is aimed “toward the defense or
maintenance of either one’s worldview or one’s self-esteem” (Janssen et al., 1999,
p.156).
87
�It can be inferred from this that when one’s mortality is made more salient or
apparent, these defensive mechanisms will kick into high gear. Thus individuals who
have been exposed to mortality salient conditions should more rigorously engage in
behavior that defends their own worldview and self-esteem. Most empirical work on
terror management follows along this line of reasoning.
Both of the articles to be discussed seek to ascertain if mortality salience can affect
one’s evaluation of those who appear to either threaten or bolster an individual’s cultural
worldview. In their article, Greenberg, Pyszczynski, Solomon, Rosenblatt, Veeder,
Kirkland, and Lyon (1990) present three studies. The setup of each is basically the same.
Participants, who are freshman college students, are given questionnaires. They are told
that the study concerns personality and attitude variables that affect the impressions
people form of others. The participants then complete a variety of personality scales. The
questionnaires are the same for all of the participants until the final section.
Mortality salience is introduced to half of the participants, randomly, by asking
them to write about “what will happen to them as they physically die and the emotions
that the thought of their own death aroused in them” (Greenberg et al., 1990, p. 310). The
control group engaged either in a parallel writing task or no writing task at all. Previous
research indicates that there is no difference if the group is given no writing task or a
parallel writing task (Greenberg et al., 1990).
For purposes of this review, we will focus on study 3 (Greenberg et al., 1990). After
filling out the questionnaires, the students were given one of three interviews to read. All
of the interviews spoke about the American political system. One was positive about the
American government, another was neutral, and the final interview was downright
negative. Terror Management Theory posits that those in the mortality salient condition
should more vigorously favor those who are supportive of their worldview (ProAmerican) and more vigorously oppose those who are perceived as a threat to their
worldview (Anti-American). Following reading the interview, the students were asked to
indicate their feelings about the interviewee on a nine-point Likert-type scale. They then
were asked to assess how much they liked the interviewee, how much they agreed with
the interviewee, and how disturbing they found the interviewee.
The basic finding of the study was that in the mortality non-salient condition, there
was no significant difference in responses to the 3 different interviews. For all of the
questions, the Pro-American interviewee was viewed in a slightly more positive light but
not enough to be deemed significant. In the experimental (mortality salient) group,
participants were significantly more negative in their evaluation of the Anti-American
interviewee and significantly more positive in their evaluation of the Pro-Amercian
interviewee (p < .001). This trend is extremely strong statistically.
The methodology of the research presented is highly satisfactory. It should be noted
that in this study, the researchers also measured affect to ensure that a change in mood
88
�was not the true cause of the difference between the two groups. Previous research has
indicated that other anxiety causing stressors like a test or public speech do not cause the
same effects as increased mortality salience (Pyszczynski et al., 1999). The statistical
evidence in the study is well researched and well presented. The data fully support the
aforementioned hypothesis. The other two studies in the article, which are not discussed
in this paper, support the same general conclusion that terror management theory can
partially explain social phenomena such as social prejudice. The theory attempts to
explain prejudice by stating that liking for other individuals is dependent upon the impact
that person might have on one’s cultural anxiety buffer. The study explained does an
excellent job at operationalizing these theoretical constructs. The next study to be
presented does not do the job in as concrete a fashion.
Janssen et al. (1999) start from the premise that the findings of the study mentioned
above are valid. They then attempt to find if youth culture can serve as an important
component of worldview. They posit that if this is true, an experiment that measures
participants’ responses to those that either threaten or bolster concepts of youth culture
should replicate the results in the previous study. They are thus replacing the ProAmerican or Anti-American stimulus with a much more fuzzy and abstract concept. In
the study, they find much difficulty in operationalizing this concept, yet the intention of
this research should not be discounted. Adolescence is a time when kids have no clear
identity of who they are in a huge and chaotic universe. Without a job, family, or kids;
adolescents have not truly developed a “self” that can help them defend against the
anxiety that the awareness of death brings. Thus it seems only logical that youth culture
can provide an important standard to live up to in these shaky times for adolescents.
Youth culture can help to bridge the gap between the childhood sense of “self” and
adulthood sense of “self”. This reasoning is consistent with terror management theory.
The participants in the experiment were a group of 53 high school students who
were told that personality traits were being studied. The students first filled out a series of
personality questionnaires, which served as a cover story. At the end of the
questionnaires the students were asked to write about two different topics. Half of the
students wrote about television while the other half were exposed to the same mortality
salient writing assignment that was used in the previously discussed article. The students
were assigned randomly to each condition.
Each group was next given two short essays to read. One essay was highly critical
of youth culture while the other endorsed youth culture. Each essay was followed by
questions about the student’s response to the essays. A major problem with the study is
the essay stimulus. Youth culture is a highly individualized concept. The researchers
cannot possibly expect criticisms of youth culture, in general, to have the same effects as
a criticism of a specific youth culture with which one might identify. This would be the
equivalent of Greenberg et al. (1990) using interviewees who criticized the concept of
89
�worldview instead of criticizing America. This mistake is glaring in this research. Janssen
et al. (1999) admit this by stating “the essays used in the experiment were quite general in
their content and, thus, rather than defending or criticizing specific symbols and
practices, they addressed the more general category of youth, which may have been less
pertinent to the participants” (p. 163).
Despite the flawed methodology, Janssen et al. (1999) found that the participants in
the mortality salient condition discriminated between the two essays to a greater extent
than did those in the mortality non-salient condition. Although the statistical analysis of
these findings is supportive of terror management theory, the findings are not nearly as
strong as those in the previous study.
Although the theoretical component of the research conducted by Janssen et al.
(1999) is quite interesting, the experimental component needs to be better developed.
Further analysis of the data might be somewhat misleading because Janssen et al. (1999)
present their data in a manner that is overly supportive of their own conclusions. While
this is often a flaw of research, Janssen et al. (1999) carry this flaw to its logical
conclusion and thus much of what they have to say is discredited by their own biased
representation.
In the present study, it is hypothesized that increased mortality salience will cause
individuals to think more highly of those who reinforce their own worldview and to be
more critical of those who threaten their worldview. Having people write about their own
death appears to be an effective and proven method of manipulating mortality salience.
Exposing participants to Pro-American and Anti-American rhetoric might prove
especially effective in a time when citizens of this country have increasingly come to
identify themselves as “Americans”.
II. Method
Participants
Participants were 26 psychology students (71% female, 88% white) at Wagner
College. The students volunteered to complete the study during regularly scheduled
classes.
Materials
A series of questionnaires were used in the study. The students were first given a
brief introduction to the study (see Appendix A). The following page contained
biographical questions that could be used to ascertain the success of random assignment.
This questionnaire (see Appendix B) also was used to find if any biographical data could
explain the differences in response by each group. The next page (see Appendix C) of the
packet was a questionnaire measuring the attitudes of participants to certain political and
90
�moral statements. These questions were intended to help the researcher better understand
the participants while also serving as a cover story for the true purpose of the research.
The mortality salience manipulation was placed on the next sheet. Participants in the
mortality salient condition were asked to write about what will happen to them as they
physically die (see Appendix D). They were asked to write about the emotions that this
thought aroused in them. Participants in the control group were asked to write about
tabloid newspapers and their interest in these papers (see Appendix E). The next part of
the questionnaire (see Appendix F & G) contains two essays that are purported to be
written by established American college professors. One was critical of United States
governmental policy while the other was supportive. The essays were each followed by a
series of questions on a nine-point Likert-type response scale to measure the participants’
reactions on such categories as liking of the writer and agreeing with the writer. Higher
scores on this scale indicate a greater liking for or agreement with the writer. The order in
which the essays were presented was counterbalanced.
Procedure
Participants in the classroom were randomly assigned to either the control or
experimental condition. The students were told that they were taking part in a study about
different personality variables and political opinions. Upon receiving the questionnaires,
students were asked not to provide their names so that all information could remain
confidential and anonymous. It was requested that students complete the questionnaires
in order and not look at anyone else's questionnaire. The students were asked to follow
the instructions given on each questionnaire. They were told that they would be given
about ten minutes to complete participation. The researcher reminded the students that
completion of the questionnaires would entail some critical thinking and encouraged the
students to take each question seriously. Upon completion of the questionnaire, the
materials were collected and the students were thoroughly debriefed.
III. Results
Students’ responses to each target essay were summarized by averaging their
positive responses and their reverse-scored negative responses. This score was used as
the evaluative measure in this study, indicating liking of and agreement with the target. I
conducted a Multivariate Analysis of Variance predicting responses toward each of the
essay writers by the experimental condition and the order in which the two essays were
presented. Responses toward the Anti-American essay differed significantly by
experimental condition; F(1, 21) = 11.47, p< .01. Participants in the mortality salient
condition (M = 3.65, SD = 1.30) evaluated the Anti-American writer more harshly than
did particapants in the control condition (M = 5.00, SD = 0.68).
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�This significant main effect was qualified by a significant interaction between
experimental condition and order in which the essays were presented; F(1, 21) = 4.50,
p<.05. This interaction is depicted in the attached Figure. In the mortality salient
condition, participants evaluated the Anti-American essay more negatively when it was
presented after the Pro-American (M = 3.05, SD = .99) than when it was presented before
the Pro-American essay (M = 4.26, SD = 1.34). Conversely, the control group evaluated
the Anti-American essay more positively when it was presented second (M = 5.27, SD =
.49) than when it was presented first (M = 4.78, SD = .78).
IV. Discussion
The present study attempted to replicate the findings of Greenberg et al. (1990),
who found that participants exposed to mortality salience rated a Pro-American target
more positively and an Anti-American target more negatively than did those in the
mortality non-salient condition. The present study supported the latter half of these
findings. The significant main effect in this study was limited to participants’ ratings of
the Anti-American essayist. It is quite interesting to note the significant interaction
between experimental condition and order of essay presentation. In the mortality salient
condition, the Anti-American essay writer was rated lower when this essay was presented
after a Pro-American essay. In the mortality non-salient condition, the Anti-American
essay was actually rated higher when it was presented second (see Figure). It is possible
that by exposing participants to a stimulus that is affirmative of their cultural worldview
directly after exposure to a stimulus triggering mortality salience, that the predicted effect
is enhanced. Further research should seek to more thoroughly ascertain the effects of this
interaction. It is possible that the nature of the stimulus presented strongly affects this
interaction.
The present study provides support, albeit far from conclusive, for the basic tenets
of Terror Management Theory. It should again be noted that no differences were found in
the ratings of the Pro-American essayist by experimental condition. This finding does not
support the initial hypothesis. Further replications of this study might involve the use of
different stimuli and larger sample sizes. It seems important to investigate how different
presentations of mortality salience might change the desired main effect. For example,
whether there is a time length after the presentation of a mortality salient stimulus that is
ideal for achieving the desired effect. Further research needs to pursue these ends. The
present research provides support for earlier research in Terror Management Theory.
V. References
1. Greenberg, J., Pyszczynski, T., Solomon, S., Rosenblatt, A., Veeder, M., Kirkland, S.
& Lyon, D. (1990). Evidence for terror management theory II: The effects of mortality
92
�salience on reactions to those who threaten or bolster the cultural worldview. Journal
of Personality and Social Psychology, 58, 308-318.
2. Janssen J., Dechesne, M. & Knippenberg, A.V. (1999). The psychological importance
of youth culture: A terror management approach. Youth and Society, 31, 152-167.
3. Pyszczynski, T., Greenberg, J. & Solomon, S. (1999). A dual-process model of defense
against conscious and unconscious death-related thoughts: An extension of terror
management theory. Psychological Review, 106, 835-845.
9
8
7
Mean Ratings of U.S. is Bad
6
5
4
3
ORDER
2
Pro-U.S./Con-U.S.
Con-U.S./Pro-U.S.
1
Mortality Salient
Control
SALIENCE
Figure 1. Interaction between mortality salience and essay order on evaluations of antiAmerican essay writer.
93
�Appendix A: Introduction to the Study
On the pages that follow are a number of statements about public issues, politics,
interpersonal relationships, and your beliefs about the world in general. The study will
call on you to engage in some critical thinking. You will likely agree or disagree with
much of what you read. Please follow the instructions and use the responses provided for
each scale to indicate your opinion to each item.
You will also be asked to partake in a brief writing exercise. Please read and follow the
instructions for this task.
It is important that you complete each questionnaire in the order they are given to you.
Please do not skip ahead or skip back to change answers once a questionnaire is
completed.
Your replies will be kept completely confidential. We want to emphasize that there are
no “correct” answers to any of these items. We are simply trying to get an idea of the
types of responses that students will have to various social issues and to learn more
regarding students’ political views. We want to be clear that we are not evaluating you or
your individual responses. If we are to learn anything useful, it is important that you
respond to each of the statements or questions openly and honestly.
You may begin completing the questionnaires and tasks when you finish reading these
directions. After you have completed all of the questionnaires and tasks, please hand this
packet in to the researcher. After all are collected, you will have the option of leaving a
box number or e-mail address so that we can inform you of any interesting finding in the
study.
Please follow the directions on each page of the packet. Use the scales and response
options available for each item.
94
�Appendix B: Demographics Questionnaire
1. I am a: Male / Female (Circle One).
2. I consider myself to be:
_____ Arab/Middle Eastern
_____ White/Caucasian
_____ Hispanic/Latino
_____ Native American/American Indian
3. Politically speaking, I am:
Liberal
_____ Central Asian/Indian/Pakistani
_____ Asian/South Pacific Islander
_____ Black/African American
_____ Other: ___________
Moderate
Conservative
Very Liberal 0 1 2 3 4 5 6 7 8 9 Very Conservative
4. Politically speaking, I am:
Independent
Republican 0 1 2 3 4 5 6 7 8 9 Democrat
5. Religiously, I consider myself to be:
_____ Catholic
_____Protestant
_____Jewish
_____ Muslim
_____ Hindu
_____ Atheist
_____ Other
_____ Refuse to answer
95
�Appendix C
Please indicate the response that most closely matches your opinion for each item
1.
Families of victims of violent crimes sometimes have the right to take justice into
their own hands if the criminal justice system has done a poor job.
Very Strongly
Agree
1
2.
Very Strongly
Disagree
2
3
4
5
6
7
8
9
A woman’s right to choose belongs to her, and her alone.
Very Strongly
Agree
1
3.
Very Strongly
Disagree
2
3
4
5
6
7
8
9
Stealing is somewhat acceptable if the institution you are stealing from is a big
company or corporation that constantly rips-off the public.
Very Strongly
Agree
1
4.
Very Strongly
Disagree
2
3
4
5
6
7
8
The criminal justice system should seek to make living conditions as miserable as
possible for people who have committed severe crimes against others.
Very Strongly
Agree
1
5.
9
2
Very Strongly
Disagree
3
4
5
6
7
8
9
The United States should seek to combat not only terrorists but also those who
encourage or revel in terrorist activity.
Very Strongly
Agree
1
2
Very Strongly
Disagree
3
4
5
96
6
7
8
9
�Appendix D
Please give a thoughtful answer to the following question in the space provided.
Your response will remain both strictly anonymous and strictly confidential
Suppose you were to die as the victim of a crime. Please write about the feelings
that your death would arouse in you. What will happen to you as you physically
die? Where will you go? What emotions does thinking of this arouse in you?
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
97
�Appendix E
Please give a thoughtful answer to the following question in the space provided.
Your response will remain both strictly anonymous and strictly confidential
Have you ever read a tabloid newspaper like the National Enquirer? Do you
find these papers entertaining? Are there any memorable stories that you have
read in these papers that stand out to you?
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
98
�Appendix F
Instructions: Please read the following excerpt from a passage written by a college
professor at an American University and respond to the evaluative questions:
“United States governmental activity at home and abroad has been marked by
incompetence and ignorance with regard to effective political leadership. Bickering
between Republicans and Democrats has shown that a two-party political system is
ineffective at meeting the needs of a growing American populace. The U.S. Government
commonly infringes on the rights of not only its own citizens but of citizens of other
countries throughout the world. The United States has inflicted great harm upon the rest
of the World by doing as it pleases. Measures must be taken to curb the power of what is
becoming an increasingly tyrannical regime.”
Please circle the response that most closely matches your own.
1. I agree with the statements this person is making.
Strongly Disagree 1
2
3
4
5
6
7 8 9
Strongly Agree
2
3
4
5
6
7 8 9
Strongly Agree
2
3
4
5
6
7 8 9
Strongly Agree
3
4
5
6
7 8 9
Strongly Agree
7 8 9
Strongly Agree
2. This appears to be a likeable person.
Strongly Disagree 1
3. I would enjoy meeting this person.
Strongly Disagree 1
4.
This person appears to be very intelligent.
Strongly Disagree 1
5.
I was disturbed by the statements that this person made.
Strongly Disagree 1
6.
2
2
3
4
5
6
I would like to see Wagner College invite this person to express their views.
Strongly Disagree 1
2
99
3
4
5
6
7 8 9
Strongly Agree
�Appendix G
Instructions: Please read the following excerpt from a passage written by a college
professor at an American University and respond to the evaluative questions:
“The United States Government is, without question, the model of what any Democratic
people should want in a government. The United States Government has been strong for
over 200 years because of it’s effective leadership. Although America leads the world
financially and culturally, it is America’s democratic ideals that still set the standard for
the world. In an increasingly chaotic world, American leaders have shown that they have
the leadership to effectively guide our country in troubling times. The United States
government is as strong and effective as it has ever been.”
Please circle the response that most closely matches your own.
1. I agree with the statements this person is making.
Strongly Disagree 1
2
3
4
5
6
7 8 9
Strongly Agree
2
3
4
5
6
7 8 9
Strongly Agree
2
3
4
5
6
7 8 9
Strongly Agree
3
4
5
6
7 8 9
Strongly Agree
7 8 9
Strongly Agree
2. This appears to be a likeable person.
Strongly Disagree 1
3. I would enjoy meeting this person.
Strongly Disagree 1
4.
This person appears to be very intelligent.
Strongly Disagree 1
5.
I was disturbed by the statements that this person made.
Strongly Disagree 1
6.
2
2
3
4
5
6
I would like to see Wagner College invite this person to express their views.
Strongly Disagree 1
2
100
3
4
5
6
7 8 9
Strongly Agree
�Methadone Maintenance and Preference Rating
of Sweet Foods
Lisa M. Scagnelli and Dr. Laurence J. Nolan
Poster presentation1 at the 56th Eastern Colleges Science Conference in Niagara, NY
Past research indicates that patients on methadone maintenance treatment frequently have
poor nutritional status and consume a large quantity of sweet foods. This study attempted
to confirm this and asked whether patients on methadone maintenance might also have
higher body weights as measured by body mass index (BMI). Fourteen participants on
methadone maintenance and fourteen controls were administered a questionnaire
containing questions regarding food preferences and eating behaviors. Participants were
asked to consider a number of specific eating behaviors and rate how often they engaged
in them. They were also asked to report their desires for specific foods. Statistical
analyses (ANOVA) revealed that the participants on methadone had significantly higher
cravings for desserts, chocolate and candy but also meat and pizza. In addition, they
reported wanting to consume higher quantities of the sweet items. Significant differences
were also found for their reported eating behaviors; the methadone group reported higher
consumption of "junk" foods and less concern for nutrition. BMI was calculated for each
participant and the methadone group was found to be significantly heavier than controls.
The results support the hypothesis that patients on methadone maintenance may not
maintain a healthy diet and this may be related to risk for obesity.
.
1
received outstanding poster presentation in Psychology award
101
�Section III: Critical Essays
103 Heroin Abuse as Product of the Urban Environment in the Works of
Burroughs, Selby, Algren and Baldwin
Michael O'Connor
125 The Biology and Psychology of Melatonin
Jene Tesoriero
137 Hispanic Literature in English Translation
Michael Alas
102
�Heroin Abuse as Product of the Urban Environment
in the Works of Burroughs, Selby, Algren, and Baldwin
Michael O’Connor
Senior Honors Project
I. The Only Tale to Tell
“For while the tale of how we suffer, and how we are
delighted and how we may triumph is never new, it
always must be heard. There isn’t any other tale to
tell, it’s the only light we’ve got in all this darkness.”
James Baldwin – “Sonny’s Blues”
If, as Baldwin states, the only tale to tell is that of suffering and delight, then no
genre of American literature is more representative than the drug novel. This is exactly
what the characters in these novels live for: suffering and delight. The harshness of the
suffering, as brought about by poverty, isolation, and poor living conditions, is matched
only by the delight that comes with heroin injection. Ultimately, it is the suffering that
these works attempt to expose, as the delight represented is temporary and always fading.
Through exploring the major works of American drug fiction, one can begin to see
that, as Baldwin says, though these stories may not be new, they must always be heard.
By putting particular emphasis on a few popular works including Nelson Algren’s The
Man with the Golden Arm, Hubert Selby Jr.’s Requiem for a Dream, Baldwin’s own
“Sonny’s Blues” and William S. Burroughs’ Junky, the drug novel comes forth as a
uniquely American genre which exposes important flaws in our society and culture.
The expository nature of these works is something that serves as a major connection
among the novels to be discussed. Because the readership of these novels is not limited
to intravenous drug users, they must all be very graphic in nature in order to represent a
set of experiences and way of living with which the majority of the audience is largely
unfamiliar. For this reason, the drug use is never secondary. It is always on the mind of
the author, the character, and thus the reader. In making drugs the overriding theme, the
reader unfamiliar with drug abuse can begin to grasp the mentality of the addict.
Along with the explanatory role of the works, there is also a common reactionary
element among the novels’ major characters to specific aspects of their individual and
collective social situations. These are all urban tales, and thus the reactionary aspect is
most often located in their disdain for the “urban wastelands” in which they live. These
harsh landscapes force the characters to live increasingly isolated lives where friends and
neighbors, though possibly interacting on a menial level, never make genuine connections.
Sadly, the character’s reaction to these situations is often to turn to drugs, and in
particular to heroin. The key then is to find out “why heroin?” What is it about the
103
�needle that attracts urban users? Only when this is uncovered can we understand more
specifically the intricacies of intravenous drug use, including attempts to stop or “kick”
the habit, and the physical wear and tear these drugs have on the user’s body.
In addressing these questions, Burroughs, Selby, Algren, and Baldwin reach out to
the readers not in tune with the mentality of drug abuse. Through careful character
development, and the expository nature of these works, the goal of these pieces is to
“humanize the seemingly inhuman, and by extension to humanize the reader” (Price iii).
By observing their worlds, and knowing the reasons for their actions, the reader is able to
connect with the characters and is able to understand the purpose of heroin use as a
reaction to the harshness of their conditions.
After all, we should be able to understand suffering because it is in fact a human
condition, not just a junky condition. As Nelson Algren states in The Man with the
Golden Arm, “We are all members of one another” (198). Former addict Curtis
McMaster expands on this thought in his article, “The Tragedy of Heroin Addiction,”
stating, “Our addiction to heroin has joined us to it and each other in a bond of utter
hopelessness” (30). This bond, however, is not as restrictive, nor as fatalistic as
McMaster describes. Mankind shares the communal suffering with the junk addict. We
all, addicts and non-addicts alike, must acknowledge and understand our collective and
individual responses to universal suffering. As Price states, we should recognize the
humanity of these characters despite their drastic actions that seem alien to the non-user.
II. Reactionary Tales
“this whole country, this whole world is on a bad trip, friend.”
Charles Bukowski – “A Bad Trip”
A major theme in many of the novels described is the failure of the American
Dream in reaching all of its citizens. With most of the novels taking place shortly after
major wars, in particular WWII, as is the case with both Junky and The Man With the
Golden Arm, one notices a common economic frustration among the characters. These
urban drug users encountered a post-war economy thriving and making the rich richer but
offering them no kind of economic gain. The television culture showed happy white
suburban families whose biggest problems revolved around bullies and prom dances.
The poor urbanite could not identify with these “typical” Americans. They were not
benefiting from the economy and the American Dream was not working for them. They
were mired in minimum- wage jobs with no chance of advancement, lived in
neighborhoods offering no hope of a home, and were often failing in their interpersonal
relations.
104
�Charles Bukowski’s “A Bad Trip” offers a good introduction to the drug abuser’s
view of society. Why outlaw drugs, asks Bukowski when there are so many other nonnarcotic agents prevalent throughout society that have the same deteriorating effects: “…
[drugs] can take a man permanently out of his mind – but so can picking beets, or turning
bolts for GM, or washing dishes, or teaching English I at one of the local universities”
(200). What was it about drugs that made them so unacceptable? Society was already
paralyzing its poor by forcing them into low-income jobs with no chance of
advancement. The destructive power of narcotics was no greater than that of monotonous
labor, but society didn’t seem to have a problem with that. The problem with heroin, as
far as society is concerned, is not with the damaging effects of the drug, but with the
narcotic itself. Insanity and destruction by work is acceptable, but when caused by drug
abuse it becomes a problem.
Though Bukowski is mainly referring to hallucinogens like LSD and peyote in his
essay, his ideas certainly can be applied to heroin abuse. The important idea is that it was
not the drugs alone that caused problems in the addict, it was that the negative effects of
drug abuse were only compounding the damage that had already been perpetrated by
society. As Bukowski states, “Most bad trips are caused by the individual being trained
and poisoned beforehand by society itself” (201). The agents of ruin are not the
narcotics, but rather the poisonous aspects of society that have sunk their claws into the
users much earlier than their first drug experience. The negative psychological effects of
drug use are then not attributable to the drugs, but rather to atmosphere. Bukowski states
it clearly: “a bad trip? this whole country, this whole world is on a bad trip, friend. but
they’ll arrest you for swallowing a tablet,” or using a needle (202). What kind of societal
ideals allow the reaction to be punished while the initiator of the reaction is allowed to
continue operating without question? This is exactly the kind of hypocrisy that is
uncovered in drug literature as a major cause of addiction.
Dissatisfaction with an exclusionary society then leads to a search for “identity in a
hostile society and, in a social situation which invites fatalistic compliance . . .” (Murray
353). Many people reject this compliance, though, as they realize they will never fit the
narrow mold of what is accepted in society. The response then becomes to reject
everything that has been deemed normal. William Burroughs’ experience is a prime
example of this. Though he grew up in a wealthy midwestern suburb, Burroughs still felt
disillusioned by a society that rejected him. As a homosexual, Burroughs was already
excluded from participating in the American Dream as, like the poor urbanite, he did not
fit the narrow mold of what was deemed acceptable.
According to Beat critic Ann Charters, Burroughs’ introduction to heroin came
when he decided that he wanted to leave his mundane suburban life to join a “community
of outlaws” (102). Burroughs himself supports this idea in the prologue to Junky.
Writing under the pen name “Bill Lee,” Burroughs explains that he decided to begin this
105
�outlaw lifestyle after reading Jack Black’s You Can’t Win. Burroughs admired Black’s
tale because “The author claimed to have spent a good part of life in jail. It sounded
good to me. Compared with the dullness of Mid Suburbs where all life was shut out”
(Burroughs, Junky xii). Burroughs claims this to be simply a “romantic extravagance”
meant to jeopardize his safe life with some “token act of crime” (Junky xiv-xv). This
raises an important question: why would a wealthy suburbanite jeopardize his seemingly
perfect American lifestyle for a “romantic extravagance?” There must be something
lacking in the lives of those not deemed acceptable in American society. Burroughs’
induction to this community of outlaws, which would eventually lead him to heroin
abuse, occurred as a direct result of the fact that he was not happy with what had been
nearly universally accepted as the model of American perfection: suburbia and
heterosexuality. This dissatisfaction, as is seen in different yet equal terms among the
poor urbanite, is indeed what led him to rebel by participating in activities that were
deemed unacceptable. Drug use becomes a mode of rebellion against a society that had
already deemed the individual an outsider. By using heroin, which has been especially
stigmatized as a “dirty” addiction, the characters build upon their innate status as the
“outsider,” one who does not fit in with society.
For Burroughs, junk becomes a rejection of the monotony of American life. “You
become a narcotics addict because you do not have strong motivations in any other
direction,” said Burroughs; “Junk wins by default” (Junky, xv). Junk may win by default,
but it is an opted default. Junk does not choose the individual, rather it is chosen, and
Burroughs biography offers a good example of why so many have made this choice. It
comes as a direct reaction to a dissatisfaction with one’s own community, status, or
atmosphere.
Looking at other literature of heroin addiction one finds that Burroughs was not
alone in his sentiments. In Nelson Algren’s The Man with the Golden Arm, Solly
“Sparrow” Saltskin reiterates Burroughs’ rejection stating, “If it wasn’t for trouble I’d be
dead of the dirty monotony around this crummy neighborhood” (14). Though Sparrow is
not an addict himself, his choice to move into crime comes for the same causes as
Burroughs’ experimentation with drugs: dissatisfaction with his community. Like
Burroughs, Frankie, the protagonist of Algren’s novel, is an intravenous drug user and,
like Sparrow, his reaction is to the “dirty monotony” of his urban Chicago neighborhood.
Whether this reaction be petty theft, as is the case with Sparrow, or heroin, as is the case
with Frankie, they have both found socially unacceptable methods of coping with their
dissatisfaction.
A final reason for using heroin as a reaction in these novels arises out of the
misguided belief that drug use can become part of a pursuit of happiness. This belief
clearly pertains to Selby’s Requiem For a Dream in which the three main characters use
heroin as a symbol of the American Dream, as it can bring them both pleasure and
106
�monetary advancement. Selby sees this as a selfish way of thinking. “Basically what the
American Dream says,” said Selby in an interview with Shout Magazine, “…is, you have
to go out and get. And the more you get, the more content and secure and happy you will
be—which of course is an absolute and total lie. Because the secret of a happy life is to
give…” (qtd. in Estep 29). For Selby, the characters in Requiem fall victim to this lie as
their individual drug addictions force them to concentrate solely on themselves. “The
American dream is not only futile,” states Selby in the preface to his work, “but selfdestructive because ultimately it destroys everything and everyone involved in it” (Selby
v). The self-interest of the three characters ruins their chances at achieving happiness.
As the novel progresses, their friendship degenerates until, at the conclusion, they are left
separated and alone, all having fallen victim to the selfishness of the dream.
The characters in Requiem each meet an individual demise that comes as a direct
result of buying into this dream. Selby then punishes his characters for believing the lie
and, in this, we see a clear distinction between the characters in Requiem and the other
characters discussed. Unlike Bill Lee or Frankie Machine the heroin abuse among the
three characters in Requiem is not a rejection, but a full-scale acceptance of the American
Dream. One could call these characters somewhat more optimistic than those seen in the
other novels, but this optimism does not provide happiness as it is based on a lie. As
result, their outcomes are just as miserable, if not worse, than either Bill Lee or Frankie
Machine.
Selby’s characters, like all Americans, are taught that happiness comes through
individual gains, such as making money and purchasing big-ticket products. The
characters in Requiem all buy into this ideal and for that reason Selby punishes them.
“They did not know the difference between the vision in their hearts and the illusion of
the American Dream. In pursuing the lie of the illusion, they made it impossible to
experience the truth of their vision. As a result, everything of value was lost” (Selby vi).
In believing that money will solve the problems in their lives, Selby’s characters
subscribe to the very same illusion that is responsible for their problems. In this way,
Requiem becomes what critic Roland Binet calls, “[A] vitriolic attack on society’s
decaying influence, on what society does to us” (388). Requiem, like the other works
discussed, shows us how society devalues and dehumanizes the poor urbanite. In doing
this, these novels offer evidence to support the idea that heroin addiction comes as result
of an initiating factor in their surroundings. Ultimately heroin abuse does not begin as an
action of the individual, but as a reaction to the outside society.
107
�III. Don’t Hide the Madness
“The method must be the purest meat
and no symbolic dressing,
actual visions & actual prisons
as seen then and now.
Prisons are visions presented
with rare descriptions
corresponding exactly to those
of Alcatraz and Rose.
A naked lunch is natural to us,
we eat reality sandwiches.
But allegories are so much lettuce.
Don’t hide the meat
San Jose, 1954”
Allen Ginsberg – “On Burroughs Work”
Along with the reactionary aspect of the works described, one must acknowledge
the methodical nature of the authors in detailing heroin addiction. It is in the graphic
descriptions and vulgarity of the texts that the authors communicate the magnitude of the
condition. This success is achieved through a number of common devices. First, by
creating very real characters with whom the reader can relate, the author allows us to
locate ourselves inside the text as we identify with the plight of the characters. Through
the use of slang terms and community vernacular the authors create characters of flesh
and blood, real human beings, not representations or exaggerations thereof. In doing this,
the writing becomes a method of exposing the intricacies of drug abuse. Once we
commit ourselves to the characters, only then can we understand their actions.
Heroin fiction has often been criticized as being too graphic in describing drug
abuse. Critic Ann Marlowe claims this flaw to be so deep that it causes the authors to
neglect convention by turning their emphasis to the grotesque (Marlowe 141). Marlowe
feels that authors like Burroughs, Selby, and Algren are often too concerned with
portraying the horrors of drug addiction and, in doing so, ignore classic literary functions
like suspense, character development, and convincing dialogue (ibid.). To Marlowe,
heroin abuse is anti-fictive and attempts at universalizing heroin addiction through fiction
fall short of conveying their intended message. Thus drug abuse deserves non-fiction;
personal accounts which can provide closer attention to individual and personality (ibid.
142).
108
�Despite Marlowe’s claim, heroin literature does not ignore literary convention.
Rather, through intense character development it actually draws the reader, and writer,
into the work. Although they do concentrate on the graphic nature of drug abuse, these
authors never make their characters’ actions monstrous or surreal. Realism in heroin
fiction draws the reader in as much as would a personal memoir and, in doing so,
contradicts Marlowe’s claim to the “anti-fictive” nature of heroin addiction. Done right,
heroin novels become “an invitation to embark upon the journey ourselves . . . [it is] an
invitation to emerge” (Tsomondo 197). The reader not only empathizes with the
character but also becomes a part of the work. Though the reader may have no personal
relationship with heroin, he can understand the need to eliminate suffering and begin to
recognize heroin use as a means of elimination.
Selby may be the one author whose work best achieves the goal of drawing the
reader into the text. Despite their often drastic actions, Selby’s characters are always
identifiable. This is something that the author acknowledged as a goal in his writing: “I
don’t want you to read a story, I want you to experience it” (Interview 319). If we can
feel for the characters, no matter how externally despicable they may seem at times,
Selby succeeds. If we can witness them commit a heinous act, like Marion’s subjecting
herself to degrading sexual humiliation at the end of Requiem in exchange for a small cut
of heroin, and still identify with her, Selby has achieved his goal. It is during these
intense periods of degradation that the characters are their most human. If the reader can
relate to the characters at their lowest points of addiction and suffering, then he can truly
understand the magnitude of suffering that the author intends to portray.
This identification is what makes Selby succeed as an expository writer. He is not
simply a storyteller, but rather an explainer. He locates himself inside the work, and
inside the heads of his characters, in order for his readers to understand their innermost
thoughts and feelings. Requiem is not told by a third person narrator, it is told by Selby,
because he feels such a close connection to these characters that he knows exactly how
they think. As Robert Buckey states, “Selby does not write about or speak to his subjects
as much as he locates himself in [them]” (375). To be a successful Selby reader, one
must follow the author’s lead into the text or else all meaning is lost. The works are only
expository if we allow them to be. We too must delve into the world of the addicts to be
able to understand their motivations and reactions. Selby offers us the means; it is our
choice if we decide to follow.
Selby’s success depends upon us taking this journey. Only if we recognize the
world he is exposing does his work transcend the page and become incorporated into the
world of the reader. He offers no answers, just explanations, or, as Eric Mottram puts it,
Selby’s art is “showing the disease without offering the cure” (363). Selby’s motivation
is purely expository. He urges his readers to realize the plight and understand the
suffering of his characters, but at the same time refrains from offering panaceas. Roland
109
�Binet says as much in his essay “The Mirror of Man,” stating, “[Selby’s] sincere desire
[is] to expose our world for what it is actually, a planet inhabited by greedy, vile, debased
human beings set on a course toward self-destruction, yet utterly unaware of it” (380).
Selby’s pessimism is not reflective of his characters, but rather of the world around them.
By exposing the degradation of the society around them, Selby explains the logic behind
the reaction they have chosen.
As Robert Buckey points out, Selby has often been criticized as being a crude
author with no sense of art in his writing (375). This criticism could not be more
incorrect. In truth, Selby’s artistry is the urban dialect of his texts. Though some may
view the blunt writing as crude, this is exactly the point. Selby must use the harsh dialect
of the streets to portray the lives of urban characters. Were the author to be discussing a
different group of characters with a different set of problems, a more artful style may be
appropriate, but for these characters the writing must be harsh, brutal and improvisational
to parallel the situations of the lives it describes. It is in this writing that we find Selby’s
insight into urban mindsets, styles, and vernacular. This ear-to-the-streets style is what
makes Selby’s work so powerful.
As we see in Selby’s style, the detailing must be as graphic and descriptive as
possible for any author attempting to describe drug addiction to a readership who may
have no previous experience with the topic. Burroughs is also quite adept at this, as in
his Junky he includes a full glossary of “jive talk”: addict slang terms relevant to the text.
The glossary offers detailed descriptions to aid the reader in understanding junk talk, but
more importantly the junky lifestyle. One particularly exemplary entry is as follows:
Chucks . . . Excessive hunger, often for sweets. This
comes on an addict when he has kicked his habit far
enough so that he starts to eat. When an addict is cut
off the junk, he can’t eat for several days. I have seen
addicts who did not eat for a month. Then he gets the
‘chucks’ and eats everything in sight (Burroughs,
Junky 154).
Not only does Burroughs give the primary description, “excessive hunger,” but he also
infuses it with a personal account to further describe the exact nature of the “chucks.”
Burroughs is not content with giving his readers a vocabulary list; rather he wants the
reader to understand exactly what these terms mean, and how the junk abuser uses them.
For Burroughs, understanding can only be achieved if the reader becomes completely
immersed in the lifestyle, and a key point to understanding the life is knowledge of the
language.
This glossary offers another key point to understanding the goal of the authors. By
including this, Burroughs acknowledges that his audience is made up primarily of readers
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�unfamiliar with urban drug abuse. For this reason he must be as specific as possible
when describing their unique lexicon of terms. The glossary of “jive talk” again
indicates that Burroughs is indeed trying to teach his readers something.
A second key support to the expository nature of the works is the graphic authorial
description of the mechanical act of intravenous drug use. For an author to successfully
portray the magnitude of addiction, the process of getting high must be described in terms
graphic enough to convey the power of the drug. This is indeed the most important
aspect of the explanatory nature of the texts. If indeed the author’s purpose is to expose
the conditions that lead to drug abuse, and the tragic effects afterwards, the reader must
understand the act itself and the feelings it incurs.
Burroughs does this early in Junky, describing the first time the autobiographically
based character Bill Lee experienced intravenous drug use. Burroughs description of his
first junk experience, using a morphine syrette (a small tube with a needle protruding
from the end,) reads almost like a medical text. Burroughs wants the reader to
completely understand the euphoric feeling of the drug. His account describes the kick as
immediate and exotic: “Morphine hits the backs of the legs first, then the back of the
neck, a spreading wave of relaxation slackening the muscles away from the bones so that
you seem to float without outlines, like lying in warm salt water” (Burroughs, Junky 7).
Burroughs is quick to note that the first experience was not entirely pleasurable citing the
jarring reaction that the drug has on his body, including “… the shutting off of breath; the
stopping of the blood” (ibid.). Critics who claim that Burroughs promotes drug abuse in
his writing seem to overlook this passage. He neither promotes nor condones drug use at
this point, but rather explains it. His goal is for the inexperienced reader to understand
the effects of intravenous drug use without actual experimentation.
Algren’s method is similar to Burroughs as Algren too is very precise in describing
the act of shooting up. As in Junky the first description of Frankie Machine’s addiction
in The Man with the Golden Arm is also that novel’s most graphic. Algren is clear to
state the controlling and addictive nature of the drug in his description, especially when
taking into consideration that Frankie does not inject himself, but rather has his dealer
Louie shoot him up. This emphasizes the inherent powerlessness of the user in the
situation. Algren takes Burroughs’ graphic account a step further, even describing the
preparation of the drug in graphic detail: “[Louie] snuffed out the match’s flame as it
touched his fingers and snapped the head of another match into flame with his nail,
letting its glow flicker one moment over the sieve-like smile; then brought the tube down
cautiously and watched it dissolve at the flame’s fierce touch” (Algren 57). This initial
description, even prior to injection, conveys the control the drug has over Frankie. The
meticulous description puts the reader in Frankie’s shoes, anticipating the hit, waiting in
agony for Louie to finish, waiting for the drug to be ready so that Frankie and the reader
can simultaneously feel the effects.
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�Algren’s shooting scene gets more detailed as the injection is finally made:
[Frankie] couldn’t feel Louie probing into
the dark red knot above his elbow at all. Nor see the
way the first blood sprayed faintly up into the delicate
hypo to tinge the melted morphine with blood as warm
as the needle’s heated point.
When Louie sensed the vein he pressed it
down with the certainty of a good doctor’s touch, let it
linger a moment in the vein to give the heart what it
needed and withdrew gently, daubed the blood with a
piece of cotton, tenderly, and waited…
It hit all right. It hit the heart like a runaway
locomotive, it hit like a falling wall. Frankie’s whole
body lifted with that smashing surge, the very heart
seemed to lift up-up-up—then rolled over and he
slipped into a long warm bath with one long orgasmic
sigh of relief (58).
Algren’s description again places the reader in Frankie’s position. The torture that he
goes through waiting for the drug to hit, followed by the “orgasmic” ecstasy of the high,
is meant to be simultaneously experienced by the reader. When reading these lines one
cannot help but imagine the sensations that Frankie feels, and we almost want to feel
these same things. This, though, is Algren’s intention. By placing the reader with
Frankie, Algren exposes the seductive power of morphine. Through Algren’s narration,
the reader becomes the junky. We, like Frankie, are sucked in by the attractive qualities
of the drug. Fortunately, the reader has the ability to witness the causes and effects of the
drug without trying them. Unlike Frankie, we see the destructive power of drug abuse
without having to experience it.
IV. Isolation
“The wind had blown the summer flies away. God
had forgotten His own.”
Nelson Algren – The Man with the Golden
Arm
A major catalyst for the intense feelings of hopelessness seen in a number of these
characters is an urban atmosphere that does not support the individual. The
neighborhoods in urban drug literature are not conducive to interpersonal support, as they
force the individuals to concentrate on self-survival, a necessity more difficult to achieve
in this atmosphere than it ought be. This leaves the characters isolated, often without a
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�single person to turn to for support. Family and friends are often dealing with their own
issues and can’t dedicate time to someone whose problems are seemingly no more
serious than their own. This then leaves the isolated individuals searching for an agent to
soothe their often all-encompassing feelings of dread and despair. All too often the
answer becomes narcotics, as the abusers feels they have nothing else in this world to live
for.
The first sense of isolation is often felt in a lack of support among individuals
within the community. These feelings of solitude are often a driving factor toward drug
abuse and crime. Throughout each of the novels, we see how the described addicts had
no one to turn to before beginning their addictions. The prime example of this may be
Sonny in “Sonny’s Blues.” Although Sonny’s brother is a force in the present tense
narrative of the tale, the sections that describe the past show Sonny alone, confused, and
without a figure of support in his life. His father has been killed in a racially motivated
murder and his single mother does not know how to relate to her rebellious son. Thus
Sonny, a young teenager, is left to fend for himself. Sonny’s only outlet is his music, but
even that is not supported by his friends and family who hear it more as a cacophonous
disturbance than the emotional outlet that it really is. These feelings of solitude in an
already unwelcoming environment are for Sonny, like so many of his peers, a major
contributing factor to his experimentation with heroin.
This type of isolation is seen again through a number of characters in The Man with
the Golden Arm. Though not all are drug addicts, several characters in Algren’s tale
express feelings of despair and directly attribute them to their surroundings. A first major
example of this is Frankie Machine’s wife, Sophie. Sophie, crippled from a car accident
when Frankie was driving drunk, spends her days housebound, and with very little
companionship. Frankie is gone, supporting his habit by dealing cards, and there are few
others who show any concern for her condition except for a quack doctor and the
building’s landlady who makes infrequent stops to Sophie’s apartment to help with
cleaning. Sophie’s despair is compounded by her dismal surroundings. As Algren
describes it:
For the city too was somehow crippled of late. The
city too seemed a little insane. Crippled and caught
and done for with everyone in it… She could tell just
by the way once familiar doorways had come to look
menacing in the morning light, ready to be slammed in
the face of anyone who knocked at all. Nobody was at
home to anyone else any more. (96)
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�For Sophie, the environment turns what should be a supportive community of individuals
into amalgam of isolated faces. Algren shows this by paralleling Sophie’s handicap with
the city itself. By describing the urban atmosphere as crippled, Algren shows that
everyone located within will, like Sophie, feel the effects of the unwelcoming
environment. Because Sophie is already battling a handicap that isolates her from others,
her plight is only worsened. Sophie’s lone solace in the world comes in her morbid
fascination with accidents like her own. She goes as far as compiling news clippings of
fatal and injurious events in a notebook entitled “My Scrapbook of Fatal Accidence.”
Sophie’s paralysis shows the reader another example of the unsupportive nature of
the environment. Throughout the work, a number of characters attempt to convince
Frankie that Sophie is faking the injury simply so that she can keep him bound to her.
Though never made clear in the novel, this speculation convinced some readers enough to
believe that Sophie was indeed fraudulent, as is seen in Otto Preminger’s 1955 film
adaptation of the novel, in which Sophie’s health is found out at the film’s conclusion.
This scenario speaks volumes for the need for companionship and support in the urban
environment. Sophie feels that she could not survive alone, and thus sacrifices her
mobility just so Frankie will stay with her. Whether Sophie is indeed crippled or not is
not the main issue. Rather, it is the fact that she is willing to sacrifice her mobility just so
she will have some form of companionship because she feels she cannot survive in her
environment without it.
Sophie’s husband Frankie also feels alone in his environment, and like Sophie is on
a constant search for a supportive soul. Since the accident that paralyzed his wife,
Frankie has felt a tremendous amount of guilt for the injury because he was drunk behind
the wheel. This is not helped by the fact that Sophie reminds him on a daily basis that he
is responsible for her current state. The guilt he feels is never eased, because there is not
a single person to whom Frankie can turn to discuss his feelings about the accident.
Algren describes this guilt as the motivating factor for Frankie’s drug abuse: “Yet-if
there were just one person to whom one’s answers were always straight, just that might
make the whole twisted world come straight…” (144). The key to this statement is the
repetition and connotation of the word “straight.” The slang term that Algren uses -“straight” -- means to be clean of drugs. So what Algren is saying is that if Frankie had
someone to talk to, someone with whom he could work out his intense feelings of guilt,
he would not need heroin in his life; the human support alone would be enough to make
his world “come straight.”
Unfortunately, Frankie is never able to find the support that he needs to “come
straight.” There are a few characters in the novel that aid Frankie and attempt to help him
kick the habit, but it is never sufficient. Molly-O is the one character with whom Frankie
does find some solace and support. In his last major attempt at kicking his habit, Frankie
goes cold turkey while locked inside Molly-O’s apartment. The kick does not work
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�because, though Molly can be with Frankie for part of the day, she cannot remain
housebound with him. During her absence the intensity of the kick is too much for
Frankie and he can’t take it. What Frankie needs to kick is constant and unfading
emotional and physical support, which Molly-O simply can’t give him.
Frankie’s isolation in turn leads to the demise of another character in the novel, his
sidekick Sparrow. Without Frankie, Sparrow cannot survive in the uncompromising
Chicago streets. Algren describes the effect that Frankie’s separation has on Sparrow:
“[Sparrow] wanted to feel walls and safety about him, needed to be inside something.
Frankie had been his wall and the wall was gone, leaving him as defenseless as he had
been in the years before he’d hooked up with the dealer” (120-1). Sparrow cannot
survive without the support of the much stronger Frankie. When Frankie turns away
from Sparrow, and from everyone else in the community, his friend cannot survive on his
own. Like so many other characters in the work, Sparrow is left alone, isolated in an
already overwhelming environment.
The feelings of urban isolation may be described best in Baldwin’s “Sonny’s
Blues”:
You walk these streets, black, and funky and cold, and
there’s not really a living ass to talk to, and there’s
nothing shaking, and there’s no way of getting it out—
that storm inside. You can’t talk it, and you can’t
make love with it, and when you finally try to get with
it and play it, you realize nobody’s listening. So
you’ve got to listen. You got to find a way to listen
(Baldwin 26).
Sonny attempts to find support in the community through his music. Like the characters
in Algren’s tale, he too realizes that “nobody’s listening.” Nobody cares to hear what
Sonny has to say through his music because they are suffering just as he is and they know
what that suffering feels like. Sonny realizes that he must be his own audience, he must
play for himself, find solace in himself. Only after this is achieved can he speak to others
through his music. Sonny is indeed successful in doing so, and in the final passage of the
text we see that he can indeed reach others through his music. In that passage, Sonny’s
brother, who had misunderstood Sonny’s drug abuse for so long, finally begins to see
what his brother has been going through. As his brother notes, the transmission in
Sonny’s music is reciprocal: “I understood, at last, that he could help us to be free if we
would listen, that he would never be free until we did” (Baldwin 32). In discovering this,
Sonny may be the one true success story among all the characters discussed. Sonny’s
music can speak to the community, while at the same time allowing him to release years
of pent up anger and frustration, but this can only occur if someone is listening. This is
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�something that seems to be lacking in all of the novels, a sympathetic ear to which the
characters can turn for comfort or release.
Even in tales where there is a sympathetic ear, few characters find an outlet as
effective as Sonny’s music. While Sonny’s response to his suffering is productive, most
of the other characters simply isolate themselves from everyone around them and descend
further into drug abuse. We see this self-isolation as a common response among the
characters after they fail to find support in others. Frankie Machine in The Man with the
Golden Arm and Harry in Requiem for a Dream are the two prime examples of complete
self-removal from friends and family.
Both characters isolate themselves from the few people who truly love them. For
Frankie, as has already been discussed, it is his wife Sophie and later his best friend
Sparrow. For Harry, the reaction is much the same as he turns away from his
overbearing, yet endearing mother, Sarah, and from his one true love Marion. In turning
away from their closest relations, we see that Frankie and Harry are the two most
hopeless characters in any of the works. Unlike these two, Sonny finds he has his
brother’s support at the end of “Sonny’s Blues” and Bill Lee, though not keeping friends
for long periods of time, never isolates himself to the extent that Harry and Sparrow do.
While not of the same magnitude as the other two, Burroughs’ Bill Lee does enter
periods of self-isolation. Lee’s stints of self-removal are primarily reserved to short
periods of time when he wouldn’t leave his room and would spend his entire day
concentrating on keeping up with a drug schedule. “As I began using stuff every day,”
describes Lee, “I stopped drinking and going out at night… I also stopped bathing”
(Buroughs, Junky 22). His life becomes dedicated to a routine of consistent drug use:
“... a cap of junk three times a day, and the time in between to be filled somehow”
(Burroughs, Junky 75). For Lee, it is never a designed isolation from individuals in
society; rather it is just a more strict concentration on his habit, which necessitates an
isolated lifestyle.
Harry’s self-isolation is much harsher and is directed specifically against human
contact. He gets to a point where he doesn’t even want to leave his house to go to the
store because it may force him to interact with others. Selby describes Harry’s reclusive
mentality: “If only he could just call up some joint and have them send one over that
would be fine, but going in a store and talking with people and everything . . . He
brooded over it for a while then realized that all he had to do was take a taste and
everything would be alright” (130-1). The only way that Harry can even face the world
is if he shoots up first, otherwise the prospect of contact with others is simply too much to
take. This is reminiscent of Burroughs’ most famous quotation from Junky in which Bill
Lee explains his reasons for using heroin: “I need junk to get out of bed in the morning,
to shave and eat breakfast. I need it to stay alive” (23). For both Bill Lee and Harry
Goldfarb, heroin use is the boost they need to get up and face the world. It gives them
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�the comfort they need to leave their self-isolation. This though is the paradoxical nature
of heroin addiction: it both causes the addict to isolate himself and then becomes the only
means by which they can leave that isolation.
Burroughs describes the reasons why junk is a solitary drug in his essay
“Deposition: Testimony Concerning a Sickness.” In “Deposition,” Burroughs defines
junk as a comforting “inside” and everything else in the world as a harsh “outside”: “in
here nice and warm nice and IN HERE and nice and OUTSIDE ITS COLD. . . . ITS
COLD OUTSIDE . . .” (143). For the addict, heroin becomes home; the feeling of
warmth it provides substitutes for the support of other individuals. Human contact is not
needed when junk provides the warmth. For this reason, the addict voluntarily isolates
himself from others because everyone else becomes part of the “cold outside” with which
the addict wants no contact. Their only desire is for the warmth and comfort of heroin;
everything else becomes unnecessary.
Selby seconds this mentality in Requiem describing the way the three main
characters react to a communal heroin session. Though Harry, Marion, and Tyrone are
very close, they begin to believe that they don’t need one another as long as they have
their fix. As Selby describes it, “They were all suddenly silent as they listened through
the dream on lines, each in their own way thinking they didn’t need anyone to dream on,
that this boss shit did the job just fine...” (23). This description certainly foreshadows the
future of their relationship. At this point in the text they are very close, but the
description of their only needing heroin to survive indicates that they will inevitably turn
away from each other as their addictions increase and they isolate themselves from one
another. Selby emphasizes this split by changing the form of his narrative after this
separation. Before the characters begin to self-isolate, their actions are often described as
a group, but as they remove themselves from each other, their actions are described oneby-one, emphasizing the increasing solitude of the characters. This is especially apparent
in the novel’s concluding chapters, where the downfalls of each of the characters are
described in alternating paragraphs, rarely melting together.
Despite Sonny’s individual success, Baldwin, like the other authors discussed, also
supports the idea of urban isolation. He describes it as the overwhelming problem among
the inhabitants of Sonny’s housing project. As critic Donald Murray notes in his essay
“James Baldwin’s ‘Sonny’s Blues’: Complicated and Simple,” the people in Sonny’s
project live in a dual darkness (354). The first darkness is the overwhelming despair of
their own lives resulting from the hopelessness of their environment, and the second
darkness is their sole method of escape: the movie theater. Murray notes that this form
of entertainment is indicative of the separation among the neighbors. Their one form of
entertainment is as isolating as their own lives, for a movie theater offers no sense of
community. Although physically coming together in the theater, members of the
community sit side by side, in darkness, without any form of connection or
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�communication (Murray 354). For Baldwin this is a perfect parallel to represent the
isolated lives of the individuals.
Burroughs describes this sense of urban hopelessness as uniquely American,
criticizing the US for homogenizing its population by forcing them into “Main Streets”
and “Elm Streets” across the country, each with the same characteristics, same feel, and
thus the same inhabitants. “There is no drag like US drag,” states Burroughs in Naked
Lunch; “Take one of those cocktail lounges at the end of a subdivision street – every
block of houses has its own bar and drugstore and market and liquorstore” (134-35). The
homogenized atmosphere that Burroughs describes then leads to heroin abuse as an
individual response to the banality of the living space. Heroin becomes a mode through
which the abuser can form some kind of identity in an atmosphere that does not support
individuality. In essence, heroin becomes the individual because he has nothing else to
make him stand out.
V. Urban Wastelands
“… The city itself seemed some sort of open-roofed
jail with walls for all men and laughter for very few.”
Nelson Algren – The Man with the Golden Arm
The power of the drug novel is that the reader can witness the effects of drug use
without being destroyed by them. The characters, however, are not so fortunate. Their
lives have already been ruined, mainly by their social status and atmosphere. Urban drug
authors concentrate a good deal on describing the depravity and hopelessness of the
environments that their characters inhabit. Most often these are described as industrial
wastelands where constructed artificiality has taken over for nature. Coupled with a
dismal workplace that instills no sense of importance in the individual, the urban
environments become conducive to drug abuse. Beaten down day-after-day by their
environment and with little significance or sense of hope in their lives, heroin becomes a
method of self-destruction which the character’s can control. The initiating cause of this
feeling though is the harsh landscape of urban America.
The urban environment in these novels is often little more than a mess of bricks and
steel. Allen Ginsberg’s canonical poem Howl offers a superior description of the
oppressive nature of the urban environment: “What sphinx of cement and aluminum
bashed open their skulls and/ate up their brains and imagination” (Ginsberg 68). As
Ginsberg notes, the harshness of the city landscape is passed on to the inhabitants,
draining their imaginations and hopes. Through Ginsberg’s observation we can see that
the disillusionment that leads to drug abuse results from the barrenness of the povertystricken urban atmosphere.
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�The narrator of Baldwin’s “Sonny’s Blues” seconds the idea of the unsupportive
urban environment in describing the housing project in which Sonny and his brother
shared their childhood as a wasteland of disillusioned humanity:
We live in a housing project. It hasn’t been up long.
A few days after it was up it seemed uninhabitably
new, now, of course it’s already run-down. It looks
like a parody of the good, clean, faceless life – God
knows the people who live in it do their best to make it
a parody. (9)
This, though, should not be read as the brother’s berating the project’s tenants; rather it is
quite the opposite. The narrator’s criticism is intentionally contradicted earlier in the
description when he describes the project as “uninhabitably new” in its nascent state.
Baldwin’s criticism is of the entire idea of project housing as being an uninhabitable
atmosphere. This is not how people are meant to live, and the result of these cramped
and unwelcoming living spaces becomes a violent and depraved atmosphere.
The narrator understands the toll the environment has had on his brother as he and
Sonny return to the neighborhood following Sonny’s release from prison. “The moment
Sonny and I started into the house I had the feeling that I was simply bringing him back
into the danger he had almost died trying to escape,” explains the narrator (Baldwin 9).
Sonny’s brother fears that a return to the housing project will also mean a return to the
drug habit that sent Sonny to jail in the first place. There is a certain danger about the
landscape that pushes Sonny to use heroin and the narrator knows that as long as Sonny
lives in the projects there is always the chance that he will start using again. The solace
that Sonny finds in music is only momentary because “the world waited outside, as
hungry as a tiger and that trouble stretched above us, longer than the sky” (Baldwin 32).
For Sonny, his music offers a temporary reprieve, but in the end it does not protect him
from the dangers of his own neighborhood.
For addicts like Sonny, Frankie Machine, Bill Lee, and the three main characters of
Requiem, the urban environment is the major factor in pushing them towards drug abuse.
What is it exactly about the urban atmosphere that supports heroin abuse as opposed to
more rural, or suburban settings? The artificiality of the scenery certainly plays a major
role. The effects of the constructed atmosphere of tenement housing, and high-rise
buildings, takes a major toll on the characters of drug fiction leaving Algren to question,
“Was there no time left for easy passages and casual pleasures down tree-lined
boulevards?” (97). The comforts of nature are not made available to city-dwellers who
live their entire lives surrounded by concrete and steel. Algren emphasizes this point
through the actions of the mentally retarded son of the tenement landlord (appropriately
nicknamed “The Jailer”). Throughout the novel, Jailer’s son is constantly attempting to
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�plant paper daisies in the cracks of the tenements worn staircase. The flowers are
constantly rejected, or trampled upon, showing the inability of anything to be nurtured in
this brutal atmosphere where “only arc lamps and fire hydrants grow…” (Algren 226).
Algren shows us that not only has the urban landscape removed all natural beauty, but it
has also eliminated the possibility of it arising anew.
This pessimism for the future is deepened when we observe the employment
opportunities in low-income urban environments. The characters in the novels are all
city-dwellers, not suburbanites who commute into the city for their nine-to-fives and then
return to their distant communities. They live twenty-four hours a day in the city and
reap none of its economic benefits. They are not qualified for office jobs that offer
economic security and thus are left with few options other than unfulfilling, minimumwage labor. This is exactly the kind of labor that Bukowski described as leading to the
same type of insanity that hallucinogenic narcotics produce.
The addicts presented in heroin literature, for the most part are, unemployed or
bounce around from job to job not caring about what they do or for whom they do it as
long as it pays their bills. Often, as is seen in Requiem, there is a large-scale rejection of
any kind of work. Harry, Marion, and Tyrone forego any kind of employment and view
work as yet another inhibitor of personal freedom: “…looking at the people…knowing
they were either going to or coming from some job, trapped in some box in the suburbs or
rat trap in the city, never knowing what was going on and never knowing what its like to
be free…” (Selby 110). These three characters see work as a barricade to personal
freedom and see anyone who labors as a sell-out, willing to give up personal freedom for
a paycheck.
The attitude toward minimum-wage labor is summed up by Applejack Katz, a
minor character in The Man With the Golden Arm. Explaining his life after prison to
Machine, Applejack states: “For two years I was off the booze, off the women, off the
horses, off the dice. I even got engaged to get married in a church. All I done that whole
time was run a freight elevator up’n down, up’n down. It scares me when I think of it
now: I come near losin’ everything” (Algren 204). This may seem like an odd
statement. His life seems to be going well according to what most people would consider
a healthy lifestyle. He had stopped drinking, womanizing, gambling, had a fiancée, and a
new job, but he was still unhappy. The elevator job would drive him into the ground
slowly over a period of years taking away his youth, freedom, and hope. The only time
he had truly felt free was when he was drinking, womanizing, and gambling because then
at least he could control his own inevitable destruction. These excesses may cause this
demise to occur more rapidly, but at least Katz would have some control over his own
destiny and have a bit of a good time on his path down the spiral. This identity control is
a major factor in heroin fiction, the sense that although the drug may destroy the addict
he at least is in control of that destruction.
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�For critic Leslie Fiedler, Katz’s statement is the rallying cry for a generation of
disenfranchised who have decided that the ideas of order of the past (i.e., a job, family,
home) will not work for them. So the emphasis turns towards the now and satisfying the
primal needs of satisfaction rather than trying to carve out their own niche in a rather
exclusive society. Fiedler reads this rejection in Freudian terms describing it as the
prevailing of “‘impulse over order’” (Fiedler 510). If, like Katz, we see work as
ultimately unfulfilling and meaningless to personal satisfaction, why continue? If work
does not fulfill the primal goal of fulfillment, then it has no place in the rebellious
individual.
Ultimately for Fiedler, this rejection of work becomes a rebellion against the
traditional roles a man is supposed to play in society. In his article, “The New Mutants,”
Fiedler argues that the rejection of work is one in a number of individual reactions that
characters of rebellion fiction take on as a means of rejecting their designated roles.
Rejecting the workplace incurs a disruption of the place a man is supposed to fill in
society. As he states, “A job and unequivocal maleness – these are two sides of the same
Calvinist coin, which in the future buys nothing” (520). Work is not needed if
concentration is on the present and fulfillment of the id. In fact, as Fiedler states, it
doesn’t even buy anything for the future for these characters because they can’t obtain the
kind of employment that would offer any sort of personal or family security. Work then
is purposeless, even though it is what men are taught they are supposed to do. In
rejecting the workplace, the individual rebels against the constructs of society in an
attempt at gaining some form of control over their own lives.
These control issues are also a major contributing factor to the character’s entrance
into petty crime like thievery, drug dealing, and card-sharping. Illegal employment
serves as an easy way to earn a few dollars without selling one’s personal freedom to an
employer for eight hours a day. Harry, Marion, and Tyrone take this route initially,
selling small amounts of dope to fund their habit, but eventually becoming big time
dealers. Frankie Machine, nicknamed “the man with the golden arm” for his quick hands
at the card table, makes his living dealing illegal card games for his drug dealer. Bill Lee,
like the three characters in Requiem, makes money to support his habit by dealing drugs
on the side. And Sonny, in Baldwin’s tale, has just been released from prison for a drugrelated infraction. This self-employment in petty crime can be paralleled with heroin
abuse as simply another means of exercising personal freedom in a stifling atmosphere.
Ann Marlowe, a former heroin addict herself, takes this search for personal freedom
even further when describing the reasons why people experiment with heroin. According
to Marlowe, the goal of every heroin user is to form an addiction. “Getting a habit isn’t
an accident, or the result of the ‘power of the drug,’” claims Marlowe, “it’s what you
were after” (145). This certainly seems to be true in looking at the characters in drug
literature. Burroughs’ autobiographical Bill Lee may be the prime example of this.
121
�Burroughs had a “perfect” American life growing up in the suburban Midwest, yet was
unsatisfied. He turned to heroin as a reaction to this dissatisfaction knowing very well
that experimentation could lead to addiction.
Marlowe uses an interesting anecdote to explain this type of behavior. Discussing
the number of addicts she knew who claimed to have thrown up after their first few times
using heroin, Marlowe asks: “Would you order an entrée again if you threw it up the first
time you ate it?” (145). For most of us the answer is a resounding “no,” but for the
heroin addict the intense initial reaction to the drug is not enough to prevent them from
trying a second and third time. Marlowe continues: “We grow up hearing how
destructive the drug is, how it ruins lives because people want it so very much, and so we
suspect it must be enormously pleasurable. It becomes desirable because we have heard
it is addictive” (181). The bodily reaction to heroin during the initial high seems to be an
intensely unpleasurable experience, so why do people continue to use heroin after an
initial negative reaction? They do so because the addiction is what they are after as a
means of controlling their own destiny. In an urban environment where they have little to
live for, heroin becomes the choice method of destruction because it is both pleasurable
and something the users can control themselves.
The idea of desired addiction is supported by a number of characters in drug fiction.
In Junky, Bill Lee notes that heroin is not even a worthwhile high: “Junk is not a ‘good
kick.’ The point of junk to a user is that it forms the habit.” (Burroughs, Junky 99).
Frankie Machine describes his addiction as “…[rolling] up all the little troubles into one
big trouble” (Algren 317). The little troubles of Frankie’s life cause a sense of
hopelessness, but heroin offers him the opportunity to do something about his
dissatisfaction. With heroin, Machine can combine all his problems into a single one that
he can control and, in doing so, gain some authority over his own life. Addiction then
becomes Frankie’s desperate rejection of a controlling atmosphere.
Once addicted, the users can then relate to the depravity of their own environment.
Algren describes the dwellers of Division Street as having “…faces bloody as raw pork
ground slowly in the giant city’s grinder…” (16). The people begin to portray the
hopelessness of their environment and vice versa. Algren extends this comparison by
paralleling the heroin addict with the noises of an industrial atmosphere: “They heard a
switch engine’s burdened cough,” says Algren, “But to Frankie Machine it sounded more
like a man trying to cough with a thirty-five-pound monkey on his back.” (119-20). For
Algren, the addict is a product of his atmosphere and there is no better way of describing
this than portraying the city itself as an addict. Returning to Ginsberg’s “Howl” we see
this idea reiterated:
122
�Im with you in Rockland
Where we hug and kiss the United States under our bedsheets
The United States that coughs all night and just won’t let us sleep.
(Ginsberg 70)
The coughing again parallels the city with the addicts that it has created. Like Burroughs,
Ginsberg sees this as a uniquely American condition. While it may not be uniquely
American, the condition is certainly uniquely urban.
Heroin becomes an ultimate rejection of the controlling urban atmosphere; a revolt
celebrating what Fiedler calls the “…programmatic espousal of an anti-puritanical mode
of existence – hedonistic and detached – one more strategy in the war on time and work”
(522). For the urban users in drug fiction, heroin is a way of disconnecting themselves
from the society that has already rejected them as an outsider. In rebelling against their
classic role as a worker and celebrating the pleasures of the moment rather than planning
for the future, they desparately reject everything that society has raised them to believe.
Ultimately, heroin fiction of the mid-to-late 20th century has served as a medium by
which individuals unfamiliar with drug abuse can come to understand the driving factors
that lead to addiction. Of particular importance is the realization that drug abuse is a
reaction, not an action. In creating addicts who are real and relatable, authors like Selby,
Burroughs, Algren, and Baldwin have gone to great lengths to educate readers unfamiliar
with the world of urban drug abuse as to why drugs become an option. What these
authors show us is the reason why urban individuals feel they have to react to society in
such a negative and destructive way. Ultimately, these authors expose the impoverished
urban atmosphere as a catalyst for a unique sense of despair that drives a number of its
inhabitants to experiment with intravenous drugs in a grasping attempt at some form of
self-rule.
VI. References
1.
2.
3.
4.
5.
6.
Algren, Nelson. The Man with the Golden Arm. Garden City, NY: Doubleday &
Company, Inc., 1949.
Binet, Roland. “The Mirror of Man.” The Review of Contemporary Fiction 1:2
(1981): 380-88.
Buckey, Robert. “Some Preliminary Notes Towards A Study of Selby.” The
Review of Contemporary Fiction 1:2 (1981): 374-75.
Bukowski, Charles. “A Bad Trip.” Tales of Ordinary Madness. San Francisco:
City Lights, 1967.
Burroughs, William S. “Deposition: Testimony Concerning a Sickness.” Charters
136-141.
Burroughs, William S. Junky. 1953. New York: Penguin, 1977.
123
�7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
Burroughs, William S. Naked Lunch (excerpt.) Charters 126-136.
Charters, Ann, ed. The Portable Beat Reader. The Viking Portable Library. New
YorkViking-Penguin, 1992.
Estep, Maggie. “The Great American Dream Will Kill You Dead: An Interview
with Hubert Selby Jr.” Shout November 2000: 28-29.
Fiedler, Leslie. “The New Mutants.” Partisan Review 32 (1965): 505-525.
Ginsberg, Allen. “On Burroughs Work.” Charters 101.
Marlowe, Ann. How To Stop Time: Heroin A to Z. New York: Dimensions, 2000.
McMaster, Curtis P. “The Tragedy of Heroin Addiction.” Heroin. At Issue: An
Opposing Viewpoints Series. San Diego: Greenhaven Press, 2001.
Mottram, Eric. “Feel Like the Rest of Us: Violation and Despair in Hubert Selby’s
Novels.” The Review of Contemporary Fiction 1:2 (1981): 353-63.
Murray, Donald. “James Baldwin’s ‘Sonny’s Blues’: Complicated and Simple.”
Studies in Short Fiction 14 (1977): 353-57.
Price, Richard. Foreword. Requiem for a Dream. By Hubert Selby Jr. 1978. New
York: Thunder’s Mouth Press, 2000.
Selby Jr., Hubert. Requiem for a Dream. 1978. New York: Thunder’s Mouth
Press, 2000.
Selby Jr., Hubert. Interview. The Review of Contemporary Fiction 1:2 (1981): 31535.
Tsomondo, Thorell. “No Other Tale to Tell: ‘Sonny’s Blues’ and Waiting for the
Rain.” Critique: Studies in Contemporary Fiction 36:3 (1995): 195-209.
124
�The Biology and Psychology of Melatonin
Jene Tesoriero
I. Introduction
The neuronal hormone melatonin (Antolin et al., 1996), which is synthesized and
secreted mainly from the pineal gland, a small neuroendocrine organ located at the
bottom of the third ventricle, plays an important physiological role in synchronizing
biological rhythms and neuroendocrine functions in vertebrates (Kvetnoy, 1997).
Melatonin (N-acetyl-5-methoxytryptamine) acts as a chemical messenger by transducing
photoperiodic information to the brain. Light is the most important factor controlling
melatonin formation. Light during the dark phase of a light/dark (L/D) cycle, can
suppress the melatonin synthesizing enzyme Serotonin N-acetyltransferase (SNAT) thus
reducing melatonin synthesis and release from the pineal gland (Minneman et al., 1974).
It is believed that melatonin levels can influence circadian rhythms through activation of
melatonin receptors in the superchiasmatic nucleus (SCN) of the hypothalamus, the site
for the mammalian circadian pacemaker (Ludkvist et al., 1999). It is also known that
exposure to the light at different times in the night phase of the L/D cycle can change the
periodicity of melatonin synthesis (Reiter, 1991).
II. Melatonin Synthesis and Degradation
Melatonin is mainly synthesized and secreted from the pineal gland, and to a lesser
extent in extrapineal structures like the retina and gastrointestinal tract (Kumar, 1996,
Kvetnoy et al., 1997). The melatonin concentration in an organism is not uniform and
varies depending on the structure and time of the day (Pang et al., 1983; Skinner et al.,
1999).
While the concentration of melatonin in the plasma was reported to be in the
nanomolar range, (Cardinali et al., 1997), the brain tissue has the ability to accumulate
melatonin periodically to a level exceeding fifty times its plasma concentration (Pang et
al., 1990). It has been speculated that neurons may further have the ability to accumulate
melatonin to even higher concentrations through passive uptake (Witt-Enderby et al.,
2000). The distribution of melatonin within the brain is not uniform and several
differences in the melatonin content have been reported between brain ventricles (Skinner
et al., 1999).
Melatonin Synthesis
Melatonin is synthesized from the amino acid L-tryptophan (Figure 1). The 1st step in
the synthetic pathway involves the conversion of L-tryptophan to 5-hydroxytryptophan
125
�by use of the enzyme tryptophan 5-hydroxlase (TH). Following this 5-hydroxytryptophan
is converted to 5-hydroxytryptamine (Serotonin) with the enzyme Aromatic amino acid
decarboxylase (AAAD, Step 2). In the 3rd step Serotonin N-acetyltransferase (SNAT)
converts Serotonin into the rate-limiting product for melatonin, N-Acetylserotonin.
Melatonin is then synthesized (Step 4) from N-acetylserotonin utilizing the enzyme
Hydroxyindole- O – methyltransferase (HIOMT).
Melatonin Degradation
The primary sites for melatonin degradation are the liver, the major site of melatonin
hydrolysis, and kidneys. Melatonin undergoes 6-hydroxylation followed by the addition
of a sulfate of a glucuronide group. The two byproducts are 6-Hydroxymelatonin sulfate
(6-sulfatoxymelatonin) and 6-hydroxymelatonin glucuronide. These byproducts are then
excreted in the urine (Arendt, 1995).
Small amounts of melatonin produced by the pineal can be degraded in the brain,
where it can be metabolized to N-acetyl-N-formyl-5-methoxykynurenamine and Nacetyl-5-methoxykynurenamine (Arendt, 1995).
Melatonin, to a small degree, can be produced and metabolized in the retina through a
unique metabolic pathway. The metabolism starts with deacylation by aryl-acyl-amide
amidohydrolase to 5-methoxytrytamine. The 5-methoxytryptamine undergoes oxidative
deamination by monoamine oxidase (MAO), to form 5-methoxyindoleacetic aldehyde,
which is further oxidized to 5-methoxyindoleacetic acid, or reduced to 5methoxytryptophol (Cahill et al., 1989).
III. Sites of Melatonin Action
Melatonin is a neurohormone possessing lipophilic properties, enabling it to bind to
extracellular receptors and freely pass through membranes (Costa et al., 1995). This
endows melatonin with the ability to regulate many cellular events from the outside of the
cell through extracellular receptors, as well as intracellular events in the cytoplasm and
the nucleus.
Actions of Melatonin on the Extracellular Receptors
Based on results of agonist binding assays, such as 2[125I]-iodomelatonin, the
existence of two distinct melatonin binding sites, Mel-1a and Mel-1b, in the pigeon brain
was postulated (Yuan et al., 1991). Recently these melatonin receptors have been
renamed and reclassified, according to their order of agonist potencies.
The Mel-1a has been renamed the MT1 receptor. The MT1 receptor leads to a
decrease in adenylate cyclase activity and is found in brain structures including the SCN,
126
�hypothalamus and retina. 2-Iodomelatonin (2-Imel) is the best agonist for this receptor
followed by melatonin (Mel) and 6-Chloromelatonin (6-ClMel).
The Mel1b receptor has been reclassified as the MT2 receptor and has been found to
be localized in the retina and hippocampus of humans. Agonist stimulation of the MT2
receptor leads to a decrease in adenylate cyclase activity. The most potent agonist for the
MT2 receptor is melatonin followed by 6-ClMel and 2-Imel.
A number of antagonists to date have been shown to have partial agonistic functions
on different Melatonin receptors. For example, 4P-PDOT, an antagonist at the MT1 and
MT2 receptors, has also been shown to act as a partial agonist at the MT2 receptor.
Another antagonist, luzindole, also seems to act as a partial agonist at high concentration
( > 1µM) at the MT2 receptor. The detailed characterization of melatonin receptors is
still significantly hampered by the lack of a specific antagonist.
Actions of melatonin have been shown to be exerted through a seven loop domain, Gprotein coupled receptor (Reppert, 1997). Melatonin has been shown to act on its receptor
leading to a decrease adenylate cyclase activity and a subsequent decrease in cAMP.
Both pertussis toxin-sensitive (Nash et al., 1995) (Garcia-Perganeda, 1997) and
insensitive G proteins appear to link melatonin receptors to inhibition of adenylate
cyclase. Other work has linked the action of melatonin on its receptor to the stimulusactivated hydrolysis of phosphoinosotides (PI) by phospholipase C (Mullins et al., 1997;
Popova et al., 1995). This pathway produces two second messengers: inositol-1,4,5triphosphate (IP3) and diacylglycerol (DAG), leading to activation of the IP3 gated
calcium channels and protein kinase C (PKC), respectively.
Control of Melatonin Receptors
Melatonin receptors can be controlled, among other mechanisms, by desensitization
or downregulation. Differentiation between these two mechanisms is accomplished by
comparing the Kd, the equilibrium dissociation constant, or the Bmax, maximum specific
binding, before and after melatonin treatment. A decrease in the Kd value would indicate
and increase in the affinity of the receptor for the ligand, while an increase the Kd would
indicate the opposite. An increase or decrease in the number of melatonin receptors,
would be reflected by an increase or reduction of Bmax, respectively.
Melatonin has been shown to regulate its own receptor expression. The actions of
melatonin receptors can be regulated by phosphorylation, specifically by PKA (protein
kinase A) and PKC. A daily fluctuation in melatonin receptor mRNA and melatonin
receptor protein in the SCN and pars tuberalis (PT) has been shown (Ross et al., 1997).
In PT cells the levels of melatonin receptor mRNA are increased following an increase in
cAMP. During the daylight when melatonin levels are very low, there is an increase in
cAMP and subsequently an increase in melatonin receptor mRNA. During the night
127
�when melatonin levels begin to rise, melatonin can first act on its receptor and cause a
decrease in cAMP, thereby preventing any further melatonin receptor expression.
It has also been shown that melatonin can act through a pathway independent of
cAMP to reduce melatonin receptor mRNA. Activation of PKC by phorbol 12-myristate
13-acetate (PMA), causes the expression of melatonin receptor mRNA in the PT to
decrease (Barrett et al., 1997). Studies have shown that inhibition of PKC causes a
decrease in the expression of melatonin receptor mRNA.
Localization of Receptors in the Brain
Immunohistochemical techniques have demonstrated that melatonin receptors can be
localized in brain areas other than the pineal body, retina and SCN. In these other areas
namely the cerebellum (Al-Ghoul et al., 1998), thalamus, cerebral cortex, preoptic area,
and hippocampus (Siuciak et al., 1990), they been found in a much lower density. The
density of receptors varies from tissue to tissue as well as from species to species
(Vanecek, 1998). The MT2 receptor has been shown to be expressed in the human and
rodent hippocampus (Reppert et al., 1995; Wan et al., 1999). In the hippocampus,
melatonin binding has been demonstrated in the stratum lacunosum-molecularis
(dendritic layer of the CA1 pyramidal neuron) of the hippocampus (Figure 2) (Nonno et
al., 1995).
Summary
In summary, Melatonin is a neurohormone possessing lipophilic properties, enabling
it to bind to extracellular receptors and freely pass through membranes. There are two
major types of melatonin receptors that can be classified by their order of agonist
potencies. These receptors (MT1 and MT2) have been shown to couple to 2nd messenger
systems, either PLC (phospholipase C) or adenylate cyclase, to transduce a signal
following binding of melatonin. Melatonin has been shown to regulate its own receptor
expression via both cAMP dependent and independent pathways. Melatonin receptors
have been found in different tissue throughout the body, varying in density.
Direct Intracellular Effects
After freely passing through the lipid bilayer, Melatonin can enter the cytoplasm and
interact with calmodulin and kinases (Huerto-Delgadillo, 1994). Melatonin has been
shown to directly bind to calmodulin (CaM) and inhibit its biological activity. In the cell,
CaM can inhibit tubulin polymerization and regulate multiple protein kinases including
CaM-kinase II (Benitez-King et al., 1996). When melatonin binds to CaM it causes an
increase in tubulin polymerization (Huerto-Delgadillo, 1994), and blocks the activation of
CaM-kinase II.
128
�Melatonin has also been shown to directly modulate PKC in a Ca2+ dependent
manner (Anton-Tay et al., 1998). This finding may support previous studies in which the
activation of PKC by PMA led to a down regulation of melatonin receptor mRNA.
Melatonin can freely diffuse from the outside of the cell to sites within the nucleus.
Within the nucleus melatonin has been shown to interact with orphan members of the
nuclear receptor superfamily RZR/ROR (Calberg et al., 1995). These receptors act as
transcription factors (Steinhilber et al., 1995). Recently very specific ligands for these
receptors have been found (Karasek et al., 1999.
Antioxidant Properties of Melatonin
Another action of melatonin in the cytoplasm is the reduction of free radicals.
Melatonin is believed to scavenge hydroxyl radicals, peroxynitrite anions, peroxyl
radicals, and the superoxide anion radical (Poeggler et al., 1993). Melatonin has even
been shown to increase mRNA levels of superoxide dismutase, glutathione peroxidase,
glutathione reductase, and glucose-6-phosphate dehydrogenase, all of which are
antioxidative enzymes (Reiter, 1998).
Decreases in the levels of melatonin have been implicated in aging and the many
pathologies which accompany it. Most of the literature has focused on the antioxidant
properties of melatonin as being protective in both instances of normal and pathological
aging (Alzheimer’s disease). Because of the vast amount of correlative research
implicating decreased melatonin levels as we age to aging pathologies, it becomes
necessary to understand why and how melatonin levels decrease as we age
IV. The Pathology of Melatonin: Reasons and Disorders
Pineal Calcification
Normative data on the amount of melatonin secreted within a population demonstrate
high individual variability. The shape and size of the pineal gland are presumed to be
genetically determined, reaching full growth at the first year of life (Kunz, et al., 1999).
The weight and dimension of the pineal gland is variable. Since the majority of the
pineal tissue is composed of melatonin producing pinealocytes, melatonin secretion
variability can be explained by the variability of melatonin secreting tissue. Prediction
of melatonin deficits within a population can not be determined by a standard numerical
value. Studies implicating degrees of pineal calcification were employed to indicate
instances of decreased melatonin secretion.
Little is known as to how the pineal gland begins the process of calcification. One
theory suggests that the calcification of pinealocytes, the melatonin secreting cells of the
pineal gland, results from the death or degeneration of the cells themselves. This
degeneration would then lead to an overall decrease of pineal activity (Kunz, et al.,
129
�1998). The degrees of pineal calcification, as associated with progressing age, can be
correlated to decreased melatonin secretion. Increased calcification of the pineal gland
causes a decrease in the number of functioning pinealocytes, resulting in a decrease in
ability of the pineal gland to produce melatonin.
Sleep Disorders
The general decrease in melatonin levels caused by pineal calcification, has over the
past several years, become associated with the occurrence of sleep disorders. Sleep
disturbances in conjunction with impaired daily functioning and daytime tiredness are
amongst the most prevalent difficulties facing the elderly (Kunz, et al., 1998). This group
is of particular interest in regards to the prevalence if increased pineal calcification with
age. Positive correlations have been made between the incidence of sleep disorders in the
elderly and a decrease in melatonin production. This decreased melatonin production, as
a result of pineal calcification, has been indicated to be the cause of a disturbed circadian
rhythmic cycle and daytime function impairments (Kunz, et al., 1998).
As previously stated, melatonin influences circadian rhythms. This circadian timing
system has been implicated in the involvement of the daily variation of a number of
physiological and psychological variables (Kunz, et al., 1999). In the past several years
several authors have suggested a link between pineal calcification and mental illness.
The major assumption in these studies has been a decrease in melatonin secretion in
response to increased pineal calcification. Studies of diagnostic patterns in sleep disorder
centers also found that the most common primary diagnosis of insomnia was a
psychiatric illness (Benca, 1996).
Mood Disorders
Sleep disorders have been most extensively studied in patients exhibiting mood
disorders. The major categories of mood disorders include major depressive episodes
and bipolar disorders. Major depressive episodes are diagnosed via the presence of
depressed mood or loss of interest or pleasure (Benca, 1996). An important clinical
feature of mood disorders, in most cases, is the limited period of acute symptoms with
full recovery between episodes (Benca, 1996). Sleep disturbances in patients diagnosed
with mood disorders are most prominent during the acute symptomatic period. Yet, the
most common complaint widespread across patients is insomnia. Patients report
difficulty falling asleep, increased wake time during sleep, and nonrestorative sleep; an
overall decrease in sleep continuity. Patients also complain of daytime fatigue and vivid
nightmares. During manic episodes there has also been reported a decreased sensation
for the need for sleep (Benca, 1996). In general these patient groups exhibit decreased
sleep continuity, reduced slow wave sleep and rapid eye movement (REM) abnormalities.
130
�Anxiety Disorders
Anxiety is a basic response to a perceived stressor and is a psychiatric symptom
highly correlated with insomnia (Benca, 1996). In general patients diagnosed with
anxiety disorders exhibit decreased sleep continuity. The majority of studies conducted
have utilized a select group of anxiety disorders: panic disorders, post traumatic stress
disorders, obsessive compulsive disorder and generalized anxiety disorder.
Patient’s diagnosed with panic disorder exhibit repeated panic attacks with sudden
occurrences of increased anxiety (Benca, 1996). Studies have demonstrated that panic
attacks occurring while the patient is asleep occur during the non-REM period, yet they
can also occur during REM sleep. Sleep related panic attacks differ markedly from night
terrors yet are associated as the same in that in both instances the patient awakens with
severe anxiety and increased autonomic nervous system arousal. The distinguishing
characteristic of a night terror is the absence of the memory of its occurrence. Evidence
has shown that patients suffering from nocturnal panic attacks may develop a fear of
sleeping (Benca, 1996).
Post Traumatic Stress Disorder develops in individuals who have experienced a
traumatic event and re-experience this event via flashbacks, recollections or recurrent
dreams (Benca, 1996). REM sleep disturbances have been observed in these patients in
the form of increased REM latency, decreased REM sleep, reduced REM latency, and
increased REM sleep.
Patients diagnosed with obsessive compulsive disorder have impulses or obsessions
which the individual is driven to perform to reduce personal distress. Sleep studies have
indicated decreased sleep continuity and reduced REM latency in patients diagnosed with
obsessive compulsive disorder. It is theorized that patients of obsessive compulsive
disorder may disturb their sleep patterns by the obsessions and compulsions (Benca,
1996).
In generalized anxiety disorder patients exhibit chronic anxiety. Most patients report
a difficulty in falling asleep, staying asleep or a generalized insomnia. Clinically these
patients exhibit prolonged sleep latency, decreased sleep efficiency, and decreased total
sleep time (Benca, 1996).
Schizophenria
Schizophrenia is not a single disease but a biological collection of disease subtypes.
This chronic illness is characterized by a multitude of symptoms, both biological and
psychological. Several psychological symptoms include disorganization of speech and
behavior, psychotic episodes of delusions and hallucinations, affective flattening, a
decrease in speech ability and content, and a generalized depressed mood. Schizophrenic
patients typically complain of symptoms associated with decreased sleep continuity and
131
�often report frightening dreams (Benca, 1996). Studies performed utilizing the pineal
gland of schizophrenic patients have shown an increase in pineal calcification. Indicative
of a decrease in melatonin has been a decrease in HIOMT, and increased melanin
deposition in the skin (Sandyk, et al., 1990).
V. Conclusion
The multitude of physiological and psychological research on melatonin is growing
rapidly. The understanding of the physiology of melatonin from its receptors to
antioxidative actions is an important step in understanding the psychopathology of
melatonin dysfunction. The associations of pineal calcification in schizophrenia and the
disturbed sleep patterns exhibited in other psychiatric disorders, can be linked to a
decrease in melatonin secretion. Decreases in circulating melatonin have been shown to
lead to increases in melatonin receptor density during a normal L/D cycle.
Understanding how these receptors may change, by either becoming
upregulated/downregulated or sensitized/desensitized as we age will be an important step
into understanding why lower melatonin levels in otherwise healthy individuals can lead
to psychological disturbances. It can be speculated, based on the theorized protective
property Melatonin has in regards to free radical destruction, that a decrease in Melatonin
could lead to cell death as it pertains to neurological tissue. These areas of affected tissue
could then be an explanation for neurological disorders, both biological and
psychological.
VI. References
1.
2.
3.
4.
5.
Al-Ghoul, W.M., Herman, M.D., Dubocovich, M.L. (1998). Melatonin receptor
subtype expression in human cerebellum. Neuroreport, 9(18):pp. 4063-4068.
Antolin, I., C. Rodriguez, R. M. Sainz, J. C. Mayo, H. Uria, M. L. Kotler, M. J.
Rodriguez-Colunga, D. Tolivia, and A. Menendez-Pelaez. (1996). Neurohormone
melatonin prevents cell damage: effect on gene expression for antioxidant enzymes.
Faseb J. 10: pp.882-90.
Arendt, J. (1995) Melatonin and the Mammalian pineal gland. Chapman and Hall,
London.
Anton-Tay, F., Ramirez, G., Benitez-King, G. (1998). In vitro stimulation of protein
kinase C by melatonin. Neurochemical Research, 23(5): pp. 601-606.
Barrett, P., Davidson, G., Hazlerigg, D.G., Morris, M.A., Ross, A.W., and Morgan,
P.J. (1997). Mel 1a Melatonin Receptor Expression Is Regulated by Protein Kinase
C an Additional Pathway Addressed by the Protein Kinase C Inhibitor Ro 31-8220 in
Ovine Pars Tuberalis Cells. Endocrinology, 139(1): pp. 163-171.
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�6.
7.
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13.
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20.
Benca, R. (1996). Sleep Disorders II: Sleep in psychiatric disorders. Neurologic
Clinics, (14): pp. 739-765.
Benitez-King, G., Rios, A., Martinez, A., Anton-Tay, F. (1996). In vitro inhibition
of Ca2+/calmodulin-dependent kinase II activity by melatonin. Biochimica
Biophysica Acta, 1290(2): pp. 191-196.
Cahill, G.M., Besharse, J.C. Retinal melatonin is metabolized within the eye of
Xenopus laevis. (1989) Proc. Nat. Acad. Sci. USA; 80:pp. 1098-1102.
Carlberg, C., Weisenberg, I. (1995). The orphan receptor family RZR/RR,
melatonin and 5-lipoxygenase: and unexpected relationship. J. Pineal Res., 18(4):
pp. 171-178.
Costa, E.J., Lopes, R.H., Lamy-Freund, M.T. (1995) Permeability of pure lipid
bilayers to melatonin. J. Pineal Res.; 19:pp. 123-126.
Garcia-Perganeda, A., D. Pozo, J. M. Guerrero, and J. R. Calvo. (1997). Signal
transduction for melatonin in human lymphocytes: involvement of a pertussis toxinsensitive G protein. J Immunol. 159: pp.3774-3781.
Karasek, M., Pawlikowski, M. (1999). Antiproliferative effects of melatonin and
CGP 52608. Biol Signals Recept, 8(1-2):pp. 75-8.
Kumar, V. (1996). Melatonin: a master hormone and a candidate for universal
panacea. Indian J Exp Biol, 34(5):pp. 391-402.
Kunz, D., Bes, F., Schlattmann, P., Herrmann, W. (1998). On pineal calcification
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Figure 1: Melatonin Synthesis
135
�Figure 2: Hippocampal Anatomy
136
�Hispanic Literature in English Translation
Michael Alas
THE TRANSGENDER QUESTION: QUEER THEORY IN ALLENDE’S EVA LUNA
“In the long run, it’s not breaking the code that matters—it’s where you go
from there. That’s the real problem” (qtd. in Garber 128).
Can a Latin American transsexual possibly be considered a figure of twentiethcentury gender liberation theory? The character of Melesio/Mimí in Isabel Allende's Eva
Luna certainly proves so. Her representation in the story shatters boundaries and
limitations placed on gender roles. Melesio/Mimí's development from a sideshow
transvestite to an actualized individual that exhibits both traditionally accepted masculine
and feminine traits demonstrates the notion that gender is a performance.
Eva Luna relates the story of its female protagonist with the same name. The main
character has been likened to a modern day, Latin American Scheherazade that is the
anti-heroine of a picaresque story. Her story is a Bildungsroman--or more specifically a
Künstlerroman that develops throughout her travels. It has been argued by many that the
novel itself is a good example of feminine writing. Not only is Eva Luna based on the
personal experiences of an author that had been politically exiled and had personally
endured the tumultuous travels that its main character undergoes, it is also viewed as a
novel with political implications. "The result [of Allende's writing] has been a view of
Latin American society that reflects in powerful ways the contradictions inherent in a
society lost in its own denial" (About the author par. 2).
Changing concepts of gender and sexuality have recently focused on the
constrictive structuralism of gender-dualist societies. These examine, for instance, the
contradictions between a socialized gender role and the individual's desire for selfexpression. In Latin America, the concept of machismo, or a certain prescribed set of
masculine roles, perpetuates a longstanding tradition of misogyny and male bravado. The
challenges to this concept have been most often met with repulsion and violence.
Allende’s native Chile, for example, along with Ecuador and Nicaragua, has instituted
laws that criminalize homosexual practices, despite the recent “growing political
visibility of sexual minorities” in Latin America (Lind par. 6). A popular song in Mexico
exclaims, “Puto, puto, matarile al maricon”—or, “Faggot, faggot, let’s play kill the
queer” (Latin American Gays, par. 2).
Eva Luna, indeed, is a prime example of feminine writing. There is, however, much
more to be desired in simply acknowledging it as a feminist declaration of strength that
137
�confronts the issue of male dependency and independence and self-sustenance amidst
adversity. Through the portrayal of Melesio/Mimí as a societal pariah-turned-celebrity, it
is also a direct confrontation to the gender-stratified dictates of Latin American society.
At the same time, it is a challenge to the perceived views of homosexuality, transvestism,
and most importantly, an affront to the theory of gender itself. Melesio exhibits this
challenge in his actions:
Melesio tweezed his facial hairs, then ran ether-soaked cotton over his face,
so his skin was the texture of silk; he took pains with his long-fingered,
slender hands, and every night brushed his hair one hundred times. He was
tall, with strong bones, but he moved with such delicacy that he gave the
impression of being fragile. (Allende 120)
Judith Butler’s Gender Trouble: Feminism and the Subversion of Identity (1990) is
an important theoretical text that pioneered what is known today as queer theory. Queer
theory “is interested in any and all acts, images, and ideas that ‘trouble,’ violate, cross,
mix, or otherwise confound established boundaries between male and female, normal and
abnormal, self and other” (Leicht 2487). Applied to Eva Luna, queer theory shows how
Melesio/Mimí actively performs her gender and how s/he is an exemplary model of
rebellion against machismo and conventional gender-stratification. Furthermore,
Melesio’s choice to become a woman shows her agency. It illustrates Butler’s belief that
gender should really be the individual’s choice, and not an awareness enforced by society.
Gender Trouble draws from forty years of French theory and explores “how
gendered identity is socially produced through repetitions of ordinary daily activities,”
and explains how Butler’s goal is to “uncover the assumptions that ‘restrict the meaning
of gender to received notions of masculinity and femininity’” (Leicht 2485). Butler is
influenced by a wide variety of sources, but attributes her theory on gender performance
to three major theorists: Foucalt, Lacan, and Derrida. From Foucalt she derives what she
calls “resignification,” or a realization that what is considered normal is actually dictated
by the society that one lives in; both Foucalt and Lacan theorize on subjective formation,
which is how the individual, in his desire to become accepted into the social order, must
identify with “…the Law (the culture’s signifying order)—at the cost of creating the
unconscious and establishing a permanent split, an alienation of self from desire, within
the subject” (Leicht 2485). Finally, Derrida postulates the creation of fact from certain
statements, through what he calls “performative speech acts” (Leicht 2486). These three
premises combine to flesh out a method of removing oneself from the attachment to
gender and the notion that its expression is intrinsically natural. This can be found in
deconstructing the myth that normalizes (and internalizes) the notion that male and
female roles, perpetuated in norms and stereotypes, are inherent. “Today, most people
would think of their gender as a core part of their identity; an integral part of ‘who we
138
�are’” (Young par. 18). Upon the realization that these are constructs of society, as
mentioned previously, there is an immediate catharsis—an opening of the senses to
different views, opinions and methods to approaching the supposed gender paradox that
individuals such as Melesio/Mimí manifest.
To further this idea, Kilmartin’s distinguishable study, The Masculine Self, can be
examine. He defines the definition of gender: “gender…refers to feminine and masculine
behaviors, mental, and social processes that are determined by biology and/or social
forces,” and generates certain roles that are “…expectations for behaving, thinking and
feeling that is based on a person’s biological sex” (14-20). These created roles further
generate stereotypes and norms—accepted constant behaviors of the group as a whole.
In Latin America, these are the requirements of un hombre macho, or a man that
actively participates in the decrees of machismo. Kilmartin maintains these as
“prescriptions” for the traditional representation of masculinity, which is “defined by how
the man looks, not by his inner experience” (147). This is also applied to how he acts in
his environment. For example, heterosexual men are even considered manly if they can
dominate the homosexual. This is evident in the Colombian saying, “soy tan macho que
me cojo otro hombre,” which translates to “I’m so macho that I fuck another man” (Latin
American Gays par. 14).
The freedom of choice and self-responsibility—shown in Eva Luna as the agency of
the “male” Melesio—that comes with self-awareness gives the individual the ability to
transcend limitation. The conventional gender that Melesio transcends, to Butler, is a
“mere masquerade…[and] a constraint to be escaped, overridden…” (Martin par. 1). As
previously mentioned, conflict is crucial to the development of the individual. To the
transgendered person specifically, the conflict within self and the conflict of self with
society are vehicles towards self-definition. Melesio experiences this conflict early in his
childhood development in Italy:
His mother dutifully cooked the ritual pasta but stood her ground like a
tigress when the father tried to force his son to kick a ball, box, drink, or,
later, go to whorehouses. When she was alone with her son, she tried to find
out what his true feelings were, but Melesio’s only explanation was that there
was a woman inside him and she could not get used to the male body in
which she was trapped as surely as if she were in a straight jacket. (Allende
121)
Melesio went against what his father deemed as a true man’s natural development.
In this sense, Butler agrees that masculinity and femininity are very limited aspects of a
gender that should not be determined as biologically inherent. She advocates a rethinking
of their definition: “gender identity might be reconceived as a personal/cultural history of
received meanings subject to a set of imitative practices which refer laterally to other
139
�imitations and which, jointly, construct the illusion of a primary and interior gendered
self or parody the mechanism of that construction” (Butler 2499).
On the other hand, Butler actively disagrees altogether with the necessity of
established gender identities. It seems that conventional theories of gender and sexuality,
to Butler, are delusions of the uneducated individual. In her call for a revolutionary
readdressing of the two, she emphasizes free reign for the individual. Defining sexuality
should oppose the notion that the individual’s sex (male or female) produces gender
(masculine/feminine): “When the constructed status of gender is theorized as radically
independent of sex, gender itself becomes a free-floating artifice, with the consequence
that man and masculine might just as easily signify a female body as a male one, and
woman and feminine a male body and easily as a female one” (qtd. in Young par 9).
After Melesio moves to the city and encounters his confidante, La Señora, he begins
working in a cabaret for transvestites. Though he was originally opposed to the idea
(“Even you think I’m one of those”), he eventually grew into his role as a drag performer:
“During those hours in the cabaret, he was a star, desired and admired, sparkling beneath
the spotlights, the center of all eyes; there he fulfilled his dream of being a woman”
(Allende 128). In a sense, the cabaret is where Melesio escapes the restrictive norms of
society. There he is able to experiment with his identity by undoing the bindings of his
male “strait jacket” and unleashing the woman within. When Melesio, however, must
leave the reprieve from societal expectation that his work represents, he is extremely
disheartened. Allende portrays this undressing of Melesio’s true self negatively:
After his act, he retired to the unsanitary hole he had been assigned as a
dressing room and removed his diva’s costume. From a hook, his feathers
resembled a dying ostrich; on the table his wig was a trophy from the
guillotine, and the rhinestones scattered across a tin tray were the booty of a
cheated pirate. As he removed his makeup with cold cream, his masculine
face appeared. He put on trousers and jacket, closed the door, and once
outside, was assaulted by a profound sadness, knowing he had left the best of
himself behind (128).
The feathers of a “dying ostrich” and the “trophy from the guillotine” indicate that
Melesio, in being a part of the patriarchal Latin American society that expects him to be a
macho man, is truly a “cheated pirate.”
Butler uses drag as a prime focus for challenging gender roles. “By dressing up as a
member of the opposite sex, drag artists are subverting ideas of gender norms,
challenging the “constitutive categories that seek to keep gender in its place by posturing
as the foundational illusions of identity’” (Young par. 10). She argues that drag
establishes a clear distinction between the true anatomical self of the individual and the
gender performed. In Melesio’s case, the persona he performs is that of a brazen
140
�courtesan that sings songs in French and ravishes the cabaret customers. In drag, Melesio
performs this role and receives a great amount of respect. His talent is very much
appreciated. This then reinforces, alluding to Derrida’s performative speech acts, the
notion within Melesio that being a woman is necessary for his happiness. He realizes that
once he steps out of his guise he is no longer happy because he is in conflict with himself
and also that his actions and effeminacy are in conflict with the ideal of machismo.
It is only after his imprisonment in the Santa María prison and his conscious
decision to become a woman and assume the roles expected of that sex does Melesio
truly become happy. Though having already accepted the woman within him, and
acknowledging it as trapped in his male body, he transcends the shame that society places
upon his effeminacy and reconstructs his gender-identity. He is thus in collusion with
Butler’s theory of gender performance by doing this. He manifests the idea that anatomy
is not destiny, a point that Butler clearly makes in Gender Trouble. Butler further
precedes the societal construct of gender with her theory on the expected roles of “the
body,” which she claims are also dictated by culture in lieu of reproduction. The default
heterosexuality that is prevalent in most Western societies shows this. And as mentioned
before, anything that goes against heterosexuality, anything “deviant” that inhibits
reproduction (homosexuality, anal sex, transvestism) is shamed.
This ‘body’ often appears to be a passive medium that is signified by an
iscription from a cultural source figured as ‘external’ to that body. Any
theory of the culturally constructed body, however, ought to question ‘the
body’ as a construct of suspect generality when it is figured as passive and
prior to discourse (Butler 2491).
Butler maintains that biological reproduction’s favoring of heterosexuality for its
purposes has severely castrated other possible forms of expression. “Further, the rites of
passage that govern various bodily orifices presuppose a heterosexual construction of
gendered exchange, positions, and erotic possibilities” (Butler, 2494). Melesio feels this
pressure and in response to it becomes a woman. He, in becoming a she, actively
performs her role as expected of women. She actively embodies the concept that gender
is a performance:
For Mimí, sex is the least vital part of her feminity. Other things attract her:
clothes, perfumes, fabrics, jewelry, cosmetics. She loves the feel of her
stockings when she crosses her legs, the barely perceptible whisper of lingerie,
the swish of hair on her shoulders. (Allende 213)
Mimí’s assumption of the feminine gender role allows her to abolish the gender
conflict within herself. She is no longer an impersonator but rather has become the person
she had so often portrayed in the cabaret. The appearance-based veneration she gained as
a drag performer follows her into the transition. She has been described by Allende as
141
�having the aura of a mythological being, has been compared to an archangel, and
specifically referred to as “an amazon with splendid breasts and skin like a baby, whose
torso culminated in masculine attributes that are atrophied but quite visible” (212). In
assuming the female gender role, however, she also submits to the pervasive sexism that
constrict women in Latin. She adopts the expectations of marianismo, or the female
counterpart of machismo in which women are supposed to embody the Virgin Mary and
search for “virile men” to dominate her:
At that time, she longed for a male companion to care for and serve—
someone who would protect her and offer her lasting affection—but she had
not found him. She lived suspended in an androgynous limbo. Some men had
approached thinking she was a transvestite, but she was not interested in
ambiguous relationships; she thought of herself as a woman, and she was
looking for virile men. They, however, did not dare b e seen with her, even
though they were fascinated by her beauty; they did not want to be tagged as
homosexuals. There were those who seduced her to find out how she looked
naked, and how she made love; they found it exciting to hold such a
remarkable freak in their arms. When a lover entered her life, the whole
house revolved around him; she became his slave, ready to indulge him in his
most daring fantasies to atone for the unpardonable sin of not being a
complete woman. (Allende 213)
On the other hand, though submitting to marianismo, there are times where she
transcends it through her actions. Her agency allows for her to combine her an acquired
feminine beauty with the strength of will and the determination that she had as a man.
Her admirer Aravena described, “She is the absolute female. We all have something of
the androgyne about us, something male, something female, but she’s stripped herself of
any vestige of masculinity and built herself those splendid curves. She’s totally woman,
adorable…” (Allende 254). By being the “absolute female” she is able to seduce Aravena
into considering Eva’s script for Bolero as worthy for production. Allende describes this
experience and Mimí’s agency:
He [Aravena] asked me how close I was to finishing the script; he glanced at
the folder I handed him, picked it up in a dead-white paw, and murmured that
he would read it when he had time. I reached out and took back my
manuscript, but Mimí grabbed it from me and handed it to him once again,
this time forcing him to look at her. She fluttered her eyelashes with deadly
precision, moistened her bright red lips, and invited him to dinner the
following Saturday—only a few friends, an intimate gathering, she said in the
irresistible purr she had cultivated to disguise the tenor voice she had been
born with. Aravena was enmeshed in a visible fog, a lascivious aroma, a
142
�silken spiderweb. He sat mesmerized, folder in hand, totally nonplussed. I
doubt whether he had ever received such a sexually loaded invitation. (253)
Butler posits that gender is a stylized repetition of primary beliefs. In the case of the
traditional Western definition of gender, this would mean a repetition of beliefs that
further the default heterosexuality of society and promote the schism between male and
female. In Mimí’s case, however, this is a repetition based on experiences from her past
experiences. She epitomizes the domineering attitude and femininity of La Señora and
the conventional submissiveness of her Italian mother. Moreover, by essentially creating
a “fictional woman painfully created to satisfy the dreams of others,” she exhibits Eva’s
storytelling ability. Her body, and the creation of her gendered self, transcends the
“cultural inscription” that Butler speaks of. She has taken her natural right to map out her
own definitions. In this sense, Mimí vigorously demonstrates that she has become selfaware and has consciously shown agency in choosing and subsequently performing her
gender. After all, “genders can be neither true nor false, neither real nor apparent, neither
original nor derived. As credible bearers of those attributes, however, genders can also be
rendered thoroughly and radically incredible” (Butler 2501).
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“About the Author of Eva Luna, Isabel Allende.” 1997 South Dakota Humanities
Council Reading Series. 3 May 2002.
http://www.sdsmt.edu/courses/is/hum375/evaluna/allende.htm.
Butler, Judith. Gender Trouble. The Norton Anthology of Theory and Criticism. ed.
Vincent B. Leicht. US: W.W. Norton & Company, Inc. 1998.
Garber, Marjorie. Vested Interests: Cross-dressing and Cultural Anxiety. NY:
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Kilmartin, Christopher T. The Masculine Self. Second Edition. USA: McGraw-Hill
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Latin American Gays: Living la vida loca. The Economist (US). 353.i8150
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Lind, Amy. Out of the closet and into ‘la calle.’ NACLA Report on the Americas.
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Martin, Biddy. Extraordinary homosexuals and the fear of being ordinary.
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144
���
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Section I: The Natural Sciences -- Full Length Papers -- 3 Winning Lotto Numbers: Pure Chance or Hidden Bias / Randye Shanfeld and Dr. Gregory J. Falabella -- 25 Behavioral Assay to Determine Photosensitivity of Early-Stage Nauplii of the Brine Shrimp Artemia Franciscana / Christina M. Owens and Dr. Donald E. Stearns -- 45 Increased Functionality and Copy Protection for Online Images: Dynamic Flash Images and the Web / Jason W. Nadal and Dr. Adrian Ionescu -- Technical Notes -- 63 Speciation of Arsenic Metabolic Intermediates in Human Urine by Ion-Exchange Chromatography and Flow Injection Hydride GenerationAtomic Absorption Spectrometry / Sarah Alauddin and Dr. Mohammad Alauddin -- Abstracts/Extended Abstracts -- 69 Popcorn PVP Induced by Purified PVP / Dawn Pothier and Dr. Susan Tseng -- 70 Hydrothermal Growth of Iron Sulfide Crystals / Richard Moses and Dr. Maria Gelabert -- 71 Gases and Thermostatistics / Steven R. Corn, Randye Shanfeld and Dr. Gregory J. Falabella --73 Experimental Analysis of the Hydrolysis of Vinylpyrrolidone by Gas / Maryanne Gaul, Dr. Brian Palestis and Dr. Susan Tseng -- 74 Numerical Simulation of Free Convection / Peter Herbst and Dr. Gregory J. Falabella -- 76 Speciation of Arsenic Sediment Leachate by Solid Phase Extraction and Flow Injection Hydride Generation Atomic Absorption Spectrometry / Margaret Fiasconaro and Dr. Mohammed Alauddin -- 77 Growth Kinetics of NiSO4≅7H2O Crystals / Luther Schaeffer and Dr. Maria Gelabert
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Wagner College Forum for
Undergraduate Research
Spring 2003
Volume I, Number 2
Wagner College Press
Staten Island, New York City
��EDITOR’S INTRODUCTION
We are grateful for the warm reception and enthusiasm that accompanied the distribution
of the first issue of the Wagner College Forum for Undergraduate Research. The many
comments received were most encouraging. It is our hope that the journal will motivate
an increasing number of students and help perpetuate a scholarly atmosphere on campus.
For those who did not get a chance to read the Fall 2002 issue, 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 has
been subdivided into three sections entitled the Natural Sciences, the Social Sciences and
Critical Essays respectively. The first two sections are limited to papers and abstracts
dealing with scientific investigations (exprimental and theoretical). The third section is
reserved for speculative papers based on the scholarly review and critical examination of
previous works.
This issue begins with a fascinating study of Fetal Alcohol Syndrome using zebrafish. It
continues with an investigation into how and why pornography is detrimental to sexual
relationships. An excellent article on the issues of class and gentility as depicted by
Chaucer later awaits the curious reader as does an interesting perspective on the irrational
prejudice of homophobia. Note that these and other papers would not have been possible
without the hard work and dedication of a first-rate faculty and excellent student body.
Gregory Falabella and Richard Brower, Editors
��Section I: The Natural Sciences
Full Length Papers
5
Alcohol-Induced Malformations in Zebrafish Embryos: Zebrafish
as a Model Animal to Study Fetal Alcohol Syndrome
Jacqueline Whitttenburg, Renee Sudol, Linda Raths and Zoltan Fulop
Abstracts/Extended Abstracts
17
Diagnosis and Treatment of Aeromonas in Zebra Fish
Jennifer Zafarino, Thomas Smolka and Dr. Kathleen Bobbitt
17
The Efficient Solution of Block Tridiagonal Linear Systems
Peter Herbst and Dr. Gregory J. Falabella
Section II: The Social Sciences
Full Length Papers
23
How Watching Pornography Immediately Effects Attitudes
Toward Sexual Relationships
Jessica Biren
39
The Change of Color and Shapes and Its Effects on the Memory Of
a Pattern
Diane Marie Vellon
Technical Note
44
Taking the Job Home
Melissa Mason
Section III: Critical Essays
Full Length Papers
53
The Representation of Class in Chaucer
Eric DeBarba
62
The Role of ESS1 inTranscription Elongation
Anne Rossettini
1
�75
From Vision to Reality: Development of a Utopia in Parable of the
Sower
Emily Dillon
80
Homophobia: An Irrational Prejudice
Ed Pietrowski
2
�Section I: The Natural Sciences
��Alcohol-Induced Malformations in Zebrafish Embryos:
Zebrafish as a Model Animal to Study
Fetal Alcohol Syndrome1
Jacqueline Whittenburg, Renée Sudol, Linda Raths and Zoltan Fulop
Presented at the 56th Eastern Colleges Science Conference in Niagara, NY2
The goal of this study was to determine the lowest ethyl alcohol (ETOH)
concentration that causes detectable detrimental effects in zebrafish embryos, and the
most critical time of embryonic development that is sensitive to alcohol. Observation of
these embryos revealed a number of different morphological changes. These were either
teratological effects, such as small heads with distorted craniofacial features, curved
spine and distended abdomens or physiological disturbances such as impaired
movements, inability to maintain postures and inability to capture prey. This study
establishes zebrafish as a model animal to study fetal alcohol syndrome.
I. Introduction
Studies suggest that alcohol use in the United States in any year may yield costs
that represent 2-5% of the gross domestic product, which is almost equivalent to half of
what the country spends on health care (Godfrey, 1997). Alcohol is an addictive
substance. Alcohol addiction means one's loss of control of substance ingestion despite
knowledge of associated problems (Varcarolis, 2001). Consumption of alcohol is
positively correlated with the risk of detrimental personal health and social behavior
(Sjoberg, 1998). Although alcohol-related problems are a significant source of morbidity
and mortality in the United States, denial and resistance to treatment by affected
individuals and their families make detection and treatment of alcoholism challenging
(Martin et al., 1999). The National Institute on Drug Abuse and Alcoholism estimates
1
The manuscript is included here for the purpose of displaying Wagner College
undergraduate research, not as an official publication. It is being submitted to an archival
journal for publication consideration.
2
This research was also presented at Wagner College as an Honor’s Thesis.
5
�that 7.62 million babies were exposed to alcohol during gestation. Many of them were
born with a constellation of physical, behavioral, and cognitive abnormalities collectively
referred to as fetal alcohol syndrome (FAS) (Young, 1997). These children, who would
require the utmost care, are, unfortunately, experiencing serious deficits in care provided
by an alcoholic mother and/or immediate family members. Many of them grow up with
different mental and physical disabilities requiring extensive care, and often they lead
unproductive lives. Among the many problems associated with excessive alcohol
consumption, FAS is one of the most emotive, especially because it is preventable
(Jacobs, 2000).
One of the most notable features of FAS is alteration in the face and the small
size of the head (microcephaly), as well as retarded behavior due to a reduced size of the
brain. These features affect approximately 80% of children afflicted with FAS (Jacobs,
2000). Newborns with the syndrome show irritability, hypotonia and tremors; many show
signs of withdrawal effects. Sensory deficits associated with FAS include optic nerve
hypoplasia (reduced number of neuronal fibers in the optic nerve), poor visual acuity and
hearing loss, as well as receptive and expressive language delays (Lewis and Woods,
1994).
The extensive use and abuse of alcohol in our society clearly necessitates
innovative ways to integrate initial prevention, treatment, and relapse prevention efforts
(Wellisch et al., 1997). One of the best possible ways to address these problems could be
education to the public at large, based on accurate scientific findings. Although a lot is
known about the many faceted effects of alcohol on developing fetuses, further research
is warranted to understand specific cause and effect correlations, especially in the field of
the central nervous system (CNS). For apparent ethical reasons, human subjects cannot
be used for experimentation. The available human data were collected through
observation of affected individuals. However, animal studies allow one to perform
controlled experiments, exploring variables such as the amount and concentration of
alcohol used, pattern of consumption, and timing of alcohol exposure during pregnancy
(Becker et al., 1994). Studies conducted to determine the critical time for the effects of
alcohol exposure have found that there may be more than one critical period of exposure,
and the adverse effects of alcohol during development may be cumulative (Cronise et al.,
2001). As seen in humans, animal models have also demonstrated a wide variety of organ
anomalies after both acute and chronic exposure to alcohol (Becker, et al, 1994). In these
types of studies mostly laboratory rats or mice were used when the pregnant female was
maintained on water containing alcohol. However, due to the difficulty of studying rat
fetuses, alcohol effects were mainly studied in newborn or postnatally developing
offspring (Nwaogu and Ihemelandu, 1999). This type of research gives little or no
6
�insight into the immediate effects of alcohol on early embryos when CNS development
shows its most significant changes (Costa and Guizzetti, 1999).
A good opportunity to study the early stages of FAS evolved when zebrafish
(Danio rerio) became a widely used laboratory animal and a vertebrate model in
developmental brain research. The zebrafish is an ideal animal model for research of
development and diseases for many reasons (Gerlai et al., 2000). It is a small, hardy fish
with a relatively short generation time, and its embryo develops in a transparent chorion
(Figure 1). This latest feature allows the embryo to be easily observed under a light
microscope without harming the embryo or disturbing its development (Brown, 1997).
Accordingly, research that aims to determine the threshold dose of alcohol that has
specific effects on early embryonic brain development, has a greater chance to succeed if
zebrafish embryos are used instead of rats (Becker et al., 1994).
Figure 1. Microphotographs of zebrafish embryos and larvae at different times of their
development. Pictures (a-f) show different consecutive stages of the developing embryos
during the first three days. Pictures (g) and (h) show two consecutive steps of hatching
around day 4. Picture (i) shows a young larva at day 10.
7
�The goal of this study was to establish the zebrafish as an animal model for
studying FAS. First, we aimed to establish the concentration of alcohol in which embryos
could survive while developing morphologically and behaviorally detectable defects. The
second goal was to find the most critical period of development sensitive to alcohol
exposure. These questions were investigated in two interrelated but separate experiments.
II. Materials and Methods
Sexually mature zebrafish of both sexes were maintained in a light controlled
colony room with a 10h: 14h dark: light cycle. Water quality was assured with an
intensive filtering system and the water temperature was kept at 28.5 ºC. The fish eggs
were obtained using a specifically designed breeding-box (S.C. Howie, personal
communication) in which six adult male and six adult female fish were placed together
overnight. The eggs were collected the next morning, one hour after the daylight cycle
started. All the healthy eggs were cleaned of debris and randomly selected into groups of
twelve.
Experiment 1
The goal of this experiment was to find that low ethyl alcohol (ETOH)
concentration(s) which can induce visible morphological effects on zebrafish
embryos/larvae during their early development (first 14 days). The following ETOH
concentrations were selected for testing: 0.05%, 0.08%, 0.10% and 0.50%. (Note that
these concentrations are close to the legal blood alcohol level for humans allowed to
operate motor vehicles (0.08%).
Seventy-two zebrafish eggs/embryos were used in this experiment. The eggs
were randomly selected into six groups (n=12). Two groups were used as control and one
group was used for each selected ETOH concentrations. Control animals were kept in
100 ml pure egg-water solution [60 µg/ml Instant Ocean Salt (Aquarium Systems Inc.) in
distilled water]. Experimental animals were kept in 100 ml egg-water solution containing
the appropriate ETOH concentrations. Eggs were kept for 14 days in 250 ml beakers at
room temperature (≈25 ºC). The beakers were covered with watch glasses to prevent
evaporation. The solution was changed once every day.
Embryos were inspected daily under an Olympus (BX40) microscope at
magnification 4X, at a regular time of day, when the alcohol-water was changed. The
number of surviving embryos was recorded. Surviving embryos were also observed for
any visible anomalies. The most characteristically deformed embryos were photographed
at magnification 4X, using a computer-assisted Sony ExwaveHAD digital color video
camera and FlashBus version 1.2 software (Integral Technologies, Inc., Indianapolis,
8
�Indiana). Dead embryos were removed and fixed in a Karnowsky’s solution (4%
paraformaldehyde and 2.5% glutaraldehyde, pH= 7.2) at room temperature for 2h,
washed three times in 0.1 M phosphate buffer solution, and transferred to 70% ETOH for
further histological examination. At the end of the experiment (day 14) any surviving
embryos were cooled to 4 ºC, fixed and processed as described above.
Experiment 2
The goal of this experiment was to find the most critical period of
developmental sensitivity to alcohol exposure. One hundred forty-four zebrafish
eggs/embryos were used in this experiment. Two groups of eggs were maintained in pure
egg-water solution throughout the experiment and used as controls. Starting with day
two, every second day (days 2, 4, 6, 8 and 12), a group of eggs (n=12) was placed into a
0.05% and a 0.08% concentration of ETOH solution and kept until they reached 14 days
of development. (The first experiment revealed that alcohol concentrations of 0.05% and
0.08% were the lowest ETOH concentrations that induced morphological, detectable
changes with lesser mortality. Hence, these concentrations were selected for this
experiment). Animals were kept in 100 ml of egg-water or 100 ml of corresponding
alcohol solution as defined earlier. Eggs were kept for 14 days in 250 ml beakers at room
temperature. The beakers were covered with watch glasses to prevent evaporation. The
solution was changed once every day.
As in the first experiment, embryos were inspected daily under an Olympus
(BX40) microscope at magnification 4X, at a regular time of the day, when the alcoholwater was changed. The number of surviving embryos was recorded. Surviving embryos
were also observed for any visible anomalies and photographed as described earlier.
Statistical Analysis
Survivals to day 14 between treatments and controls were analyzed using
Fisher’s Exact Test. Because multiple comparisons were made, alpha levels were
adjusted using Bonferroni’s Method to control the experiment-wide Type I error rate.
With four comparisons (each treatment versus control) the adjusted alpha level was
0.05/4= 0.0125.
9
�III. Results
Survival rate (%)
Experiment1
110
100
90
80
70
60
50
40
30
20
10
0
Control
0.05% ETOH
0.08% ETOH
0.10% ETOH
0.50% ETOH
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
Days
Figure 2.
Figure 2 shows graphic presentation of survival rate of zebrafish
embryos continuously exposed to four different alcohol (ETOH) concentrations, namely
0.05%, 0.08%, 0.10% and 0.50%, during the first 14 days of their development.
Significant differences were found between the effects of the four alcohol concentrations
as compared to the control (p=0.0025, p=0.0091, p=7.3 10-8 and p=1.4 10-6 in 0.05%,
0.08%, 0.10% and 0.50% ETOH, respectively). In all ETOH concentrations embryos
started to die after the first week and most of them were dead by the end of the
experiment (day 14).
The morphological analysis of the surviving embryos as compared to their
control counterparts showed drastic effects on embryos in all ETOH solutions, even when
embryos were kept in the lowest ETOH concentration (0.05%). Some embryos developed
detectable spinal deformities (Figure 3), described as spinal curvature close to either the
head or the tail.
10
�Figure 3: Picture at far left (Control) shows a 14-day-old control zebrafish larva
developed in pure egg-water. Pictures at right from the control depicts 10-day-old
zebrafish larvae showing signs of spinal deformities in ETOH.
These embryos also showed features of microcephaly. It should be noted that
while in 0.50% ETOH these deformities appeared around the end of the first week, while
in lower concentrations (0.05% and 0.08% ETOH) the appearance of this deformation
was delayed until closer to the end of the second week. Embryos with such defects were
unable to maintain normal posture and were frequently positioned side-up, or in more
severe cases, belly-up. At the same time, these animals showed abnormally enlarged
(swollen) abdomens (Figure 4).
Figure 4: Picture at far left (Control) shows a 14-day-old control zebrafish larva
developed in pure egg-water. Pictures at right from the control depicts 8-day-old
zebrafish larvae showing signs of spinal deformities.
11
�Each embryo with any of these types of anomalies had reduced cardiac rate and
blood flow, showed delayed reactions to environmental stimuli, slow or no movement
and difficulties in feeding. Each was in the process of dying.
Experiment 2
Survival rates of embryos in two selected alcohol concentrations (0.05% and
0.08%), depending on their age when exposed to alcohol are shown in Tables 1 and 2.
No significant difference between the two alcohol concentrations was found. However, it
is interesting to note that the most sensitive days that caused high mortality rate over a
short period of time were the later days, (days 8-12 in 0.05% ETOH and 6-12 days in
0.08% ETOH). The observed trend of mortality shows that the higher the ETOH
concentration, the earlier the death occurs. By contrast, in cases of early exposure to
alcohol (days 2-6) the time of death is spread out over a longer period of time.
Observation of these embryos also revealed a number of different morphological changes
similar to those seen in Experiment 1. These were either teratological effects, such as
small heads with distorted craniofacial features, curved spine (Figure 3) and distended
abdomens (Figure 4) or physiological disturbances such as impaired movements, inability
to maintain postures and inability to capture prey.
IV. Discussion
Although the zebrafish became a laboratory animal more than a decade ago, we
were not able to find reports indicating the use of these animals to study FAS. This
finding came to us as a surprise, since zebrafish embryos provide a very convenient
model for such a study. We found that alcohol concentrations as low as 0.05% or 0.08%
have detrimental effects as early as seven days post exposure and cause death of most of
the embryos by the end of the second week. Alcohol at concentrations of 0.1% and 0.5%
induces similar effects around the same time, but it causes more severe mortality than
lower concentrations.
One of the most remarkable findings of these experiments is the striking
similarity between the effects of alcohol observed on developing zebrafish embryos and
those effects described for humans (Lewis and Woods, 1994). We found small head size
and facial deformations in zebrafish; the literature cites microcephaly and facial
deformations for humans as well (Meyer, et al, 1997). We observed spinal curvature and
impaired ability to move; the literature cites the same effects for humans (Smith and
Eckardt, 1991). Zebrafish embryos showed distended abdomens and inability to feed; the
literature cites lack of appetite and anomalies in the digestive tract for humans (Lewis &
Woods, 1994).
12
�0.05% ETOH
Days
Control
Number
Exposed at day 2
Survival rate
Number
of embryos
(%)
survived
of embryos
Exposed at day 4
Survival rate
Number
Survival rate
of embryos
(%)
of embryos
(%)
survived
of embryos
survived
of embryos
1
24
100
2
23
95.8
12
100
3
23
91.6
9
75
4
22
91.6
9
75
12
100
5
22
91.6
9
75
11
91.7
6
22
91.6
9
75
11
91.7
7
22
91.6
9
75
11
91.7
8
22
91.6
9
75
10
83.3
9
22
91.6
9
75
10
83.3
10
22
91.6
9
75
9
75
11
22
91.6
7
58.3
2
16.7
12
22
91.6
3
25
2
16.7
13
22
91.6
2
16.7
1
0.08
14
22
91.6
1
0.08
1
0.08
Days
Exposed at day 6
Exposed at day 8
Exposed at day 12
Number
Survival rate
Number
Survival rate
Number
of embryos
(%)
of embryos
(%)
of embryos
Survival rate
(%)
survived
of embryos
survived
of embryos
survived
of embryos
6
12
100
7
12
100
8
12
100
12
100
9
12
100
12
100
10
12
100
11
91.7
11
12
100
7
58.3
12
9
75
2
16.7
12
100
13
1
0.08
0
0
12
100
14
0
0
0
0
6
50
1
2
3
4
5
Table 1. Survival rate of zebrafish embryos in 0.05% ETOH when continuous exposure started at
different times of their development,: day 2 (a), day 4 (b), day 6 (c), day 8 (d) and day 12 (e).
Control animals were maintained in pure egg-water solution. Survival rate is expressed as a
percentage of the starting total number (12) of the embryos in each group.
13
�0.08% ETOH
Days
1
2
3
4
5
6
7
8
9
10
11
12
13
14
Days
1
2
3
4
5
6
7
8
9
10
11
12
13
14
Control
Number
of embryos
survived
24
23
23
22
22
22
22
22
22
22
22
22
22
22
Exposed at day 2
Survival rate
(%)
of embryos
100
95.8
91.6
91.6
91.6
91.6
91.6
91.6
91.6
91.6
91.6
91.6
91.6
91.6
Exposed at day 6
Number
of embryos
Survival rate
(%)
of embryos
12
12
9
4
0
0
0
0
0
100
100
75
33.3
0
0
0
0
0
Exposed at day 4
Number
of embryos
survived
Survival rate
(%)
of embryos
Number
of embryos
survived
Survival rate
(%)
of embryos
12
11
11
11
10
9
7
5
3
1
0
0
0
100
91.7
91.7
91.7
83.3
75
58.3
41.7
25
0.08
0
0
0
12
11
11
11
10
10
9
2
2
1
1
100
91.7
91.7
91.7
83.3
83.3
75
16.7
16.7
0.08
0.08
Exposed at day 8
Number
of embryos
Survival rate
(%)
of embryos
12
12
12
7
3
0
0
100
100
100
58.3
25
0
0
Exposed at day 12
Number
of embryos
Survival rate
(%)
of embryos
12
10
5
100
83.3
41.7
Table 2. Survival rate of zebrafish embryos in 0.08% ETOH when continuous exposure started at
different times of their development, day 2 (a), day 4 (b), day 6 (c), day 8 (d) and day 12 (e).
Control animals were maintained in pure egg-water solution. Survival rate is expressed as a
percentage of the starting total number (12) of the embryos in each group.
14
�The second goal of this experiment was to find a sensitive period in which the
effect of the low concentration of alcohol could be detected. Our findings indicate that
this period falls somewhere between days 8 and 12. This time frame is known as the
beginning of the formation of the CNS, when the neuronal plate/tube is formed, and when
the early proliferation of neuro- and glioblasts takes place (Westerfield, 2000). It is also
known that dividing cells are the most vulnerable to ETOH. In light of this information, it
comes as no surprise that this period turned out to be the most sensitive. Published data
indicate that there may be several sensitive periods. Perhaps, if we would extend our
experiment further, we could also find other sensitive times, probably when other vital
organs begin to develop (Cronise et al., 2001).
V. Acknowledgements
The authors express their gratitude to Drs. Eva and George Megerle whose
generosity and continuous support made this research possible. Thanks should also be
extended to Dr. Brian Palestis for his valuable help in our statistical analysis and to Dr.
Donald Stearns whose continuous advice and critical reading of the manuscript was
invaluable for the success of this study.
VI. Literature Cited
Becker, Howard, C., Randall and Carrie, L. (1994). Animal Research: Charting the
Course for FAS. Alcohol Health & Research World, 18 (1), 10-17.
Brown, K. (1997). Making a splash with zebrafish. Bioscience, 47 (2), 68-73.
Cronise, K. Marino, M., Tran, T. and Kelly, S. (2001). Critical periods for the effects of
alcohol exposure on rats. Behavioral Neuroscience, 115 (1), 138-145.
Costa, L. and Guizzetti, M. (1999). Muscarinic cholinergic receptor signal transduction
as a potential target for the developmental neurotoxicity of ethanol. Biochemical
Pharmacology, 57 (7), 721-726.
Gerlai, R., Lahav, M., Guo, S. and Rosenthal, A. (2000). Drinks like a fish: zebrafish
(Danio rerio) as a behavior genetic model to study alcohol effects. Pharmacology,
Biochemistry and Behavior, 67 (4). 773-782.
Godfrey, C. (1997). Lost productivity and costs to society. Addiction, Supplement 1S4954.
Jacobs, E. (2000). Fetal Alcohol Syndrome and Alcohol-Related Neurodevelopmental
Disorders. Pediatrics, 106 (2), 358- 363.
Lewis, D. and Woods, S. (1994). Fetal alcohol syndrome. American Family Physician,
50 (5), 1025-1032.
Martin, A., Schaffer, S. and Campbell, R. (1999). Managing alcohol-related problems in
the primary care setting. The Nurse Practitioner, 24 (8), 14-25.
15
�Meyer, S., Chen, W., Miller, J. and West, J. (1997). Fetal alcohol exposure and temporal
vulnerability regional differences in alcohol-induced microcephaly as a function of the
timing of binge-like alcohol exposure during rat brain development. Alcohol Clinical
Research, 21 (8), 1418-28.
Nwaogu, I. and Ihemelandu, E. (1999). Effects of maternal alcohol consumption on the
allometric growth of muscles in fetal and neonatal rats. Cells Tissues Organs, 164 (3),
167-173.
Room, R. (1997). Alcohol, the individual and society: what history teaches us.
Addiction, Supplement 1S7-11
Sjoberg, L. (1998). Risk perception of alcohol consumption. Alcoholism, Supplement
277S-284S.
Smith, K. and Eckardt, M. (1991). The effects of prenatal alcohol on the central nervous
system. Recent Developments in Alcoholism, 9 151-64
Varcarolis, E. (2001). Foundations of Psychiatric Mental Health Nursing. New York:
W.B, Saunders Company.
Wellisch, J., Perrochet, B. and Anglin, M. (1997). Afterword. Future directions for
perinatal alcohol and drug treatment services. Journal of Psychoactive Drugs, 29 (1),
123-125.
Westerfield, M. (2000). The zebrafish book: A guide for the laboratory use of zebrafish
(Danio rerio). 4th ed., University of Oregon Press, Eugene
Young, N. (1997). Effects of alcohol and other drugs on children. Journal of
Psychoactive Drugs, 29 (1), 23-42.
16
�Diagnosis and Treatment of Aeromonas in Zebra Fish
Jennifer Zafarino, Thomas Smolka and Dr. Kathleen Bobbitt
Presented at the 56th Eastern Colleges Science Conference in Niagara, NY
The normal habitat of Aeromonas is an aquatic environment. Their presence has been
reported throughout the world in fishponds, natural mineral springs, chlorinated and
unchlorinated waters as well as other watery environments. Most Aeromonas grow well
o
o
at 37 C, although their optimal growth temperature range is 22-28 C. An experiment
being performed by Dr. Fulop at Wagner College involving zebra fish unfortunately
became contaminated with a pathogen of unknown origin. After testing the dead fish and
culturing the bacteria on various agars, we found the pathogen to be a species of
Aeromonas. We then performed a series of tests to determine how this pathogen could be
treated without harming the zebra fish.
The Efficient Solution of Block Tridiagonal Linear Systems
Peter Herbst and Dr. Gregory J. Falabella
Presented at the 56th Eastern Colleges Science Conference in Niagara, NY
The analysis of problems in mathematics, engineering and the physical sciences often
involves the solution of a linear system. In matrix notation the problem is written Ax=b
where A is known as the coefficient matrix. Techniques for solving such a system fall into
two general categories: direct and iterative methods. The most popular direct methods are
Gaussian elimination and LU decomposition. If an iterative technique is desired GaussSeidel iteration or a close variant is used.
Unfortunately, application of the above methods, without modification, to large sparse
systems is so inefficient that it prevents the solution of many practical problems. Canned
programs such as LINPACK and LAPACK, written specifically for sparse matrices, are
available on the web. They, however, are not always flexible enough to be efficiently
coupled with a given code.
17
�The current research is an investigation into methods of solving block tridiagonal matrices.
A tridiagonal matrix has one band above and one below its main diagonal. All other entries
are zero:
A1
B2
0
0
0
0
.
0
C1
A2
B3
0
0
0
.
0
0
C2
A3
B4
0
0
.
0
0
0
C3
A4
B5
0
.
0
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.
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.
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.
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AN
A block tridiagonal matrix is a tridiagonal matrix in which each non-zero entry is itself a
matrix (e.g. all of the Ai, Bi and Ci in the figure above are themselves nxn matrices). Such
systems are often quite sparse and are encountered thousands or even millions of times in the
simulation of physical phenomena. As a result techniques to solve them must be very
efficient.
The current research examined the effects of different solvers when used in conjunction with
a fluid dynamics code to simulate the flow of air about an NACA-0012 airfoil at a 2o angle
of attack. First an optimized version of Jacobi iteration was employed. Although highly
efficient, the degree of accuracy produced was very sensitive to input parameters and varied
greatly (see figure 1). Next LINPACK was used and found to consistently produce accurate
results. Unfortunately, it required significantly more CPU time and was so difficult to
modify that the resulting code would be unable to exploit different computer architectures.
Lastly, an algorithm for LU decomposition on banded matrices was developed. LU
decomposition is a modification of Gaussian elimination in which the coefficient matrix is
factored into upper and lower triangular matrices. The system can then be easily solved using
back-substitution. In the course of the research it was found that when LU decomposition is
performed on a banded matrix, the resulting upper and lower matrices exhibited the same
bandwidth as the original unfactored matrix. With this knowledge, a modified LU
decomposition code that would only take into account the necessary entries was written.
Like the LINPAC code it produced accurate results but took slightly longer to execute on a
standard personal computer. However, unlike LINPAC it is highly portable and can be
modified for use on parallel and vector processors where it will likely produce truly superior
results.
18
�-0.6
-0.4
-0.4
-0.2
-0.2
0
0
0.2
0.2
cp
cp
-0.6
0.4
0.4
0.6
0.6
0.8
0.8
1
1
0.25
0.5
0.75
1
0.25
0.5
x/c
0.75
1
x/c
-0.6
-0.4
-0.2
cp
0
0.2
0.4
0.6
0.8
1
0.25
0.5
0.75
1
x/c
Figure 1: The varying degrees of accuracy obtained when an optimized iterative method
was used to determine the coefficient of pressure associated with an NACA-0012 airfoil
at 2o angle of attack.
19
�20
�Section II: The Social Sciences
��How Watching Pornography Immediately
Effects Attitudes Toward Sexual Relationships
Jessica Biren
Research has explored reasons for pornography usage, individual pornographic
preferences, the desensitization effect of watching sexual violence, and ways in which
pornography might degrade women. The present paper examines the effects of watching
a pornographic video on men’s expressed aggression toward their female sexual partners.
The 35 male participants (M= 20.89 years) completed a pornography survey, watched
either a control video (a sex scene from an R-rated movie) or an experimental video (a
sex scene from a pornographic movie) and then completed a relationship survey. The
results indicate that participants exposed to pornography expressed greater likelihood of
being a sexual aggressor and reported greater stimulation from viewing hard core
pornography and pornographic magazines. Implications include potential ways to
decrease the likelihood of sexual aggression against women.
I. Introduction
As Internet users expanded to 92 million people in the US and Canada, “sex”
has become the second most common search topic based on a sampling of a million
searches (as found by searchterms.com, Goodson, McCormick, & Evans, 2001). Only
the term “mp3” is searched more often. Sex is interesting, hard to obtain, and
mysterious. One of the most accessible places to obtain information about sex is from
pornography. For the purpose of this paper, pornography was defined as any material
sexual in nature, but is not necessarily degrading to women, that explicitly shows
genitalia and penetration, which in effect excludes R-rated movies.
Several previous studies have examined interesting aspects of pornographic use,
including individual preferences (Bogaert, 2001), the person’s IQ in relation to the
pornographic preference (Bogaert, Woodard, & Hafer, 1999), and what types of
pornography are viewed on the Internet (Goodson, McCormick, & Evans, 2001).
Goodson et al. (2001) sought to explore college students’ Internet usage of pornography.
College students were surveyed because they have wide access to the Internet and are
23
�usually highly computer literate. The researchers studied a variety of issues concerning
searching the Internet for sexually explicit materials, including the specific behaviors of
the participants during the searches and their attitudes while searching. The researchers
found that sexually explicit materials on the Internet were elicited significantly more by
men than by women.
While Internet access to pornography is an important area to study, it is also
important to determine what types of pornographic material students are interested in
viewing. Bogaert (2001) found that preferences for sexual media are related individual
differences. Males select pornographic material that is congruent with their personalities,
fantasies, and sexual experience. Preferences for viewing sexual films were related to a
number of the personality components, including measures of aggression and dominance,
attraction to sexual aggression, sexual affect, hypermasculinity, sensation seeking, and
intelligence. Personality can accurately predict preference for pornography.
Given the widespread use of pornography and its relationship to the personality
of users, a question arises about the implications of watching pornography. Mullin and
Linz (1995) wanted to determine whether watching sexually violent pornography makes
a person more comfortable with actual sexual violence. They hypothesized that after
viewing sexual violence on film, men would perceive sexual violence as less degrading,
less violent, and less offensive to women than prior to the pornography exposure. The
researchers found that after repeated exposure to slasher films, participants rated the films
as being less sexually explicit and less sexually violent. Although slasher films are not
pornographic, this same theory can be applied to pornography.
Check and Guloien (1989) reported that after frequently viewing dehumanizing
pornography, men were more likely to report that they might rape and that they had
performed frequent acts of sexual aggression against women. Some research suggests
that pornography that degrades women has immediate consequences on how men view
women, for example, as primarily used for sex (Schank & Abelson, 1977; Taylor &
Crocker, 1981). After watching degrading images of women, viewers overestimated
women’s sexual desire and sexual receptivity (Donnerstein, Linz, & Penrod, 1987;
Weaver, 1987).
Bogaert, Woodard, and Hafer (1999) found that a single exposure to
pornography is enough to change male attitudes towards women. The researchers
observed that intelligence is related to attitudes towards women. Men lower in
intelligence were more sexually suggestive and assertive toward a female confederate
after viewing violent pornography. Men higher in intelligence did not have this same
reaction. These results suggest that lower IQ men do not understand that the
pornography is not related to how they should treat women.
24
�Is it necessary for men to watch pornography to change their treatment of
women? Milburn, Mather, and Conrad (2000) studied whether R-rated movies are
sufficient to objectify women. When a rape is portrayed, even in an R-rated movie, male
participants perceived that the female victim derived some pleasure from the action. The
results indicate that watching R-rated movies with a rape scene alters the way men
perceive the scene and lessens their perception of the victim’s suffering. Abbey (1982)
found that when women watch films that are degrading to women, they are at an
increased risk of sexual assault.
All of this research invokes an extremely negative view of the effects of
pornography. Women may be physically hurt by men who watch film containing any
form of degrading sexual acts, regardless if the film is R-rated or pornographic. The
purpose of the present paper was to examine how watching pornography video
immediately influences male attitudes towards sexual relationships. After watching
pornography, men will be sexually stimulated and desire sexual intercourse. Men who
want sexual intercourse after watching pornography will be more likely to express their
desire to be more aggressive to their female sexual partners.
II. Method
Participants
The participants of this experiment were 35 male undergraduates currently
enrolled at Wagner College. The participants ranged in age from 19 to 26 with a mean
age of 20.89 (SD= 1.73). The academic year for the participants ranged from freshmen to
senior year, with the average participant in his junior year (M= 3.26, SD= 0.89).
Procedure
Students in Introduction to Psychology, in Social Psychology, on the football
team, and in a campus fraternity were invited to participate in the study. The students
who accepted the invitation were told that they were strictly volunteers and were able to
leave the study at any time without penalty. Informed consent was obtained prior to the
study.
Participants first completed a survey about pornography (found on the Internet
at Queendom.com, an online psychological testing agency, see Appendix A). Some
sample questions include: Which of these forms of pornography have you been
intentionally exposed to more than twice in your life? Have you ever had a dispute or
experienced tension in your relationship because of your own use of pornography? Have
you ever felt that you may have neglected your partner emotionally or sexually because
of pornography?
25
�Sessions of the study occurred at four different times over two evenings. Each
session was randomly assigned to one condition of the study. The control group was
shown a five-minute clip of a sexual encounter found in an R-rated movie (Ghost, 1990).
The students in the experimental group were shown a five-minute clip of a sexual
encounter found in a pornographic movie (Dreamquest, 1999). Both film segments
depicted a man and woman having consensual sexual intercourse. Ghost showed the
couple touching one another above the clothing, but did not show any nudity.
Dreamquest showed the naked couple’s genitalia and penetration. During both of the
film segments, the experimenter remained outside of the experimental room to ensure
that all conditions were treated the same.
After both the control and experimental groups finished watching the film
segments, the participants were asked to complete a second survey (see Appendix B).
This survey included the dependent measures of immediate attitudes toward sexual
partners and included measures of the participants’ past, current, and future intimate
relationships. Some sample questions include: After watching pornography, are you more
likely the aggressor? Do you feel more stimulated after watching hard core pornography
than watching soft core pornography? Are you stimulated after looking at dirty
pictures/magazines?
Following the collection of the completed surveys, the participants were fully
debriefed and given an opportunity to ask any questions they may have had about the
study.
III. Results
On the survey administered prior to the film segment, participants reported that
the mean age of first exposure to pornography was 12.56 (SD= 2.97), with responses
ranging from 4 years old to 20 years old. (One participant refrained from answering the
question.) The participants were exposed to pornography on average between several
times a week to several times a month (M= 3.40, SD= 1.12, response options ranged from
several times a day to never). Most students rated the average amount of time spent
online viewing pornography as falling between a small percentage to about one-quarter
(M= 1.34, SD= 1.01, response options ranged from several times a day to never). The
participants who had engaged in sexual intercourse reported their age of first sexual
intercourse at a mean age of 17.13 (SD= 1.85), with responses ranging from 12 to 20.
Five participants reported that they had not yet engaged in sexual intercourse.
Given that random assignment occurred by session rather than by participant, a
problem may have arose. The experimental condition included more football players and
fraternity members than did the control condition.
26
�After the manipulation of the film clip, responses on several measures differed
by experimental condition. The item (Question 17), that asked, “After watching
pornography, are you more likely the aggressor?” participants in the experimental
condition were more likely to respond “yes, always” than were participants in the control
condition, χ2 (2) = 10.79, p < .01. (See Table 1.)
When participants were asked, “Do you feel more stimulated after watching
hard core pornography than watching soft core pornography?” (Question 19), participants
in the experimental condition answered “yes, always” more frequently than did
participants in the control condition, χ2 (2) = 9.13, p = .01. (See Table 2.)
When participants were asked, “Are you stimulated after looking at dirty
pictures/magazines?” (Question 20), the experimental group answered “yes, always”
more frequently than did the control group, χ2 (2) = 6.66, p < .05. (See Table 3.)
Some results were consistent for both groups on the relationship survey. The
participants reported their longest relationship as lasting an average of 1-2 years (SD=
1.65, response options ranged from 1month to 3+ years). The sexually active students
rated their sexual activity while in a relationship between several times a week and
several times a month (M= 3.51, SD= 1.34, response options ranged from several times a
day to never). The participants had told an average of 2.49 people they loved them (SD=
1.54, with responses ranging from zero to five or more). The participants envisioned
themselves getting married around 4-5 years from the present (SD= 1.11, response
options ranged from this year to 6+ years). (See Table 4.)
IV. Discussion
The present study demonstrated that participants who were exposed to
pornography found pornography to be more sexually stimulating. Both the experimental
and the control groups admitted to high rates of prior exposure to pornography, although
the experimental group admitted to more prior exposure. It is possible that the
participants in the control group may have answered protectively and were unwilling to
divulge the truth. Since the experimental group was largely composed of football players
and fraternity brothers, it was possible they were more comfortable and answered the
questions more honestly or that the groups to which they belong encourage greater use of
pornography. In future research, random assignment should occur at the level of the
participant rather than at the level of the session. Since so many of the experimental
participants were familiar with each other (football players and fraternity brothers), future
research should be conducted to explore whether viewing pornography in familiar groups
affects responses.
This study found that watching pornography increased stimulation, while Mullin
and Linz (1995) would have predicted that repeated exposure to pornography would
27
�cause the participants to rate the films as being less sexually explicit and less sexually
violent. The possible implications for watching sexually explicit pornography are
threatening to female sexual partners.
Another area of concern to female partners is heavy pornography usage. When
women discovered that their partner was a heavy pornography user, the women felt
violated; even though the men were not actually in contact with other women, they
viewed watching pornography as a form of infidelity (Bergner & Bridges, 2002).
Women began to lessen their significance in the relationship due to their partner’s
pornography usage. Women viewed themselves as sexually undesirable, worthless,
weak, and stupid when they learned their partner used pornography. Women considered
their partner to be a sexual pervert or sex addict, a liar, unloving and selfish, and an
inadequate father and husband.
Check and Guloien (1989) and Abbey (1982) discussed the potential for female
sexual assault after willingly watching pornography with a male partner. The participants
in this study responded that after watching pornography, they are much more likely to be
the aggressor. The implications for these results are that women may actually be
increasing their likelihood of sexual assault; on the reverse, women may reduce their
likelihood of sexual assault by refusing to watch pornography with a male partner.
Future research needs to be conducted to test this relationship on a larger level and to see
if refusing to watch pornography decreases the likelihood of sexual assault. One future
research model would be to follow this paper’s experimental design, but instead of
having any volunteers participate, the study would only test men in serious relationships.
Post experiment, the experimenter would interview the women in the relationships and
find out if their sexual activity changed and how due to men watching pornography.
V. References
Abbey, A. (1982). Sex differences in attitudes for friendly behavior: Do males
misperceive females’ friendliness? Journal of Personality and Social Psychology, 42,
830-838.
Armstrong, B. (Producer). (1999). Dreamquest [Motion picture]. United States: Wicked
Pictures.
Bergner, R.M., & Bridges, A.J. (2002). The significance of heavy pornography
involvement for romantic partners: Research and clinical implications. Journal of
Sex and Marital Therapy, 28, 193-206.
Bogaert, A.F. (2001). Personality, individual differences, and preferences for the sexual
media. Archives of Sexual Behavior, 30, 29-53.
Bogaert, A.F., Woodard, U., & Hafer, C.L. (1999). Intellectual ability and reactions to
pornography. The Journal of Sex Research, 36, 283-291.
28
�Check, J.V.P., & Guloien, T.H. (1989). Reported proclivity for coercive sex following
repeated exposure to sexually violent pornography, nonviolent dehumanizing
pornography and erotica. In D. Zillmann & J. Bryant (Eds.), Pornography: Research
advances and policy considerations (pp. 159-184). Hillsdale, NJ: Erlbaum.
Donnerstein, E., Linz, D., & Penrod, S. (1987). The question of pornography: Research
findings and policy implications. New York: The Free Press.
Goodson, P., McCormick, D., & Evans, A. (2001). Searching for sexually explicit
materials on the Internet: An exploratory study of college students’ behavior and
attitudes. Archives of Sexual Behavior, 30, 101-118.
Milburn, M.A., Mather, R., & Conrad, S.D. (2000). The effects of viewing R-rated movie
scenes that objectify women on perceptions of date rape. Sex Roles, 43, 645-664.
Mullin, C.R., & Linz, D. (1995). Desensitization and resensitization to violence against
women: Effects of exposure to sexually violent films on judgments of domestic
violence victims. Journal of Personality and Social Psychology, 69, 449-459.
Schank, R.C., & Abelson, R.P. (1977). Scripts, plans, goals, and understanding: An
inquiry into human knowledge structures. Hillsdale, NJ: Erlbaum.
Taylor, S.E., & Crocker, J. (1981). Schematic bases of social information processing. In
E.T. Higgins, C.P. Herman, & M.P. Zanna (Eds.), Social cognition: The Ontario
Symposium (Vol. 1). Hillsdale, NJ: Erlbaum.
Weaver, J.B. (1987). Effects of portrayals of female sexuality and violence against
women on perceptions of women. Unpublished doctoral dissertation, Department of
Communication, Indiana University, Bloomington, IN.
Weinstein, L. (Producer), & Zucker, J. (Director). (1990). Ghost [Motion picture]. United
States: Paramount Pictures.
Appendix A: Pornography Survey
Please affix label in upper right hand corner.
Please answer all questions as honestly as possible.
1.
What is your age?
2.
What is your sexual preference?
29
�3.
What is your marital status?
a.
b.
c.
d.
e.
f.
I don’t want to answer
Single, living in a dorm or apartment with a roommate
Single, living alone in a dorm or apartment
Single, living with parents
Single, living with girlfriend or boyfriend
Married
4.
What is your current academic year?
a. Freshmen
b. Sophomore
c. Junior
d. Senior
5.
Have you been sexually active in the past year?
a. I don’t want to answer
b. Yes
c. No
6.
How old were you when you lost your virginity?
7.
How old were you when you were exposed to pornography for the first time?
8.
Which of these forms of pornography have you been intentionally exposed to
more than twice in your life? (Circle all that apply)
a. Soft core porn movies
b. Hard core porn movies
c. Soft core porn magazines/pictures
d. Hard core porn magazines/pictures
e. Soft core online porn
f. Hard core online porn
9.
How often are you exposed to any kind of pornography?
a. I don’t want to answer
b. Almost every day
c. Several times a week
d. Several times a month
e. Several times a year
f. Less than twice a year
g. Never
10. How much of your online time is spent at porn sites?
a. I don’t want to answer
b. All of it
30
�c.
d.
e.
f.
g.
Most of it
About half
About one-quarter
A small percentage
None
11. Have you ever paid for access to an online porn site?
a. I don’t want to answer
b. Yes
c. No
d. I never visited one
12. Has online porn been responsible for an increase in your porn consumption?
a. I don’t want to answer
b. Yes
c. No
d. Never visited an online porn site
13. Which form of pornography do you find most sexually stimulating?
a. I don’t want to answer
b. Soft core porn movies
c. Hard core porn movies
d. Soft core porn magazines/pictures
e. Hard core porn magazines/pictures
f. Soft core online porn
g. Hard core online porn
h. None
14. When you use pornography with your partner, do you feel guilty or ashamed?
a. I don’t want to answer
b. Yes
c. A little bit
d. No
e. I have no experience with this
15. When you use pornography alone, do you feel guilty or ashamed?
a. I don’t want to answer
b. Yes
c. A little bit
d. No
e. I never use porn alone
16. Would you be hurt or offended if you learned that your partner was enjoying
non-violent pornography in your absence?
a. I don’t want to answer
b. Very
31
�c.
d.
A little bit
No
17. Would you tell your partner if you bought a porn magazine, watched a porn
movie, or visited an online porn site?
a. I don’t want to answer
b. Yes
c. No
d. Maybe
e. I have never exposed myself to porn
18. Have you ever had a dispute or experienced tension in your relationship because
of your own use of porn?
a. I don’t want to answer
b. Yes
c. No
d. I have never exposed myself to porn
19. Have you ever had a dispute or experienced tension in your relationship because
of your partner’s use of porn?
a. I don’t want to answer
b. Yes
c. No
d. To my knowledge, my partner has never exposed him/herself to porn
20. Have you ever felt that you may have neglected your partner emotionally or
sexually because of porn?
a. I don’t want to answer
b. Yes
c. No
21. Have you ever felt that your partner neglected you emotionally or sexually
because of porn?
a. I don’t want to answer
b. Yes
c. No
22. What is the main reason for your use of pornography?
a. I don’t want to answer
b. Aide for masturbation (when I’m alone)
c. My sex life is not satisfying enough
d. My partner insists
e. Sexual stimulation for my partner and me
f. Curiosity
g. Educational purposes
h. For fun, with my friends
32
�i.
j.
k.
l.
Boredom
I’m hooked
To fulfill my peculiar sexual needs
I don’t use porn
Appendix B: Relationships Survey
Please affix label to upper right hand corner.
Please answer all questions as honestly as possible.
1.
Are you currently involved in an intimate relationship?
a. I don’t want to answer that
b. Yes
c. No
2.
Have you ever been involved in an intimate relationship?
a. I don’t want to answer that
b. Yes
c. No
3.
Would you like to be involved in an intimate relationship?
a. I don’t want to answer that
b. Yes
c. No
4.
How long was your longest relationship?
a. I don’t want to answer that
b. 1 month
c. 2-6 months
d. 7-12 months
e. 1-2 years
f. 2-3 years
g. 3+ years
h. I have never been in a relationship
5.
Do you want to have a long-term relationship?
a. I don’t want to answer that
b. Yes
c. Maybe
d. No
6. Were you sexually active during the relationship?
a. I don’t want to answer that
33
�b.
c.
Yes
No
7. How often were you sexually active?
a. I don’t want to answer that
b. Several times a day
c. Several times a week
d. Several times a month
e. Several times a year
f. Less than twice a year
g. Never
8.
Would you say that you were ever in love?
a. I don’t want to answer that
b. Yes
c. No
9.
How many people have you told that you love them?
a. 1
b. 2
c. 3
d. 4
e. 5 +
10. Have you ever introduced someone that you are in love with to your parents?
a. I don’t want to answer that
b. Yes
c. No
11. Have you ever introduced someone that you are in love with to your friends?
a. I don’t want to answer that
b. Yes
c. No
12. Do you want to get married?
a. I don’t want to answer that
b. Yes
c. Maybe
d. No
13. In how many years from now do you envision yourself getting married?
a. I don’t want to answer that
b. This year
c. Next year
d. 2-3 years
e. 4-5 years
34
�f.
g.
6 + years
Never
14. In a sexual relationship, are you the aggressor?
a. I don’t want to answer that
b. Yes, always
c. Yes, sometimes
d. No, never
15. Have you ever fantasized about being the aggressor?
a. I don’t want to answer that
b. Yes, always
c. Yes, sometimes
d. No, never
16. Does there need to be an aggressor in a sexual relationship?
a. I don’t want to answer that
b. Yes
c. Maybe
d. No
17. After watching pornography, are you more likely the aggressor?
a. I don’t want to answer that
b. Yes, always
c. Yes, sometimes
d. No, never
18. After viewing pornography, are you more sexually stimulated?
a. I don’t want to answer that
b. Very
c. A little bit
d. No
19. Do you feel more stimulated after watching hard core pornography than
watching soft core pornography?
a. I don’t want to answer that
b. Very
c. A little bit
d. No
20. Are you stimulated after looking at dirty pictures/magazines?
a. I don’t want to answer that
b. Very
c. A little bit
d. No
35
�21. Do you desire to have sexual intercourse after watching pornography?
a. I don’t want to answer that
b. Very
c. A little bit
d. No
22. Do you desire your usual sexual partner?
a. I don’t want to answer that
b. Yes, always
c. Yes, sometimes
d. No, never
23. Do you desire that star of the pornography?
a. I don’t want to answer that
b. Yes, always
c. Yes, sometimes
d. No, never
24. Do you want to have a long term relationship?
a. I don’t want to answer that
b. Yes
c. Maybe
d. No
36
�Table 1: Responses to More Likely to be the Aggressor (Question 17) by Condition
Response
Condition
Never
Sometimes
Always
Control
14.71%
32.35%
0%
Experiment
2.94%
26.47%
23.53%
Note. n = 34 for each condition.
Table 2: Responses to More Stimulation from Hard Core Pornography (Question 19) by
Condition
Response
Condition
Never
Sometimes
Always
Control
29.41%
11.76%
5.88%
Experiment
8.82%
14.71%
29.41%
Note. n = 34 for each condition.
Table 3: Responses to Stimulation After Looking at Dirty Pictures/Magazines (Question
20) by Condition
Response
Condition
Never
Sometimes
Always
Control
5.88%
41.18%
0%
Experiment
8.82%
29.41%
17.65%
Note. n = 34 for each condition.
37
�Table 4: Responses to Variables on the Pornography Survey
Condition
Variable
Soft Core Movies
Hard Core Movies
Soft Core Magazines
Hard Core Magazines
Soft Core Online
Hard Core Online
Exposure Frequency
Feeling Guilty
Experimental
M
SD
0.84
0.37
1.00
0.00
0.89
0.32
0.84
0.37
0.74
0.45
0.84
0.37
3.84
0.96
1.54
0.78
Control
M
SD
0.56
0.51
0.56
0.51
0.63
0.50
0.44
0.51
0.44
0.51
0.38
0.50
2.88
1.09
2.00
0.00
38
t-test
t(33)=1.86, p<.10
t(33)=3.73, p<.01
t(33)=1.94, p<.10
t(33)=2.69, p<.05
t(33)=1.84, p<.10
t(33)=3.16, p<.01
t(33)=2.80, p<.01
t(33)=-1.87, p<.10
�The Change of Color and Shapes and Its Effects
on the Memory Of a Pattern
Diane Marie Vellon
I. Introduction
Upon reading my psychology textbook, I came across an interesting study by
John Ridley Stroop that sparked my interest. Stroop concluded that it is a simple task to
quickly recite color words such as red when the letters are written in red, however it is
quite a task to quickly recite the word red when its letters are written in a color other than
red with other similar words in a group (1999, p.99). There have been many studies on
color and memory, such as Stoop’s Effect, however I thought it would be interesting to
manipulate color in respect to a pattern. Psychologists use patterns and shapes of different
colors to test their patients for numerous studies and counseling sessions as well.
Non-declarative or procedural kinds of memory include the acquisition,
retention, and retrieval of knowledge expressed through experience-induced changes in
performance. These kinds of memory are measured by indirect or implicit tests where no
reference is made to that experience. Skill learning, repetition priming, and conditioning
are classes of implicit tests that often reveal procedural memory processes dissociable
from declarative memory (1998).
Although I did not find much research on how the change of color has an effect
on the recollection of a pattern, I did my own research on memory retrieval and
conducted my own experiment on the topic.
The hypothesis for this study states that the change in color of the shapes will
have an effect on the memory of a pattern given. The two variables in this study being
correlated are colors and memory of a pattern.
39
�II. Method
Participants
For this study a sample composed of thirty-three subjects were used. This
sample includes both males and females. The age range of these subjects fall between
sixteen and thirty. The participants all varied in job and grade status. The subjects for this
study were randomly selected by the researcher by asking each individual to participate
in the study. Participants were all informed that the information from the results would be
used for a study on memory and thinking in a cognitive psychology class at Wagner
College. These participants were also notified that the data would remain confidential to
the study’s researcher and observing professor. The researcher randomly selected the
sample and the test was given to acquaintances and friends of the researcher. The
majority of the participants are currently enrolled in high schools or colleges in New
York City. The remaining individuals hold jobs in New York City. The participants
expressed to me that they had never partaken in a study of this kind when they had to
recreate a pattern with two sets of colors. Two of the participants had counseling sessions
in the past and have had to recreate a pattern given by their psychiatrists in their sessions.
Materials
The materials used for this study’s data collection is a pattern shown in
Appendix A and a collection of shapes in two different sets of colors. The researcher
specifically for this research designed this pattern selected for each subject to use. The
pattern consists of the same shapes with five different colors. The subjects were given a
bag of shapes in the the same colors as the pattern. Later on, the participants were given
another bag of shapes in a different set of colors to recreate the same pattern they had
previously.
Design
The design for this study is a correlational design in which two variables, color
and memory of a pattern to determine whether change in color has an effect on the
memory of a pattern.
III. Procedure
The procedure for this study entails the researcher to have created a pattern for
thirty-three subjects to visualize and collected and placed separate shapes of different
colors into individual bags for each participant to take along with the pattern. For this
study, the participants range in age from sixteen to thirty. This range in age was not made
for any other purpose but to make it easier for the researcher to find subjects to take part
40
�in the study. The subjects were asked to look at a pattern then recreate it with one set of
colored shapes. The subjects were then asked to place those shapes back into the bag and
return them to me. With the other bag of different colored shapes, the participants were
asked to recreate the same pattern they visualized and recreated before. There was no
time limit given to the participants to complete the task in order to avoid any arousal,
anxiety, or frustration level that a time constraint can bring about. The experiment was
conducted only to determine a correlation between the change in color and the memory of
the pattern.
IV. Results
The data for this study was arranged by accuracy according to the researcher on
a scale of one to three. For example if the participant put the pattern (Appendix A)
together for the most part with the different color shapes, then they received a one. If the
subject recreated some of the pattern together but with a number of mistakes, the subject
received a two. And finally, if the subject did not recreate the pattern well at all, they
received a three.
Table 1 refers to the results of both recreations of the pattern. Column 1 is the
first pattern with the original colors and Column 2 is the second pattern with the different
set of colors. In the first column, most of the subjects recreated the pattern accurately
with the original colors. The percentage of participants who scored a one on the first
column is 69.69%. The participants who scored a number two on the first try were
18.18%. Finally, 9.09% of the participants scored a three on the first pattern. 51.51% of
the participants scored a three on the second pattern with the different color shapes
referred to Column 2. In Column 2, 30.30% of the population received the score of two.
15.15% of the sample received a score of one.
V. Discussion
From the data collected, there is a level of significance that supports the
hypothesis previously given. With the change of colors, the memory and retrieval of a
pattern was affected. This data can determine that there is a relationship between color
change and memory. The pattern in this study was never changed. Each subject was
shown the pattern and were then asked to recreate the pattern as seen. The colors in the
first bag were the same as the original pattern. After the colors of the shapes changed in
the pattern recreation, the accuracy of the pattern structure changed.
For future research, one could experiment on the accuracy in children,
adolescents, and adults. The pattern can be modified to accommodate each of the
suggested groups of people. Another experiment could be a different shape used or
41
�different shapes used all together in a pattern. One could tell the relationship between
males and females in their study as well.
VI. References
Gabrieli, J. D. E. (1998). Cognitive neuroscience of human memory, Annual
Review of Psychology .
Rockstroh, S. & Scuweizer, K. (2001). The Contributions of memory and
attention processes to cognitive abilities, Journal of General Psychology, (1)
Sternberg, R. J. (1999) Cognitive psychology. (2nd ed.). New York: Harcourt
Brace College Publishers.
Appendix A: Color Pattern
yellow
blue
red
blue
orange
red
red
orange purple
green
green
pink
black
purple
black
purple
42
�Table 1: Rating Scores of Accuracy On the Color Pattern
Subject #
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
Column 1
1
1
2
1
1
1
3
2
1
2
1
1
1
1
2
3
1
2
1
1
1
1
2
1
1
3
1
1
1
1
1
2
1
43
Column 2
3
3
3
2
1
2
3
2
1
1
3
3
2
2
3
3
2
3
3
2
2
2
3
3
1
3
3
1
3
2
3
3
2
�Taking the Job Home
Melissa Mason
In today’s society, a lot of people “take the job home” with them, which can lead to
unnecessary stress, family trouble, and in some cases, fear; but no matter the
consequences, it still happens everyday. This study was completed on a female New
York City police officer to determine the extent of negativity a professional can
experience before it becomes a problem outside of the workplace. It has been concluded
that this police officer, after witnessing the evil in people, has in fact brought home
unnecessary stress as a result of her job.
I. Introduction
I plan to do a case study on a New York City police officer. With such a career,
one may see and experience many traumatic and heart-breaking situations that can lead to
constant fear or sorrow even outside the workplace. It can also lead to Post-traumatic
Stress Disorder (See table 1 and 2 for symptoms) (Sugimoto, 2001). As a New York City
police officer today, one may be incapable of dealing with their everyday life since
witnessing the evil in people (especially the recent World Trade Center attacks). After
this study, I hope to be able to generalize a conclusion about how this job (being a police
officer) is affecting a persons’ home life, based on her responses to my questions. My
goal is to determine whether or not a New York City police officer can go on about their
life after witnessing the worst that evil has to offer; things that the laypersons of America
may be oblivious to.
I would like to determine if her job as a police officer, especially since the
World Trade Center attacks, has effected her relationships, sleep habits, perspectives, and
her life overall. I hope to answer the question: “Do you bring the job home?”
44
�II. Procedure
Method
For this case study, I did a personal interview with the police officer. I was interested
to see if she has been classically conditioned to fear. During the interview I asked
questions that pertain to experiences that she has encountered since becoming a police
officer. I also asked about her feelings toward the job and if it has changed her in any
way. I was curious to ask how both she and her job have been altered since the World
Trade Center attacks.
Subjects
A 43-year-old female New York City police officer was the subject of this study. She
has been an officer for over 20 years and has enough experience in the field to make a
good study.
Materials
I used a personal interview to ask specific questions about her career, and also her
stress, anxiety, and fear level.
III. Results
Interview
1.
2.
3.
4.
5.
6.
How long have you been a New York City police officer? A little over 20 years.
Do you enjoy your job? Yes-very much.
What made you choose this as a career? As a kid, I always looked up to the cops in
the neighborhood. I used to tell myself that one day I would be like them. And so I
did. Just like that. I never really thought about it-I just did it.
What does your job entail? Well, a few years ago I decided to get off the streets and
stay in the office, so I mainly do paperwork all day. Before that, I just did your usual
arrests and tickets, etc.
How does your family feel about your career to the best of your knowledge? Well,
my kids never really liked the fact that I am a cop (laughs). They think it makes me
too strict. But other than that, I’ve never felt that my family disagreed with my career
choice.
Has having this career caused any trouble in your relationships with family and
friends? No. Not anymore since I’ve moved into the office. When I was on the streets
I had crazy hours. Sometimes that caused fights between me and my husband, but
now things are great.
45
�7.
8.
9.
10.
11.
12.
13.
14.
Has being a police officer caused you to change your views, habits, ideals, etc., in
order to better perform your job? I don’t think so. I grew up in Brooklyn, so I was
raised to stick up for the family and do what your told. I learned early how life was
out there. Brooklyn was all the school I needed to see what people are really capable
of. Since becoming a cop, nothings changed. People are still the same, but I was
ready for them.
Over the years, have you encountered many disturbing incidents or crimes? (Other
than the recent World Trade Center attacks) Yeah. I think any crime is disturbing.
Even something as small as a kid stealing a pocket book is something that really
pisses me off. I never understood how people could have so much evil inside them. I
always knew they had it-but I never understood why. I still don’t.
Describe, if possible, what sticks out about those crimes to this day. Well, one night I
went on a call. It was a call from a woman and she was crying so much that we
couldn’t understand her. Without getting too graphic, I went to the house and her
son was lying on the floor covered in blood and seizing. He had been stabbed several
times amongst other things you know. Anyway, by the time the ambulance came, he
died in her arms. I remember the look on her face and it’s something I could never
forget. Oh-the boy was five years old.
Since these crimes and or incidents, have you noticed any changes in yourself? (e.g.
sleep habits, work routine, etc.) Sometimes I have trouble sleeping after seeing
something like that. It usually only lasts a few days though since there’s always
another sad story to replace it. But I never needed therapy for it or anything if that’s
what you mean.
Has there been a change in your perspectives or views of people and human nature?
Well, people make me sick sometimes you know? I’ve sort of become paranoid. I
trust no one.
Do you find yourself treating people differently after seeing the worst of evils in
people? I never judge a person when I first meet them, but I never put evil past
someone.
Has there ever been a situation you could not control, or a time where you could not
help someone? Explain. Of course. I can’t be at every call, every night. But for those
calls I do go to…not really. I mean, there was that little boy I was telling you about. I
couldn’t help him. And the World Trade Center-what a mess that was. I wasn’t there
for that, but even if I was, I don’t think that would’ve been something I could control.
I could’ve helped, but other than that…I don’t know.
Were you on duty during the recent World Trade Center attacks? Yeah I was on
duty, but I was in the office doing paperwork.
46
�15. When was the first time you were able to see the result of the attack? Later that
night. We went down there to the city to help out as much as we could.
16. If possible, can you describe what you saw and how it made you feel? Actually if it’s
alright, I’d rather not get into that. It’s still a sore spot. All I can really say is that
I’ve never felt so weak and powerless in my life.
In the past few months:
17. Have you lost sleep, had nightmares, or any other change in your routine sleep
habits? Explain. I have lost more sleep in the last few months than in my entire life
together. Nightmares? They’re so common for me now, that I just call them dreams. I
tell you what, sometimes I’d rather not go to sleep because I don’t want to see the
building fall not even one more time.
18. Have you had any unusual changes in eating habits? Not really. The first few days I
didn’t eat much, but then I started eating again. That really hasn’t been a problem.
19. Do you feel you have become more anxious or fearful when going to work everyday
not knowing what may happen? Of course. Isn’t everyone? How can anyone in New
York not be scared of being helpless right now? We just have to sit back and take it I
guess.
20. Have you noticed, or been told that you have been acting differently towards your
family, friends, co-workers, etc.? Explain. Not really. I think I’m pretty good at
keeping my feelings in until I’m in the right place you know. I don’t need to bring
anyone else down. I don’t think my family even knows how much this bothers me.
21. Do you think it would help to share your feelings with your family? Maybe they feel
the same way. According to Ronald Burke, it may be better to talk it out with
someone close to you as a way of coping (Burke, 1998). I know they feel the same
way. But I have to be the strong one. Sometimes I not strong, but my kids shouldn’t
have to see that.
22. Have you had any unusual emotional changes whether emotions are absent or
present in excess? (E.g. sadness, fear, joy, etc.) Explain. Yeah. Well fear and sadness
of course. I’ve had a lot of anxiety too. I find my heart racing sometimes for no
reason.
23. Did you ever consider getting that checked by a doctor? No. Anxiety is what keeps
me on my toes.
24. Have there been any changes in your relationships both with family and friends?
Explain. No. Like I said, I keep a lot of things to myself. Some things don’t need to
be broadcast.
25. Any other changes in your life since the World Trade Center attacks? No not really. I
mean, nothing specific. Nothing I can think of off hand.
47
�26. Are you proud of all your accomplishments as a police officer? Do you ever wish
you could've done more or have you ever felt you’ve done too much? I’m very proud
of myself. I don’t think I could ever do too much as a police officer. I definitely
haven’t done enough. I’m nowhere near done yet. I’ll be here to protect and serve
for another 10 years at least.
27. Have you become a different person? Meaning, has your career changed you in any
way? Explain. No I don’t think so. Like I said, growing up in Brooklyn will prepare
you for anything, so there’s nothing that could shock me or change me permanently.
I’ve seen terrible things, but I keep my sanity through it all.
28. Have you ever questioned your career choice or considered changing careers? Never.
I’m doing exactly what God put me here to do.
29. Experiencing all that you have, would you say your career has been a positive or
negative experience overall? Both. Positive for all the good things I’ve been able to
do for people and negative for all the evil people and tragedy in this world that I had
to see.
30. Briefly describe how being a police officer has changed or effected your life from
your first day on the job until now. Well, I’m affected on a daily basis by my job, but
nothing sticks. The only thing that sticks are the good things I get to do for people.
Now that-that’s what makes every day worth coming to work.
Discussion
After completing the interview with this police officer, my hypothesis looks
very weak. It is still not something I can generalize a conclusion from since it was not a
true experiment, but it is a good look at the real words of a real police officer that has
experienced tragedy at its worst. By the answers to some of my questions, she seems to
have an increased level of anxiety, fear, and stress, since the recent attacks in New York
City. This is one way to show how she brings the job home, except for the fact that these
events have past not long ago, which can reasonably result in prolonged emotional roller
coasters. This study has not been a great success. Perhaps the hypothesis was chosen
hastily or the interview questions in the wrong concentration or the data incomplete; but
either way, this study has not proven to be one of strength or stability. No results have
come from it, and conclusions cannot be drawn. It has only proven to be somewhat of
common sense married to a sad story. One hypothesis, though not my intention, has been
proved; and it is that America is still hurting from this tragedy and just wishes to be left
alone. People are not ready to talk. People are not ready to feel. Today is a day to heal.
48
�References
Burke, R. (1998). Work and non-work stressors and well-being among police officers:
The role of coping. Anxiety, Stress, and Coping: An International Journal, 11
(4), 345-362.
Burnett, H. (2001). A study of the relationship between police stress and moral reasoning,
coping mechanisms, and selected demographic variables. Dissertation Abstracts
International: Section-B. 62 (2-B), 1125.
Sugimoto, J. (2001). The environment of death and its influence on police officers in the
United States. Omega: Journal of Death and Dying, 43 (2), 145-155.
49
�50
�Section III: Critical Essays
��The Representation of Class in Chaucer
Eric DeBarba1
The bourgeoisie, wherever it has got the upper hand has put an end to all feudal,
patriarchal, idyllic relations. It has pitilessly torn asunder the motley feudal ties that
bound man to his “natural superiors” and has left remaining no other nexus between
man and man…than callous “cash payment.”
--Karl Marx, Manifesto of the Communist Party
International trade, diplomacy, and travel were making Englishmen aware of an Italian
grandeur that did not stem from noble blood running through the veins of longestablished families but was evident in men of business with cultivated tastes.
--Barbara Hanawalt, Chaucer’s England
Vileyns sinful dedes make a cherl…Thy gentillesse cometh fro God alone.
--Geoffrey Chaucer, The Wife of Bath’s Tale
The issues of class and gentility are prevalent throughout the Canterbury Tales.
Geoffrey Chaucer himself was a scion of the rising commercial class and expresses many
of his class’s ideals throughout his writing. The England of Chaucer was grappling
constantly with the issue of class, as the old feudal society of three orderly estates was
dying and the commercial bourgeoisie was on the rise. What would emerge to take the
place of feudalism, fueled by foreign trade and conquest, was a new mode of production
that in the nineteenth century Karl Marx would call capitalism. Marx believed that the
period of history in Chaucer’s England in particular was important to the way in which
capitalism would develop. As the bourgeoisie gained in strength both economically and
politically, they sought for themselves a social position denied within traditional feudal
society. Both Chaucer and Dante wrote redefinitions to help the middle classes gain
1
Paper written under the direction of Dr. Anne Schotter for English 303 Chaucer
53
�recognition within the social world. Throughout his Canterbury Tales Chaucer assigns to
the middle class values both positive and negative, including those of individualism,
commerce, and gentility not based on birth. In the Franklin’s Tale and the Wife of Bath’s
Tale in particular the ideals are represented by the pilgrims who tell the tales and in the
tales themselves.
The mode of production that had predominated in Europe from the fall of Rome
to the beginning of the fifteenth Century was feudalism. In this economic system, at least
in theory, either the sovereign or the Church held all the land. The sovereign, be he a
king, prince or emperor, parceled out the land to nobles, who parceled it out to smaller
nobles. The land was worked entirely by serfs who were bound to the land and in the
strictest stage of feudalism could not leave it. The serfs worked the nobles’ land in
exchange for protection and the aristocrats gave them as soldiers to the sovereign in the
event of a war. This system functioned well for centuries following the collapse of central
Roman authority. The Church had taken a lot of power because at that time it was the
only remaining central authority that could transcend both ethnic and linguistic barriers.
Thus, the Church had a privileged position and had the right to demand tribute from
sovereigns and tithes from nobles as well as serfs.
Medieval society was divided into three “estates” or classes. The First Estate
was the clergy, “those who pray”. The Second estate was the aristocracy both landed and
unlanded, “those who fight.” The Third Estate was made up of the peasants and serfs,
“those who work,” who made up ninety percent of the populace (Bisson, pp.144-145).
The estates, which had long comprised the structure of medieval society, are reflected in
the Canterbury Tales. There are three pilgrims that represent the ideal of each estate: the
Parson, the Knight and the Plowman. All three of these figures in their behaviors
represent what characterizes the perfect class system of medieval society. None of these
figures is very well defined; they are very generalized because they are meant to stand for
the three orders of society (Saul, p.45). In the General Prologue, Chaucer as the narrator
says that it is important to report on the “condicioun” and “degree” (37-49) of each of his
fellow pilgrims. He goes even further in emphasizing their station when he apologizes for
not having “set folk in hir degree” and states that it is because “my wit is short, ye may
wel understonde”(744-746). It is disputed whether this passage is an example of the
traditional modesty expressed by medieval writers or if he is implying that only a very
intelligent person could “ reproduce the degree of all the pilgrims without error” (Knapp,
p. 13). This statement also suggests that the social hierarchy was so ingrained in
Chaucer’s England that readers might possibly notice mistakes made in the order of the
pilgrims’ social standing (Knapp p.13). In the extremely class-conscious and tumultuous
54
�world of late medieval England, people were very interested in status, lineage and values.
The estates theory is but one of many ideas that characterized what it is that made
someone “gentle” or “noble.” The dominant ideal, though, was that espoused by the
second estate or aristocracy, which centered on the values of chivalry backed up by noble
lineage. This vision of gentility is expressed by Chaucer’s Knight in his rather
longwinded tale about Arcite and his brother Palmoun (Rosenthal p.21).
The Second Estate dominated the Feudal mode of production, although at times
it was overshadowed by the influence of the clergy. Aristocratic influence in English
society would remain (although diminished) into the early twentieth century. In feudal
times, though, the aristocracy was in control and after the Magna Carta their influence
only grew. The central ruling ideal of the nobility was the code of Chivalry, which was
supposed to be practiced only by members of the noble class. The code of Chivalry is
often not understood by modern readers, who have conceived of it as a pattern of
elaborate ritual and pageantry in which honorable knights compete for the love a lady
through their exaggerated feats in battle and in their war-games, as portrayed in medieval
literature (Bowden, p.17). In theory, chivalry was a moral code that was based on decent
behavior, but until after the First Crusade it was not really put into practice very much
(Bowden, p.18). The chivalric knight was supposed to spend his time fighting in wars
against “heathens” and not against other Christians. Also important is the emphasis put
on honor, particularly on keeping chivalric oaths. In the twelfth and thirteenth centuries
the courtly love aspect came into play. This was due to a number of factors including the
rise of war games and the cessation of long drawn out warfare (Bowden, p.19). These
factors coupled with a more prosperous and stable society as a whole, allowed courtly
love to take hold among aristocrats. In order for knights not to remain idle, they began to
engage in jousts, during which men and women sat together as spectators. With that, the
activity of courtship merged somewhat with the sport of jousting. The knights no longer
just fought for themselves, but for the honor of women for whom they acted as servants
in all things. Critics disagree as to whether courtly love had as large a role as appears in
medieval literature. According to Muriel Bowden “ love affairs grew to be as important
as the fighting for Church and state”(p.19). Courtly love gradually worked its way into
the expectations of what was to be considered gentle behavior, but it was never formally
a part of the chivalric code.
The aristocratic notion of gentility was based on two key attributes, lineage and
virtue. A person’s parentage was held to be the essential prerequisite for being gentle.
Two main theorists on this topic were Oliver de la Marche and Beaumanoir, who both
believed that aristocratic lineage was absolutely necessary in order for one to be
considered gentle (Saul, p.41). De la Marche states that “ the gentleman is he who of old
springs from gentlemen and gentlewomen and such men and their posterity by marriage
55
�are gentle” (Saul, p.41). He did believe that lineage was necessary, but to be truly gentle
one also had to behave in a virtuous way. Therefore someone with good lineage could be
considered churlish based on his or her behavior. The fourteenth-century jurist
Beaumanoir, in contrast, believed that “lineage was a consequence of virtue” because the
ruling class was made up of the descendants of those people who after the fall were most
fit to look out for the majority because of their intellect, strength and fairness (Saul,
p.42). He believed that all nobility came from God, who had chosen their ancestors for
their virtue and let them rule.
These arguments, though, never held up very well under the intense logical
scrutiny they were given. Many theorists thought that it was ridiculous to try to make
lineage mutually compatible with virtue. As Nigel Saul says, “virtue was an individual
quality whereas birth was a hereditary attribute with which even those without virtue
might be endowed”(p.42). Many clerical writers took this idea even further, believing
that nobility of the body amounted to little more than a “sack of filth,” since lineage came
about through an “unclean and shameful act of the parents”; therefore, the aristocracy’s
nobility could really only be considered “carnal nobility”(Saul, p.42). The clerics
believed that nobility had to be earned through a person’s actions, not just the deeds of
their ancestors. Ironically, although not surprisingly, clerics considered themselves to be
the “true nobility,” because they had exercised their minds, and mastered the art of
reason. Therefore it was not the pleasure-loving aristocrats who were naturally virtuous,
but the intellectual clerics. These ideas were not well received among the aristocrats and
as Nigel Saul says they “prized the ‘true nobility’ hardly as much as an apple” (p.42).
Chaucer wrote on this subject and tried to reconcile the two ideals, but believed
that nobility does not guarantee virtue. In his poem “Gentilesse” he sees gentility as a
“personal, not hereditary quality…whose ultimate source was Christ” (Saul, p.43). His
writings allowed an opening in the social fabric by which members of the bourgeoisie
could be considered as gentle as aristocrats.
In the General Prologue of the Canterbury Tales Chaucer does attempt to merge
the two ideals in the character of his “verray parfit gentil Knyght” (l. 72). The Knight is
of aristocratic lineage but he also loves “chivalrie, trouthe and honour, fredom and
courtesie” (GP line 73). Some scholars hold the Knight to be Chaucer’s way of showing
that lineage can mean the upholding of virtue. The Knight has fought in many battles,
primarily against “heathen countries,” in accordance with Pope Urban’s decree of 1067
that knights should only fight against enemies of the Church (Bowden, p.21). The Knight
is also modest in both his dress and his bearing, leading many critics to believe that he
represents Chaucer’s chivalric ideal. Many critics think that through the Knight he is
showing that lineage can be consistent with virtue, but that it will not necessarily
guarantee it. In Chaucer’s time, though, Chivalry was becoming a thing of the past, as the
56
�changing economic situation as well as the brutality of the “chivalrous” knights in the
later Crusades and the Hundred Years War led to its decline.
The changes in the depictions of class in Chaucer’s writings reflect the
revolutionary changes that were affecting England in his life time. In this new economy
surplus wealth was not consumed or hoarded but invested as capital in the hopes of
realizing even more capital. This allowed for increased social mobility as land-based
wealth was put into competition with trade-based wealth (Bisson, p.165). The
commercial revolution would change every sector of English life as, in the words of
Patterson, “ values, education, administration and exchange all underwent drastic
transformation” (p. 167). Many critics feel that Chaucer is a distinctly bourgeois writer
and that the Canterbury Tales is a bourgeois production (Patterson, pp.322-323). Chaucer
does give a large space to “that middle range of society that could not be accommodated
to either of the prevailing social models, neither the implicit binary division of society
into ‘gentils’ and ‘churls’ nor the traditional ternary model prescribed by the estates
theory”(Patterson, p. 323).
The majority of Chaucer’s pilgrims cannot easily be fitted into the estates theory
and, moreover, many of them seem to have little use for the landed elite with their value
system of gentilesse. Most of the pilgrims are defined by their occupations and find the
traditional feudal ideas of community as well as the commitment to “common profit” to
be totally out of place in their way of life. Instead, they are concerned solely with the
exchange of commodities. Among these characters are the Guildsmen, the Wife of Bath
and the Merchant. They all exemplify various aspects of bourgeois culture, in that they
are concerned with commerce, they espouse individualism, and yet they are attempting to
ape the aristocracy in their fine dress. None of them is considered gentle and only the
Wife is willing to admit that fact to the world. In this way Chaucer avoids using wealth to
define the essence of gentility, which was right in line with the thinking of his time
period. The Knight is either not wealthy or very modest, particularly when compared to
the ostentatious Wife of Bath and the well-dressed Merchant. While Chaucer does
express many bourgeois ideals, it is hard to see him as really being bourgeois. He does
not always find bourgeois activities to be ideal, and in The Rime of Sir Thopas and the
Shipman’s Tale many critics feel he is critical of bourgeois characters obsessed with
money and appearance. In addition, he is critical of bourgeois characters involved in
unseemly activities like the Merchant’s possible usury and illegal monetary exchange. In
other tales, though, he more clearly embraces the bourgeois definitions of gentility and
identifies them with characters who can be seen as gentle despite their lineage, because
they uphold virtue. The Franklin’s Tale and Wife of Bath’s Tale in particular are works in
which he conveys bourgeois ideals.
57
�The Wife of Bath, in her pilgrim portrait, Prologue, and Tale, is considered to be
among Chaucer’s more prominent characters to explore notions of class and gentility.
Many critics have seen the pilgrim Wife of Bath not as a feminist, but as a quintessential
representative of the new English bourgeoisie (Finke, pp.172-173). In the General
Prologue she is said to be a cloth-maker, working in the industry that would lead
England to its economic power in the world after having been a backwater for many
years. Many critics have seen the wife as a true capitalist, the owner of a large wool
workshop that was financed by her first three husbands’ money (Finke, pp.175-176).
Others just consider her to be a simple cloth maker who is particularly skilled at tailoring.
In her prologue, the wife is extremely focused on exchange and commodities and often
speaks in terms of profit/loss, particularly in relation to the institution of marriage. She
says her first three husbands “had me yiven hir lond and hir tresoor” in exchange for her
body. Each of the first three husbands does this and then dies, his purpose to the wife
having been served (Finke, p.177). None of these marriages seem to have resulted in any
children, leading some to believe that this represents the barrenness of her life, which is
solely concerned with profit: “alle is for to selle”(Finke, p.171).
The Wife’s tale itself is supposed to be about female dominance in the
institution of marriage, but this theme is completely overshadowed by the question of
what makes someone virtuous: lineage or actions. The Tale begins with a knight of good
lineage and wealth, one whom de la Marche would consider to have “gentilesse.” Yet this
knight while returning from hunting commits an act of rape and is sentenced to death. He
can save his life if he can answer one question that seems to have no definite answer. He
finally meets an ugly old peasant woman who tells him the correct answer in exchange
for his knightly vow to give her whatever she wants. He answers the question--what do
women most want?--with the reply, sovereignty in marriage. His life is spared, but at the
last moment the old peasant woman comes forth and demands he keep his chivalric vow
and marry her. With no other choice before him, he retires to bed with his new wife. The,
old woman, wondering why he fails to perform his husbandly duties, asks her husband
what is wrong. He responds, “though art so loathly, so oold also, And thereto comen of so
lough a kynde [lineage]”(WBT 1100-1101). The old woman then launches into a long
speech about how gentillese is the property of those who “lyven virtuously and weyve
synne,” not those “descended from old richesse””(WBT, 1176). She also tells him that
“vileynes synful dedes maketh a churl,” which reminds us of the rape for which he went
largely unpunished. In this way the aristocratic conditions for virtue are thrown away, as
Chaucer’s middle class ones are ushered in. This is seen by some critics as the first real
sign of the new capitalist class asserting what will come to be its cultural ideology in its
early stages. In our time the ideas set forth in the wife’s story are extremely clichéd
(Finke, p.184), but Marx saw them as the beginning of the ruling ideology that made
58
�bourgeois dominance legitimate (Capital, p.873). In the end of the tale the old woman
turns herself into a beautiful young lady in exchange for dominance in the marriage. The
knight, of course, no longer cares about her class position once she becomes beautiful as
well as young, and they live happily ever after in what is a very unbelievable, yet
Chaucerian ending.
Within this tale Chaucer expresses his ideal of what determines gentility: a
person’s deeds and not his lineage or material wealth. In fact, he reflects the middle class
attitude toward the aristocracy of his time in the depiction of the knight who considers
himself gentle but rapes maidens by the river. The aristocracy was seen in a bad light by
the middle class because of both their influence in the government and their idleness.
The idea of gentility does not concern the pilgrim Wife of Bath very much, but her
arguments do reflect her bourgeois status, which she proclaims as much as if not more
than any of the other characters within the Canterbury Tales. The redefinition of
gentillesse was very important to the middle class, who wanted to believe that they could
be as virtuous as any of the traditional feudal classes, despite their non-traditional
occupations.
The Franklin’s Tale is quite different from the Wife of Bath’s Tale, reflecting the
personality of the pilgrim who tells it. As Nigel Saul says, the Franklin is the one pilgrim
whose position in the pecking order is open to question. The Franklin has an extensive
record of office holding and service to his county: “ At sessions ther was he lord and
sire,/ Ful often tyme he was Knyght of the shire”(General Prologue 355-356). Yet this
would have been the exception, not the rule for one of his status, because the Franklin
class was just coming into its own at the time of Chaucer’s death. Thus, this passage is
more of a statement of that groups’ aspirations than of their actual accomplishments
(Saul, p.46). He is also a very generous man who gives large banquets to locals in a true
lordly manner. The Franklin himself appears to be doing all that he can to appear gentle,
and yet that striving makes him look all the more bourgeois. Franklins were not of noble
birth and many of them were sons of the wealthy bourgeoisie who had settled in the
country with their inheritances. The real class origins of the Franklin in the Canterbury
Tales is not known but can be inferred from complaints he makes about his son to the
Squire, before he tells his tale: “ And he hath levere talken with a page/ Than to
commune with any gentil wight/ Where he myhgte lerne gentillesse aright” (Saul, p.47).
The Franklin, according to Saul, is so “preoccupied with gentility because he does not see
himself as possessing it on the grounds of rank or inherited wealth and sees his son
squandering any chance of possessing it by manner of life”(Saul, p.47). The Franklin sees
his son as the only chance for his lineage to gain fully the gentillesse that has eluded him
despite his success.
59
�The Franklin’s Tale itself is a real reflection of his aristocratic ambitions, yet
his middle class origins remain evident within it. The tale is the fourth one in the socalled marriage group and, as in the Wife of Bath’s Tale, the marriage theme is
overshadowed by the class questions within it. The tale is the story of a chivalric knight
Arveragus who marries a woman named Dorigen. He goes off campaigning in England
and his wife remains at home in Brittany. A squire Aurelius has in the meantime fallen in
love with Dorigen. She rashly promises to become his lover (as a joke) if he can remove
the large rocks on the Brittany coast that could be a threat to her husband’s safe return.
Aurelius contacts a magician who could possibly be of help in removing the rocks. The
magician is the most bourgeois of all the characters in this tale; he is very concerned with
the price and with the exact area from which he will make the rocks disappear. The
magician demands a thousand pounds for his services, which Aurelius rashly promises to
him, for removing the rocks “of Britayne/ And eek from Gerounde to the mouth of
Sayne” (FT lines 1221-1222). The magician reflects the personality of a merchant more
than the intellectual clerk he is supposed to be. The magician removes the rocks and
Dorigen is forced to either break her oath or dishonor her husband. Instead of making the
decision herself, she goes to her husband Arveragus and confesses what she has done. He
advises that she keep her vow to the squire because he feels that “trouthe is the highest
thing a man may kepe” (FT l. 1481). It is more important to Arveragus that his wife be
faithful to a promise than uphold her outward honor (Saul, p.47). Dorigen goes to
Aurelius and tells him her husband is forcing her to keep her oath, and in an act of true
“gentillesse” he lets her go from the oath. Then he has to deal with the debt to the very
commerce-minded magician. He vows that he will honor his chivalric oath and pay the
debt in installments. He goes to the magician with only half of the money and tells him
the entire long complicated story. The magician is sympathetic and in an act of true
“gentillesse” he releases the squire from his debt to him. The knight and squire thus both
act in a very gentle way, and, more surprisingly, so does the exchange-minded clerk. The
question posed to the reader at the end is who is most generous--the knight, the squire, or
the middle class magician who rises to aristocratic behavior. This tale is yet again a
vehicle for Chaucer to convey his ideas that gentility is not a quality that is dependent on
birth, but is acquired through actions and manners (Saul, p.47). This ending truly fits the
Franklin, who shows that not only can those of aristocratic lineage be virtuous, but so can
those of humbler origins. It is particularly important to a man who is lacking in high birth
to believe he can still lead a virtuous life. It was probably important to Chaucer, himself
of entirely middle class origins, that his own gentility be measured by something other
than lineage (Saul, p.48).
The middle class of Chaucer’s England was many things--productive, greedy,
ambitious, and, at times, virtuous. In the attempts by medieval writers to define gentility
60
�independent of lineage, we can truly understand the needs of this class for the legitimacy
that Chaucer’s works in particular would give them. In Chaucer’s view the members of
the new bourgeoisie were able to rise above old standards and assert their growing
position in the tottering feudal society. These ideas would become the core of bourgeois
ideology that is still predominates in most Western nations to this day. In our time, and
especially in America, we see that birth does not guarantee a thing about a person and
that virtue is a quality that is totally independent of both wealth and birth. That Chaucer
recognized this fact more than five hundred years ago in highly stratified medieval
England shows how ahead of his time he truly was.
Bibliography
Bisson, Lillian. Chaucer and the Late Medieval World. New York: St. Martin’s, 1998.
Bowden, Muriel. A Reader’s Guide to Geoffrey Chaucer. New York: Octagon Books,
1971.
Chaucer, Geoffrey. The Canterbury Tales Complete. Ed. Larry D. Benson. New York:
Houghton Mifflin, 2000.
Finke, Laurie. “`All is for to selle’: Breeding Capital in the Wife of Bath’s Prologue and
Tale.” Geoffrey Chaucer, The Wife of Bath. Ed. Peter Beidler. New York:
Bedford Books, 1996, pp. 171-88.
Knapp, Peggy. Chaucer and the Social Contest. New York: Routledge, 1989.
Marx, Karl. “From Capital.” In The Marx-Engels Reader. Ed. Robert Tucker. New York:
Norton, 1978, pp. 294-438.
Patterson, Lee. Chaucer and the Subject of History. Madison: University of Wisconsin
Press, 1991.
Rosenthal, Joel. Nobles and the Noble Life. London: George Allen, 1976.
Saul, Nigel. “Chaucer and Gentility.” Chaucer’s England: Literature in Historical
Context. Ed. Barbara Hanawalt. Minneapolis: University of Minnesota Press, 1997,
pp. 41-55.
61
�The Role of ESS1 inTranscription Elongation
Anne Rossettini
I. Introduction
Recombinant DNA technology would not be possible without the ability to
manipulate some important microorganisms. Two organisms regularly used in the lab are
Escherichia coli and Saccharomyces cerevisiae. E. coli’s gene regulation via promoters
are well understood, and there are many high expression vectors available. E. coli is also
easy to culture on a large scale and analyzed genetically. E.coli can be used as an
expression system used to produce proteins such as hormones, antibiotics, and enzymes
(1). Many early advances in genetic engineering came from E. coli. Some medicinal
purposes of E. coli are the production of human insulin and human somatotrophin. The
significance of using E. coli to produce proteins is that before the genetic engineering of
these genes for these proteins, they were isolated from animals (eg sheep and cow).
Proteins isolated from animals were problematic because animal diseases were being
passed to humans. Also, many had allergic reactions to the animal products. The
engineered proteins are, in a sense, pure. E. coli offers the greatest advantage of
producing high levels of expression because there are many different constructs available
with strong regulatable promoters that control both gene expression and copy number.
E. coli is widely used to study prokaryotic genetics, but for eukaryotic genetics,
E. coli is not the optimal organism to study. Even though the overall biochemistry is
similar, prokaryotes lack many functions common to eukaryotes, such as localization of
ATP-generating systems to mitochondria, association of DNA with histones, and mitosis
and meiosis (1). Because of this need for the genetic control of such functions to be
assessed in a eukaryotic environment, S. cerevisiae has become very important.
Saccharomyces cerevisiae is commonly known as brewer’s and baker’s yeast. It is easy
to culture, glycosylates proteins, and, just as E. coli is being used for the production of
human proteins, S. cerevisiae is already being used as an expression vector to produce
human serum albumin, which is useful in plasma replacement therapy, and hepatitis B
surface antigens for vaccinations (1). Eukaryotic DNA sequence analysis has been
facilitated by the ease with which eukaryotic DNA can be cloned into prokaryotes. These
62
�sequences can be obtained in large amounts easily and altered by bacterial genetic
techniques. To determine if these induced changes have any effect on the expression and
function of the gene, the sequences must be taken out of the bacteria and reintroduced
into a eukaryote, such as yeast.
The yeast genome, which is 12057 kb, contains 16 chromosomes with an
estimated 6,000 genes. It was completely sequenced in 1996 by an international scientific
effort. This was the first genetic blueprint of any organism to be sequenced that was so
closely related to humans.
One of the genes in S. cerevisiae, ESS1, is an essential yeast gene. ESS1 plays an
important role in transcription elongation. It is a positive regulator of RNA polymerase II.
Loss of function mutations in ESS1 will cause mitotic arrest in yeast cells. The
importance of ESS1 is understood by the discovery of homologs in Drosophila, dodo (2),
and humans, Pin1 (3). The amino acid sequence between these homologs is very similar,
ESS1/Dodo are 48% identical and ESS1/Pin1 are 46% identical (Figure 1). To fully
understand how ESS1 works, it is helpful to first look at the bigger picture into which it
plays a part, the cell cycle.
II. Results
Cell Cycle in Yeast
Asexual reproduction is one way a new individual can develop from a single
cell. Yeast are single-celled eukaryotes and will reproduce in this fashion by replicating
their genetic material and then dividing, creating two genetically identical cells. The cell
cycle is divided into two phases: mitotic phase and interphase. There are three stages that
make up interphase: presynthesis or gap 1(G1), synthesis (S), and postsynthesis or gap 2
(G2). In G1, the cells are preparing for DNA replication, which will occur in S. A major
checkpoint in G1 that determines whether the cell is able to continue into S is known as
the START phase in yeasts. The cells will remain in G1 until they have grown to a large
enough size and the environment is favorable. The cells then go through S, DNA
replication, on their way to G2. The G2 checkpoint occurs between G2 and mitosis (M).
Unless the cell is big enough, the environmental conditions are favorable, and all the
DNA has been replicated, the cell is unable to begin mitosis. A third checkpoint is during
M. To proceed with chromatid separation, all the chromosomes must attach properly to
the mitotic spindle (Figure 7).
Cyclins and enzymes known as cyclin-dependent kinases (Cdks) are key
components that are involved in the regulatory events that occur at each checkpoint. In
yeast, a single molecule of Cdk, CDC28, will function at both the G1 and G2 checkpoints
(4). Cells defective for CDC28 are incapable of activating the complexes to initiate DNA
63
�replication. At START, the CDC28 kinase is activated by G1 cyclins binding to it. The
Cdk phosphorylates key proteins that are necessary to continue onto S. Once the CDC28
is activated, the cyclin levels are reduced as a result of proteolysis. A similar process
occurs at the G2 checkpoint. The cell’s exit from mitosis, at the M checkpoint, depends
on the activation of the anaphase-promoting complex (APC). The activity of the APC
depends on its interaction with the Hct1 protein. Active CDC28 will inhibit the transition
into G1 by phosphorylating Hct1. The Hct1-dependent APC activity is necessary in
budding yeast for the degradation of the mitotic cyclins. This degradation causes a
sudden drop in the protein kinase activity of CDC28, allowing the cells to exit mitosis.
This acts as a positive feedback loop. Once Hct1 is de-phosphorylated, the APC is
activated, reducing the activity of CDC28, driving the cell into G1 (5).
Both haploid and diploid yeast cells can exit. The haploid cells are a result of
budding and the diploid cells are a result of mating (sexual reproduction). Two mating
types occur in the life cycle of Saccharomyces cerevisiae, a and a (Figure 2). Parental
cells will reproduce mitotically by budding, giving rise to new haploid cells. A haploid
cell from each mating type will fuse together forming a diploid cell. Diploid cells
containing both a and a cells sporulate (go through meiosis) to produce an ascus. It
contains four haploid meiotic products (each called an ascospore) of a diploid cell.
Within this ascus are two ascospores of each mating type a and a. The ascospores are
released when the ascus is ripe and they germinate to produce haploid cells. A diploid
zygote forms from the fusion of an a ascospore and an a ascospore. It then undergoes
meiosis to form an ascus, starting the cycle all over again (4).
Transcription in cell cycle
There are many important proteins involved in the cell cycle, such as the APC
and Hct1. These proteins are made by transcribing the DNA if a target gene and then
translating it. If any essential proteins are missing, the cell will arrest. Transcription is the
transfer of information from a double-stranded DNA molecule to a single-stranded RNA
molecule. Transcription consists of four steps: preinitiation, initiation, elongation, and
termination. Regulation of transcription can occur at each one of these steps and each
step can be rate limiting . In preinitiation, RNA Polymerase II (RNA pol II) is recruited to
the promoter and assembled into the preinitiation complex. Initiation starts when this
complex catalyzes the synthesis and release of short RNA transcripts after release from
the promoter. It takes on an elongation-competent form at the start of the third step,
elongation. The fourth step is the release of the full length transcript and the dissociation
of the polymerase from the template DNA. This results in the termination of
transcription.
64
�The transition from initiation to elongation involves a breaking of the ties to the
promoter and other initiation factors (6). The transition of RNA pol II into the elongation
stage involves the phosphorylation of the carboxy-terminal domain (CTD) of the
polymerase (7). When the elongation phase ends, the polymerase releases the transcript
and dissociates from the DNA template. The general rate of transcription elongation in
yeast is greater than 20 nt sec-1 (8).
There are basic features of transcription elongation that are conserved among all
DNA- dependent polymerases. These include the requirements of a promoter region, a
region of DNA template that is single-stranded, and an RNA polymerase (9). For the
elongation complex to complete RNA synthesis, the DNA template is melted within the
polymerase, also known as the transcription bubble. Within this region is the catalytic site
of the polymerase. At either end of the bubble the DNA is being unwound and then
reannealed (Figure 3). All of these events are passive, requiring no energy expenditure,
resulting from the structural aspects of RNA pol II (9).
Transcription elongation is a dynamic process that does not occur at a constant
rate (10). Throughout the elongation stage, RNA polymerase may encounter elongation
blocks of three kinds; pauses, arrests, and termination. Transcription pauses are when the
RNA synthesis stops for a finite period of time before resuming. Transcription arrests are
when the polymerase is unable to efficiently resume transcript synthesis without the use
of accessory factors. Transcript termination is when the polymerase stops synthesis and
cannot continue. RNA pol II can convert from the paused complex to the arrested state in
a time dependent manner (11). This formation to the arrested state is kinetically
determined; a competitive process determining whether to stay paused or stop
completely. The eukaryotic protein TFIIS has been shown to allow complexes to resume
elongation after arresting, illustrating its importance in elongation (12).
RNA polymerase II contains multiple subunits. Mutations in the large subunit of
RNA pol II in Saccharomyces cerevisiae are suppressed by the overproduction of the
TFIIS protein (13). TFIIS is a eukaryotic elongation stimulating factor. Disruptions of
the gene encoding this protein renders Saccharomyces cerevisiae hypersensitive to 6
azauricil, a drug that interferes with nucleotide biosynthesis and reduces endogenous
pools of GTP and UTP (14). At lower nucleotide concentrations, polymerases stall and
arrest more often during elongation. If the same thing happens when GTP is reduced, it
shows the cells have a need for a read through stimulus factor like TFIIS to synthesize
transcripts effectively for survival (14).
RNA Polymerase II
RNA polymerase is the enzyme that catalyzes the transcription elongation
process. Its multiple subunits provide targets for the myriad of elongation controls.
65
�Modifications to some of these subunits might directly alter the elongation properties of
RNA polymerase. Phosphorylation of the largest subunit of RNA pol II was shown to
directly affect the elongation reaction of the enzyme (7). This particular subunit contains
a unique but highly conserved structure at the carboxyl terminus. The CTD consists of a
heptapeptide Tyr-Ser-Pro-Thr-Ser-Pro-Ser repeated numerous times, 26-27 times in yeast
(15). This peptide sequence is essential for survival and is highly phosphorylated at the
Ser, Thr, and Tyr residues (7). Proline is a five-member ring that wraps back around onto
the amino acid chain, disrupting normal conformation. This CTD is unique to RNA pol II
and plays a very important role in transcription. A polymerase containing an
unphosphorylated form of the subunit is preferentially recruited to the promoter. At the
transition stage to elongation, however, the CTD becomes highly phosphorylated. This
phosphorylation allows for a higher efficiency in carrying out elongation (9).
ESS1
ESS1 encodes a peptidyl prolyl isomerase (PPIase) that catalyzes the cis/trans
conformation of the peptide bond preceding prolines. This protein contains an N-terminal
WW domain, a C-terminal PPIase domain, and a short linker region joining the two
domains (2).
The WW domain is about 40 amino acids long and is characterized by two
invariantly positioned tryptophans. This domain folds into three tightly packed antiparallel b strands that bind proline rich sequences (16). WW domains are found in many
proteins of various functions. They mediate interactions between proteins (17). The WW
domain of Ess1 recognizes phosphorylated serines or threonines that precede proline
(17). This phosphorylation increases the rate of isomerization by a 200-1000 fold. The
PPIase domain catalyzes the enzymatic reaction of the isomerization of a peptide linkage.
This domain’s structure consists of four strands of anti-parallel b sheets flanked on either
side by a helicies (19).
Until recently, there were only two families of PPIases, the cyclophilins and the
FK506-binding proteins (FKBPs). There are eight cyclophilins and four FKBPs that bind
to cyclosporin A, FK506, and rapamycin to mediate their immunosuppressive and toxic
effects, but the physiological functions of these proteins are largely unknown (20). These
two families are identified as cellular targets of immunosuppressive drugs (21). Viable
yeast mutant cells lacking all 12 immunophilins show that neither the cyclophilins nor the
FKBPs are essential for growth (21). Ess1 belongs to the recently found parvulin family
of PPIases. The parvulins are distinct in structure and function from the other two PPIase
families. Parvulins are not inhibited by immunosuppressive drugs and they do not bind to
either cyclosporin A or FK506 (22). Ess1 is the only parvulin in yeast. It is not inhibited
66
�by the immunosuppressive drugs and there is no protein sequence homology to either the
cyclophilins or the FKBPs.
ESS1 was originally proposed as a mitotic regulator for several reasons. Mitotic
phenotypes were displayed by ess1 mutant cells (23). Loss of function mutations caused
the cell to arrest in mitosis, noted by the accumulation of large budded cells. Further
study revealed fragmented nuclear DNA in these arrested cells.
To identify proteins involved in the ESS1 pathway, there was a pursuit for yeast
genes that, when present on multi-copy plasmids, would suppress the lethal phenotype of
ess1ts mutants at 37°C. Six genes were identified; FCP1, YMR263W, YKL005C, CTH1,
CPR1, CaRPB7. The latter four suppressed the complete deletion of ESS1. The
interesting thing about these genes is that they were not cell cycle regulators, but they
were important proteins for RNA pol II transcription and its regulation (24).
There is an observed interaction between Ess1 and the CTD (23). Ess1 was
shown to physically bind to the CTD using biochemical approaches such as affinity pull
downs and far western analysis. Binding was specific to the phosphorylated CTD. This
was primarily done through the WW domain of Ess1, which is sufficient enough for
binding (18). Based on genetic experiments done by C. Wilcox and X. Wu (24), it was
shown that Ess1 positively regulated RNA pol II. Since Ess1 interacts both genetically
and physically with RNA pol II, it is possible that it controls mitosis by controlling the
transcription of the genes required for cell cycle progression.
All of the multicopy suppressers isolated, save one, are components of a large
complex called a transcriptosome. This and the fact that Ess1 interacts with RNA pol II
leads to the model represented by Wu et al (2000) (Figure 4). In this model, Ess1
catalytically isomerizes the CTD of RNA pol II acting as a regulatory switch by altering
its structure. This will promote the binding or dissociation of CTD-binding proteins that
function in transcription. The Ess1/CTD interaction phosphorylates the serines in the
heptad repeat. This phosphorylation increases the affinity for the WW domain of Ess1 to
the CTD.
YKL005C
Although loss-of-function mutations of ESS1 cause lethality, there are point
mutations in ESS1 that cause yeast cells to be temperature sensitive (24). These cells are
able to grow at 21°C, but not at 37 °C (the normal permissive temperature of yeast).
YKL005C was the most commonly isolated multi-copy suppresser of ess1ts (Figure 5).
When YKL005C is overexpressed in ess1ts, the yeast cells are able to grow at the non
permissive temperature (37 °C) (Figure 6) (24).
The mechanism by which YKL005C rescues ess1ts mutants is studied for several
reasons. It is suggested that YKL005C compensates for most, if not all, of the mitotic
67
�defects in ess1ts mutants because it is the best suppresser. YKL005C is dispensable for
cell viability, making genetic approaches easy, and it is likely a bypass suppresser,
meaning there is less functional overlap between the ESS1 and YKL005C pathways and
therefore, fewer genes commonly regulated by both pathways (26).
The function of YKL005C is not yet known, but there are two non-overlapping
motifs within the protein that share similarities with other proteins of known functions, a
PHD finger and a TFIIS-like motif. The PHD finger is located at the N-terminus (amino
acids 216-402) and the TFIIS-like region is located at the C-terminus (amino acids 5311062). PHD fingers are cystine-rich motifs found in many proteins that are involved in
chromatin remodeling (25). The TFIIS-like region, which covers about one-third of the
gene, is an important transcription elongation factor (9). To understand the mechanism by
which YKL005C suppresses ess1ts mutations, it is important to find out which motifs are
required for suppression. In finding this out, constructs expressing deletion mutations of
YKL005C should be made and tested for suppression. In order to monitor the levels of
proteins being produced, the protein needed to be HA epitope tagged, so that when
treated with antibodies, the protein would be visible on a western blot. One such
mutation was completed. It contained YKL005C with a truncated C-terminus. This
mutation was unable to suppress ess1ts mutants indicating that the PHD finger alone is
not sufficient for suppression (25).
III. Conclusion
Two lines of evidence support the hypothesis that Ess1 regulates transcription
elongation. The first is that Ess1 interacts genetically and/or physically with the CTD of
RNA Pol II, which is important in every step of the transcription cycle including
elongation (24). The second line of evidence came with the isolation of YKL005C and its
sequence similarity to the elongation factor TFIIS. As a suppresser of the ess1ts mutants,
it also suggests that Ess1 regulates the elongation process.
Where do we go from here? S. cerevisiae is used in genetic research because it
has many homologies to human genes and it is easy to manipulate. The study of ESS1
has the potential for a two fold purpose. By understanding the mechanism for
transcription regulation, it is possible to begin to understand how to either stop a cell
from multiplying or trigger it to constantly divide. This first applies to cancer cells. A
tumor or tissue mass occurs when a cell reproduces without constraints. The cell loses its
ability to stop replicating. Any number of mutations could be responsible for creating a
cancer gene. By understanding the mechanisms for transcription, which is necessary for
cell growth, it may be possible in the future to induce cell arrest. The second application
is to combating yeast that cause diseases in humans (eg Candida albacans). Knowing the
68
�mechanisms for ESS1 and its mutant suppressers could lead to the engineering of certain
drugs that could stop the growth of the harmful yeast.
IV. Acknowledgments
I would like to thank Steve Hanes and Xiaoyun Wu for their guidance and never ending
patience, thanks to everyone in the Hanes Lab, and to my RFT for their ever helpful
criticisms.
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69
�22.
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X. Wu, unpublished data.
Figure 1: A) Homology of ESS1 to Drosophila and humans B) Amino acid sequence of
the conserved gene. The two boxed areas are the WW domain and the PPIase domain
(21).
70
�Figure 2: S. cerievisiae life cycle — mitosis and meiosis (4) page 170.
Figure 3: Transcription elongation. The DNA double helix is denatured by the RNA pol.
It then catalyzes the synthesis of the single-stranded RNA chain (4) pg. 381.
71
�Figure 4: Ess1 binds and isomerizes the phosphorylated CTD of RNA pol II, acting as a
regulatory switch. Changing the three-dimensional structure of the CTD alters the affinity
of protein CTD interactions (21).
Figure 5: YKL005C and its domains. Green is N-terminus and red is the C-terminus.
72
�Figure 6: Overexpression of YKL005C (plasmid) will suppress mutant phenotype and
allow the cells to grow at the nonpermissive temperature.
Figure 7: Simple model of the cell cycle.
73
�From Vision to Reality:
Development of a Utopia in Parable of the Sower
Emily Dillon
When the clock struck midnight on January 1, 2000, most people rang in the
year just like any other. There were no violent riots or burning infernos or any kind of
mass destruction that brought an end to life on this planet as it is known. Now, two years
into the new millennium, most people’s fears and anxiety about the coming of the
apocalypse have subsided. But, what if “The End” was not really that far away? Octavia
Butler’s novel The Parable of the Sower, is set in the not-so-distant future (2024-2027)
and warns of the harsh earthly reality that could be lurking right around the corner if
mankind neglects to shape-up and improve treatment of the environment as well as
treatment of each other. The most important point of the novel, though, was to show how
the protagonist Lauren Olamina, a teenage African-American girl, rose from the rubble of
the life that had crumbled around her and successfully planted the seeds of a new
community; one based on trust, cooperation, and her own developing religion.
To find inspiration for the novel’s setting, Butler had to look no farther than the
closest newspaper. Drawing from the problems plaguing society today – global warming,
drought, drugs, and gangs, to name a few – Butler wrote Parable of the Sower in what has
been called the “if-this-goes-on category” (See 4). Placing only thirty years between the
time she wrote the book and the years in which the story takes place, she created for
readers “a shock of familiarity rather than estrangement” (Dubey 3). Lauren’s hometown
of Robledo, is small southern Californian community separated by walls from the horrors
of a disintegrating society. “The world is in horrible shape right now,” Lauren remarks in
one of her diary entries (Butler 75). Only out of absolute necessity do people venture
beyond the safety of the walls. Outside, people are starving and violent crimes are the
norm. It is a time when clean water is a rare and expensive commodity, and those not
shielded by partitioned cites are dying to break through and ravage those who are. “What
does it mean when you’re damned lucky to live in a cul-de-sac with a wall around it?”
she wonders, “It’s like an island surrounded by sharks … our land sharks are on their way
74
�in. It’s just a matter of how long it takes them to get hungry enough” (Butler 73 and 44).
The constant widening of the gap between the “haves” and “have-nots” leaves those not
protected by walled communities clawing at the gates. Many people on the outside are
“desperate or crazy or both. That’s enough to make anyone dangerous” (Butler 9).
Lauren, though only fifteen at the beginning of the novel, is smart and mature
enough to recognize the warning signs. She knew that her sheltered life in Robledo would
not last forever, so she began to prepare herself for the inevitable. First, she read
everything she could get her hands on. She wanted to learn how to live off the land
because she feared that eventually those skills would be necessary. Second, she prepared
“emergency kits,” stocked with the essentials: a change of clothes, shoes, a blanket, food,
matches, money, road maps, and most importantly, water, guns, and ammunition. In the
event of an emergency, this grab-and-go pack would help ensure her survival for at least
a few weeks until she could figure out what to do. Despite the logic behind Lauren’s
worries and preparation, no one wanted to listen; not her best friend, not even her father.
They were in denial. Octavia butler sees this “lack of foresight” as one of the worst
problems human beings have; “Educated people behave this way so they can keep their
jobs. Uneducated people do it by doing drugs and taking too much alcohol” (See 3). The
older people in Lauren’s community kept dreaming of the past and they way things used
to be, while the younger ones refused to admit that the situation could ever get worse. “I
intend to survive” (Butler 51), Lauren said, and thanks to her realism and preparation, she
was one of the few people who did.
During Lauren’s research and reading, she began to develop her own ideas of
religion and God, different from the ones by which her father, a Baptist minister, had
raised her:
A lot of people seem to believe in a big-daddy-God or a big-cop-God or a bigking-God. They believe in a kind of super-person. A few believe God is another
word for nature and nature turns out to mean just about anything they happen
not to understand or feel in control of. Some say God is a spirit, a force, and
ultimate reality. Ask seven different people what all that means and you’ll get
seven different answers. So what is God? Just another name for whatever makes
you feel special and protected? (Butler 13)
Lauren’s inquiries about her father’s religion led her to begin something new. As more of
a philosophy than a religion, Lauren started writing verses; reflections of what she saw
around her. “I’m not interested in being fancy or even original,” she said, “clarity and
truth will be plenty” (Butler 111). One day while working in the garden, Lauren had an
epiphany and finally realized what the name of her philosophy should be: Earthseed. She
had been “thinking about the way plants seed themselves … far away from their parent
plants. They have no ability at all to travel great distances … and yet they do … they
75
�don’t have to just sit in one place and wait to be wiped out” (Butler 68). Later, after
listening on the radio about new discoveries in space, Lauren realized that the destiny of
her Earthseed religion was “to take root among the stars” (Butler 75). Planet Earth was
going down the drain. Lauren’s main goal was to see Earthseed taken to planets in other
solar systems and used to found new lifestyles there. She knew this destiny could not be
fulfilled for many years, but it was a realistic goal that would bring people together: “my
heaven really exists, and you don’t have to die to reach it” (Butler 199). She believed that
the attainability of Earthseed’s objective would draw people toward the religion. With
one common aim for which to strive, they would unite to build the strong and harmonious
communities they were currently lacking.
Lauren’s opportunity to begin Earthseed came in July of 2027, sooner than she
had ever wanted or expected. A gang of street poor know as “paints” broke down the gate
of Robledo and caused Lauren’s wall of safety to come crashing to the ground. Lauren’s
entire family was killed, along with most other residents of Robledo. She was alone on
the outside for the first time in her life. The next day, she came across Zahra and Harry,
two people who had also managed to escape from the chaos of Robledo’s downfall. The
three decided they would set out together and trek north toward Canada, in search of a
better life.
Their journey was hardly a safe one. They were not the only group of people
using the decrepit California highway system to flee from the south. They walked along
the roads all day and crept off into the woods at night where they slept in shifts. There
were many dangers on the road, but most of all, they had to be cautious of other people.
They had to be ready to defend themselves at all times. Octavia Butler, herself, asserts
that “anything living, if it feels threatened will try to push the other thing out of the way”
(Mehaffy and Keating 59). She also states that “it delights people to find a reason to be
able to kick other people” (VISIONS). Many of the scavengers who lined the highways
were thieves and murderers just waiting for an opportunity to strike. They preyed on
those who were weak, so in order to survive, you could never let the slightest sign of pain
or problems show. This was a difficult task for Lauren who was tortured by a
hyperempathy disease which, at times, left her nearly crippled at the sight of other
people’s physical distresses.
Despite Lauren’s claim that “people stay alive…by being suspicious” (Butler
187), she became more trusting and willing to see the good in people. Throughout their
journey northward, they slowly gathered more and more people and eventually the group
of three became fourteen. As they all got to know one another, Lauren revealed all of the
beliefs and ideas that were Earthseed. Through many lengthy discussions and debates,
Earthseed’s concepts became acceptable to the entire group. When they reached a plot of
76
�land in northern California, owned by one of the group members, they decided to settle
and found the first Earthseed community.
Through her steadfast belief in Earthseed, Lauren drew others to the religion and
gradually, she became “the sower of new seeds” (Andreolle 5). She showed her new
friends how to rise above the madness in which they used to live, and work together
toward the common hope of a brighter tomorrow. Michael Oleska asserts that “the seed
always needs soil in which to grow – the gospel always needs a culture in which to be
planted” (Oleska 6). Once they were beyond the confines and chaos of southern
California, their new beliefs could flourish. “No one plants without expecting a harvest,”
Oleska states. Although it will take years to achieve the Destiny, Lauren founded Acorn,
the first Earthseed community, as the piloting step toward correcting the damage that
planet Earth’s endless turmoil had caused.
The people of Lauren’s group ranged in age from three years old to fifty-seven,
and consisted of several races from black, white, Hispanic, and Japanese, to many
combinations of the four. They all brought a different flavor. Madhu Dubey asserts that
“the sole purpose that unifies this group of diverse people is their shared resolve to move
toward a better future” (Dubey 7). One Earthseed verse reads: “Embrace diversity. Unite–
or be divided and robbed, ruled, killed by those who see you as prey. Embrace diversity
or be destroyed” (Butler 76). Robert Hughes declares that “Utopia has ever existed. It is
one of the enduring phantoms of the human mind…every time someone tries it, it fails”
(Hughes 1). But Lauren’s Utopia was centered on the ideas of change and diversity;
perhaps that is why it succeeded.
Works Cited
Andreolle, Donna Spalding. “Utopias of Old, Solutions for the New Millennium: A
Comparative Study of Christian Fundamentalism in M.K. Wren’s A Gift Upon
the Shore and Octavia Butler’s Parable of the Sower.” Utopian Studies 12.2
(2001): 20 Nov. 2002 < http://web7.
infotrac.galegroup.com/itw/infomark/99/574/ 26817424w7/purl=rcl_EAIM_0 ...
>.
Butler, Octavia E. Parable of the Sower. New York: Warner Books, 1993.
Dubey, Madhu. “Folk and Urban Communities in African- American Women’s Fiction:
Octavia Butler’s Parable of the Sower.” Studies in American Fiction 27.1
(1999): 20 Nov. 2002 < http://web7.
infotrac.galegroup.com/itw/infomark/99/574/268174
24w7purl=rcl_EAIM_0…>.
77
�Hughes, Robert. “The Phantom of Utopia: Geniuses, Crackpots, and Dictators Through
The Ages Have Pursued the Delusion of Human Perfectibility.” Time 156.19
(2000): 20 Nov. 2002 < http://web7.
infotrac.galegroup.com/itw/infomark/99/574/ 26817424w7/purl=rcl_EAIM_0 ...
>.
Mehaffy, Marilyn and AnaLouise Keating. “Radio Imagination: Octavia Butler on the
Poetics of Narrative Embodiment: Interviews.” MELUS 26.1 (2001): 25-76.
Oleska, Michael J. “Evangelism and Culture.” International Review of Mission 84
(1995): 20 Nov. 2002 < http://web7.
infotrac.galegroup.com/itw/infomark/99/574/ 26817424w7/purl=rcl_EAIM_0 ...
>.
See, Lisa. “Octavia E. Butler: In Her Science Fiction She Projects the Answers to
Society’s Ills.” Publishers Weekly 240.50 (1993): 20 Nov. 2002 <http://web7.
infotrac.galegroup.com/itw/infomark/99/574/26817424w7/purl=rcl_EAIM_0 ...
>
“VISIONS: IDENTITY; ‘We Tend to Do the Right Thing When We Get Scared’.” New
York Times 1 Jan. 2000: 21E.
78
�Homophobia: An Irrational Prejudice
Ed Pietrowski
Homophobia, in its most basic definition, is the fear of homosexuality and/or
homosexuals. However, many other definitions of this prejudice include phrases such as
"hatred toward" and "discriminate against." While the racial and sex prejudice barriers
have been knocked down, the wall separating homosexuals and society still remains.
Homophobia has become very widespread in today's society, and there are numerous
theories attempting to explain why this fear is so prevalent.
In an age when making racist or sexist remarks is forbidden, and worthy of
prosecution, many degrading comments are unconsciously made about homosexuals in
our society. It is not uncommon to hear one being ridiculed and called a "fag," "queer," or
"homo," simply because of their sexual preference. It is not uncommon for friends to
jokingly call each other by those derogatory terms. These words are used everyday, and
have taken their toll on the homosexual community. Often at times homosexuals cannot
handle the constant ridicule, the constant torture they receive from society.
This ignorance and discrimination is the source of many problems, the worst
being death, in our world today. A homosexual man or woman may not be hired for a job
simply because of their sexual preference. There is currently no legislation protecting the
rights of gays and lesbians in the United States. They do not have equal rights protecting
their housing, jobs, and public accommodations. Also gay couples do not receive equal
access to governmental benefits (http://www.bidstrup.com/marriage.htm).
Many homosexuals never come "out of the closet" because they fear the
treatment they will receive from society. Thousands of gay men and lesbians live in
constant fear from the ridicule, and thus end it by taking their own life. Beating and
hazing homosexuals is prevalent all around our country. There have been several cases in
which gay men were brutally beaten and killed. Homophobia is a major problem in our
society, and seemingly, nothing is being done to stop this prejudice (http://www.bidstrup.
com/phobia.htm).
79
�First, I would like to present several common so-called "reasons" for the
prejudice of homophobia. One explanation of this intolerance is that it is considered
acceptable because homosexuality is wrongly believed to be unnatural. This is perhaps
the most common example, but is inherently incorrect and unjust. In the animal kingdom,
nearly every known species has some homosexual activity. It is common for young, pregenital mammals to have homosexual experiences. Also if we look back on human
history, we see that homosexuality was practiced by one of the greatest civilizations
known, Ancient Greece. Homosexuality was not only condoned in their society, but it
was often promoted. Stories describing the Greek island of Lesbos show relationships
involving two females were common, and male-to-male relationships were documented
in Plato's Symposium. In nearly every culture spanning the earth there is evidence that
there is homosexual activity, and it is not frowned upon and discriminated against by
society. To say that homosexuality is unnatural is an irrational and incorrect assumption,
it is widespread in the animal kingdom, in history, and around the globe (http://www.emc
.maricopa.edu/diversity/glhra/mythfact.htm).
Another reason "justifying" homophobia comes from religious viewpoints.
Many Christians believe the bible condemns members of the same sex being involved
sexually. Also, in many religions, man and woman must have sex for reproductive
purposes. If sex is used for pleasure purposes, it is considered sinful activity. Since
homosexual relations are not for reproduction, this activity is immoral. Some Christians
feel homosexuality is a learned lifestyle, therefore god did not create it. Since god did not
create it, it must be sinful and immoral activity (http://www.reliqioustolerance.orq/hom
fuel.htm). These have been the most prominent religious arguments, and through their
viewpoint and beliefs, they are correct. These "reasons" blatantly prove the closemindedness and ignorance supported by many religions.
One more possible reason for homophobia is one's own fear of being a
homosexual. This usually occurs in individuals who are not secure in their sexuality. If
they are unsure about themselves, they may have homosexual tendencies. But since
homosexuality is perceived as wrong in society, they do not want to be that. They fear
being burnt at the stake simply because of their sexual preference (Kilmartin 226).
Often times, heterosexual men say they fear gay men hitting on them, but the
fact is that most gay men would never consider being with a straight man.
Why would they force themselves on an unwilling partner, when they can find a
meaningful relationship with another homosexual man? This fear of rape is another
irrational reason for homophobia. If a straight man is asked about homosexuality and
homosexual men, frequently the response is "I do not have a problem with them, as long
as they stay away from me." This shows the ignorance and arrogance of many straight
men, because most gay men wouldn't even consider them as possible partners. This also
80
�shows narcissism in males, thinking that forced sex with a straight man is preferred of
consenting sex with another gay man (http://www.emc.maricopa.edu/diversity/glhra/
mythfact.htm).
According to Erik Erikson and his epigenetic theory of identity, newborns
develop a mutual trust with their mothers. This occurs because the newborn needs the
mother to care for him/her, and the mother's intentions are to care for the baby. This
initial trust with the mother helps the baby develop a trusting, loving relationship with
her. She shows her child that the world he/she just entered is safe. The child's identity is
based on the trust instilled by the maternal relationship. When the baby begins feeling
comfortable with his/her surroundings, then he/she is ready to move on to the next stage
of development (Erikson 96).
I am not so much concerned with the baby moving on in development, as I am
interested in the trust he/she shares with the mother. The relationship a boy has with his
mother is the basis of many psychological theories of homophobia. It is often said that a
boy's first love is his mother, because she was the first to care for him, nurture him, and
he feels her unconditional love for him. The boy develops this special relationship with
his mother, based on the trust they have shared since his birth. She loves him, and he
knows his mother's love is very precious and special. He has something special that
makes him different from everyone else; his mother loves him.
The only problem is, this love cannot continue the way the boy intends it to, but
because he shares this deep trust with her, he begins identifying with her, and forms his
own identity on this strong trust. Then a crisis occurs, the boy realizes that his mother is
not the same as him. He recognizes that she is a different sex, he has a penis and she
doesn't. He must now disidentify and distrust his mother who he thought was a more
loving and caring mother. At this point in his life, she has cared for him, soothed him,
and loved him more than anyone else he knows. This deeply woven, sincere,
unconditional trust and love he shared with his mother has been destroyed, as well as his
sense of identity. He will never fully recover from this tragedy. The young boy put his
unconditional love out for his mother to grasp and cherish, only to find it was destroyed,
and he is forever hurt. The boy was crushed, and he will never hold his love out again,
simply because he was hurt by the one person who was never supposed to hurt him, the
one and only person he loved.
Now, since he knows that he is different from his mother, and was betrayed by
her, the boy turns to the only other person in his life, his father, and begins identifying
with him. I feel the boy only knows that his mother is different. He is too traumatized to
realize that he is the same sex as his father. Meaning he doesn't recognize his father as a
male and having a penis. The boy then begins thinking that he is the only one with a
penis, therefore different from everyone else. He then has the feelings of pride because he
81
�has something, a penis, that no one else (that he knows of) has. This special feeling arises
in the boy once again.
As the boy begins making friends who are like the one person he identifies with,
his father, he thinks of them as being the same as his father, only younger and they like to
play and have fun. He doesn't see them as threatening because they are just like his
father, and he has something they don't have. He has the penis and that makes him
special, they are like his father so they don't have a "penis".
As the boy grows older, he begins learning that he isn't the only one with a
penis, but this doesn't affect him psychologically. He still feels like he has something no
one else has, that there is something special about him. He then grows up subconsciously
thinking that the other men are merely like his friends, non-threatening because they don't
have the special-ness that he has. Also they aren't threatening to him because they do not
want what he has, they will not take away what he has that makes him special.
When the straight man comes across a gay man, he begins feeling threatened,
because he thinks the gay man wants the one thing that makes him special, that the
homosexual man wants his "penis." The straight man feels threatened because he knows
the gay man is sexually attracted to other men, and since he is a man, the gay man may be
attracted to him. And if the gay man is attracted to him, he will want what the
heterosexual man has, meaning his "penis," and the homosexual man will take the one
thing that makes the straight man who he is, the one thing that makes him special.
I feel this is the majority of the fuel for the homophobia fire. When combined
with ignorance, it can easily be seen how homophobia becomes a widespread prejudice.
It psychologically threatens the pride of the male individual, this is something no other
intolerance has done. I believe this to be the reason for the prevalence of male
homophobia in our present-day society.
Another hypothesis about homophobia explains the cause as coming from
societal ambitions and expectations for males and ideas of manhood. From the time of
birth, boys are socialized to be masculine. The definition of masculine in our society is
very unclear, and usually based on what is "not feminine." This socialization and
teaching persuades young boys to be rough, competitive, and even aggressive. Also, boys
are never to do any action that could be perceived as "feminine." When the boy starts
playing with toys, it is not uncommon to see him running around with a gun, pretending
he is a cowboy shooting at Indians. If the boy is interested in athletics, he is signed up for
peewee football, and taught to tackle and hurt his opponents. This behavior, competitive
and aggressive, is seen as appropriate in today's society; men should grow up to be big,
and strong, and not back down from any challenge thrown at them (Kilmartin 226).
Another favorable outcome of this masculine socialization is to hide emotions.
Every attempt is made to ensure that boys are not crybabies or sissies; which is
82
�unacceptable by today's standards. Boys are taught to hold in their emotions, not show
them at all, or to simply not have these emotions altogether, which in the long run will
supposedly make them stronger, better men.
This masculine socialization only adds to the problems of homophobia.
Men grew up being rough and tough, confident, and aggressive, and ignorance becomes a
product of this socialization. Gay men are often stereotyped as being the opposite of what
a "man" is supposed to be. The stereotypical gay man is often seen as having feminine
features, and wearing his emotions on his sleeve. Gay men are perceived as typically
lacking the rough, tough and aggressive attitude men are supposed to develop. Because
gay men are males, and do not act the part of being a "real man," they are discriminated
against and seemingly tortured by society. The ignorance I am talking about makes these
men (who's sexual preference is not the "norm") seem as though they are women, or
worse unnatural because of their sexuality.
Another theory explaining the causes of homophobia begins much in the same
fashion as the previous ones, and combines some aspects of both. It starts with the boy's
relationship with the mother, and the betrayal he feels when he discovers they are
different. The boy is heartbroken by his mother, his first love, and the woman that was
never supposed to hurt him. This heartbreak develops into a subconscious distrust, or
even hatred for women. These powerful emotions of distrust and hate toward women
affect the man for the rest of his life, and may be a cause of homophobia. Because gay
men have stereotypically feminine characteristics, and are sexually attracted to other
men, a straight man may think of him as a woman (Kilmartin 226). This stereotypical
view combined with the distrust and hatred toward women, makes straight men feel the
same way about gay men as they do about women, that they have a strong, deep, hate for
them, which can all be traced back to the relationship with the mother.
One final theory also begins with the boy's relationship with his mother.
Stemming out of the trust between them, the boy develops a love for his mother.
He sees himself as choosing his mother in the relationship. As the boy grows older and
enters puberty, he begins to realize that in relationships women choose men. Thus he is
not the "chooser," but the "chosen." A simple example of this idea is men portraying
themselves to be the best-suited man for the female that they desire. The female then
chooses the male that she feels is best for her. Thus women are the choosers, and choose
men, simply because opposites attract. However, in homosexual relationships men
remain the choosers, they mutually choose their male partners. This could explain why
homosexual relationships typically do not last very long; there cannot be two choosers in
a relationship, this contradicts that opposites attract. The hypothetical fact that gay men
remain the choosers is a possible cause for homophobia. Heterosexual men may feel that
a gay man will choose them, thus since a man chose them, they will be forced into the
83
�woman's role in the relationship (Groth 6). This idea, combined with the man's
subconscious distrust and hate for woman, which developed from his relationship with
his mother, his socialization to be a "man" (to be tough, competitive, aggressive, and
never show feminine features), and the expectations of society, cause him to fear, hate,
and discriminate against homosexual behavior.
The above theories, and numerous more, could be the cause for homophobia in
our society. In many cases, homophobic behavior could be a combination of many of
these theories, although it could be caused by sheer ignorance as well. This irrational fear
and hatred toward homosexuals and homosexuality may find its source in the first years
of life, from the first relationship a newborn participates in, but somewhere down the
road ignorance rears its ugly head. Just as with any prejudice, closed-mindedness and
ignorance play an integral part in homophobia.
Around the world homophobia is being pushed aside, and homosexual marriages
are becoming recognized. The nations of Germany, Denmark, and the
Netherlands have legislation allowing same sex marriages. These pioneering nations have
been open minded and accepting of their citizens' sexual preferences, now more nations
of the world must become compliant with their citizens. Also, the states of Hawaii and
Vermont have made gay marriages legal. Maybe this says something about the changing
views and increasing acceptance of the American people, since nearly seventy-five
percent of Americans are in favor of equal rights for homosexuals. Hopefully, more states
and countries of the world will follow-suit and become tolerant of their citizens' choices
(http://www.bidstrup.com/marriage.htm).
Similar to the racial, religious, and sexual prejudices, overcoming these
intolerant behaviors and ideas will take infinite amounts of time and change. This
prejudice will not be conquered in our society without an influx of liberating and
accepting thought throughout our society. As a society, we can educate our citizens about
the differences amongst all people. We can promote tolerance, acceptance and open
minds. Until the appropriate actions are taken, homophobia will remain a major problem
in our society.
Works Cited
Bidstrup, S. (2000, September). Homophobia: The Fear Behind the Hatred. Retrieved
April 14, 2002 from http://www.bidstrup.com/phobia.htm.
84
�Bidstrup, S. (2000, October). Gay Marriage: The Argument and the Motives. Retrieved
April 16, 2002 from http://www.bidstrup.com/marriage.htm.
Erikson, E. (1968). Identify: Youth and Crisis. New York: W. W. Norton and Co.
Groth, M. “What is Male Homosexuality?”
Kilmartin, C. (2000). The Masculine Self. New York: McGraw-Hill.
Lesbian and Gay Public Awareness Project. (1991). Homophobia-What Are We So
Afraid Of? Retrieved April 18, 2002 from http://www.emc.maricopa.edu/diversity/glhra/
homophob.htm.
Homophobia: One Word, Many Meanings. Retrieved April 19, 2002 from
http://www.religioustolerance.org/hom_fuel.htm.
85
�
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Section I: The Natural Sciences -- Full Length Papers -- 5 Alcohol-Induced Malformations in Zebrafish Embryos: Zebrafish as a Model Animal to Study Fetal Alcohol Syndrome / Jacqueline Whitttenburg, Renee Sudol, Linda Raths and Zoltan Fulop -- Abstracts/Extended Abstracts -- 17 Diagnosis and Treatment of Aeromonas in Zebra Fish / Jennifer Zafarino, Thomas Smolka and Dr. Kathleen Bobbitt -- 17 The Efficient Solution of Block Tridiagonal Linear Systems / Peter Herbst and Dr. Gregory J. Falabella -- Section II: The Social Sciences -- Full Length Papers -- 23 How Watching Pornography Immediately Effects Attitudes Toward Sexual Relationships / Jessica Biren -- 39 The Change of Color and Shapes and Its Effects on the Memory Of a Pattern / Diane Marie Vellon -- Technical Note -- 44 Taking the Job Home / Melissa Mason -- Section III: Critical Essays -- Full Length Papers -- 53 The Representation of Class in Chaucer / Eric DeBarba -- 62 The Role of ESS1 inTranscription Elongation / Anne Rossettini -- 75 From Vision to Reality: Development of a Utopia in Parable of the Sower / Emily Dillon -- 80 Homophobia: An Irrational Prejudice / Ed Pietrowski
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Wagner College Forum for
Undergraduate Research
Fall 2003
Volume II, Number 1
Wagner College Press
Staten Island, New York City
��EDITOR’S INTRODUCTION
In response to many requests, an additional section containing the abstracts of papers and
posters presented at the 57th Eastern Colleges Science Conference has been added to this
issue. The conference was held in Ithaca, NY on April 11-12, 2003. It is the largest
undergraduate research conference in the United States. Wagner College has, in recent
years, been a strong contributor to this annual event and in 2000 hosted ECSC.
Congratulations to the students and faculty for their excellent work and the fine job they
did representing Wagner College.
The Wagner Forum for Undergraduate Research, now in its second year, 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 typically subdivided
into three sections entitled The Natural Sciences, The Social Sciences and Critical
Essays. The first of these two sections are limited to papers and abstracts dealing with
scientific investigations (experimental and theoretical). The third section is reserved for
speculative papers based on the scholarly review and critical examination of previous
works.
This issue contains a variety of fascinating topics including aircraft icing, crystal growth,
the triangular theory of romantic relationships, arsenic poisoning in Bangladesh, garlic
and wound healing, MRI contrast agents and the development and maturation of van
Gogh’s artwork. The interested reader will be challenged with questions such as:
Does the fat content label effect a person’s consumption of a particular food?
Is Pluto a Planet?
Does the MMR vaccination contribute to or cause autism?
Who are the Disney characters many people grow up admiring and how do they
represent the people of the world?
Read on and enjoy!
Gregory Falabella and Richard Brower, Editors
�Section I: Eastern Colleges Science Conference
Abstracts
2 Redefining Love: The Interrelations Between Love, Attachment Styles
and the Triangular Theory of Romantic Relationships
Jaime T. Carreno
2 Deep Aquifer Water as Alternate Drinking Water Source in Arsenic
Affected Area of Bangladesh
Margaret Fiasconaro, Sarah Alauddin and Dr. Mohammad Alauddin
3 Aircraft Icing: An Experimental Study
Nicolas Rada and Dr. Gregory J. Falabella
3 Effect of Complexing Agent on TIO2 Hydrothermal Crystal Growth
Dawn Pothier and Dr. Maria C. Gelabert
4 The Effect of Fat Content Label on Food Intake
Joanna Ferreri and Dr. Laurence J. Nolan
4 Ion Chromatography Analysis of Deep Aquifer Water from Arsenic
Affected Areas of Bangladesh
Sarah Alauddin, Margaret Fiasconaro and Dr. Mohammad Alauddin
5 Transcardial Perfusion of Zebrafish Brain
Matthew W. Gray, Adam James, Prof. Linda Raths and Dr. Zoltan L. Fulop
5 Hydrothermal Crystal Growth of Zinc Oxide Via Coordination Chemistry
Dana M. Romano and Dr. Maria C. Gelabert
6
Pluto: Captured Comet or Legitimate Planet
Michelle Bingham and Dr. Gregory J. Falabella
6
Validation of the Folk Remedy Garlic (Allium Sativum) in Wound
Healing
Katherine LaChance, Christopher Hart and Dr. Ellen Perry
6 The Relationship Between Teachers’ Physical Attractiveness and
Student Ratings of Their Effectiveness
Kerri Doran
ii
�7 An Experimental Study of Shoaling Behavior In ZebraFish (Danio
Rerio)
Janette Lebron, Dr. Brian G. Palestis and Dr. Zoltan Fulop
7
Physiological Responses to Guided Relaxation
Teresa Jackson, Carolyn Palinkas, Robert Liberto, ParamPreet Ghuman, Dr. Zohreh
Shahvar and Dr. Zoltan Fulop
8 Alcohol-Induced Malformations in Zebrafish Embryos: Zebrafish as a
Model Animal to Study Fetal Alcohol Syndrome
Jacqueline Whittenburg and Renee Sudol
Section II: The Sciences
Full Length Papers
10
Investigation of Iron (III)-based MRI Contrast Agents
Maryanne Gaul
20
Pluto: Captured Comet or Legitimate Planet?
Michelle Bingham
26
Autism and the MMR Vaccination
Stephanie Capasso
Section III: The Social Sciences
Full Length Papers
36
The Effects of Conscious Sedation on Anxiety in Oral Surgery
Patients
Dina Gramegna
43
Redefining Love: The Interrelations between Love, Attachment
Styles and the Triangular Theory of Romantic Relationships
Jaime T. Carreno
53
Memory: Effects of One’s Gender on Memory Retention
Nicole Gaeta
iii
�59
GPA and Study Habits: The Relationship between Study-Habits
and Grade Point Average in College Students
Jenny Ludvigsen
Section IV: Critical Essays
Full Length Papers
68
Van Gogh and Gauguin
Kimberly Kopko
76
Housewife to an Empowered War Hero: The Feministic
Transformation of the Disney Princesses
Kimberly Litto
86
Why Rules are Made to be Broken: The Establishment and
Destruction of the Institution in Harry Potter and the Sorcerer’s
Stone and Ender’s Shadow
Paula Casill
iv
�Section I: Eastern Colleges
Science Conference
�Redefining Love: The Interrelations Between Love,
Attachment Styles and the Triangular Theory
Of Romantic Relationships1
Jaime T. Carreno2 (Psychology)
Three popular theories of love were brought together, in an attempt to better understand
this concept. The interrelations between triangular love type, love styles, and adult
attachment styles were of primary interest. One hundred college students were surveyed.
Relationships were found within love styles and within triangular love theory
components. Relationships were also found between love styles and the triangular theory
and between age and levels of commitment in relationships. Lastly a relationship was
found between attachment styles and triangular love type. The interrelations of these
three major love theories seem to suggest an underlining essence of love. We seem to be
on the path to a more encompassing definition of love. Finally, a new definition of love
is proposed.
Deep Aquifer Water as Alternate Drinking Water Source in
Arsenic Affected Area of Bangladesh
Margaret Fiasconaro (Chemistry), Sarah Alauddin (Chemistry)
and Dr. Mohammad Alauddin (Chemistry)
Most serious arsenic contamination from natural sources have been reported from
Bangladesh, India, Taiwan, Chile, Argentina and inner Mongolia. Experts now believe
the arsenic calamity in Bangladesh is the worst mass poisoning the world has ever
witnessed. Bangladesh is a country of 148,400 square kilometers in an area with a
population of about 120 million. About 97% of the total population depends on ground
water as their principal source of drinking water. Abundant surface water is
contaminated with microorganisms and people died of cholera, typhoid and diarrhea
through consumption of this water. Aid organizations came forward and helped the local
government in tapping the underground water at shallow depths of 40-100 ft which is free
of microorganisms. The water was withdrawn by hand pump and metal tubes drilled into
these aquifers. The vast population had access to safe drinking. However, in recent years
(1993) the water has been found to be contaminated with arsenic at a level much higher
than the World Health Organization’s (WHO) permissible level of 10 g/l and
1
2
Received Best Platform Presentation in Psychology Award
Research performed under the direction of Dr. Amy Eshleman (Psychology)
2
�Bangladesh’s own guideline value of 50g/l. Lately it was indicated by researchers and
surveyors that aquifers at a depth of 300 ft or greater have arsenic at acceptable level by
WHO standard. In our current project we have analyzed water samples from 29 such
deep tube wells from two areas of Bangladesh. In addition to arsenic, water samples
were analyzed for a number of trace elements and basic water quality parameters to check
the water quality of these aquifers. Technique of graphite furnace atomic absorption
spectrometry (GR-AAS) was applied and As, Ba, B, Fe, Mn, Pb, Cd, Co and Cr were
determined at ultra trace level. We find the deep aquifer waters (depth of 600 ft or
beyond) are quite safe for public consumption. Our findings and some inter-element
correlation data will be presented in this paper.
Aircraft Icing: An Experimental Study3
Nicolas Rada (Physics) and Dr. Gregory J. Falabella (Physics)
Relatively small amounts of ice buildup on aircraft can alter the otherwise smooth flow of
air and have disastrous consequences. This accumulation may occur due to precipitation
or passage through a cloud containing super-cooled water droplets and is categorized as
rime or glaze ice. The current research is an experimental investigation into how the
presence of a glaze ice accretion dramatically reduces the lift force necessary for stable
flight. A FLOTEK 1440 Wind Tunnel and a NACA 2415 airfoil is used to obtain the
data. Preliminary results indicate that stall occurs at a significantly lower angle of attack
and is sensitive to changes in Reynolds number as the transition from laminar to turbulent
flow occurs.
Effect of Complexing Agent of TIO Hydrothermal
Crystal Growth
Dawn Pothier (Chemistry) and Dr. Maria C. Gelabert (Chemistry)
Aqueous titanium chemistry was explored to gain understanding for how chelating agents
affect hydrothermal crystal growth. By varying concentration, pH, and ligand, TiO2
o
crystals were grown kept at 200 C for seven days. Observations (1000x) were made
with a compound microscope. Needle-shaped crystals were observed when ethylene
diamine tetraacetic acid (EDTA) was used and the pH was between 9 and 13; higher
concentrations yielded larger crystals. Experiments with diethylenetriamine pentaacetic
3
Received Best Platform Presentation in Physics, Astronomy and Engineering Award
3
�acid (DTPA) and imino diacetic acid (IDA) did not yield sizable crystals with a
determinable shape. Experiments enabling the slow decomposition of urea, and hence
slow rise of pH, did not generally produce needle-shaped crystals. However, one sample
did yield crystals that were slightly larger and longer than previously observed needles.
The Effect of Fat Content Label on Food Intake
Joanna Ferreri (Psychology) and Dr. Laurence J. Nolan (Psychology)
Food labels and beliefs about the nutritional content of foods have been found to affect
food choice and meal size (Gatenby et al., 1995; Mela & Nolan, 1996; Miller et al.,
1998). We tested whether a label indicating total calories and fat grams contained in a
granola bar would affect the amount of subsequent macaroni and cheese consumption and
food ratings (questionnaire). All participants received the same foods; one half were
randomly assigned to receive granola labeled “no fat”. All participants were asked to
complete the Three-Factor Eating Questionnaire prior to the meal so that the role dietary
restraint could also be tested (2 X 2 design).
Ion Chromatography Analysis of Deep Aquifer Water from
Arsenic Affected Areas of Bangladesh4
Sarah Alauddin (Chemistry), Margaret Fiasconaro (Chemistry)
and Dr. Mohammad Alauddin (Chemistry)
Bangladesh is in the grip of worst mass poisoning the world has ever witnessed. The
poisoning is taking place from drinking arsenic laced groundwater. About 97% of a total
population of 120 million depend on groundwater for their primary source of drinking
water. Although the permissible level of arsenic is 50µg/l by Bangladesh standard and
only 10µg/l by World Health Organization (WHO), the level of arsenic in seriously
affected areas in Bangladesh ranges from 500 to almost 4000 µg/l. Arsenic is a
carcinogenic agent. There is an urgent need for finding alternate sources of water.
Recently it was reported that deep tube well waters (aquifers at depths of 300 ft or more)
may still provide arsenic safe drinking water for millions. We analyzed 29 deep tube
well waters from two regions of Bangladesh. We investigated the water quality of these
aquifers by advanced techniques of graphite furnace atomic absorption spectroscopy and
4
Received Best Platform Presentation in Chemistry Award
4
�ion-chromatography. In addition to arsenic and other toxic trace elements we also
32investigated the levels of F , Cl , Br , NO3, NO2, PO4 and SO4 . While the deep aquifer
water is “arsenic safe” it may contain other toxic agents or high F . Objective of the
current project was to investigate the level of fluoride and other ions in deep tube well
waters. We found that the deep tube well water is good quality water, and this water may
be an excellent alternative to arsenic contaminated shallow tube well water for the time
being.
Transcardial Perfusion of Zebrafish Brain
Matthew W. Gray (Biology), Adam James (Biology),
Prof. Linda Raths (Biology) and Dr. Zoltan L. Fulop (Biology)
Correct ultra-structural investigation of the central nervous system requires vascular
perfusion of the brain with fixative solution. This technique, preceded by cleaning the
vasculature from the blood by an isotonic solution, is widely practiced to fix the brain of
mammals. The aim of this study was to employ similar procedures to fix the adult
zebrafish brain. We developed a perfusion station equipped with a micromanipulatorstage that allows the precision insertion of a glass micropipette into the cardiac ventricle
of the zebrafish and infusion of the solutions into the brain vasculature through the
ventral aorta. This procedure resulted in perfect fixation of the brain verifiable by
successive morphological investigation. This study was supported by a research grant
from Drs. Eva and George Megerle.
Hydrothermal Crystal Growth of Zinc Oxide
Via Coordination Chemistry
Dana M. Romano (Chemistry) and Dr. Maria C. Gelabert (Chemistry)
The chemistry of aqueous zinc solutions was explored to see the effect on size and
morphology of zinc oxide crystals. Multidentate ligands such as ethylene diamine tetra
acetic acid (EDTA), diethylene triamine pentaacetic acid (DTPA) and imino diacetic acid
(IDA) were investigated separately in the growth of ZnO crystals. In this study,
complexing agent, Zn molality and pH were varied in the precipitation of ZnO from basic
o
aqueous solutions. Autoclaves were used for synthesis at 200 C. Optical microscopy on
the resulting products revealed crystals with a needle habit for all ligands, with needle
lengths up to 3mm. The overall variation in size and morphology may be explained to
some degree by considering the coordinating nature of the ligands.
5
�Pluto: Captured Comet or Legitimate Planet
Michelle Bingham (English) and Dr. Gregory J. Falabella (Physics)
Prompted by the recent controversy over Pluto’s classification as a planet, a study was
conducted to determine whether or not a large Kuiper Belt comet could have strayed too
close to Neptune and had its orbit forever changed to that of present day Pluto. The
resulting three-body problem was set up and simulated numerically using Interactive
PhysicsTM. Results show that the situation is indeed plausible, but only under certain
circumstances, which explains why other comets did not experience a similar fate.
Validation of the Folk Remedy Garlic
(Allium Sativum) in Wound Healing5
Katherine LaChance (Psychology), Christopher Hart (Chemistry)
and Dr. Ellen Perry (Biology)
Garlic (Allium sativum), a well-documented antibacterial spice, was investigated for its
anti-microbial properties in wound healing. Environmental bacterial sources were plated
on agar containing 0-50% of a 125g/l preparation of fresh, crushed garlic either soaked
(24 hours), infused (20 minutes) or boiled (10 minutes) in distilled water, then incubated
at either ambient or body temperature. A dose-responsive efficacy of garlic to inhibit
microbial growth was observed. The anti-microbial efficiency of garlic decreased with
heating (LD50=1% in soaked preparation, 5% in infused preparation and 10% in boiled
preparation at ambient temperature). Microbes were identified to demonstrate the dose at
which inhibition of growth occurred. The data validates the folk-medicinal wound
healing properties of garlic through anti-microbial action.
The Relationship Between Teachers’ Physical
Attractiveness and Student Ratings of Their Effectiveness
Kerri Doran6 (Psychology)
It is postulated that to be beautiful is to accrue various interpersonal advantages and
foster positive expectations. This study explored the relationship between teachers’
physical attractiveness and students’ ratings of their effectiveness. Fifty-eight second
5
6
Received Best Platform Presentation in Ecology and Botany Award
Research performed under the direction of Dr. Amy Eshleman (Psychology)
6
�graders from a public elementary school participated in this study, which measured their
ratings of two target teachers after a poem was read to them. The study supported the
hypothesis that the students rated the physically attractive teacher higher on four of six
measures of overall fondness of and effectiveness. A follow-up study was conducted
using third, fifth, and seventh grade students.
An Experimental Study of Shoaling Behavior
In ZebraFish (Danio Rerio)
Janette Lebron (Biology), Dr. Brian G. Palestis (Biology) and Dr. Zoltan Fulop (Biology)
Zebrafish shoaling was quantified by comparing time spent by test fish near a
compartment containing a stimulus fish to time spent near an empty compartment. The
two compartments were located at opposite ends of a narrow tank, and only visual cues
were available. Test fish spent significantly more time near stimulus fish than near the
empty compartment, in both same-sex (p<0.05) and opposite-sex pairings (p<0.01).
Interestingly, in both males (p<0.025) and females (p<0.05), shoaling was significantly
more frequent in same-sex than in opposite-sex pairings. However, our experiments took
place in the afternoon, while zebrafish spawn after dawn. Eventually we plan to study
the effects of alcohol exposure on the development of shoaling behavior in young zebra
fish.
Physiological Responses to Guided Relaxation
Teresa Jackson (Biology), Carolyn Palinkas (Mathematics), Robert Liberto (Chemistry),
ParamPreet Ghuman (Biology), Dr. Zohreh Shahvar (Mathematics) and Dr. Zoltan Fulop
(Biology)
Subjects were exposed for 20 min to a structured relaxation tape (H. Benson. Guided
Relaxation, Mind/Body Medical Institute, Boston, MA) or to an indifferent audiotape of a
historical story (War Letters) while physiological parameters were continuously recorded
by a computer assisted device (MP 30, BioPac Inc.) . All subjects then listened to their
tapes for twenty minutes twice daily for 28 days after which similar recordings were
repeated. Statistical analysis of skin temperature revealed significant differences between
the experimental and control subjects at all time-points in both sessions. However, no
significant differences were found between the same parameters of the experimental
subjects listening first time to their tape or after a month long training. These data
7
�suggest that the relaxation response can be elicited with a right tape indifferent from prior
learning or practice.
Alcohol-Induced Malformations in Zebrafish Embryos:
Zebrafish as a Model Animal to Study
Fetal Alcohol Syndrome7,8
Jacqueline Whittenburg (Biology), Renée Sudol (Nursing),
Prof. Linda Raths (Biology) and Dr. Zoltan Fulop (Biology)
The goal of this study was to determine the lowest ethyl alcohol (ETOH) concentration
that causes detectable detrimental effects in zebrafish embryos, and the most critical time
of embryonic development that is sensitive to alcohol. Observation of these embryos
revealed a number of different morphological changes. These were either teratological
effects, such as small heads with distorted craniofacial features, curved spine and
distended abdomens or physiological disturbances such as impaired movements, inability
to maintain postures and inability to capture prey. This study establishes zebrafish as a
model animal to study fetal alcohol syndrome.
7
Received Outstanding Paper in Developmental Biology Award
For a reprint of the entire paper see Wagner College Forum For Undergraduate
Research Volume 1, Number 2, Spring 2003.
8
8
�Section II: The Natural Sciences
�Investigation of Iron (III)-based MRI Contrast Agents
Maryanne Gaul1 (Chemistry)
I. Introduction
Magnetic resonance (MR) imaging is a medical procedure that allows for
examination of a patient via a non invasive method (1). MR imaging of vascular
structures is very important within the medical field for purposes of diagnosing diseased
tissues. Many diseases can be detected by abnormalities in vascular structure, vascular
density, or microvascular permeability. Conditions that result in hemorrhage such as
ulcers or traumatic injuries can be detected by increased vascular density in the MR
image. Other conditions like angiogenesis and tumors can also be diagnosed using MR
images that show abnormal vascular growth and vascular permeability (2).
The dependence of image intensity on tissue relaxation times is inherent on the
basic principles of pulse nuclear magnetic resonance (NMR) (3). An MR image is
generated where the signal intensity is either a function of proton density, the spin-lattice
relaxation rate (T1), spin-spin relaxation rate (T2) or a combination of these factors. A
problem with the generated images is that it is difficult to differentiate between adjacent
tissue types (and thus provide an accurate diagnosis). To overcome this problem contrast
agents have been developed. Contrast agents work by changing the signal intensity of the
local tissues allowing better differentiation of healthy and diseased tissue (1).
MR imaging contrast agents must be biocompatible pharmaceuticals in addition
to being nuclear relaxation probes. Aside from standard pharmaceutical features such as
water solubility and shelf stability, there are requirements relevant for metal complexbased agents. One is the efficiency with which the complex enhances the proton
relaxation rates of water, also referred to as relaxivity (a measure of relaxation
enhancement per unit concentration). This must be sufficient to significantly increase the
relaxation rates of target tissue. The dose of the complex at which such alteration of
tissue relaxation rates occurs must of course be nontoxic (3). Another requirement for
true diagnostic value is that the complex should localize for a period of time in a target
tissue or tissue compartment in preference to non–target regions. This requirement is
qualified in that it is sufficient that only the relaxation rates of the target tissues be
enhanced in preference to other tissues. This might be accomplished by means other than
1
Research performed under the direction of Dr. Nicholas Richardson (Chemistry)
10
�concentration differences if the complex has a higher relaxivity in the environment of one
tissue (3).
Three more essential prerequisites are in vivo stability, excreatability and again
lack of toxicity (3). Toxicity data are often dependent on the species of animal as well as
the route of administration, including intravenous and intraperotineal injections. The
acute and chronic toxicity of an intravenously administered metal complex is related in
part to its stability in vivo and its tissue clearance behavior. As the transition metal and
lanthanide ions are relatively toxic at doses required for NMR relaxation rate changes, the
dissociation of the complex cannot occur to any significant degree. Additionally a
diagnostic agent should be excreted within hours of administration (3).
Complexes of paramagnetic transition metal and lanthanide ions, which decrease
the relaxation times of nearby nuclei, receive the most attention as potential contrast
agents. Gadolinium(III), iron(III), and manganese(II) complexes have received the most
attention because of their high magnetic moments and relaxation efficiency (3). Current
MRI contrast agents in clinical use utilize gadolinium(III) as the paramagnet, which is
effective due to the seven unpaired electrons it possesses. Iron(III) and manganese(II)
only posses 5 unpaired electrons and the relaxivity of complexes using these as
paramagnetic species are significantly lower compared to gadolinium. However, it has
been shown that when contrast agents based upon these metal ions are bound to human
serum albumin (HSA) they can have relaxivities that are equivalent to those reported for
gadolinium complexes also bound to HSA. Although gadolinium works as an effective
paramagnet, there are some serious drawbacks. The first is that gadolinium has no natural
biochemistry, thus making it difficult to harness known biochemistry in the design of a
target-specific contrast agent. Second, there are growing environmental concerns about
the use of gadolinium as a contrast agent. If iron(III) could be employed as the
paramagnet, with its rich natural biochemistry and limited concerns about environmental
impact, it could be as effective as gadolinium-based contrast agent when bound to HSA
(1).
Another problem associated with the currently used paramagnetic-based contrast
agents approved for clinical use in the U.S. is that they are all extracellular and are
rapidly cleared from the patient, making it difficult to observe any abnormalities present
in the vascular structure. Development of a contrast agent that remains in the blood–pool
for an extended period of time would significantly enhance the ability to detect diseased
tissue.
Blood–pool contrast agents are compounds that remain in circulation for
extended periods of time and do not diffuse into the extracellular fluid. These compounds
are designed to enhance tissue in a manner proportional to their blood volumes (2). One
method that has been examined to create blood–pool contrast agents is to attach the
11
�contrast agent to a macromolecule (5). Macromolecular contrast media (MMCM) are
compounds that are significantly larger (>20,000 Daltons) than conventional clinical
contrast agents and demonstrate prolonged intravascular retention. As noted before the
relaxivity of a contrast agent is a measure of its effectiveness, and one of the significant
influences upon the relaxivity is the rotational tumbling rate (also called the molecular
rotation rate) of a contrast agent (2). However, the measurement of the in vitro relaxivity
of the contrast agent may not provide a direct correlation to the in vivo relaxivity (4).
Changes in viscosity of a solution slow this tumbling and increase relaxivity. Another
way the tumbling rate of a molecule may be changed is by attachment to a
macromolecule (4). The development of MMCM and other blood–pool contrast agents is
very important as these compounds can be designed to produce the preferential biological
distribution that would allow for better diagnosis of diseased tissue (2).
Unfortunately there are some problems associated with the method of covalently
attaching the contrast agent to a macromolecule to create an injectable MMCM. These
problems include the deposition of the toxic metal ion, incomplete excretion of the
contrast agent and immunogenicity at the sight of administration. These problems
outweigh the potential benefits so an alternative approach is required (1). One strategy
involves the administration of low-molecular weight compounds that form MMCM
in vivo by reversibly binding to plasma proteins, in particular HSA (2). Non-covalent
binding of a low molecular weight contrast agent to a large macromolecule such as HSA
reduces the molecular rotation rate. The decrease in the molecular rotation rate causes
increases nuclear relaxation, this increase in relaxivity due to the slow molecular
rotational rate of the contrast agent attached to a macromolecule compared to that of a
contrast agent alone in solution is termed proton relaxation enhancement effect (PRE)
(2).
HSA is a transport protein that binds a multitude of compounds that vary in
structure and charge. Albumin also remains predominantly in the vascular system and
only 5% of native albumin is removed from the blood in one hour. Therefore the
retention time of the contrast agent will be prolonged and the protein-contrast agent
complex will exhibit characteristics like those of a blood pool agent (2).
Serum albumins are some of the most extensively studied proteins. HSA is the
most abundant protein in plasma and contributes significantly to the osmotic blood
pressure (2). HSA synthesis occurs in the liver and is partly responsible for the
maintenance of the blood pH and the transport of normally insoluble compounds in
plasma such as fatty acids (2). HSA is a large protein that contains 585 residues and has a
total molecular weight of 66,500 Daltons. The protein contains 17 disulfide linkages
12
�Figure I: Human serum albumin
with one free cysteine residue and one tryptophan residue (2). Human serum albumin is
very flexible and allows for the binding of a multitude of substrates with varying
structural features (2).
Iron Agents
5
The high spin d iron(III) ion is an ideal candidate as a MRI contrast agent (4).
Unfortunately iron(III) is toxic in its free form. Acute iron poisoning leads to increased
respiration and pulse rates, as well as congestion of blood vessels. The greatest concern
with iron(III) is the ability of the ion to participate in redox reactions and to catalyze the
oxidation of organic substances (4). This suggests a need for iron(III) ion to be fully
coordinated in vivo (6). In addition to decreasing toxicity, chelating ligands may be
functionalized in order to provide tissue specificity. Unfortunately the complete
coordination of iron(III) removes the possibility of inner–sphere water coordination and
thus increases the distance between the metal center and the water protons, thereby
reducing the effectiveness of the dipolar interaction with the protons (6). This leaves
outer–sphere and second–sphere coordination as the only mechanism for relaxation (4).
The main focus of our study was on the 3,5-disubstiuted sulfonamide catecholate
derivative 3,5-bis(dimethylsulfonamide)catechol as the ligand. If a ligand can be
synthesized that will bind to HSA, there should be a significant increase in the relaxivity
of the iron(III) complex when it is measured in a plasma solution.
13
�II. Procedure
The procedure can be broken down into three stages. The first stage is the
synthesis of novel ligands, the second stage is synthesis of the iron(III) complex with the
new ligands and the third stage is the evaluation of relaxivity and binding of the complex
to HSA (5). To create a complex which will bind to HSA, ligands synthesized have
characteristics of molecules that are already known to bind to HSA but also contain the
requirements to coordinate to iron(III) (5).
This ligand was synthesized by equipping a 1000-ml round bottom flask with a
Claisen adapter, reflux condenser, and an additional funnel. Dimethylamine (52 mL, 40%
in water, 0.410 mol) was dissolved in 100ml diethyl ether and cooled to 0°C in an ice
bath. 3,5-Bis(dichlorosulfonyl)catechol (10.0g, 0.0326 mol) dissolved in 100mL diethyl
ether was added slowly. The reaction was allowed to come to room temperature and stir
overnight. The ether was removed by rotary evaporation. Concentrated HCl (80 mL) was
added to the resulting solid. The aqueous layer was washed with methylene chloride (6 x
150 mL). The methylene chloride was dried over sodium sulfate, filtered and removed by
rotary evaporation. The product was recyrystallized using methylene chloride/hexanases
(1.1g, 0.0034 mol, 10% yield).
For the synthesis of the iron(III) complex the iron(3,5-bis(dimethylsulfonamide)catechol)3 was isolated as a trisodium salt. The ligand (3 mmol) was
dissolved in water. Sodium hydroxide (0.0800 g, 2 mmol) and iron(III)-acac (0.3532 g, 1
mmol) were added and the solution was placed under reflux conditions. After 24 hours of
heating, the solution was allowed to cool and the pH adjusted to 7. The solution was
heated for another 24 hours and the pH again adjusted to 7. The solution was extracted
with diethyl ether (6 x 150 mL). The pH was adjusted to 7, the solution was filtered, and
the solvent was removed. The resulting red solid was dried under vacuum.
Once the contrast agent had been synthesized, the relaxivity was determined by
use of a 20 MHz minispec. The spin-lattice relaxation time (T1) was measured for a series
of solutions of different concentrations, and then a plot was made of 1/T1 against
concentration. The slope of the graph is relaxivity (5).
The iron-3,5 bis(dimethylsulfonamide)catechol (Fe-DiMeSAC) complex was
first measured in vitro with aqueous solution. A 6 mmol solution was prepared (73.05 mg
of complex in 10 mL of distilled H2O), and then a series dilution performed to make the
other concentrations. The samples of different concentration were then allowed to
incubate in a dry bath at 37°C (to simulate body temperature) for a minimum of 10
minutes. After incubation samples were run individually in a Bruker 20 MHz minispec
and T1s were recorded. The inverse of T1 was then plotted against concentration and the
slope measured to give the relaxivity. These samples were then allowed to sit at room
temperature for one week, and then measured again to confirm results.
14
�Human plasma was then purchased from the Red Cross. A 6 mmol solution was
prepared using iron(3,5-Bis(dimethylsulfonamide)catechol) and the plasma. A series
dilution was then carried out. The same methods as those for the aqueous samples were
followed; incubation at 37°C, T1 of all concentrations measured, and then determination
of relaxivity from these data.
III. Results
The spin lattice relaxation time for the aqueous solutions of varying
concentrations increases at the concentration decreases, as predicted. The values are
shown in Table 1:
Concentration (mM)
T1 (ms)
5.25
94.01
4.5
110.5
4.0
122.0
3.0
162.1
1.5
307.2
0.75
558.9
Table 1
The inverse of T1 was plotted against the concentration and the relaxivity was
found to be 1.959 mM-1s-1. The plot of this slope is shown in Figure 2. The spin lattice
relaxation times for the Fe(III) complex in human plasma were lower than those of the
aqueous solutions, as seen in Table 2:
Concentration (mM)
T1 (ms)
6.0
50.90
5.0
59.13
4.0
69.24
3.0
84.10
2.5
96.00
2.0
111.6
1.0
192.0
0.5
374.0
Table 2
15
�0.014
0.012
0.01
0.008
0.006
0.004
0.002
0
0
1
2
3
4
5
6
Concentration (mM)
Figure 2: Plot of 1/proton relaxation rate against concentration in water
The inverse of T1 was plotted against the concentration and relaxivity in plasma
was found to be 2.978 mM-1s-1. The graph of this data is shown in Figure 3.
0.025
0.02
0.015
0.01
0.005
0
0
1
2
3
4
5
6
Concentration (mM)
Figure 3: Plot of 1/proton relaxation rate against concentration in human plasma
16
�IV. Discussion
The results of this study support nearly all of our hypotheses. The relaxivity (R1)
of 3,5-Bis(dimethylsulfonamide)catechol increased from 1.959 mM-1s-1 to 2.978 mM-1s-1.
This increase is probably due to the fact that human plasma is a 4.5% HSA solution. This
also shows that this low molecular weight complex [3,5-Bis(dimethylsulfonamide)
catechol] formed a macromolecular contrast media with HSA in vitro.
Table 3 shows some comparative data of other 3,5-disubstituted sulfonamide
catecholate ligands, and a gadolinium based contrast agent. This data was collected by
the Research Laboratories of Schering AG in Berlin, Germany. The relaxivity of iron3,5-Bis(dimethylsulfonamide)catechol is within the same range as the other catechol
derivatives but have greater relaxivites than typical six-coordinate, coordinatively
saturated compounds. Although the relaxivity of the gadolinium based compound was
much greater than the iron based compounds, this research and further research is being
conducted to show that these iron based complexes can be just and effective, if not more
of an effective contrast agent, along with being less toxic and dangerous.
R1 (H2O) (mmol-1s-1)
R1 (plasma) (mmol-1s1
)
2
3
1.9
4
Fe-3,5-bis[di(2methoxyethyl)sulfonamide]catechol
2
3
Fe-3,5Bis(morpholinesulfonamide)catechol
1.9
3.7
Gd-EOB-DTPA
Table 3
5.3
8.7
Compound
Fe-3,5Bis(dimethylsulfonamide)catechol
Fe-3,5Bis(diethylsulfonamide)catechol
The next step in this research process is to determine exactly which site these
ligands bind to on human serum albumin. As mentioned before HSA is a carrier for a
multitude of molecular compounds within the body. Knowledge of approximate location
of the primary sites provides an excellent starting point for docking experiments that can
be used to find the best orientation of the contrast agent and determine residues involved
in the binding interaction (2). Ideally, determination of the crystal structure of HSA with
the bound contrast agent would provide the exact location of the binding sites, identify
17
�the residues involved in the binding, and determine the change in the tertiary structure of
the protein upon binding (2).
V. Conclusions
This research has demonstrated that iron–based contrast agents for MRI are
viable alternatives to gadolinium-based agents in the design of MMCM. One intravenous
and two oral contrast agents utilizing manganese and iron as paramagnets have already
been approved for clinical use in many countries. The natural biochemistry of these
metals makes a greater knowledge base on the distribution of the ions and their
complexes in the body available for researchers to exploit and extend upon, allowing for
development of targeted agents. The inherent low relaxivity of the non-gadolinium-based
contrast agents may be enhanced by designing complexes that interact with serum
proteins and other macromolecules. While it is not known if the relaxivities of nongadolinium-based agents will ever surpass the highest of those of gadolinium-based
agents, the opportunity for targeted, high-relaxivity agents is there (4).
VI. Acknowledgements
I would like to acknowledge the Megerle Foundation for providing financial
support for this research, and the Davies Group at the University of Toledo for supplying
the ligand system.
VII. References
1.
Richardson, N, P. Development of Iron(III) Complexes That Bind to Human Serum
Albumin. The Petroleum Research Fund Grant Application, 2002.
2.
Casper, J, J. In Vivo and In Vitro Evaluation of Metal Chelates as Macromolecular
Contrast Media for Magnetic Resonance Imaging. University of Toledo, 2002.
3.
Lauffer, R, B., Paramagnetic Metal Complexes as Water Proton Relaxation Agents
for NMR Imaging: Theory and Design. Chem. Rev. 1987 87, 901-927.
4.
Schwert, D,D.; Davis, J, A.; Richardson, N, P. Non-Gadolinium-Based MRI Contrast
Agents; in Topics in Current Chemistry, W.Krause, Editor. 2002. Springer-Verlag:
Berlin.
5.
Richardson, N, P. Development of Iron(III)-based Magnetic Resonance Imaging
Contrast Agents That Bind to Plasma Proteins. Cottrell College Science Awards
application, 2000.
6.
Davies, J,A.; Heffner, P,E.; Ji, G.; Keck, R.; Raduchel, B.; Richardson N.; Schwert,
D. Synthesis of 3,5-disubstituted sulfonamide catechol ligands and evaluation of
their Fe(III) Complexes for Use as a Magnetic Resonance Imaging Contrast
Agents.(in preparation).
18
�7.
Richardson, N.P.; Davies, J.A.; Raduchel, B.; Iron(III)-based Contrast Agents for
Magnetic Resonance Imaging. Polyhedron 1999; 18(19): 2457
19
�Pluto: Captured Comet or Legitimate Planet?1
Michelle Bingham (English) and Dr. Gregory J. Falabella (Physics)
I. Introduction
For as long as I can remember, I have been taught that Pluto is a planet. They
told us Pluto was a planet in the third grade, so it must be true, right? Well what if they
were wrong? What if Pluto wasn’t really a planet at all, but rather a comet? This research
gives credence to the theory that Pluto is a Kuiper Belt object whose trajectory was
altered by Neptune’s massive gravity.
Where did this crazy theory come from and more importantly is it credible?
Well recently, the Hayden Planetarium in New York City helped to give conviction to
this speculation. Instead of displaying Pluto as a planet, they simply lump it together with
a group of icy bodies known as Kuiper Belt objects. To be specific, the Solar System
exhibit is currently set up so that the onlookers see a display of each planet, except Pluto,
which is covered by a metal plaque drilled over the original presentation. The plaque
states, “Beyond the outer planets is the Kuiper Belt of comets, a disk of small icy worlds
including Pluto.” Was the Planetarium justified in undermining Pluto’s status as a planet?
Pluto is clearly a misfit. It cannot be classified as a terrestrial or jovian planet
and does not fall into the well-ordered framework of the solar system. Smaller than the
Earth’s moon, composed of 70-80% of rock, surrounded by layers of frozen water,
methane and nitrogen and having an eccentric orbit tilted 17o from the ecliptic plane,
Pluto has more in common with Kuiper Belt objects. As does its 2:3 orbital resonance
with Neptune which is identical to that of other Kuiper Belt objects which tend to revolve
around the sun twice for every two revolutions Neptune makes.
But astronomers have been aware of these peculiarities for many decades so why
now all of the fuss? In 1992 the first object orbiting the sun beyond Pluto was discovered
(1). Since then hundreds of other bodies have been found and catalogued orbiting the
Sun just beyond Neptune at distances of 40-60 astronomical units. Many astronomers
now believe that Pluto is the largest of a family of chunks of rock and ice. Still, the
majority of professional astronomers is reluctant to reclassify Pluto and defeated a motion
placed before the International Astronomical Union in 1999. This reluctance to
downgrade Pluto’s status, however, may soon change. In 2001 an object approximately
half the size of Pluto was discovered. Named Quaoar this is the largest object found in
1
Presented at the 57th Eastern Colleges Science Conference in Ithaca, NY
20
�the solar system since Pluto was discovered by Clyde Tombaugh in 1930(2).
Furthermore, recent evidence suggests that some of these Kuiper Belt objects have
satellites similar to Pluto’s moon Charon which interestingly has the exact same
composition as Pluto(3).
II. Governing Equations and Solution Procedure
Is it possible, and moreover is it probable, that a large Kuiper Belt comet could
have strayed too close to Neptune sometime in the past and had its orbit forever changed
to that of Pluto or is this just another theory attempting to explain an oddball planet like
the speculation that Pluto was originally a satellite of Neptune ejected by some
catastrophe? In response we set out to model the scenario and substantiate our theory.
This amounts to using Newton’s Law of Gravitation and Newton’s Second Law of
Motion to determine the change in trajectory that would result if a Kuiper Belt object
came under the influence of Neptune’s strong gravitational pull.
Newton' s 2nd Law of Motion
F = ma
F=
GMm
r2
Newton' s law of Graviation
To do this we must model the Sun, Neptune and Pluto yielding a three body
problem that can be expressed mathematically
&r&1 =
&r&2 =
&r&3 =
Gm2
r2 − r1
3
(r2 − r1 ) +
3
(r1 − r2 ) +
3
(r1 − r3 ) +
Gm1
r1 − r2
Gm1
r1 − r3
Gm3
r3 − r1
3
(r3 − r1 )
3
(r3 − r2 )
3
(r2 − r3 )
Gm3
r3 − r2
Gm2
r2 − r3
Although very intimidating, these equations illustrate that Pluto’s displacement is
determined by its initial velocity, the force of Neptune and the force of the Sun.
Similarly, Neptune’s trajectory is a result of its original momentum and the gravitational
pull of Pluto and the Sun. The above system consists of three coupled non-linear, partial
differential equations. It is difficult to solve and hence readily lends itself to a numerical
21
�solution. As a result the software package Interactive Physics™ was utilized to model the
scenario and the resulting mechanics.
At the start of each simulation the initial positions and velocities are given. The
computer program then computes the acceleration due to gravitational fields present and
determines the location of each body at some later time. The increment in time is kept
small enough so that the acceleration can be assumed constant over each time interval
with no loss of accuracy. As a result, the equations of motion shown below can be
utilized. Through an iterative process entire trajectories are obtained.
r& = r&o + &r&∆t
1
2
r = &r&(∆t ) + r&0 ∆t + r&0
2
III. Results
Many different simulations were run with comets of varying eccentricities and
semi-major axes. Most of the time these comets were ejected out of the solar system or
into greater orbits after contact with Neptune’s immense gravity. A few were slowed
down and were sent into orbits that would have made a collision with another planet or
the sun a near certainty. Two simulations transformed the comet’s path into one similar
to that of Pluto and one of them was extremely accurate.
It began with a comet orbiting the sun (figure 1) with an eccentricity of 0.913
and an aphelion of 63.3 Au (well beyond the orbit of Neptune). The comet came within
200,000 km of Neptune and then had its orbit altered (figure 2) to one almost identical to
that of present day Pluto. As table 1 and figure 3 show the simulation is surprisingly
accurate. It is only in error with regard to the amount of time Pluto spends inside the
orbit of Neptune indicating that Neptune is the farthest planet for 30 out of every 248
years. In actuality Neptune is farther away from the Sun for 20 out of every 248 years as
it was from 1979 to 1999.
IV. Conclusions
When the solar system formed it is likely that many small icy bodies filled the region
between Neptune and the edge of the solar system. As our simulation indicates Kuiper
Belt objects interacting with Neptune’s gravity would most likely be kicked into greater
orbits taking them outside the confines of the solar system or into the inner system and an
™
Interactive Physics is a trademark of MSC Software Corporation
22
�60
orbit of a Kuiper Belt object
the Sun
50
40
Y(AU)
30
20
10
0
-10
-10
0
10
20 30
X (AU)
40
50
60
Figure 1: A typical Kuiper Belt comet
Neptune
Pluto (simulation)
50
40
30
Y(AU)
20
10
0
-10
-20
-30
-40
-40
-20
0
X (AU)
20
40
Figure 2: Comet after interacting with Neptune’s gravity
23
�Table 1: Pluto’s Orbit
Orbital Data
Simulation
Textbook(4)
Percent Error
Aphelion
49.7 AU
49.3 AU
0.81
Perihelion
28.4 AU
29.7 AU
4.3
Orbital period
243.7 years
248.0 years
1.7
Eccentricity
0.272
0.249
9.2
Not the most distant planet
30 years
20 years
50.0
imminent demise. This would seem to explain the dearth of comets orbiting at 30-50AU.
Interestingly it was, however, confirmed that it is possible under certain circumstances
for the gas giant’s gravity to have altered a comet’s trajectory so that it would revolve
around the sun in a path almost identical to that associated with the planet Pluto.
V. Acknowledgments
The authors would like to thank Drs. Eva and George Megerle for the generosity and
continuous support that made this research possible.
VI. References
1.
Freeman J. Dyson, “Hidden Worlds: Hunting for Distant Comets and Rogue
Planets,” Sky and Telescope, 87, 26-30 (January 1994).
2.
Tony Reichhardt, “Discovery of giant asteroid gives Pluto a rocky outlook,” Nature
419, 546 (10 Oct 2002).
3.
Ron Cowen, “Nine planets or eight? Probing Pluto’s place in the solar system,”
Science News, 159, 360-361 (June 2001).
4.
Eric Chaisson and Steve McMillan, Astronomy Today, 3rd edition, Prentice Hall,
New Jersey (1999).
24
�Neptune
Pluto (simulation)
Pluto (actual orbit)
50
40
30
Y(AU)
20
10
0
-10
-20
-30
-40
-40
-20
0
X (AU)
20
40
Figure 3: Comparison between the simulation’s result and Pluto’s actual orbit
25
�Autism and the MMR Vaccination
Stephanie Capasso1 (Nursing)
I. Introduction
The purpose of this study was to examine the relationship between the measles,
mumps, and rubella vaccine (MMR) and the development of autism in children. It
investigated the link between the MMR vaccine and bowel problems and autism as
identified by Dr. Andrew Wakefield in 1998. Since the release of Wakefield’s study
many copycat studies and research has been conducted. The majority of research
conducted since Wakefield’s suggests that there is no link between autism and the MMR
vaccination. The most well known study that opposes Wakefield’s theory was conducted
by Brent Taylor, who concluded that if there were a link between autism and the MMR
vaccination then a greater number of children who had been vaccinated would have
autism. On the other hand, researchers such as Brewitt and Sandler report that there is
reason to believe that Wakefield’s theory is valid. It is necessary to continue researching,
especially on a larger scale to study the evidence of a link between the measles and
autism and the prevalence of autism and its relationship to the MMR vaccination. The
purpose of this study will be to determine if there is a link between autism and the
measles, mumps, and rubella vaccine. The independent variable of this study was the
MMR vaccination and the dependent variable of this study was autism.
II. Research Questions and Hypothesis
1) What is the relationship between the MMR vaccine and the development of autism in
children?
2) Does the MMR vaccine have any relationship to bowel problems in children with
autism?
3) Do the risks of not being vaccinated outweigh the possibility of a link with autism?
Hypothesis- The development of autism in children is unrelated to the MMR vaccine.
III. Review of Related Literature
Taylor, Miller, Lingam, and Andrews (2002) conducted a study to investigate
whether the measles, mumps, and rubella (MMR) vaccination is associated with bowel
problems and developmental regression in children with autism. The researchers used
1
Research performed under the direction of Dr. Lauren E. O’Hare (Nursing)
26
�Wakefield’s theory of a link between the MMR vaccine and autism. The researchers
looked for evidence of a new form of autism, where developmental regression is reported
to follow shortly after MMR vaccination, typically accompanied by bowel symptoms.
They found no correspondence between behavioral disturbances, including regression,
shortly after MMR vaccination. They did speculate that “It is possible that the onset of
MMR induced “regressive autism” with “autistic enterocolitis” may occur after a
prolonged induction interval and, in addition, requires the presence of cofactors such as
an infection, use of antibiotics, a history of atopy, a family history of autoimmune
disease, or MMR or rubella immunization of mother shortly before or during pregnancy
(p. 393-394).”
This article is relevant to the study because it showed that the proportion of children with
developmental regression or bowel symptoms did not significantly change with the
introduction of the MMR vaccine. No support for an MMR associated “new variant”
form of autism with developmental regression and bowel problems was found.
The Exceptional Parent (2002) published an article that stemmed from
Wakefield’s study on the link between autism and the MMR vaccine. It then went on to
discuss other studies worldwide that opposed Wakefield’s view that there was a link,
such as studies done by the American Academy of Pediatrics and the Centers for Disease
Control and Prevention. It then reviewed Taylor’s 1999 study that argued against a link
between autism and the MMR vaccine. Taylor’s most valid points were that the number
of autism diagnosed cases has risen sharply since 1979, but there was no sharp increase
after doctors started using the MMR vaccination and by age two vaccination coverage
among children with autism was the same as vaccination coverage for children the same
age who did not have autism. If the MMR vaccine and autism were linked, then a greater
number of children who had been vaccinated would have autism. Also, the first signs of
autistic behavior or the first diagnosis was no more likely to occur in time periods
following the MMR vaccine than other time periods. The National Institute for Health
(NIH) is funding research to help continue examining the possible link and their largest
project to date studies 100,000 children from birth to age 20 to track their growth and
development and genetic blueprints. Finally, this article provides evidence that there is
no link between the MMR vaccine and autism. However, it does address ongoing studies
to oppose these findings.
Heller, Heller, Pattison, and Heller (2001) discussed a professional’s view of
giving the MMR vaccine. The researcher’s stated that only 45 percent of professionals
completely agree with giving the second MMR dose. The authors then quote Wakefield
and some of his opponents about the link between the vaccine and autism. Finally, the
authors explain the devastating effects of not immunizing children at all and the benefits
outweigh the risks.
27
�In conclusion, the physicians addressed professional views about administering vaccines
that may be controversial to some people. They stated that they were not hesitant to
administer the vaccine because there was not sufficient evidence to support Wakefield’s
hypothesis.
Brewitt (2002) stated that there was a possible relationship between autism and
the MMR vaccination, as Wakefield had suggested. She went on to define autism as a
neuro-biological disorder linked to the measles. She stated the similarities as being: a
strain of the measles virus that is found in 30 percent of autistic children’s gastrointestinal tracts, immune system abnormalities, and areas of the brain affected by autism
and the measles are similar. Finally, the author states that although much research is
needed, “the evidence linking the onset of autism to children receiving the MMR vaccine,
and the measles symptom profile to the autistic symptom profile are too strong to be
ignored (p.70).”
Miller (2001) brought about new evidence that does not support Wakefield’s
theory. This evidence is based on studies conducted since 1999 that counter-act his
theory. Researchers found that the MMR vaccine is highly effective and only rarely
causes serious side effects and by giving the vaccine at separate intervals (as suggested
by physicians) means that children are no longer protected against all three diseases as
early as possible. Additionally, children would need six injections instead of two, and
separate vaccines are not licensed in this country. In conclusion, considerable evidence is
provided to support the use of the MMR vaccine. It provides significant evidence that
supports immunizing because the risks of not immunizing can be life threatening.
Sandler (2002) discussed recent controversies regarding a link between the
MMR vaccine and autism and a new phenotype of autism. “Autistic enterocolitis” is
supported by Sandler because she reported that childhood disintegrative disorder has
become more frequent, the mean age of first concern for autistic children exposed to the
MMR vaccine is closer to the immunization age than children not exposed to the MMR
vaccine, regression is more common in autistic children vaccinated with MMR, the age
of symptom onset clusters around the immunization date of immunized children, and
regressive autism is related with gastrointestinal symptoms. Lastly, Sandler addresses the
possibility that a link exists between the MMR vaccine and autism. She points to the
need for additional research, while pointing out existing statistics that support
Wakefield’s theory.
Kubetin (2001) addressed a study done at Boston University, which included 305
children diagnosed with autism between 1988 and 1999 (the year the MMR vaccine
was first introduced in England). The study found that between 1988 and 1993, the
risk of diagnosed autism increased fourfold. Additionally, they found that MMR
vaccination rates remained constant during that period at 97 percent. Thus, the 572
28
�percent increase in autism cases from 1980 to 1994 far exceeded the modest increase
in MMR coverage. To conclude, the rate of diagnosed autism succeeded the rate of
MMR vaccinations per year by four times. When the rate of autism increased
dramatically between 1980 and 1994, the immunization rates remained stable, thus
this was not the variable that caused the sharp rise in the diagnosis of autism.
Gorman (2002) reported that there is no difference in the autism rates of
children who received the MMR vaccine and those who did not. The article described a
study ongoing in Denmark where researchers are analyzing health records of every child
born from 1991 through 1998. The study revealed that no link existed between autism
and the MMR vaccine. The results were soundly based due to the fact that Denmark’s
medical system has generated the most complete health records of any country.
Investigators were able to document those who were or were not vaccinated and the rate
of autism as it developed. The research found that there was no difference in autism rates
between vaccinated and unvaccinated children in Denmark. There was also no clustering
of autism diagnoses in the weeks and months after vaccination. This was the largest,
most complete study conducted on the subject.
IV. Methods
The target population for this study was children with autism. The criteria for
sample selection was:
(a) Children with autism between two and eight years of age,
(b) Children whose medical records and vaccination records are available since birth,
(c) Patients still living.
Autistic children were randomly selected from two pediatricians’ medical
records. The physicians provided the listings of children in their care with autism who
received the MMR vaccine and those who did not receive the MMR vaccine. After
randomly selecting ten children with autism, the researcher reviewed the children’s
medical records to identify key similarities in events preceding the diagnosis of autism
and the MMR vaccine in relation to their autism. The ex-post facto (or correlational)
research method was utilized as the research design.
After review and approval from two local pediatricians, the study was conducted
to determine if a relationship exists between the MMR vaccination and the development
of autism in children. The researcher randomly selected ten autistic children and
reviewed their immunization records to determine which children received the MMR
vaccination at the appropriate times (fifteen months and a booster at four to five years
old). The following information was used when collecting data:
The information was organized according to two groups:
(1) Children who received the MMR vaccination at fifteen months and
29
�(2) Children who did not receive the MMR vaccination at fifteen months.
The second group was further classified according to whether the children did
not receive the immunization because of parental opposition or because of other reasons
such as immunodeficiency or long-term illness. This information was gathered by
reading the physician’s notes and verbal communication with the physician. Next, the
medical records were reviewed to determine when the child was first diagnosed with
autism and when the symptoms began to be present before the child received the
vaccination.
For the purpose of this study, the following terms will be operationally defined:
Autism is a neuro-biological disorder whereby children do not communicate or
espond in the same manner as the general population. Autistic children have
developmental delays that impair social interactions, verbal and non-verbal
communications, ability to make eye contact, and speech (Brewitt, 2002).
The Wakefield Study is a study that was conducted by Dr. Andrew Wakefield in
England that implicated the measles, mumps, and rubella (MMR) vaccine to autism.
This study was widely published in 1998 and caused frenzy amongst parents, which
lead to a worldwide ban of the MMR vaccine by some parents (Brewitt, 2002).
The Measles, Mumps, and Rubella (MMR) Vaccine is a suspension of killed viruses,
administered for the prevention of the measles, mumps, and rubella viruses (Brewitt,
2002).
Bowel problems are noted as constipation, constipation and diarrhea, diarrhea, food
allergy, and/or non-specific colitis (Anonymous, 2002).
The following tools will be utilized to collect data:
This study used review of medical charts and physician interviews to investigate
the relationship between exposures to the MMR vaccine in relation to the onset of autism.
This study has strength and weaknesses of the data collected. First, the charts were read
thoroughly and notes were recorded in regards to them. Notes were taken on the child’s
age, vaccination dates or absences, autistic development stage and related syndromes,
available family history, and overall health. A chart review data sheet was created to
organize information concerning child’s age, diagnostic symptoms, vaccination age (if
applicable), and other risk factors for autism. In addition, all notes and questions were
clarified, as to accuracy of charted findings and thoroughness through informal physician
interviews. Although the reviewing of medical charts was based on interpretation by the
researcher, the information read was clarified, through interviews with the physician who
took the notes and had insight into the precision of the notes. Also, there was only one
physician’s note and record for each child, which limited the data to the physician’s
30
�interpretation, observations, questions, and views. The chart review data sheet was
utilized to organize the information found in the medical charts and the physicians’
interview to create a clear picture of the autistic group that was being studied.
V. Results
The statistical testing method used in this study was a chi-square test. A chisquare test was the best method for testing this data because a chi-square test is a
nonparametric procedure used to test hypotheses about the proportion of cases that fall
into various categories. The two independent categories in this study were children with
autism that received the MMR vaccination children with autism that did not receive the
MMR vaccination. The results of the chi-square test indicate that there is a greater
occurrence of autism occurring after vaccination than would have occurred by chance.
The obtained value of 1.600 (x=1.600) is substantially larger than would be expected. If
receiving the MMR vaccination has no correlation with the development of autism in
children, then there should be no significant differences between the results autistic
children that received the MMR vaccine and autistic children that have not received the
MMR vaccine (Polit, Beck, and Hungler, 2001).
The researcher identified ten children with autism between the ages of two and
eight years old. Of the ten children, seven received the MMR vaccination and three did
not. The three children who did not receive the vaccination did not receive it due to
immunodeficiency, parental opposition, and long-term illness (See data review sheet).
Four out of seven of the children who received the MMR vaccination presented definite
symptoms of autism before being vaccinated (See data review sheet). The results showed
a strong possibility that the MMR vaccination is a contributor to autism. In the study,
three children developed autism after receiving the MMR vaccine. Although other
studies conducted state that no relationship exists between the development of autism and
the MMR vaccination, there is need for more complete research. None of the research
done thus far has studied large and varied groups of children. A large-scale study done
on children from birth until adolescence would give accurate numbers about the
relationship between autism and the MMR vaccination and could also give insight to
possible contributors to autism. Until a large size study is conducted to determine the
safeness of the vaccine, parents and physicians will hesitate to vaccinate children and
may be causing more harm to the children by not vaccinating them.
31
�VI. Limitations
Although there are numerous clinical studies that stand behind the theory that
the MMR vaccination does not cause autism in children, there is still evidence that a
possible relationship exists. This study was conducted with a limited sample size in one
demographic region of the United States. Also the study was limited to two physician’s
observations and medical records. Finally, a study this small is limited in resources and
time.
VII. References
(Anonymous, 2002). Autism and the MMR vaccine. The Exceptional Parent, 32, 2, p. 7680.
Brewitt, B. (2002, January). Autism, MMR vaccine, HIV similarities and growth factor
cell signaling. Townsend Letter for Doctors and Patients, (4), p.70-75.
Gorman, C. (2002, November 14). Do vaccines cause autism? Time Magazine, p. 37.
Heller, T., Heller, D., & Pattison, S. (2001, October 13). Vaccination against mumps,
measles, and rubella: Is there a case for deepening the debate? British Medical
Journal, 323, (7317), p.838-840.
Kubetin, S.K. (2001, September, 1). MMR vaccine is not behind sharp rise in autism
cases. Family Practice News, 31, (17), p.2.
Miller, E. (2001, October). MMR vaccine- worries are not justified. Archives of Disease
in Childhood, 85, (4). Full text article Retrieved November 21, 2002, from the Infotrac
Health Reference Center.
Polit, D., Beck, C.T., and Hungler, B.P. (2001). Essentials of Nursing Research:
Methods, Appraisal, and Utilization. New York, NY: Lippincott. Preboth, M. (2002, May
1). HTAC report on MMR vaccine and autism. American Family Physician, 65, (9), p.
1944.
Ricks, Delthia. (2002, November 7). Study finds no link between autism and
vaccinations. The Staten Island Advance, p. A-6.
Sandler, A.D. (2002, April). Autism and MMR. Journal of Developmental & Behavioral
Pediatrics, 23, (2), p. 122.
Taylor, B., Miller, E., Lingam, R., & Andrews, N. (2002) Measles, mumps, and rubella
vaccination and bowel problems or developmental regression in children with autism:
Population Study. British Medical Journal, 324,(7334), p. 393-396.
32
�Appendix A: Chi-Square Test
FREQUENCIES
VACCINE
Observed N
1
7
2
3
Total
10
Expected N
5
5
Observed N
1
3
2
7
Total
10
Expecter N
5
5
Residual
2
-2
SYMPTOM
Residual
-2
2
TEST STATISTICS
Chi-Square
df
Asymp. Sig.
Vaccine
1.6
1
0.206
Symptom
1.6
1
0.206
33
�34
�Section III: Social Sciences
�The Effects of Conscious Sedation on Anxiety
in Oral Surgery Patients
Dina Gramegna1 (Nursing)
The increasing use of conscious sedation to perform surgical procedures in patients with
anxiety and dental phobia is accredited to the increasing demand to conduct treatment in
a time effective manner without subjecting patients to further anxiety. The purpose of
this research was to examine the effects of conscious sedation on anxiety in oral surgery
patients. This study is based on Fred Quarnstrom’s theory which postulates that the lack
of sedative anesthesia can be attributed to a patient’s apprehension. This study consisted
of twenty selected patients – ten who chose local anesthesia and ten who chose conscious
sedation for oral surgical treatment. The age range in both the experimental and control
groups were the same, twenty-one to thirty-one years of age. The subjects were English
speaking patients with no known medical history. The findings of this study indicated
that patients who selected conscious sedation were less anxious during both pre-operative
and post-operative periods when compared to patients who opted for local anesthesia.
Findings suggest that as anxiety levels decreased, pain management increased during the
post-operative period for consciously sedated patients. Further studies need to examine
the use of conscious sedation on anxious patients without outside influences such as cost.
I. Introduction
The growing use of conscious sedation to perform surgical procedures in
patients with anxiety and dental phobias is attributed to the increasing demand to conduct
treatment in a time efficient manner without subjecting patients to further anxiety. In the
oral surgical field patients who are not sedated are visually, aurally and mentally aware of
the procedures being performed. Conscious or intravenous sedation is used to alleviate
anxiety without exposing the patient to the entire surgical procedure. Conscious,
intravenous sedation has a rapid onset of action, because the patient has an intravenous
access in place throughout the procedure, additional medication can be administered as
needed to keep the analgesic effect. Intravenous medication concentrations can be titrated
to achieve the level of sedation desired. The patient is placed in a relaxed sleep state but
can be aroused when needed to aid the surgeon during the treatment. Patients, awake in
1
Research performed under the direction of Dr. Lauren E. O’Hare (Nursing)
36
�an amnesic state, remember only the insertion of a butterfly needle prior to surgery.
Unlike general anesthesia, patients who are under conscious sedation can be asked to
follow verbal commands and directions while undergoing surgery.
If minimizing a patient’s anxiety through conscious sedation is an acceptable
concept in healthcare, there should be substantial evidence to support this analgesic
method with respect to oral surgery. Therefore, the purpose of this study is to
experimentally determine whether or not conscious sedation reduces anxiety in patients
undergoing oral surgery.
The independent variables were patients awaiting oral surgery and opting for
either conscious sedation or local anesthesia and the dependent variable was anxiety
levels.
Research Question(s) and Hypothesis
This research study answers the following research questions:
1. Does conscious sedation reduce anxiety levels?
2. Does the concept of being sedated create anxiety in patients awaiting oral surgery?
3. Is anxiety related to pain management?
It was hypothesized that the effects of conscious sedation aids in pain
management and reduces anxiety in patients awaiting oral surgery.
Review of Literature
A common problem that oral and maxillofacial surgeons face is a patient’s fear
and anxiety regarding the pain and discomfort associated with their treatment
(Desjardins, 2000). Management of the anxious patient is a major concern in oral health
care because behavior can range from cooperative to unmanageable. Unmanageable
behavior can present a hazard to the patient or hinder the procedure performance. Dental
professionals are trained in sedative techniques that can alleviate patient anxiety and/or
control disruptive behaviors in the course of dental treatment (Dougherty, Romer &
Perlman, 2002).
The management of pain and anxiety is a major challenge for oral and
maxillofacial surgeons. Zunuga (2000) found in oral surgery that control of patient
anxiety assumes a significant role in overall patient management. He states the less
anxious a patient is, the more easily and efficiently treatment can be performed. In a
study conducted by Quarnstrom (1997) it was found that one can achieve better pain
control through relaxation. His theory states that the lack of sedative anesthesia can be
attributed to a patient’s apprehension.
Pain and anxiety control involve the application of various physical, chemical
and psychological modalities aimed at preventing and treating pre-operative, intra37
�operative and post-operative patient anxiety and pain (Zuniga, 2000). Conscious,
intravenous sedation is an important factor to manage a patient’s pain and anxiety
(Berkowitz, 1997). The goal of conscious sedation is to minimize anxiety, while making
that patient comfortable and cooperative. Conscious, intravenous sedation minimally
depresses consciousness while managing anxiety and pain. The ability to sedate and relax
patients intra-operatively will allow procedures to be more comfortable and will cause a
reduction in fear and anxiety.
Once patients are relaxed through sedation, adequate pain control is almost
always possible. Minimizing anxiety will dramatically increase the quality of care
received by patients undergoing surgery.
The theoretical framework for this study is Quarnstrom’s concept that conscious
sedation will reduce anxiety in patients undergoing oral surgical treatment.
II. Methods
Subjects were included in this study based on their decision to undergo an oral
surgical procedure by either being consciously sedated and locally anesthetized, or by
having surgery performed using only a local anesthetic. The patients opting for conscious
sedation with a local anesthetic were classified into the experimental group while the
patients receiving only a local anesthetic were classified into the control group.
A sample size of twenty patients was used, ten in the experimental group and ten
in the control group. Five in each group were males and the remaining five from each
group were females. Subjects were within a ten year age range, between the ages of
twenty-one and thirty-one. The patients selected did not have a past or present medical
illness, were not taking any form of medication nor have any known allergies.
The study was conducted in an oral surgery practice in a suburban setting in
New York City. All participants involved in the study were English speaking new
patients, having no prior knowledge of the institution or of conscious sedation.
The medications used in conscious sedation were a combination of midazolam
(Versed), diazepam (Valium), methohexital (Brevital), fentanyl, glycopyrrolate
(Robinul), atropine, and dexamethasone along with the medications used to establish
local anesthesia –either carbocaine or lidocaine.
The research design for this study was a cross-sectional design, involving the
collection of data at two stages in time, pre-operative and post-operative. Pre-operative
and post-operative data was collected in a structured questionnaire format. Patients
received a pre-operative and post-operative questionnaire each containing ten statements
to evaluate anxiety on a five-item Likert scale as follows:
5 = Strongly agree
38
�4 = Agree
3 = No Opinion
2 = Disagree
1 = Strongly Disagree.
Pre-operative questionnaire statements:
1. I do not have a fear of needles, both intra-oral and intra-venous.
2. I am not afraid of visualizing my procedure.
3. I am not fearful of dental treatment or oral surgery.
4. I am comfortable with being able to hear the procedure.
5. I do not have a fear of being sedated.
6. I am not concerned with the after effects of the surgery.
7. I have not given much thought to coming in for surgery.
8. I am not concerned with being uncomfortable during surgery.
9. I feel the same now as I did prior to walking into the office.
10. I feel the same now as I did before taking this questionnaire.
Post-operative statements:
1. I did not experience any pain or discomfort during surgery.
2. I did not experience any pain or discomfort after surgery.
3. I am not as apprehensive as I was before the procedure.
4. I no longer have anxiety toward dental treatment or oral surgery.
5. I should have been less anxious prior to surgery.
6. There were other factors, aside from anxiety, that influenced me to choose
either conscious sedation or local anesthesia.
7. If I were in need of oral surgery in the future, I would definitely feel less
anxiety.
8. It is the increased knowledge prior to surgery, given to me by the oral
surgeon, which decreased my anxiety.
9. My anxiety has been reduced due to my own method (local anesthesia or
conscious sedation) of surgery.
10. If I were to have oral surgery again I would choose the same approach.
The experimental group was given an addressed stamped envelope and asked to
mail in their questionnaires after a twenty-four hour recovery period so that the effects of
the medication used in conscious sedation did not interfere with their answers.
After a review of initial medical history, the participants involved were asked if
they were willing to participate in the study. Each participant signed a consent form to
39
�allow the research findings to be released. The participants were made aware that this
study was for the purpose of a nursing research class at Wagner College.
Each participant received a number from one to twenty. The questionnaires were
also numbered one through twenty, allowing only the researcher to know which
questionnaire corresponds to which participant. The pre-operative questionnaires were
given to the patient after a review of the initial medical history, showing no past or
present illness, no use of medications and no allergies. The purpose of the study was then
explained to the patient. The patients were then asked how they will undergo surgical
treatment. If they were to be sedated, they were placed in the experimental group and if
they selected only local anesthesia they were placed in the control group. Those in the
control group were asked to fill out both their pre and post operative questionnaires
before leaving the institution. Those in the experimental group were asked to fill out the
pre-operative questionnaire prior to surgery and mail in their post-operative
questionnaire.
Once the questionnaires were returned, the scores from the questionnaires were
summed. The scores of the control group were then tabulated and compared with those of
the experimental group. The operational definition of variables showed low pre-operative
scores reflecting severely anxious patients while high scores reflected patients who were
less anxious just prior to surgery.
The post-operative questionnaire determined whether or not the participants
were more anxious of being sedated or if conscious sedation played an active part in the
reduction of anxiety.
III. Results
The summed scores from the Likert scale questionnaires administered pre and
post-operatively are reflected below. The numerical data received from the questionnaires
was evaluated to formulate a relationship between anxiety and those who received
conscious sedation with a local anesthetic and those who received only a local anesthetic.
A parametric paired t-test was used to determine the relationship between the
experimental and control groups (during both pre-operative and post-operative periods)
and the dependent variable, anxiety [See Tables 1 and 2].
Table 1: Paired Samples Statistics for the Control Group and Experimental Group
During Pre-Operative and Post-Operative Periods
Anxiety in:
Mean
Standard Deviation
Standard Error Mean
Control Group
2.0300
.05657
.04000
Experimental Group
3.0600
.36770
.26000
40
�Table 2: Paired Samples T-Test for Control and Experimental Groups
During Pre-Operative and Post-Operative Periods
Overall
Anxiety
Mean
Std.
Deviation
Std. Error
of Mean
t
Significance
ρ
ControlExperimental
1.0300
.31113
.02200
2.682
.0134
‹.05
The findings revealed that conscious sedation reduced anxiety levels during both
pre-operative and post-operative periods in the experimental group. As anxiety levels
decreased during the pre-operative period, there was a significant increase in pain
management during the intra-operative and post-operative periods for the experimental
group.
Mean scores and standard deviation were calculated for pre-operative and postoperative patients. The scores represent the mean levels of anxiety between both the
control and experimental groups. The lower the mean score the higher the anxiety level.
The reverse is also true, the higher the mean score the lower the anxiety level. [See Table
3]
Anxiety
Control Group
Experimental
Group
Table 3: Group Mean for Levels of Anxiety
Pre-operative
Post-operative
Pre-operative
Mean Values
Standard
Standard
Deviation
Deviation
0.946
0.058
1.99
0.967
1.688
2.80
Post-operative
Mean Value
2.07
3.32
Although both groups were anxious prior to surgery, the control group (nonsedated patients) showed an increased level of anxiety over the experimental group
(sedated patients). During the post-operative periods the experimental group
demonstrated a lower level of anxiety over the control group.
IV. Discussion
According to the results of this study, there were no violations to hypothesis
assumptions. It was found that conscious sedation decreased anxiety levels during preoperative and post-operative periods for the experimental group. The concept of being
sedated did not create an increase in anxiety in the experimental group. A reduction in
41
�anxiety increases pain management during the post-operative period for the experimental
group.
There were several limitations to this study, one being response set biases.
Participants may choose an extreme response – such as strongly agree or strongly
disagree – regardless of the amount of anxiety they are experiencing. To try and limit
these biased responses the participants were kept in a nonjudgmental atmosphere, asked
to answer the questions as honestly as possible, and were reassured that the responses
supplied will be kept confidential.
Another limitation was the cost of sedation. Many patients cannot afford to be
consciously sedated. Insurance companies view oral surgery as an ambulatory procedure
and do not deem sedation necessary. Many medical insurance companies do not
reimburse patients for conscious sedation. This imposed a limitation on the patient’s free
will to choose sedation as a method to reduce anxiety. Future studies should be conducted
where the cost of conscious sedation will not play a factor in the patient’s method of
choice.
V. References
Berkowitz, C., (1997). Conscious sedation: a primer. American Journal of Nursing,60(4),
(32).
Desjardins, P., (2000). Patient pain and anxiety: The medical and psychologic challenges
facing oral and maxillofacial surgery. Journal of Oral and Maxillofacial Surgery, 58(10),
part 2.
Dougherty, N., Romer, M., & Perlman, S. (2002). The use of sedation for the dental
patient with special needs. Journal of Dental Medicine, 32(4), (113-114).
Quarnstrom, F., (1997). Sedation of phobic dental patients with an emphasis on the use of
oral triazolam. Journal of Oral and Maxillofacial Surgery, 22(7), (451).
Zuniga, J., (2002) Guidelines for anxiety control and pain management in oral and
maxillofacial surgery. Journal of Oral and Maxillofacial Surgery, 58(10), (29).
42
�Redefining Love: The Interrelations Between
Love, Attachment Styles and the Triangular
Theory of Romantic Relationships
Jaime T. Carreno1 (Psychology)
Three popular theories of love were brought together, in an attempt to better understand
this baffling concept. The interrelations between triangular love type, love styles, and
adult attachment styles were of primary interest. One hundred college students were
surveyed. Relationships were found within love styles and within triangular love theory
components. Relationships were also found between love styles and the triangular theory
and between age and levels of commitment in relationships. Lastly a relationship was
found between attachment styles and triangular love type. The interrelations of these
three major love theories suggests an underlining essence of love. This research is a step
toward a more encompassing definition of love, which should take into account the way a
person loves (love style), the way a person feels about receiving love (attachment style),
and finally how a person comes to experience love (triangular love type) in a
relationship.
I. Introduction
Love is like time. Everyone knows what it is until one is asked to define it.
Researchers, who pride themselves in the creation of operational definitions of abstract
concepts, have made a number of attempts at defining love. Although a number of latent
and operational definitions have been presented, little has been done in having a universal
definition stemming from a fusing of major love theories. Moreover attempts to use love
as defined by the major love theories have many times overlooked the original concepts
proposed by their creators. This research attempts to analyze the concepts of love styles,
attachment styles, and triangular love type, while taking into account the theories set
forth by the originators.
Love styles are an individual’s personal theories of love. These theories are
related to the ways in which individuals tend to behave in romantic relationships
(Hendrick & Hendrick, 1986). These individual theories, originated from a proposed
typology of love by Lee (1973), who identified three primary types of love styles: Eros,
1
Research performed under the direction of Dr. Amy Eshleman (Psychology)
43
�Ludus and Storge. Eros lovers become involved very quickly, they are seen as romantic
and passionate. Ludus lovers are known as “game-players” who at times date more than
one person. Storge lovers seek similarity between themselves and their partners, they
often date friends. Lee then identified three secondary love styles: Pragma, Mania and
Agape. Secondary love styles are composed of two primary styles yet are qualitatively
different from their two derivatives. Each love style is distinctive. Pragmatic lovers (a
compound of Storge and Ludus) know what they want in a relationship and have a
“checklist” of conditions that must be met. Manic lovers (a compound of Eros and
Ludus) obsess over their partners; they experience extreme highs and lows in their
relationships, and are seen as possessive and dependent. Finally, Agapic lovers (a
compound of Eros and Storge) do not think of themselves, instead they focus on their
partners and what they can do for their partners (Hendrick & Hendrick, 1986). By
definition a person’s love style can only be one from this list of possible love styles,
therefore it is a nominal level variable.
The second equally influential theory of love has its origins in a three volume
collection by Bowlby (1969, 1973 & 1980), in which Bowlby sought to explain the
attachment ties humans have to their caregivers. Bowlby’s attachment theory grew out of
observations of infants and their primary caregivers. Ainsworth, Blehar, Waters, and
Wall (1978) took Bowlby’s general theory and condensed it into three styles of types of
attachment—secure, anxious/ambivalent, and avoidant. Hazan and Shaver (1987)
applied Ainsworth et al.’s classifications to adult romantic relationships. Hazan and
Shaver formed a three-item questionnaire to measure adult attachment styles, assigning
one item for each attachment style. Each item was worded in such a way to apply the
original concept of infant attachment styles to adult romantic relationships. Campos,
Barrett, Lamb, Goldsmith, and Sternberg (1983) obtained the percentages corresponding
to each attachment style in infants. Sixty-two percent of infants have secure attachment
styles, 15% of infants have anxious/ambivalent attachment styles, and 23% of infants
have avoidant attachment styles. Using these percentages as a baseline, Hazan and
Shaver (1987) observed similar percentages in their measure of adult attachment styles.
Adults who categorize themselves as secure composed 56% of the sample, 19% of adults
classified themselves as anxious/ambivalent and 25% considered themselves avoidant.
Secure attachment style is characterized by trust, lack of concern with being abandoned,
and the view that one is worthy and well liked. Avoidant attachment style is
characterized by a suppression of attachment needs, due to past refusals of attachment
needs. Finally, anxious/ambivalent attachment is characterized by a concern that others
will not reciprocate the individual’s desire for intimacy.
The third theory examined was a highly influential theory by Sternberg (1986),
who proposed that love was a collection of three components, intimacy, passion, and
44
�commitment, which together form to make a triangle (See Figure 1). Each of these three
components can vary in presence and intensity. Differing combinations of the three
components of love create a different type of love. Intimacy alone produces a liking
relationship. A friendship in which one feels closeness, bondedness and warmth, with the
absence of sexual attraction or a decision to share one’s life with the target person.
Passion alone produces a relationship of infatuation. Infatuations tend to be
instantaneous and are popularly referred to as “love at first sight”. They tend to be
characterized by psycho-physiological arousal, such as increased heart rate, increased
hormonal secretion, and swelling of the genitals. Commitment alone produces an empty
love. Empty love can be the result of a long term relationship in which two people have
made the decision to stay together even though there is no mutual emotional involvement
and the physical attraction has ended. Empty love can also be present at the beginning of
a relationship, such as in an arranged marriage. Romantic love is composed of intimacy
and passion. Romantic love is basically a close friendship with physical attraction. We
can see examples of romantic love in a story such as Romeo and Juliet where there is not
only a sexual attraction but also an emotional bond. Compassionate love consists of
intimacy and commitment. Compassionate love is essentially a long-term friendship.
This can happen in marriages in which physical attraction is absent. Fatuous love
consists of passion and commitment. This is a love that exists through a commitment
made because of passion. An example of this type of love is seen in Hollywood
marriages in which a couple meets and marries in a short span of time—although the
commitment and passion are present, the couple lacks sufficient time in acquiring an
emotional bond. Consummate love is a love consisting of all three of the components of
love. It is a love that is most withstanding and is what most couples strive to be. Nonlove is the absence of all three components of the love triangle. Aron and Westbay
(1996) distilled passion, intimacy, and commitment to a list of major features of each.
Features of passion included gazing at each other, euphoria, sexual appeal, physical
attraction, excitement, touching, laughing, and warm feelings. Features of intimacy
included openness, honesty, support, understanding, patience, caring, and trust. Lastly
features of commitment included devotion, protectiveness, loyalty, sacrifice, and longing
for each other when separated. Here again we can see that by definition a person can not
hold more than one position on the love triangle.
In recent years a small number of researchers have attempted to synthesize these
theories, usually by ignoring the “labeling” nature of the theories. Fricker and Moore
(2002) for example, attempted to correlate Hazan and Shaver’s (1987) attachment styles
with Hendrick and Hendrick’s (1986) love styles. It was found that secure attachment
styles were positively correlated with Eros love style (r=0.27; p=0.01) and anxious
/ambivalent (0.01).
45
�It is not difficult to see why some tend to classify both love styles and triangular
love type as a ratio of level variables, since operational definitions of both theories are
usually in the form of scales. However, upon inspecting the original theories (Lee, 1973,
Hendrick & Hendrick, 1986, and Sternberg, 1986, respectively) it is obvious that both
love styles and triangular love type are nominal variables. Therefore although level of
each type of love style or levels of the three components of the triangular theory of love
can be examined, by definition a participant can only be one love style or have one type
of love from the triangular theory, which consists of the three separate components.
Attachment styles do not usually experience the same misunderstanding since it seems to
be understood that the differing attachment styles are also nominal. This may be a result
of the Hendrick and Hendrick (1986) publishing a nominal form in which to measure the
variable.
The present study seeks to identify the relationships between the aforementioned
three major theories on love. We will examine the variables of love styles and triangular
love type in the manner most consistent with the original theory. The hypothesized
relationships are as follows:
I.
There is a relationship between attachment styles and love style. More
specifically the expected relationships are as follows: Participants who have a
secure attachment style are also likely to have Storge, Pragma, and Eros love
style. Participants who have an avoidant attachment style are also likely to have
Ludus love style. Participants who have an anxious/ambivalent attachment style
are also likely to have Agapic and Manic love style.
II. There is a relationship between love styles and type of triangular love. More
specifically the expected relationships are as follows: Participants who have a
Storge love style are also likely to have liking, consummate or companionate
triangular love type. Participants who have a Pragma love style are also likely to
have consummate triangular love type. Participants who have an Eros love style
are also likely to have romantic triangular love type. Participants who have a
Ludus love style are also likely to have non-love triangular love type.
Participants who have an Agapic love style are also likely to have an empty
triangular love type. Participants who have a mania love style are also likely to
have infatuation or fatuous triangular love type.
III. There is a relationship between attachment styles and triangular love type. More
specifically the expected relationships are as follows: Participants who have a
secure attachment style are likely to have a triangular love type of liking,
consummate, companionate and romantic. Participants who have an avoidant
46
�attachment style are likely to have non-love triangular love type. Participants
who are anxious/ambivalently attached are likely to have a triangular love type of
empty, infatuation, or fatuous.
II. Method
Participants
The random sample of resident students at a small private liberal arts college
was surveyed. From the original 1,286 questionnaires distributed to a random sample of
resident students, 100 were completed and returned to the designated drop-off sites
located on the campus.
Seventy-seven percent of the sample consisted of females. Thirty-six percent of
the sample consisted of freshmen, 20% sophomores, 26% juniors, 17% seniors, and 1%
graduate students. Ninety-two percent of the sample identified themselves as White, 3%
of the sample identified themselves as Black, 1% of the sample identified themselves as
Hispanic, 1% of the sample identified themselves as “other”. Eleven percent of the
sample classified their religion as “other”. The ages of the sample ranged from 17-21,
with the mean age of 19.12.
Materials
A questionnaire was constructed to gather the data of interest. The
questionnaire began with seven demographic and background questions, addressing
gender, school class status, race, religion, age, number of times in love, and whether or
not the participant was in love at the time he/she completed the questionnaire. In order to
determine each participant’s love style, Hendrick and Hendrick’s (1986) series of six love
styles scales were included, one for each love style. Each scale had seven items, rated on
a scale of 1 (strongly disagree) to 5 (strongly agree). Attachment styles were established
by asking each participant to circle the one item in Hazan Shaver’s (1987) three-item
attachment scale which best described them. A final scale was used to determine the
extent of each component of the triangular theory of love. The scale consisted of three
sub-scales, one for each component of the theory (intimacy, passion, and commitment),
which were adapted from Lemieux and Hale (1999). The intimacy and passion subscales each consisted of seven items, and the commitment sub-scale consisted of six
items. All three sub-scales were measured on a ten-point agreement scale, where
1=strongly disagree and 10=strongly agree. Three items were reversely-scored. Finally
participants were asked to identify which relationship was used in reference to the items
47
�on the questionnaire (present relationship, past relationship or a relationship they would
like to have in the future).
Procedure
A questionnaire package was placed in randomly selected residential student
mailboxes at Wagner College. In addition to the actual questionnaire each package
contained a numbered return envelope and a ticket numbered the same as the envelope.
Every participant was informed of the $50 raffle which would take place with the
returned envelopes. Those students who wished to participate placed their envelopes in
one of the designated drop-off locations around the campus.
The survey instructions informed participants that the study was designed to
examine the romantic relationships of college students. They were assured of
confidentiality and anonymity. Participation was completely voluntary. The participants
were provided with contact information if they wished to ask questions or learn the
results of the completed project.
III. Results
In order to analyze the three theories of love in the fashion most consistent with
the original theory, each participant had to be ascribed to one attachment style, one love
style and love triangular type. Attachment style for each participant was established by
the one item circled in Hazan and Shaver’s (1987) three-item attachment scale. Love
style was established by the highest score in each of the six love style scales developed
by Hendrick and Hendrick (1986). Ascribing each participant the love style that best
corresponds to the participant’s theories about love and behavior in relationships. Two
were eliminated from the love analysis. Both had two scales with the same high score.
In order to classify each participant into a love style a simple equation was
created, the J-Formula. The J-Formula is used to collapse a scale which measures
multiple components of a theory into present or not present for each component. In order
to establish the triangular love type of each participant, the J-Formula was used to
determine the presence of intimacy, passion and commitment. The J-Formula is as
follows:
(Highest level on subscale –Mdn level on subscale) x Nitems on subscale=J
If J≥ the Participant’s score, then that component is said to be present.
The J-Formula takes into consideration the average level of each component of the love
triangle (the median point of the scales), as well as the highest possible level (the highest point
in the scales) and determines the average between these two points. If one consistently
responds to each item in the scale above this level, then one can be said to have more than the
average level of this component of the love triangle (the component is present).
48
�Three hypotheses were tested and the following results obtained:
I.
Hypothesis 1: Using a Chi-Squared test no relationship was found between
participant’s attachment style and love style.
II. Hypothesis 2: Using a Chi-Squared test no relationship was found between
participant’s love style and triangular love type.
III. Hypothesis 3: Using a Chi-Squared test relationships were found between
attachment styles and triangular love type (p<0.01). The number of participants
who were securely attached and who had romantic love and consummate love
exceeded the number expected by chance, 21 to 19 and 21 to 15.1 respectively.
The number of participants who were avoidantly attached and who had non-love
exceeded the number that would occur by chance by almost three times (8 to
3.2). Finally, participants who were anxiously/ambivalently attached who also
had an infatuated triangular love type exceeded the number that would occur by
chance (3 to 2.2).
IV. Discussion
When the three theories were collapsed into the fashion most consistent with
their original theories, a relationship between attachment style and type of love was
found. Participants who were securely attached were more likely to also be in a romantic
or consummate relationship. Participants who were avoidantly attached were likely to
have non love. Finally, participants who were anxiously/ambivalently attached were
likely to have infatuated love. These relationships seems consistent with the theoretical
relationships between the variables, however, there seems to be a piece missing, namely
love styles. If we recall the original definitions, we have an attachment style that
primarily parallels our attachment style to our primary caregiver (mostly one’s mother),
However before we can have consummate love, or non love, we must develop theories
about love and develop a series of behaviors that occur when one is in a relationship. By
definition love theories and action in a relationship are love styles. When looking at the
theoretical relationships in Figure 2, the relationships between attachment style and love
type is expected but missing the center link (love style).
The question most should be asking is “why don’t researchers use the concept in
their original form and opt for using the concepts as ratio level variables?” This study
found 17 correlations within and between the three love theories examined. Yet when the
variables were examined according to their original concepts (i.e., nominal variables),
only one interrelationship was found.
What does this lack of relationship between the major original concepts of love
mean? It means that there is a lack of unity between the definitions of love and
49
�relationships. This study sought to unify the theories by providing a new clearer
definition of love, there also giving a sort of formula for a successful relationship (i.e.,
one in which love exists between the two individuals). The task turned out to be more
difficult than originally thought however this is not to say that the task should be
abandoned. This is also not to say that the major love theories are not related and should
be disregarded, quite the opposite. Actually it seems that although currently there are no
appropriate ways to quantify love styles, or the triangular theory of love, there is a
theoretical relationship between both of these theories and attachment styles, which will
one day be able to be supported. The more encompassing definition of love will in the
future look much like what follows. A person develops an attachment style presumably
during childhood development, as one becomes older beliefs and theories about love or
love style begin to develop, this yields a certain type of relationship (love triangle). In
this fashion these three love theories are interrelated and when the theories are quantified
in a more efficient fashion perhaps this will provide insight to social psychologists, and
relationship councilors. It could finally help us to understand how and why people love
each other and why some relationships work while others fail.
V. References
Aron, S. and Westbay, L. (1996). Dimensions of the prototype of love. Journal of
Personality and Social Psychology, 70, 535-551.
Feeney, J. and Noller, P. (1990). Attachment style as a predictor of adult romantic
relationships. Journal of Personality and Social Psychology, 58, 281-291.
Fricker, J. and Moore, S. (2002). Relationship satisfaction: The role of love styles and
attachment styles. Current Research in Social Psychology, 7, 182-204.
Hassebrauck, M. and Buhl, T. (1996). Three-dimensional love. Journal of Social
Psychology, 136,121-122.
Hazan, C. and Shaver, P. (1987). Romantic love conceptualized as an attachment
process. Journal of Personality and Social Psychology, 52, 511-524.
Hendrick, C. and Hendrick, S. (1986). A theory and method of love. Journal of
Personality and Social Psychology, 50, 392-402.
Hendrick, S. S., Hendrick, C. and Adler, N. L. (1988). Romantic relationships: love
separation, and staying together. Journal of Personality and Social Psychology, 54, 980988.
50
�Lemieux, R. and Hale, J.L. (1999). Intimacy, passion, and commitment in young
romantic relationships: Successfully measuring the triangular theory of love.
Psychological Reports, 85, 497-503.
McCutcheon, L.E. (2002). Are parasocial relationship styles reflected in love styles?
Current Research in Social Psychology, 7, 82-93.
Sternberg, R. J. (1986). A triangular theory of love. Psychological Review, 93, 119-135.
INTIMACY
Liking
Romantic
Companionate
Consummate
PASSION
Infatuated
Fatuous
Figure 1: The love triangle
51
COMMITMENT
Empty
�Storge
Secure
Liking
Consumate
Pragma
Companionate
Eros
Romantic
Avoidant
Non Love
Ludus
Empty
Anxious/
Ambivalent
Agapic
Infatuation
Mania
Fatuous
Figure 2: Theoretical relationships between attachment style, love style and triangular
love type
52
�Memory: Effects of One’s Gender on Memory Retention
Nicole Gaeta1 (Psychology)
Due to increased interest and previous studies on the effects of gender roles on cognitive
abilities, a study was conducted to determine whether or not these effects played a
significant role in memory differences within genders. Forty-one Wagner College
psychology students, who were asked to participate in the study, were randomly given
one of 2 different stories, one of which appealed to male prototypical interests, and one to
female prototypical interests. The students were then asked to immediately rewrite the
story that they were given, verbatim, to the best of their ability. Each essay recalled by
the students was given 3 separate scores, one for overall level of accuracy, one for
number of words recalled, and one for number of major details each person remembered.
These scores were then calculated to determine 3 overall means for the males in each of
these categories and 3 means in each area for the females. After comparing the means,
there were not many differences in the means of all 3 categories. There were, however,
substantial differences between the numbers of details remembered by females for the
female story versus the male story. There was also an evident difference between
numbers of words recalled by females in general as opposed to males.
I. Introduction
Many people wonder why they often forget certain things so easily and quickly.
Even more disconcerting is why they can remember every detail about one thing and not
even one detail about something else. The process of forgetting can be defined by two
basic theories: interference, when some other information gets in the way of one’s
present thinking, causing one to forget something, and decay, which explains how the
passage of time may cause one to forget something simply because it has slipped away
from the memory trace. Memories that are not completely lost, however, are often not
truthful due to another phenomenon known as memory distortion. This idea has
fascinated many people through its explanation of how one’s mind can actually distort a
memory and make that person believe that something truly happened the way he/she
remembers it. One psychologist, Schacter, described the basic memory distortions as the
“seven sins of memory” (Sternberg 2003). His “seven sins” included transience, the
rapid fading process of memory, absent-mindedness, forgetting what one had just done or
1
Research performed under the direction of Dr. Richard Brower (Psychology)
53
�was about to do, blocking, when one knows something but is having trouble retrieving it,
misattribution, forgetting where one heard or learned certain information, suggestibility,
when one thinks they remember something because someone mentions to them that they
had, bias, having a prior idea of what one should be feeling based on past experiences,
and persistence, where one remembers one thing that sticks out because it differed from a
line of many other things (Sternberg 2003).
Though there is hardly any argument that these causes of memory loss exist, one
might wonder why different ones occur at different times, to different people, about
different things. It may be questionable whether or not one’s gender would play a role in
how much or how little, or even what type of information one remembers. Some may
think that males are more likely to retain information that applies to prototypical male
interests, like sports or tools, for example, whereas females would be more likely to
remember things that are related to shopping or relationships. Previous research studies
have been conducted by psychologists, including Maccoby and Jacklin, Hyde and Lynn,
and Herlitz, Nilsson, & Backman, to determine whether or not sex differences affect
cognitive abilities. While their ideas have been challenged by Hyde and Lynn, Maccoby
and Jacklin believed, “women are superior to men in verbal ability, while men surpass
women in spatial and mathematical ability” (Iodescu 2002). Herlitz, Nilsson, &
Backman’s recent study also concluded that women outperformed men on verbal tests,
and specifically noted that women also consistently outperformed men on tasks involving
episodic memory” (Iodescu 2002). Other studies, particularly that of Cross and Madson
(1997), have supported the idea that male cognition differs from that of females, in
respect to the different interests between the genders. Cross and Madson supported
evidence that women focused more on information related to relationships, whereas men
were more familiar with information related to social dominance (Gabriel & Gardner
1999).
With this growing interest between gender and cognitive abilities, the study
described below was conducted to determine if a viable relationship actually does exist
between memory retention and one’s sex, based on cognitive differences between males
and females. Using Frederic Bartlett’s model for memory testing as a starting point,
which studied the effects of culture based understandings on memory for particular
material, 2 short fictional stories were created by the author to assess memory retention
among genders (Sternberg 2003). Relative to the study discussed below, Bartlett
believed that previously existing schemas or relevant knowledge affect a person’s recall
of presently learned information (Sternberg 2003). With this in mind, this study was
conducted to determine whether or not different gender interests affect one’s relevant
knowledge, and, in turn, affect one’s memory.
54
�II. Method
Participants and Design
The participants of this study included 41 students, 15 males and 26 females, in
the author’s psychology classes. All participants were Wagner College students between
the ages of 18 and 21. This was a correlational study seeking to determine whether or not
there was a relationship between one’s gender and how much of particular details one
obtains. Students randomly received one of two stories, one that pertained to prototypical
female interests and one to prototypical male interests.
Procedure
During class, students received one of the 2 stories as seen in Appendix 1 and 2,
at random, so that some of them received the story that pertained to their gender, and
some received the one that pertained to the opposite sex. To be sure that they paid close
attention to what they were reading, all students were primed for the study by being told
beforehand that they would be asked to rewrite the paragraph as soon as they were
finished reading it. After all the students finished reading their designated story, which is
described in detail below, they were handed out a piece of paper, and asked to rewrite the
story verbatim to the best of their ability, as seen in Appendix 3. Essays were then
analyzed to see if any differences existed between males and females in the number of
words, names, numbers, facts, or any other details that they remembered. The essays
were then studied within each gender to determine whether or not there was a significant
difference between the students’ memory retention of their prototypical female story
versus the male story.
Each short story was created by the author to assess separate male and female
interests. The stories, each containing an average of 425 words, contained a sufficient
number of details. The female oriented story, Paragraph A, described a situation between
2 high school female friends who were preparing for their senior prom. It described, in
detail, their task of prom dress shopping and included such information as follows: the
names of the 2 girls, the names of their dates, the stores in which they shopped, the prices
of the clothing, the styles of particular dresses, the present day and time, the date of the
prom, the name of their high school, and the outcome of their adventure. The maledirected story, Paragraph B, described 2 male friends who were engaged in a video game
competition and the bet that they made on one specific occasion. This story included the
following details: the boys’ names, their roommates’ names, the monetary value of the
bet, where the competition took place, the name of the football video game, the teams
that they chose, the players in the games, the scores of the game, and specific plays that
occurred during the game. Each story contained 23 major details.
55
�Each essay written by the students was given a number score in 3 main
categories: number of words, level of accuracy, and number of important details. The
score for number of words remembered was rated in a ratio out of total number of words,
425, and a mean score was calculated for each group. The means obtained by females
versus males were then compared to see if any differences existed as a result of either the
students’ genders or which story they received. A standard score out of a possible 10 was
given to each student for his/her level of accuracy. This score was graded based on the
student’s sentence structure, formatting of the story, and accuracy of the details he/she
remembered. For the last comparison, students were given 1 point for each major detail
that they remembered from the 2 stories, out of a possible 23 details in each story. These
numbers were then also compared to see if any significant differences existed here as
well.
III. Results
Table 1 indicates that males did not display any substantial differences in
accuracy scores or major details remembered between the female story, Paragraph A, and
the male story, Paragraph B. The only evident difference between the males’ memories
of the 2 stories lies within the mean scores for number of words remembered. Males
tended to recall an average of 144.80 words for the male-directed story, and only 114.20
for the female-oriented story. Though the number of words remembered by females from
the female story, with a mean of 196.94, was substantially higher than the mean number
retained from the male story, 145.3, even their lowest number of words was slightly
higher than that of the highest score for the males. Females also showed a slight
difference between accuracy scores from the female story, 8.38, and the male story, 6.30.
The most substantial difference within the scores lies within the females’ recollection of
major details from the female story as opposed to the male story. For the story that was
directed towards their own interests, females remembered an average of 15.38 out of a
possible 23 details, and only 7.70 of the major details in the male story.
IV. Discussion
Though the students received higher mean scores for the story relating to their
own gender, it was surprising to see that the males did not show any real substantial
differences in accuracy or major details remembered for the male story as opposed to the
female story. In general, the average total scores were lower for the males than the
females. It was interesting to see how much more the females wrote about a story that
they felt more comfortable with. In reading the essays, it seemed that the females
56
�Table 1: Mean Scores for Students’ Recollection
Story A= female story
CATEGORY
Story B= male story
MALES
Story A
Story B
N=5
N=10
FEMALES
Story A
Story B
N=16
N=10
# of Words/425
114.20
144.80
196.94
145.30
Accuracy Score/10
7.40
7.80
8.38
6.30
Major Details/23
10.80
11.10
15.38
7.70
rewrote the female story much more accurately, including the structure of the story itself.
They tended to rewrite the story as if they were telling someone what happened. When
the females had to rewrite the male story, it seemed that they were less accurate and
attempted to fabricate some of the story to make it more interesting. Since females are
stereotypically more talkative than males, it was also interesting to see that females wrote
more of both stories, regardless of which one they had, than the males did. Even more
interestingly, in reading the essays, it stood out that almost all of the females remembered
the description of the dress that the girl in their story chose, and the males very often
remembered the play that turned the game around in their story.
To determine a true level of differences between male and female memory
retention, further studies may have all students read and rewrite both stories to factor out
any other possibilities that may have affected how much or how little the students
remembered. Some students may simply have a bad memory for small details, regardless
of which story they are reading. It may also be a good idea to ask the students what they
are interested in, to determine if the real differences actually lie in one’s interests, as
opposed to one’s gender.
57
�V. References
Gabriel, S. & Gardner, W.L. (1999). Are there "his" and "hers" types of
interdependence? The implications of gender differences in collective versus relational
interdependence for affect, behavior, and cognition. Journal of Personality and Social
Psychology, 77(3), 642-655.
Ionescu, M. D. (2002). Sex differences in memory estimates, revisited. Psychological
Reports, 91, 167-172.
Sternberg, R. J. (2003). Cognitive Psychology (3rd ed.). California:
Wadsworth/Thompson Learning, Inc.
58
�GPA and Study Habits: The Relationship between Study
Habits and Grade Point Average in College Students
Jenny Ludvigsen1 (Psychology)
Past research indicates that there is a relationship between study techniques and Grade
Point Average (GPA). This study attempted to show that students with better study
habits get better grades. There were forty-five participants in the study with fifteen
people in each GPA interval. Participants answered a questionnaire that was broken
down into 4 sub-scales measuring different methods of studying and general habits of
lifestyle. The results showed significant differences in the Study Habits Inventory (SHI)
of the three groups and supported the hypothesis that students with better study habits
receive higher grades.
I. Introduction
The purpose of this study is to propose that there is a relationship between the
way in which a college student studies (reads, takes notes, plans and organized their
school work) and their Grade Point Average. What makes an A student different from a
C student? Are the A students getting better grades because they are gifted and do not do
things differently than C students? Or, are the A students doing something that the C
students are not? What is different in the lives of students and how can one go from a C
to an A?
A body of research has suggested that there may be a relationship between the
way a student studies and their Grade Point Average (GPA). Jones, Slate and Kyle
(1992) reported that high achieving college students have better study skills than low
achieving students in areas of time management, study techniques, and attitudes toward
learning. Di Vesta and Moreno (1993) found that students with high GPA practice selfawareness, purposeful planning, and self-adjustment activities more than students with
low GPA (Hilawani & Sartawi, 1997). Researchers have consistently reported a positive
relationship between study habits and academic success (Lammers, Onwuegbuzie &
Slate, 2001).
Students may not be aware of the benefits or tolls of their techniques of studying
or thinking a certain way, but it may be helpful for students with low grades to alter their
1
Research performed under the direction of Dr. Richard Brower (Psychology)
59
�study-habits in order to boost performance in school. Bliss and Muller (1993) found a
strong correlation between scores on a study behavior inventory, a scale for measuring
study skills, and semester GPA (Hilawani & Sartawi, 1997).
Stoynoff (1997) studied the factors associated with International student’s
academic achievement. He sampled 77 international students who enrolled as freshmen
at a University in the Northwest. They all had a minimum GPA of 3.0 and a Test of
English as a foreign Language (TOEFL) score of 500. During their first term they took
the Learning and Study Strategies Inventory (LASSI) that asked them whether they
received training in learning and study strategies. There was a strong correlation between
the LASSI and cumulative GPA. The results show a relationship between motivation,
study strategies and test taking techniques and international students’ academic
achievement. Stoynoff also found differences in high achievers and low achievers by
interviewing the international students about their study-habits. He noticed that the
students that read more did better on reading assignments, and that students with higher
GPA sought social assistance, ie; study groups to review information.
John Lucas (1991) conducted a study at William Rainey Harper College to
evaluate the effectiveness of a new academic probation intervention program. 278
students who were put on probation for having a GPA lower than 2.0 were required to
participate in a success-oriented intervention program. They were surveyed over the
phone before they started the intervention program and after the program. They learned
effective study skills of reading for content and note taking techniques. Students
improved their grades and 35% of the participants reported that poor study habits were
the primary cause of their low GPA.
Lammers, Onwuegbuzie and Slate (2001) examined 366 undergraduate
student’s study skills as a function of age, gender, year in college, academic achievement,
study time and employment status. The students completed a questionnaire in which
demographic information was elicited and a validated 63 true-false item study-habits
inventory was included. Results indicate that study habits were related positively to age,
GPA, and the number of hours spent studying each week, and negatively related to the
number of hours spent working each week.
This study attempted to evaluate the study habits of three GPA groups. It was
expected that students in the high GPA group would show high scores on the Study
Habits Inventory (SHI), and students in the low GPA group would show low scores on
the SHI.
60
�II. Method
Participants
Forty-five participants took part in this study. Participants were students at
Wagner College enrolled in one of Dr.Brower’s Psychology courses. Participants in the
study were asked to partake in the study to fulfill the requirements of fellow classmates.
Between the two classes that the test was administered to, 13 were men and 32 were
women. The men and women each had a mean age of 20.1429 with a range from 18 to
21 years. All the participants share Psychology as a concentration.
Procedure
Participants were instructed to take the questions seriously and answer as
honesty as possible. Personal information asked of each participant was GPA, major,
year in school, age and gender. Clearly printed on the top of the survey were instructions
from and expectations of the test giver. Participants answered a 38 question Study-Habits
Inventory that was divided into 4 separate categories. The categories were titled:
A.
B.
C.
D.
Reading and note-taking techniques.
Habits of concentration
Distribution of time and social relationships in study.
General habits and attitudes of work.
The tests questions were direct and simple, requiring participants to circle whether they
did something rarely or never, sometimes, or often or always. Before totaling up the
scores for each individual survey, the completed surveys were divided into three equal
groups of 15. The groups were sorted together by common GPA. Low GPA was below
3.0, middle GPA was between 3.0 and 3.5 and high GPA was above 3.5.
Points were totaled for each sub-scale separately for the three groups,
designating 3 points, 2 points or 1 point each selected answer. The highest score that an
individual could have obtained in total was 82. The maximum score for each individual
in section A was 15. The maximum score for section B was 12. The maximum score for
section C was 24 and the maximum score for section D was 31.
Materials
See Appendix A for a copy of the Study-Habits Inventory (SHI).
61
�III. Results
Table 1 displays the points that each group obtained for each sub-scale. It is
shown that the lower GPA group scored significantly lower than the high GPA group,
within the sub-scales, and overall. Table 2 shows a frequency distribution of each GPA
group. It is shown that the total scores of the entire survey varied between the individuals
in the three GPA groups. The range of scores for the Low GPA group was 46 to 60. The
range of scores for the middle GPA group was 57 to 69. The range of scores for the high
GPA group was 70 to 81. The mean score for the low GPA group on the SHI was 57.8.
The mean for the middle GPA group was 63.8 and the mean for the high GPA group was
76.
The Pearson Product Moment 2 tailed Correlation showed a significant
relationship between the three GPA group’s sub-scales at the .01 level (See Table 3 for
Pearson correlation).
An ANOVA, in which GPA was the independent variable, was performed on the
data for self-reported study habits. The analysis of this data yielded significant effects for
each GPA interval, F(2,42)=109.02, p<.001. The sub-scales of the three groups were
found to be significantly significant; A: F(2,42)=110.26, p<.001; B: F(2,42)=63.32,
p<.001; C: F(2,42)=44.97, p<.001; D: F(2,42)=29.21, p<.001.
IV. Discussion
The present findings serve to replicate, extend and support those reported in
similar previous research. The significant differences in the SHI scores of the three GPA
groups is evidence of the effects of study-habits on school grades. It is important for
students to understand the relationship between the techniques they use to study and the
effects that it has on the grades that they receive. Testbusters is a program that teaches
effective study habits, study skills and test taking strategies, which has overall shown
GPA improvements significantly (Beidel, Turner, Taylor & Jill, 1999). Cooper and
Robinson (1987) found that the combination of skills acquisition and peer support
contributed to improvements in student GPA and self-concept of ability. The results of
this study and similar studies indicate that there may be a strong relationship between
study habits and GPA, as expected.
On many occasions, I have heard of parents blaming their children for getting
bad grades because they “do not apply themselves”, but it can be argued that it is not the
child’s fault for the bad grades, but the fault of the study techniques that they use, and the
duration of time spent studying. The aforementioned studies discussed the benefits of
intervention programs and study help sessions to improve GPA, therefore it may be
helpful to change a technique or habit of studying and note taking, and assess time
management skills if a student’s grades are not where the should be.
62
�V. References
Beidel, D., Turner, S., Taylor, F. and Jill, C. (1999). Teaching study skills and testtaking strategies to elementary school students: The testbusters program. Behavior
Modification, 23 (4), 630-646.
Cooper, S. and Robinson, D. (1987). The effects of a structured academic support group
on GPA and self-concept of ability. Techniques, 3 (4), 260-264.
Hilawani & Sartawi (1997). Study skills and habits of female university students.
College Student Journal, 31, (4), 537-544.
Lammers, W., Onwuegbuzie, A., and Slate, J. (2001). Academic success as a function of
the gender, class, race, age, study habits, and employment of college students. Research
in the Schools, 8 (2), 71-81.
Lucas, J. (1990). Evaluation of new probation intervention program at Harper College.
Willian Rainey Harper College Journal of Planning and Research, 20 (4), 2-27.
Stoynoff, S. (1997). Factors associated with international student’s academic
achievement. Journal of Instructional Psychology, 24 (1), 56-68.
Table 1: Total sub-scale scores and GPA
Low GPA
A= 107/225
B= 93/180
C= 250/360
D= 360/465
Total= 810/1230
Middle GPA
A= 150/225
B= 124/180
C= 299/360
D= 385/465
Total= 958/1230
63
High GPA
A= 202/225
B= 167/180
C= 332/360
D= 421/465
Total= 1122/1230
�Table 2a: Low GPA total scores on SHI (N=15, x=57.8)
Score
Frequency Distribution
46
1
49
1
50
1
51
2
52
2
53
1
54
1
55
1
57
2
60
4
Table 2b: Middle GPA scores on SHI (N=15, x=63.8)
Score
Frequency Distribution
57
1
58
2
59
1
61
1
64
2
65
2
66
1
67
2
68
1
69
2
64
�Table 2c: High GPA total scores on SHI (N=15, x=76 )
*
Score
70
Frequency Distribution
2
72
1
73
1
74
1
76
3
77
1
78
2
79
1
80
2
81
1
Table 3: Pearson Correlation of sub-scales
A
A
B
C
D
.921
.876
.738
.837
.699
B
.921
C
.876
.837
D
.738
.699
.606
.606
65
�66
�Section IV: Critical Essays
�Van Gogh and Gauguin
Kimberly Kopko1 (History)
From English wood cutters to Old Dutch Masters: Influences on the Early works of van
Gogh, 1881-1886
When one hears the name “van Gogh” it often brings to mind colorful paintings
of a French landscape, bright sunflowers, or a ‘starry night,’ all of which are images from
the artist’s later years. Rarely does one immediately reflect on Vincent van Gogh’s early
works. Only a select few of these works, characteristically dark in hue, are considered
big van Gogh sellers on the art market, yet; it is these seeds of underacknowlaged works
that matured into what are presently considered van Gogh masterpieces. The early works
of van Gogh, completed between the years of 1881 and 1886, show experimentation with
various styles and themes, which eventually merged to develop a personal style. While
van Gogh drew inspiration from various artists and styles, English wood engravers,
Millet and the Barbizon School, contemporary Hague School artists, and Old Dutch
Tradition and its masters, were primary influences in his early works.
Vincent van Gogh (1853-1890) was exposed to the world of art at a young age
by having three uncles who ran art galleries in Amsterdam, The Hague, and Rotterdam
(Keys, 21). At the age of sixteen, van Gogh obtained an art dealing position with Goupils
and Co. and this gave him first hand exposure to the popular works of the day. Over the
course of his employment, Vincent collected several prints of his favorite images by
Ruisdael and Rembrandt, seventeenth century Old Dutch Masters, for his personal
apartment. Eventually, van Gogh was dismissed from Goupils and Co. for poor
salesmanship and this, among other issues, created tensions within the van Gogh family.
It was at this time that van Gogh undertook a heavy reading of literature, gaining
particular insight from John Bunyan’s Pilgrim’s Progress. “Bunyan believed that those
most worthy of God’s grace were the lowly workmen and the poor, who were endowed
with a natural spiritual advantage because of their humility, self-denial, and renunciation
of the trappings of worldly wealth” (Keys, 22). This and several other writings
encouraged van Gogh to follow in the footsteps of his father and study theology; he felt
that “evangelical zeal could give his life purpose” (Keys, 23). In time, van Gogh was
sent to be a preacher to a poor mining district in the Borinage region of Belgium, but
unfortunately was released due to his overwhelming desire to live a poor, underprivileged
1
Research performed under the direction of Dr. Laura A. Morowitz (Art)
68
�lifestyle similar to the miners. Finally in December of 1881, Vincent moved to The
Hague to become an artist.
“It was during his years in The Hague that Vincent’s art came to express his
deep-seated sense of moral purpose” (Keys, 23). In the months leading up to his move,
van Gogh received drawing and painting lessons from his cousin Anton Mauve, an
established painter at The Hague. This relationship grew strong as well as extended to
include other prized artists from The Hague School such as Josef Israëls, George Hendrik
Breitner and Herman Johannes van der Weele (Keys, 23). Unfortunately, this took a sour
turn when van Gogh chose to take the prostitute Clasina Hoornik (Sien) under his wing.
The Sien problem grew out of hand and van Gogh left both the prostitute and The Hague
and moved to Drenthe where he was exposed to the “unindustrialized” landscapes of the
Old Masters and working peasant life. After a short stay of three months, Vincent moved
in with his parents in Neunen. As predicted this produced tension among the family and
after a brief stay at The Academy, van Gogh moved to Paris to live with his close brother
Theo van Gogh.
One of the major influences on works that van Gogh created during his stay at
The Hague was English wood engravers. Vincent was an avid reader of the periodical
magazine The Graphic, “which had published wood engravings representing the poor and
downtrodden in the 1870s, images that Vincent specifically connected with Sien and
valued as another modern gospel” (Druick, 32). In 1875, The Graphic produced a series
of ten illustrations called “Heads of the People,” which depicted individuals in various
occupations such as miner, drayman, and agricultural laborer. Van Gogh attempted a
similar work of this nature when he painted head studies of peasants in Nuenen in 1883,
but this group of studies was not completed until May 1885 (I. Tilborgh, Vellekoop, 84).
Even earlier than 1883, van Gogh attempted a study on heads, similar to the
illustrations in The Graphic, where he drew portraits of old fisherman. Fishermen
seemed like a suitable subject to represent the working class while van Gogh studied at
The Hague because the area was primarily known for its fishing industry. In reality, van
Gogh’s fishermen were men from the Dutch Reformed Old People’s Home that he
dressed up, nevertheless van Gogh’s intention was to represent realistically men who had
lived a life of difficult work. “In summary, van Gogh’s heads were inspired in form by a
specific example of English engraved illustration, while their subject, fishermen, was
related to contemporary Netherlandish artistic practice” (Soth, 67).
Another primary influence in van Gogh’s early work, and even his later works,
was artists of the French Barbizon School, in particular the Realist Jean-François Millet.
Van Gogh was first introduced to Millet at an exhibition of Barbizon paintings held at the
Academy of Fine Arts in the Hague in 1882 (Keys, 24). In addition, van Gogh read an
extremely biased book by Alfred Sensier which gave him a heroic, Christian loving
69
�image of the well known Realist (II. Tilborgh, Vellekoop, 10). What drew van Gogh to
Millet was the connection to the Realist and van Gogh’s father. Since van Gogh could
not fulfill his father’s mission of priesthood, he conveyed it through artwork in the style
of Millet, paying homage to the hardworking peasants.
The connection he [van Gogh] discerned between Christian beliefs and the art of
these masters [the Realists] enabled him to transform his ideal of a Christian worker
and minister in the footsteps of his father into that of an artist with a calling. A
precondition was that the work of peasant painters like Millet and Jules Breton
should not be interpreted as revolutionary, but rather as Christian and conservative in
character (Tsukasa, 134).
In numerous letters to his brother Theo, van Gogh mentions Millet’s ability to express
real subjects while simultaneously expressing “quelque chose là-haute” (“something on
high”)(I. Tilborgh, Vellekoop, 12).
Millet, often referred to as “Father Millet”, furnishes the majority of
reproductions that van Gogh does in his early studies. Often he copied the works of
Millet to aid in his figure and compositional studies (McQuillan, 107). Most notable of
his reproductions is van Gogh’s thirteen varying images on Millet’s Sower. Vincent
often referred to his early studies of Millet as “the seed for further sowing that might
produce a harvest of saleable work, and in describing his relentless attempts to master
drawing in terms of improving the quality of the seed” (Druick, 30). Van Gogh did
several versions of Millet’s Sower in order to track his progress in figural studies through
the years. Moreover, the Sower held a spiritual meaning for van Gogh, “the sower
presents Vincent’s earlier ambition to be a Christian laborer and sower of God’s
world…following the example of ‘Father Millet,’ whose Sower embodies his
‘evangelical tone’”(Keys, 31).
However, there is one primary difference in van Gogh’s studies of the Sower
that set him apart from the well known Realist. His peasants are typically more
individualized figures. This is because van Gogh used live models, dissimilar to the
traditional way of learning figural drawing through models and figure casts. This
individuality creates a reference to Rembrandt and the Old Dutch Masters of the
Netherlands, who also characteristically used live models for their paintings.
Furthermore, when van Gogh relocated to Nuenen, he remained true to peasant
depictions but drew and painted loom weavers, the distinctive peasant occupation in
Nuenen. “The weaver, like the sower, came to symbolize artistic aspirations, maintained
in the face of adverse social, economic, and spiritual conditions; Vincent identified with
these workers in his desire to equate art-making with wage-earning craft” (Druick, 34).
Initially these works focused on the task at hand, making reference back to Millet’s
laboring peasant. This can be seen in the paintings Woman Winding Yarn, 1885 and
70
�Weaver Arranging Threads, 1884, where the light focuses on the task rather than the
worker’s face. Similar to his peasant drawings from Drenthe and his time at The Hague,
van Gogh begins to focus on the worker’s faces, integrating, once again, a sense of
individualism reminiscent of artists like Rembrandt. This is articulated in van Gogh’s
drawing Weaver Facing Right, 1884, where the weaver’s face carries the most detail and
immediately draws the attention of the viewer over the task being performed by his
nimble fingers. Nonetheless, Millet’s influence on van Gogh’s early works is apparent in
almost all his images. The Realist dedication to the hard working peasant is a theme van
Gogh remained true to until his death in 1890.
During his three year study at The Hague, which carried deep roots in
seventeenth century Dutch genre painting, Vincent was exposed to works by “Old
Masters” as well as contemporary Dutch artists such as Josef Israëls, Breitner and van der
Weele, all of whom had a deep influence on van Gogh, both personally and artistically.
“The Hague School represented the most advanced artistic position of the day in
Holland…Rejecting historical subjects executed in a dry academic manner, these painters
turned instead to landscape and peasant themes inspired both by the Barbizon School in
France and by Dutch artists of the seventeenth century” (Murray, 412). The Hague artists
added a contemporary flare to old Dutch traditions such as landscape painting, still lifes
and seascapes.
In addition to subject matter, The Hague artists and ultimately van Gogh,
adopted elements such as low horizons and one point linear perspective in their works, an
element which originated in seventeenth century Dutch painting. “The recessional device
of a tree-lined road, canal or towpath is found repeatedly in landscapes of The Hague
School, and stems ultimately from Dutch landscapes of the seventeenth century such as
The Avenue, Middleharnis by Hobbema” (Murray, 416). This use of perspective is
obvious in van Gogh’s Avenue of Poplars with Figure, 1884. Here, van Gogh creates a
one point linear perspective but instead of having it merge at one vanishing point on the
horizon, he places a house at the end, abruptly ending the line. In addition to line, color
was an important element present in The Hague School. Characteristically their works
were very dark in shade. This was a common criticism of both the school and the
majority of van Gogh’s early works. In van Gogh’s early works, such as Farm with Stack
of Peat (1883) and Still Life with Birds Nest (1885) the image is almost indistinguishable
and there is a total absence of light. Not until van Gogh read Charles Blanc’s
“Grammaire des arts du dessin” did he become enlightened on ideas surrounding color
theory. Eventually van Gogh grew to be at odds with The Hague School and moved to
Drenthe where he focused primarily on seventeenth century Dutch genre painting.
Seventeenth century Dutch painting and its masters are the ultimate influence on
the early works of Vincent van Gogh. Dutch roots are present in all of the other
71
�influences that played a roll in van Gogh’s development, the biggest example being The
Hague School. Van Gogh held particular interest in Hals, Rembrandt and the
landscapists Ruisdael and Hobbema. In Rembrandt’s images, he admired the use of light
within dark spaces, as well as the individuality of the subjects, and in Hals, van Gogh
admired the quick, unfinished brushstrokes. In October of 1885, van Gogh made a
journey to Amsterdam to visit the newly opened Rijksmuseum to view works by Hals and
Rembrandt (Keys, 40). In a letter to Theo, Vincent expresses his fascination with the
painting techniques that he saw at the museum: “What struck me most on seeing the old
Dutch pictures again is that most of them were painted quickly, and that these great
masters, such as Frans Hals, a Rembrandt, a Ruysdael and so many others –dashed off a
thing from the first stroke and did not retouch it so very much” (Keys, 40). Van Gogh’s
love for abrupt and unfinished brushstrokes is something that he developed throughout
his lifetime as an artist and it eventually became one of the most distinguishable factors
in a van Gogh painting.
In addition to the great masters like Hals and Rembrandt, van Gogh admired the
naturalism and the timelessness of the settings characteristically represented in Dutch
genre painting. Especially living in Drenthe, van Gogh felt that he was experiencing the
same landscape depicted in the Old Masters’ works. Van Gogh describes this feeling in
several letters to his brother Theo:
…but if you come to the most remote back country of Drenthe, it will make
quite a different impression on you, you will even feel just as if you lived in the
time of van Goyen, Ruysdael, Michel, in short, in what perhaps one hardly feels
even in the present Barbizon. That is an important thing, I think, for in such
natural surroundings, things can be roused in a heart, things which would
otherwise never have been awakened (qtd. in Keys, 37).
In addition to the timelessness of the landscapes, van Gogh admired the motifs expressed
in Dutch genre painting. Still lifes were a prominent trait in Dutch genre painting and
the clarity and use of light in these images were useful in the training of an early artist.
This concept was strongly enforced by Mauve and is why van Gogh’s first works pay
tribute to the motif. Peasant and working themes were also characteristic of Dutch genre
paintings. Dutch artists depicted worked fields, dirt roads with deep furrows, as well as
tiny workers speckled throughout the image, all indications of habitation. This
influenced Realists like Millet who played a major role in van Gogh’s development as an
artist. Van Gogh admired hard working peasants and a great deal of his early works
depict peasants hunched over, tending to the fields. Moreover, furrows can be depicted
in van Gogh’s Avenue of Poplars with Figure, previously mentioned, indicating an
inhabited Dutch setting.
72
�Vincent also did several works of windmills and seascapes, both characteristic
genre subjects of seventeenth century Holland. While van Gogh did few studies of
windmills in The Hague and Nuenen, he did adopt the theme once traveling to Paris and
viewing all the windmills of Monmartre. This windmill motif can be observed in Le
Moulin de la Galette (1886) and Monmartre: Quarry, the Mill (1886).
While studying at The Hague, van Gogh was exposed to a prominent fishing
community, which offered several opportunities to paint seascapes. One of van Gogh’s
most well known seascapes is View of the Sea at Schiveningen. When viewing this image
in comparison with Beached Boat with Horses (1882) by Hague artist Anton Mauve and
a seventeenth century work such as Ships on a Stormy Sea (1610) by Jan Porcellis, one
can see the influences each era had on van Gogh. All three depict sea scenes but at
different times in the ship’s voyage: Porcellis’ being the adventure on the sea during a
storm, van Gogh’s image depicting the return after a storm and Mauve’s painting
conveying the safety of being securely on land. The color scheme is similar between all
the works, consisting of a dull palette of greens, blues and tans. The lines are all
extremely naturalistic with Porcellis’ holding the highest degree of detail and van Gogh’s
being the most rough. All three make use of perspective but the seventeenth century
image has the lowest horizon, with van Gogh and Mauve’s being relatively centered.
Moreover, all the images show the violent thrashing of the waves by painting white peaks
where they crash against land and the ships.
While there are generally similarities between the images, one can notice the
subtle changes through time. The old Dutch image holds far more clarity than in van
Gogh’s image where the brush strokes are very visible, reflecting influence from the
French schools. Mauve’s image has almost a Realist stylistic sense to it, with the
workers and their horses struggling to pull the boat ashore.
Another comparison that shows the influences of various epochs and styles in
van Gogh’s early works is van Gogh’s Potato Eaters (1885), Israël’s The Frugal Meal
(1876), and Rembrandt’s Pilgrims at Emmaus (1648). Van Gogh was first inspired by
Rembrandt’s image in 1875 when he viewed it in Paris. He wrote to Theo:
And so what Rembrandt has alone or almost alone among painters, that
tenderness of gaze which we see, whether it’s in the “Men of Emmaus” or in the
“Jewish Bride” or in some such strange angelic figure as the picture you have
had the good fortune to see, that heartbroken tenderness, that glimpse of a
superhuman infinitude that seems so natural there –in many places you come
upon it in Shakespeare too (Keys, 43).
Vincent also shows admiration for numerous images by Israëls, which depicted “pious
religious associates in peasant subjects” (Keys, 44). In all the images, the figures were
eating food with their labor-ridden hands that they themselves worked hard to earn.
73
�In all the images, the table occupies a little carved out niche in the space of the
room. The light is focusing primarily on the table, drawing the viewers’ focus. The
exception is in Rembrandt’s image where there is a holy light emanating from a Christ
figure at the center of the image. Van Gogh’s image shows the influence of Rembrandt
by having one light source in the center, which reflects off of all the figures’ faces. All
three show pious devotion, Rembrandt’s taking that theme the farthest and actually
depicting a scene with Christ. The Frugal Meal and The Potato Eaters clearly depicts
peasant lifestyles with simple furniture, little food and simple, worn clothes.
Rembrandt’s image also depicts rustic life by having a simple wooden table and chairs.
Christ is situated at this modest table, putting him on the same level as the peasants. This
implies that Christ loves and shows mercy to all, including the lowly peasant class.
Fundamentally, all the images are naturalistic with van Gogh’s being, as usual,
the most deviant from the naturalistic mold. The lines are extremely blended in
Rembrandt’s image and in Israël’s image, there is only slight variation on that theme. He
shows the French influence by having quicker, more abrupt strokes. Van Gogh’s brush
strokes are clearly visible, showing the differentiation from Rembrandt. All three make
use of extremely dark hues. It seems as if the canvas was first painted black and then the
lighter colors added. Both van Gogh and Israëls pay homage to Rembrandt and other
Dutch masters and one can see the influence Dutch works such as Pilgrims at Emmaus
had on the artists of The Hague School.
While there were many influences on the early works of Vincent van Gogh, old
Dutch genre painting and its masters were the backbone. The Hague school was based on
seventeenth century Dutch painting, as well as ideas of the difficult, hardworking peasant
lifestyle captured by French Barbizon artists such as Millet. Many styles and elements
that van Gogh studied, especially at the Hague, were carried throughout all his works,
including his later ones. Van Gogh had a love for pious hard working men and women,
and painting fulfilled this theological passion. Themes of this nature are represented in
works ranging from English wood carvers to French artists as well as Dutch artists of
various centuries, all of whom played a role in influencing the early works of the famed
Vincent van Gogh.
Works Cited/ Bibliography
Druick, Douglas. Van Gogh and Gauguin: Studio of the South. Chicago: Thames &
Hudson, 2001.
Fuchs, R.H. Dutch Painting. New York: Oxford University Press, 1978.
74
�Gowing, Lawrence. Paintings in the Louvre. New York: Stewart, Tabori & Chang.
1987.
Keys, George and Lauren Soth. Van Gogh Face to Face: “The Dutch Roots of Vincent
van Gogh” and “Fantasy and Reality in The Hague Drawings”. Michigan: The Detroit
Institute of Arts, 2000.
McQuillan, Melissa. Van Gogh. New York: Thames & Hudson, 1989.
Murray, Ann. “Strange and Subtle Perspective: Van Gogh, The Hague School and the
Dutch Landscape Tradition.” Art History 3.4 Dec. 1980: 410-424.
Rozniatowski, David, Rev. “Art in the Age of Van Gogh: Dutch paintings from the
Rijksmuseum, Amsterdam. Winnipeg Art Gallery.” Border Crossings 18.3 Aug. 1999:
60-62.
Tilborgh, Louis van and Marij Vellekoop. Vincent van Gogh Paintings Vol. I: Dutch
Period 1881-1885, Van Gogh Museum. Great Britain: Lund Humphries Publishers Ltd.,
1999.
Tilborgh, Louis van and Marije Vellekoop, ed. Van Gogh and Millet. Netherlands:
Waanders/Zwolle, 1989.
Tsukasa, Kōdera ed. The Mythology of Vincent van Gogh. Japan: Asahi National
Broadcasting Co, Ltd., 1992.
75
�Housewife to an Empowered War Hero:
The Feministic Transformation of the Disney Princesses
Kimberly Litto1 (English)
For over fifty years, the animated films of Walt Disney have been a central part of the
everyday lives of children. The classics and the new classics have become standard fare,
especially in the culture of America. These films are so much a part of the lives of the
children and also, at times, the adults of our country, questions should be asked as to just
what is in these movies that our population is consuming so regularly. Who are the
Disney characters many grow up admiring and how do they represent the people of the
world?
One way to approach this question is through a feminist point of view.
Common sense can tell us that the female representation of a cheerful, whistling, cooking
and cleaning girl in Snow White and the Seven Dwarfs is not in accordance with the
fundamentals of feminist thinkers. It is most likely provable that this is true for all of
Disney’s earliest films, but is it still true in the more recent animated movies by Disney?
Is there any hope for feminists that their children will grow up admiring females that are
able to stand for the liberated woman of today? The answer to this question is justifiably
yes. By studying the various aspects of the Disney princesses from the first full length
animated picture, Snow White and the Seven Dwarfs (1937), to a later film, The Little
Mermaid (1989), and finally to a recent film, Mulan (1998), it is evident that the leading
ladies of Disney have made a long, but progressive journey from a conventional
housewife to the representation of a modernized woman.
One aspect in which this progression is evident is in the animation of the three
characters: Snow White, Ariel, and Mulan. “Lips, red as the rose, hair, black as ebony,
skin, white as snow”. With this description the magic mirror is describing the “fairest
one of all”, Snow White.” 2 It is through this description and by studying her flawless
appearance that it becomes evident that she is meant to personify the perfection of
beauty. There is not a blemish on her impeccable skin and although she is forced to wear
rags, she never appears sloppy or unfinished. Her hair is always tidily fixed; even against
a river and the strong winds that blow through the dark forest, she remains with a
perfectly placed red bow and smooth curls.
1
Research performed under the direction of Dr. Laura A. Morowitz (Art)
Snow White and the Seven Dwarfs, film, prod. Walt Disney Productions, dir. David
Hand, Perce Pearce, Larry Morey, William Cottrell, Wilfred Jackson, and Ben
Sharpsteen, 100 min., Buena Vista Picture Distributions, 1937.
2
76
�Another aspect of Snow White’s animation is her stereotypically feminine body
movement. With every motion, Snow White maneuvers her body with dainty elegance.
Her thin arms seem to float about her lovely frame and she always touches with a delicate
hand, with two fingers gracefully raised. When she laughs she slightly parts her deep red
lips into an elegant smile as she girlishly tilts back her head and squints her long lashed
eyelids flirtatiously. Snow White’s excessive femininity is heightened by the overly
sweet, high-pitched voice with which she speaks and sings. Interestingly, it is discussed
by Elizabeth Bell that the Disney females are usually drawn by observing live models. In
the early films, the models would have been professional ballerinas. 3 It is evident by the
choice of model that Disney intended on producing a character who completely
personified what at the time was perceived as “feminine.”
The radiance and precision of Snow White’s beauty, plus her overly feminine
body movement, work together to create a particular type of portrayal. That portrayal is
of a woman who completely encapsulates the qualities, which are quintessentially desired
by a man, in a woman. As a result, Snow White becomes only an object of male desire.
Furthermore, not only is she beautiful, but also the entire plot of the movie is based on
that quality. If the evil queen was not madly jealous of Snow White’s appearance, the
latter would not have left the castle and encountered the dwarfs and their cottage.
Because of this large focus on her beauty, spectators are encouraged further to see her as
merely an object to be viewed. This notion is emphasized in a scene in which the dwarfs
first encounter Snow White. As she lays on the beds, sleeping, the seven men surround
her and stare in awe at her exquisiteness, as she sleeps. The fact that she is unaware of
their gaze and therefore cannot return it works to underscore the objectification of her
body and face. 4
The Little Mermaid also shows evidence of objectification of the female body,
and, here, it carries sexual implications. Throughout a large portion of the movie Ariel’s
clothing is scarce. Pauline Kael described the mermaid as “a teen-age tootsie in a flirty
seashell bra.” 5 Ariel’s back, stomach, and part of her breasts are constantly exposed as
3
Elizabeth Bell, “Somatexts at the Disney Shop: Constructing the Pentimentos of
Women’s Animated Bodies,” in From Mouse to Mermaid: The Politics of Film, Gender,
and Culture, ed. Elizabeth Bell, Lynda Haas, and Laura Sells (Bloomington and
Indianapolis: Indiana University Press, 1995), 110.
4
In her article “Visual Pleasure and Narrative Cinema” (Screen 16, no. 3, Autumn 1975:
6-18), Laura Mulvey discusses the sexist sexual imbalance present in concept of the gaze
in the cinematic industry. She describes this sexist split between the active male, who
possesses the power of vision over the passive female, who possesses only “to-be-lookedat-ness” (11).
5
Quoted in Bell, 114.
77
�she swims throughout the sea. Although it is obvious that her attire fits her environment,
it is also evident that this is used to the advantage of her sexualized objectification. Bell
notes the first appearance of Ariel when she is posed behind a broken mast of a ship and
appears topless. Bell refers to this as a “striptease pose” that purposely increases the
curiosity of the audience towards the question of Ariel’s possible nudity. 6
In addition, below Ariel’s uncovered naval her fin dips into a low ‘v’ shape.
Although Ariel is not human it appears as though if the ‘v’ was any lower on her body,
her genitalia would be exposed, and therefore it seems to be an implication of what may
exist behind her green-scaled fin. Moreover, the ‘v’ takes the form of an arrow pointing
at the area between her legs, and furthermore, the shape echoes that of a triangle,
producing an even further suggestion of female sexual organs. It is easily apparent that
this type of depiction is not necessary in a children’s movie and therefore is used instead
for the objectification of Ariel’s body. In addition, not unlike Snow White, her body is
one of perfection based on the expectations of the society in which she was made. 7
However, we can also see some progression from Snow White’s appearance to
that of Ariel. While, Snow White’s exterior is constantly fixed and tidied, fitting the
quintessential female role, Ariel’s is the opposite. Her hair is long and flaming red in
color and as she swims and even when she becomes human, it is continually flowing and
moving in a freely unbounded manner. O’Brien refers to this characteristic of Ariel also:
“she tosses her long red hair in defiant moves.” 8 Trivial as her hair may seem, it works
as a symbol of the fact that Ariel is not allowing herself to be oppressed. She is instead
attempting to free herself of the constraints placed on her by her father and others. Thus,
her hair can show the start of movement away from the prototypical repressed female
representation to a more liberated state.
The physical animation of the Disney females makes a major shift with the
drawing of Mulan. Firstly, as mentioned earlier, Snow White is given an appearance of
perfectly exquisite beauty, on which the entire plot of the movie is based. In contrast, the
percentage of the plot of the latter movie that deals with the subject of Mulan’s beauty is
extremely small, even almost played down in certain scenes. For example, early in the
movie, Mulan is preparing to meet the matchmaker. After being worked on by hair
dressers, make-up artists, and clothing stylists, she is walking through the town. She
passes by a chess game played by two men, stops, thinks quickly, and then makes a
6
Ibid., 114.
In “The Happiest Films on Earth: A Textual and Contextual Analysis of Walt Disney’s
Cinderella and The Little Mermaid,” in From Mouse to Mermaid, Pamela O’Brien states:
“Visually Ariel resembles an animated Barbie Doll with thin waste and prominent bust”
(173).
8
Ibid., 172.
7
78
�move, causing one of the men to be victorious. As a result, the spectators of the movie
are encouraged to recognize Mulan’s intellect, even during the scene, which celebrates
her beauty. This is a large divergence from Snow White, which gives the audience no
information about the title character, except her beauty. This quality is fitting to a
feminist view because it implies that a woman’s worth depends on more than her physical
beauty. In addition, because the movie does not emphasize her physical appearance,
Mulan is not turned into an object to be viewed. 9
Moreover, Mulan presents a strong divergence from the sensual objectification
of The Little Mermaid. Mulan’s story is one of a girl who poses as a male to join the
army in order to save her father’s life. As a result, for most of the movie, her body is
covered in the armor of a Chinese soldier. However, in contrast to Ariel, prior to
Mulan’s “transformation” she is not given any overtly sexualized characteristics that have
sexual implications. Her body is actually drawn with box-like angles: her knees and
shoulders have sharp turns and her figure lacks any curves. Her breasts are almost
ignored, with little emphasis on them. A single scene in the movie proves this
characteristic of her animation. In the scene in which Mulan’s sex is revealed, her
captain sees her without her armor, wearing only a bandage. He recognizes the fact that
she has breasts and then realizes she is a woman. Even in this moment, the presence of
Mulan’s breasts is only implied. The actual animation still fails to emphasize her chest
for the audience. As a result, spectators cannot focus on the sexuality of her body.
Feminists would be more content with Mulan’s animation because it indicates the idea
that a woman is not merely an element of sexual desire.
Another area in which there is proof of Disney’s progress toward an updated
heroine is in the dreams and goals to which the princesses are aspiring. Henke, Umble,
and Smith discuss the idea that many Disney females have dreams for which they are
striving. The details of these aspirations vary from movie to movie, as does the female
involvement in realizing them. 10 It is in these aspects where the evidence of progress
lies.
In Snow White and the Seven Dwarfs, the heroine expresses a single desire
throughout the film. She reveals this wish very early in the movie as she sings to the
wishing well: “I’m wishing for the one I love to find me today.” 11 Snow White’s only
ambition in her story is to meet a prince, who will fall in madly in love with her, and
bring her to his castle “far, far away.” This characteristic carries sexist implications
9
Mulvey, 11.
Jill Birnie Henke, Nancy J. Smith, Diana Zimmerman Umble, “Construction of the
Female Self: Feminist Readings of the Disney Heroine,” Women’s Studies in
Communication 19 (1996): 229-247.
11
Snow White and the Seven Dwarfs.
10
79
�because it implies that women cannot find satisfaction by their own accord, but instead
need men to bring them to happiness. Also, although Snow White’s dream is fulfilled by
the end of the movie, she has not had any part in making that dream come true. She
basically sits around singing, whistling, and cleaning, as she waits for her love to come
take her away. Not only is the content of her dream one with sexist overtones, but also
the way in which it is accomplished. Snow White’s lack of involvement in her own
happiness implies that women should be passive and patient, while men make all their
dreams come true.
Initially, in The Little Mermaid, it seems as though Ariel’s ambitions and
determination hold proof of a more independent female character. At the start of the
movie Ariel is constantly expressing her thirst for something beyond her world under the
sea. Despite her father’s desire to keep her under his control, Ariel does all she can to
learn about the human world for which she yearns. As Laura Sells explains Ariel is
longing for change and independence:
While singing, she caresses a book that she cannot read, expressing her longing
for knowledge. Her desire for access is characterized by her hunger and
fascination with a different world in which she believes she can have autonomy
and independence. 12
It is evident that Ariel’s dreams are very heavily endowed with feminist values.
However, as O’Brien discusses, Ariel loses all of these ambitions the moment she falls in
love with Eric: “Where once she wanted to become human to explore her intellectual
curiosity, she now wants to become human to be with her love.” O’Brien notes that,
although originally Ariel was on the path to a modern female, after meeting Eric she
regresses back to a traditional representation. 13
Henke, Umble, and Smith also discuss how Ariel originally seemed to be making her
own dreams come true: “she explores, she asks questions, she makes choices, and
she acts”, but ultimately this, too, changes. 14 In the end, Ariel needs her father to
change her to a human, in order to be with Eric: “it is still not her power, but her
father’s power which enables her dreams to come to fruition” (237). 15
In the recent film, Mulan, the main character’s dreams are quite complex. First, a
very feminist quality of her ambitions is the fact that she lacks the fixation of the
earlier Disney princesses on finding a husband. Instead, Mulan is yearning to make
her father and her family proud. After ruining her meeting with the matchmaker, she
is desperately wondering how she can please her family. Simultaneously, she is
12
Laura Sells, “Where do the Mermaids Stand?”, in From Mouse to Mermaid, 179.
O’Brien, 171.
14
Henke, Smith, and Umble, 236.
15
Ibid., 237.
13
80
�searching for herself. Mulan is struggling with the notion that she cannot truly be
who she is in the society in which she lives. Her troubles and dreams are evident in
the words of her song: “Now I see that if I were truly to be myself, I would break
my family’s heart…somehow I cannot hide who I am, though I’ve tried. When will
my reflection show who I am inside?” 16
It is arguable that Mulan’s strong desire to please her father can be an insulting
representation of women because Mulan is so focused on making the man in her life
proud of her. However, it is in the fulfillment of her dreams, that Mulan becomes an
advocate of female independence. By the end of the movie, Mulan has not changed
herself to please her father or to fill society’s expectations. Instead, she has been true
to herself and followed her own heart. She succeeds, not by becoming the perfect
wife, as would be expected, but by becoming a war heroine. As a result, it is her
father who changes and realizes how proud he is of his daughter, the way that she is:
“The greatest gift and honor is having you for a daughter.” 17 Therefore, Mulan
presents an image of a female who can be herself and prove that she is worthy of
respect and recognition, even if she has not acted like the norm of her society.
Another area in which we can see the development of the more modern heroine in
these three movies is in the females’ quality of naivety, or lack thereof, in relation to
their enemies. It is most obviously a problem for feminists when females are
associated with naivety, because it implies the idea that women are not of high
intelligence. Therefore, the presence of this quality in the Disney females is relevant
to their feministic progress.
The villain vying against Snow White is her wicked stepmother. At a late point
in the movie, the stepmother disguises herself as a decrepit old lady and visits the cottage
of Snow White and the seven dwarfs. When she approaches Snow White, the audience is
aware that the latter should refuse to interact with the old lady. However, the disguised
stepmother offers the princess a shiny red apple, which is poisoned, unbeknownst to
Snow White. The elderly woman tells Snow White that the apple is magical and one bite
will make all her dreams come true. Despite the warning from the dwarfs to avoid all
visitors, Snow White cannot resist the fruit and accepts a bite, causing her to fall into the
sleeping death.
One misogynistic aspect of this scene is the direct echoing of the story of Adam
and Eve. The creation story is very much underlined with sexist notions because it
encourages the idea that woman is the single cause of the negative repercussions of
existence, because of her surrender to temptation. By bringing us back to the Garden of
Eden, Snow White instills this sexist idea a second time.
16
Mulan, film, prod. Walt Disney Productions, dir. Barry Cook and Tony Bancroft, 100
min., Buena Vista Picture Distributions, 1998.
17
Ibid.
81
�Another sexist aspect of this scene is the fact that it is obviously extreme naivety
that allows Snow White to trust such a bizarre stranger and, in doing so, to perform such
an unintelligent act. This quality is emphasized by the fact that the spectators are
conscious of the truth, while the helpless young maid is unaware. Furthermore, she
actually believes the stranger’s claim that the apple can make her dreams come true.
Although this story contains magical situations, it seems quite gullible of Snow White to
accept this idea. Therefore, this representation of woman is one of highly degrading
quality because it depicts her as a person who makes dangerous decisions based on naïve
and immature reasons.
The Little Mermaid presents some similar aspects of naivety found in Snow
White and also evidence of progress away from that type of portrayal. In the plot of the
former, Ariel makes a deal with the eccentric sea-witch, Ursula. If Ariel fails to complete
her task of kissing Eric, her body and soul will belong to the sea-witch. It is apparent that
Ariel acts with naivety in signing Ursula’s contract. While the audience knows that, in
doing so, she is placing her trust in a deceptive creature, Ariel remains unaware. Ursula
has been banished from Triton’s kingdom, yet Ariel makes a binding agreement with the
exiled octopus, disregarding judgment and intellect. Thus, once again Disney depicts a
heroine possessing naïve qualities.
However, there is a difference present between the circumstances of Snow
White and Ariel. As mentioned earlier, Snow White’s enemy is under a disguise. We are
to assume that Snow White is not aware that the old woman is actually the evil queen. It
is highly unacceptable that Snow White would not think to question whom this elderly
woman is and why she is roaming about the forest bearing a magic apple. Therefore, her
naivety is only heightened by the disguise of her nemesis. Ariel, however, knows that
she is dealing with a sea-witch. Although it is naïve that she chooses to sign her life
away to this creature, she knows she is taking a risk. Ariel is aware that she is doing
something dangerous, while Snow White is innocently dreaming of her prince arriving
after she has bitten into the magic apple.
Finally, in the later film, Mulan, the title character is practically void of naivety.
After the Chinese army has defeated the Huns, the country is celebrating with an
extravagant parade; yet, Mulan is aware that the Huns have returned and the entire
country is in danger. As she attempts to inform the other members of the army, who are
all male, she is shunned and disregarded. While Mulan is trying to formulate a plan of
defense, the rest of China, including the emperor and the army, is celebrating with
fireworks, costumes, songs, and cheers. As a result, they become the naïve characters
and Mulan takes the role of the voice of reason. Therefore, it is evident in Mulan that
Disney’s depiction of its heroines has evolved into women of knowledge and
intelligence.
82
�Another aspect of the films where there is evidence of feminist progress is the
way in which the females escape from danger. In Snow White and the Seven Dwarfs, the
main character faces danger various times and each time she is saved by a male character.
It is the queen’s huntsman who first informs her of the queen’s evil plot, giving her time
to escape. It is the seven dwarfs who take her into their home from the woods and
ultimately cause the queen’s death. Finally, it is the prince who saves her from the
sleeping death. Jack Zipes addresses this notion as he discusses the early Disney
princesses: “The young women are helpless ornaments in need of protection, and when it
comes to the action of the film, they are omitted.” 18 This aspect of the movie helps create
the sexist representation of Snow White, because it implies that she is incapable of
surviving without the help of a man.
Again, The Little Mermaid has certain similar and dissimilar qualities to Snow
White. There are some parts of the story in which Ariel is brought to safety by a male.
After turning human, Ariel loses the ability to breath underwater. Her male friends,
Sebastian and Flounder, bring her safely to the surface. Later, when Ursula stakes her
claim on Ariel, Kind Triton sacrifices his own life to save that of his daughter. Also, it is
Eric who fatally stabs Ursula, saving Ariel from the whirlpool in which she is trapped.
O’Brien discusses this idea: “Once again Disney’s heroine survives to find happiness
thanks solely to the heroism and sacrifice of male characters.” 19
Therefore, it might seem as though in this movie Disney has not progressed
from the “damsel in distress” ideas resonating through Snow White, but further evidence
in the film proves contrary. Early in the movie an explosion occurs on Eric’s ship and he
is thrown unconscious into the ocean. Ariel swims to his rescue and carries him to shore.
With this action Ariel portrays bold and brave qualities and as a result, The Little
Mermaid shows evidence of the start of Disney’s movement away from the sexist notion
that woman is helpless without man. Perhaps it even suggests that at times man needs the
assistance of woman.
While The Little Mermaid may hint at this notion, Mulan is strongly engaged in
proving it. The plot of the movie is overloaded with instances in which Mulan assists
various men in the face of danger and helps them survive. First, when her injured father
is called to a war, in which he will undoubtedly perish, Mulan steals his armor and enrolls
in the family name, saving her father’s life. Then after joining the army, her troop is
attacked by a massive group of Huns. While the rest of China’s soldiers accept defeat
and their own death, Mulan uses quick wit and constructs a strategy to save their lives
and defeat the enemies. In the next moment, she saves her captain, her friends, and her
18
19
Jack Zipes, “Breaking the Disney Spell,” in From Mouse to Mermaid, 37.
O’Brien, 173.
83
�fellow soldiers from an avalanche. Then, as mentioned earlier, during a parade of
celebration, Mulan becomes aware of the Huns’ return and devises a plan to save the
emperor and his people. Once again she saves her captain and ultimately defeats the evil,
menacing foe, Shan-Yu. The magnificent heroism of Mulan is encapsulated in a single
sentence from the emperor: “You have saved us all.” 20 Interestingly, the various times
that Mulan saves the different characters, she uses not brutal strength or violence, but
instead her brilliant intelligence and cleverness. This seems perfectly suitable to
feminists’ guidelines of how a woman should be represented; that is as a person capable
of high intellect and ability.
One might argue that these aspects of the movie do not serve as proof that
Mulan was created in an image of feminism because she has posed as a male in order to
succeed. However, in the climactic scenes of the film, Mulan’s gender has already been
revealed. Furthermore, she receives recognition for all her acts after this revelation has
occurred. As all of China bows to their heroine, including the emperor and the soldiers,
they are aware that she is a woman. Thus, Mulan represents a character that took the path
necessary in order to succeed as a woman in her society.
Through the examination of these three movies, it has been argued that feminists
need not worry as much about the female representation their children will idolize as they
grow. Despite the original depictions of women in Disney films, Mulan has begun the
start of a new era of Disney movies. With her brilliance, her strength, and her
independence, she has paved the way for the future Disney princesses who can serve as
models for the modern woman of today’s society. In an article in The Washington Post,
Elizabeth Chang, a mother of a preschool aged daughter, discusses how she attempted to
keep her child away from the influence of Disney, until the release of Mulan.
Now I, who once downplayed Disney and refused to buy Ariel pajamas, am
happy to have my daughter identify with a Disney movie character -- one
who is brave, clever, capable, kind and respectful. A character who has
a realistic figure…and wears clothing that manages to cover all sensitive body parts. A
character more interested in fulfilling her own interests and abilities than in finding a
man. 21
In these words it is evident that Mulan will most likely serve as a role model for
the children of today and of the future. Furthermore, apparently she possesses the
qualities and attributes that any feminist, and perhaps any parent, would be proud to
recognize in their own child.
20
21
Mulan.
Elizabeth Chang, “Disney’s Character Flaws,” The Washington Post, 4 Oct. 1998.
84
�Works Cited
Bells, Elizabeth, and Lynda Haas, and Laura Sells, ed. From Mouse to Mermaid The
Politics of Film, Gender, and Culture. Bloomington and Indianapolis: Indiana
University Press, 1995.
Chang, Elizabeth. “Disney’s Character Flaws.” The Washington Post 4 Oct. 1998: F01.
Henke, Jill Birnie, and Nancy J. Smith, and Diana Zimmerman Umble. “Construction of
The Female Self: Feminist Readings of the Disney Heroine.” Women’s Studies in
Communication 19 (1996): 229-247.
The Little Mermaid. Dir. John Musker and Ron Clements. Prod. Walt Disney and
Silver Screen Partners IV. Walt Disney Pictures. Buena Vista Picture Distributions,
1989.
Mulan. Dir. Barry Cook and Tony Bancroft. Prod. Walt Disney Productions. Walt
Disney Pictures. Buena Vista Picture Distributions, 1998.
O’Brien, Patricia Colby. “The Happiest Films on Earth: A Textual and Contextual
Analysis of Walt Disney’s Cinderella and The Little Mermaid.” Women’s Studies in
Communication 19 (1996): 169-183.
Snow White and the Seven Dwarfs. Dir. David Hand, Perce Pearce, Larry Morey,
William Cottrell, Wilfred Jackson, and Ben Sharpsteen. Prod. Walt Disney Productions.
Walt Disney Pictures. Buena Vista Picture Distributions, 1937.
85
�Why Rules are Made to be Broken: The Establishment and
Destruction of the Institution in Harry Potter and the
Sorcerer’s Stone and Ender’s Shadow
Paula Casill1 (Accounting)
It is not uncommon for the heroes of a literary piece to struggle and fight, even
to the death, against the idea of the “institution.” The destruction of an institution is the
noblest cause that these heroes can further. It implies the dawn of a new age, the release
of the enslaved, the renewal of justice for the masses, and a resurgence of knowledge,
ideals, and values, all of which will inevitably lead towards a better and brighter
tomorrow. Indeed, this concept is so common that the very term “institution” has
developed strongly negative connotations. The institution in these pieces is traditionally
portrayed as an overtly ridged, hopelessly archaic, blatantly biased, and yet omnipotent
structure that must somehow be brought to its knees.
However, there are instances in literature in which the institution is not the
enemy, but rather a necessity in the furtherance of the cause of good. In such cases, the
institution is often used to train the hero in preparation for his quest against evil. Yet
even in this role, the institution is not necessarily free from traditional deconstruction.
Although the hero is not fighting against the institution in these stories, in order to prove
victorious he must inevitably break free of the strict controls and rules that it has imposed
on him, thus indicating that victory cannot be obtained within the institution’s structure.
An examination of two works of literature, Harry Potter and the Sorcerer’s
Stone by J. K. Rowling, and Ender’s Shadow by Orson Scott Card, gives us a clear
example of this concept. In both of these stories, the author erects a powerful institution
which serves three distinct purposes: to provide a training facility in which the elite learn
to combat evil, to teach the hero (as well as the reader) about the rules and social norms
of the elite culture he is entering, and finally, to provide the hero with a set of rules and
controls that he can break in order to fulfill his quest.
Before one can compare the roles of the institution in these two pieces of
literature, it is important to first define two generalized terms that are central to this
argument. The first term is “hero.” For this argument, “hero” is not defined in the grand
1
Research performed under the direction of Dr. Susan Bernardo (English)
86
�traditional sense, as the individual who leads the way towards ultimate victory, but rather
as the individual whose relationship with the institution is the most unique and atypical,
in other words, the person who gets to break the most rules. In Harry Potter, this
distinction is not necessary, since both definitions are reconciled in the title character.
However, in Ender’s Shadow the difference is important. Ender Wiggin is the character
who most closely resembles the traditional hero. However, it is the main character, Bean,
who successfully supersedes the traditional confines of the institution, an therefore, for
the purposes of this paper, plays the role of “hero.”
The second term, “institution,” can maintain a more traditional definition. For
the sake of this comparison, the institution can be loosely defined as a highly structured,
strictly controlled, and isolated environment designed to achieve a specific purpose or
further a specific goal. This rather broad definition could include any number of
traditional organizations from hospitals to government agencies; but conveniently, the
institutions in both Harry Potter and Ender’s Shadow are strikingly similar: they are both
highly specialized schools designed to train children with exceptional gifts.
In Harry Potter the institution is Hogwarts, a school in which magical children
learn to become witches and wizards. In Ender’s Shadow the institution is Battle School,
in which the best and brightest of Earth’s children are sent to learn the art of combat in
preparation for the upcoming war with the Buggers. There is a striking parallel between
the structures of these schools which allows for an easy comparison of their uses within
the two novels. It is therefore important to recognize the similarities between the schools
in order to better understand the roles they play within their respective stories.
First, both of these schools are extremely elitist. Only the best, brightest, or
most talented children on Earth are even considered for acceptance. Acceptance into
Hogwarts is based solely on the child’s level of magical talent. This means that having a
magical family is not enough to ensure acceptance, and that the lack of magical family
members does not mean automatic rejection. The characters of Hermione Granger and
Neville Longbottom provide the perfect example of this. Hermione, when first meeting
Harry, tells him “’Nobody in my family is magic at all, it was ever such a surprise when I
got my [acceptance] letter’” (Rowling, 105). Neville, on the other hand, who was raised
by his witch grandmother, admits that his family wasn’t convinced that he would be
accepted: “’they thought I might not be magic enough to come’” (125).
Battle School works in a similar fashion. Again, the school does not give
preferential treatment to children from certain social classes or families. It accepts only
children with the highest scores on their battery of exams. In fact, as Bean finds out once
he reaches Battle School: “everyone had such high scores on all the tests … that the
differences were almost trivial … most of the children clustered between 97 and 98
percent” (Card, 189).
87
�Adding to the elitist attitude is the fact that in neither school do children apply
for acceptance. Children do not find these schools, the schools find them. In fact, in both
stories, the heroes knew nothing about the schools until after they were already singled
out. Despite the fact that “his name’s been down ever since he was born”, Harry Potter
had never heard of Hogwarts until he received his letter of acceptance (Rowling, 58). In
Ender’s Shadow, Sister Carlotta was on a constant quest to find potential Battle School
students among the dregs of society. She found Bean and tested him without telling him
why. It was not until he was already in the process of being tested that Bean was
informed about what the tests were for. It was at this point that he learned about Battle
School (Card, 50).
Another way in which these institutions are similar is that in both schools there
is a heavy emphasis on splintering the students into smaller groups, which then constantly
compete with each other. This internal structure of forced competition becomes central
to the lives of the students, while at the same time, forcing them to strive towards
excellence at all times.
At Hogwarts, children are immediately separated into one of four houses. Each
house has its own dorm, its own colors, and its own symbol. The members of the house
take classes together, eat at their own table, socialize among themselves, and make
friends primarily with other members of their own house. They compete throughout the
year for house points, and the house with the most points at the end of the year receives
the coveted house cup (Rowling, 114). Points can be eared or lost for any exceptional or
inappropriate behavior, but the majority of a house’s points come from the game of
Qudditch, in which the winning team receives a minimum of 150 points (169). Each
house has a team, and they compete against each other during the school year. For
students at Hogwarts, the competition, and therefore the game, is central to their
experiences at the school.
This emphasis on teams and competition is even more pronounced in Battle
School. Once the students of Battle School reach a certain age they are divided into
armies, each comprised of 40 soldiers and a commander. There are many more armies in
Battle School than houses in Hogwarts. However, they have strikingly similar functions.
Just as with the Hogwarts houses, each army has its own color combinations, its own
animal symbol, and its own barracks. Members of each army exercise, train, learn, and
socialize as a group. Students in these armies also compete for points on both an
individual and army-wide basis. However, unlike Hogwarts, the only way to win points
in Battle School is during a battle with another army. In this way Battle School takes the
emphasis on competition to a higher level.
At Hogwarts, there are ways to earn and lose points outside of the main
competition (Quidditch). As a result, students are encouraged to be on their best behavior
88
�and to try hard at all times, not just on the playing field. At Battle School, on the other
hand, the game is the only real form of competition. Higher grades no not affect the
standings, and neither does misbehavior. The game is everything; it is the core of student
life at Battle School. Normal education, grades, and even social behavior are secondary
to this main focus.
The reason behind the elitism and the emphasis on competition in both of these
institutions is the same. In both of their realities there exists a powerful evil force that
must be overcome, and in neither case can the institutions take a neutral stance
concerning this evil. Both schools are, in fact, training students specifically to combat it,
and are therefore clearly on the side of good. The exclusivity of the schools ensures that
they are training the students in their worlds that have the greatest potential, and the
heavy emphasis on competition provides the incentive for this potential to be fully
realized. Thus the first role of the institution within these stories is to provide an elite
group of students with the training they will need to combat the evils that they will face
in the future.
In the world of magic, of which Hogwarts is a part, there are some wizards who,
in their search for power, turn to the Dark Side (Rowling, 54). These dark wizards are
the evil against which Hogwarts trains its students to fight. Of course, education, not
combat, is touted as the primary purpose of the school. Hogwarts is, first and foremost,
an institution for the education of wizards. However, from their first year students are
required to take classes in defense against the dark arts (70). Furthermore, it is clearly the
attitude of the school that the worst thing a wizard can do is turn to the Dark Side.
Students at Hogwarts are taught with the presumption that they will use their powers for
good, and to that end the school “seeks to provide its students not only with knowledge
but also with a moral education” (Nel, 28).
Therefore, although training students specifically to fight against dark wizards
does not appear to be the primary purpose of the school, everything that the students learn
about becoming a wizard is a key part of that training. It therefore makes sense that the
competition between houses is extended beyond the Quidditch arena to include all areas
of student life. The students must excel in all areas of wizardry in order to stand up to the
forces of evil.
In Battle School, on the other hand, the goal of training students to combat evil
is clearly stated to be the primary objective of the institution, as opposed to an unspoken
underlying purpose. The evil that this institution is poised against is the Buggers, a
hostile and dangerous alien race that had nearly wiped out humanity when it first came to
conquer Earth generations before (Card, 50). Although they were defeated once, there is
no question that the Buggers will come back again and that another war will ensue.
Battle School was originally designed to find and train the best of Earth’s young military
89
�minds in preparation for this war. Thus the institution clearly positions itself to aid the
heroes on the side of good (humanity) against the evil of an invading alien race.
Therefore, unlike Hogwarts, Battle School considers the game to be more
important than a traditional education. Although what students learn in the purely
academic part of the school is certainly helpful, it is not as important as the tactical
training that they receive through the battles. Battle School is designed to train brilliant
commanders, not scientists, technicians, or theorists. It is logical, therefore, for the
school to place all of the competitive emphasis on the battle room as opposed to the
classroom.
The parallels between the schools’ structures and goals do not end there,
however. There is another way in which the institutions in Harry Potter and Ender’s
Game are the same. Both of these schools are isolated and far removed from every other
form of society. And it is important to note that this removal is not only from normal
everyday society, but also from the elite social spheres which the children are training to
enter.
Hogwarts is located in an unknown magical corner of England that is only
accessible by the train that leaves King’s Cross station form platform 9 ¾ (Rowling, 89).
This platform, and therefore all access to Hogwarts, is the privileged information of the
magical community, and no non-magical person (who wouldn’t know the secret entrance
to the platform) is able to travel to the school. However, even though people within the
world of magic know the location of the school, or at least how to get there, there are no
outside visitors during the school year. Students are able to communicate with their
families through letters sent by owls, and it is possible to leave the school, as
Dumbledore, the headmaster, does at the end of the book (267). However, the school is
otherwise totally isolated from both outside worlds.
Battle School is also isolated from all other forms of society. The school is
located on a space station, which removes it not only from society, but from Earth itself
(Card, 50). The only way to get to the station is a shuttle flight, which is controlled by
the International Fleet. Although the Fleet has access to the station, the only traveling
done is the transportation of students. Visitors are unheard of. The isolation of battle
School exceeds that of Hogwarts because almost all communication between students
and their loved ones on Earth is cut off as well. Although the students are encouraged to
write letters to their families, it is rare that these letters are actually sent home (139).
It is important to note that although both of these institutions are removed from
the elite cultural spheres that the students are training to enter, they are still very much a
part of those spheres. They operate by the same codes of conduct and the same unwritten
norms as the groups that they represent. These codes are different from normal society’s
90
�codes. However, because in the real world these groups are intermingled with normal
society on a day-to-day basis, discovering and learning these rules is a complex process.
Therefore removing the institutions from all other forms of society allows the
unique groups that they represent to be studied in isolation. Furthermore, because, as
institutions, they are highly structured and strictly controlled, many of the rules that are
unwritten in their cultures are codified within the schools, which makes examination even
easier. Thus the second role that the institution plays in these stories is to introduce both
the hero and the reader to a larger cultural structure which would be nearly impossible to
examine otherwise.
In each of these stories the institution forms a microcosm in which the larger
social elite can be studied. In Harry Potter, Hogwarts represents the world of magic,
while in Ender’s Shadow, the school represents the International Fleet, the main military
power on Earth. Neither of the social spheres actually exists for the modern-day reader,
nor do they directly resemble any current social niches. The author must therefore
introduce these cultures to their readers, explain how they work, and demonstrate how
they differ from traditional social groups.
Both Rowling and Card use the hero’s arrival in the institution to realize this
goal. In both stories the main characters have no prior knowledge of or interaction with
these new cultural niches before their acceptance into the schools. Furthermore, they are
first introduced to these institutions at the same time as the reader. This is important,
because it allows the author to teach the reader about these new cultures indirectly. As
the hero inevitably learns the rules, both written and unwritten, of the school (and
therefore the larger social structure), the reader is able to learn with him.
In Harry Potter, for instance, the reader learns along with Harry as he is
educated in everything magical from the history of Voldemort, his arch nemesis, to
wands and what they’re made of, to the rules of Qudditch, to the way a wizard’s duel
works. Everything about this new world of magic must be explained to him, and the
reader is therefore informed about things that members of the magical community are
expected to know and understand.
Similarly, in Ender’s Shadow, Bean arrives at Battle School knowing even less
than the other launchies. He must learn how movement in space works, what the chain of
command is, and even the military terms and ranks used on the station, such as calling the
teams armies and their leaders commanders. Again, the reader’s ignorance is reflected in
the hero himself, and as the hero learns the reader is given the information as well.
It is important to note here that the heroes of these stories are not normal
students, even as normality is defined within these institutions. As was mentioned
earlier, both Hogwarts and Battle School admit only a highly specialized elite group of
students. However, even among these elite, the heroes of these stories are exceptional
91
�individuals. In Harry Potter, Harry had, as a mere baby, survived a direct encounter with
the evil wizard Voldemort, indicating that he was destined to become a great wizard
(Rowling, 50). In fact, his name was already legendary long before he arrived at
Hogwarts. In Ender’s Shadow, Bean scored much higher on every test of intelligence
given to him than any other student in the history of the school (Card, 189). Considering
the students to which he was being compared, this was no small feat.
Both of these boys have a potential that far exceeds what their schools are
prepared to handle. However, those in charge of these institutions recognize that the
greater good, namely success in the battle against evil, is much more important than the
rules of the institution, and that “the most important achievements have little to do with
rules” (McVeigh, 202). They are therefore willing to allow the bending, and even
breaking of these rules under certain circumstances. In fact, knowing which rules to
break and when becomes an important lesson for the heroes to learn. The final role of the
institution in these stories, therefore, is to provide a structured set of rules and regulations
which the hero can break in preparation for his confrontation with evil.
In fact, the normal rules of the schools begin to break almost immediately upon
the heroes’ arrivals. They are treated differently by the adults in their institutions from
the very beginning, and when they do break the rules themselves, they find that their
punishments are either non-traditional or even non-existent. In both of these stories
“rules are important, but not ultimate … to break a rule … is both a reflection of real life
and a part of growing and learning” (202).
For Harry Potter, the rule breaking begins as soon as he meets Hagrid, who uses
magic on Harry’s behalf even though he isn’t permitted to (Rowling, 59). The rule
breaking continues at Hogwarts during the sorting ceremony, where Harry interferes with
the sorting hat’s choice of which house to place him in (121). Harry’s first act of direct
disobedience takes place during his first flying class, when he disobeys a specific order
against flying in order to recover Neville’s rememberall from Malfoy (149). Interestingly
enough, however, Harry was not punished for this blatant infraction of the rules, but
rewarded by being placed on the house Quidditch team (151).
From this point onward, Harry breaks the rules of the school on a regular basis.
He sneaks out of the dorms after hours, goes to forbidden sections of the library, and even
handles an illegal dragon. And although he is occasionally caught and punished with the
removal of house points, his punishments are never as severe as the situation warrants. In
fact, the most serious punishment he faces, detention with Filch, turns into an adventure
with Hagrid in the otherwise forbidden forest (249). For Harry, the punishment for
breaking a rule is in fact the opportunity to break another rule.
For Bean, the rules are broken for the first time on the shuttle when Dimak
informs the other students that Bean had scored higher than them on most of the tests
92
�they’d taken (Card, 89). Normally student scores are kept strictly secret. Bean breaks the
rules on his own for the first time later that day when he explores the station rather than
going directly back to his dorm, and learns how to sneak through the ventilation system
(113). Soon thereafter, Bean creates a secondary student ID and password, which the
teachers know about but let him keep (123).
From that point on Bean begins to break the rules on a continual basis. He steals
Nikoli’s password, sneaks through the ventilation system spying on teachers, steals a
teacher’s ID and password, and eventually creates a fake teacher’s ID to give himself
unrestricted access to confidential information. The teachers are aware of most of these
infractions. However, the result is not punishment, but the assignment of tasks usually
given to teachers, such as the formation of an army for Ender to command (217).
The extent to which the normal rules of the institution are ignored for the heroes
is extreme. However, it must be recognized that both the heroes and the institutions are
in extreme positions. In both stories, the heroes are capable of feats that even the
teachers cannot perform. Harry Potter is the only wizard who has come face to face with
Voldemort and survived (Rowling, 55). His task is to face Voldemort again and protect
the Sorcerer’s Stone. Bean’s intelligence is so high that even with only the tiniest bits of
information he can piece together the big picture and make more intelligent decisions that
the greatest military minds alive (Card, 211). His task, although he does not know it at
first, is to aid Ender Wiggin in his preparation and training for the final war against the
Buggers.
Therefore, when the heroes break the rules of their institutions it is because they
need to. Both heroes are attempting to fulfill their destiny, to do their part in the battle
against evil. In order to do that, they need special information, and in order to get that
information they must remove themselves from the traditional role of student. This is
reflected, in part, by their rapid advancement through the normal schooling system.
Harry is they youngest Quidditch team player at Hogwarts in over 100 years (Rowling,
152). Bean is promoted through all of his regular classes at an alarming rate, is one of the
youngest members of an army in Battle School history, and becomes the commander of
his own army at the tender age of six (Card, 348).
However, even this special treatment is not enough to give the heroes what they
need. To be successful in their quests, both boys require information that is simply not
available to students within the institutional system. They therefore spend a lot of time
and energy attempting to acquire this information, and in so doing, break the rules that
were designed to keep the information private. For Harry this means sneaking around the
school after hours and going places that he does not belong. For Bean it means
tampering with the school’s computer in order to access privileged confidential
information.
93
�It is important to note here that although the heroes have begun at this point to
remove themselves from their roles within the institutions, they could not have done so
without help from someone in a position of power. Both heroes were helped along in
their quests by the most powerful men in their institutions. Much of Harry’s
investigation, and most especially his final journey to the trap door, was made possible
because of a cloak of invisibility that was given to him anonymously (Rowling, 202).
After his ordeal is over, Harry learns that the anonymous donor was in fact Dumbledore,
the school’s headmaster (299). The head of Battle School, Colonel Graff, is also aware
of Bean’s unauthorized activity, and allows it to continue through most of his time at
battle school. Graff even uses him to further the school’s (and Bean’s) goal of preparing
Ender for leadership as quickly as possible (Card, 215).
There is a definite connection between the heroes and the leaders of the
institutions that lies outside of the usual student-teacher relationship. As the hero in each
story begins to break down the rules of the institution, the man in charge of maintaining
the institution allows, and even aids the process. It is therefore fair to argue that “the
novels view official systems of power skeptically, placing greater faith in unofficial
alliances” (Nel, 39). For although the hero is forced to rebel against the rules of the
institution, he receives help from the people who should, logically, be trying to stop him.
The total deconstruction of the institution in the mind of the hero occurs late in
each story as the hero recognizes that the institution’s purpose has become obsolete.
Both schools work towards training students to combat evil, but once the time comes for
the actual confrontation, there is no longer any reason to maintain the training structure,
and the institution therefore becomes meaningless. In Harry Potter, Harry realizes this
just before he sets off to confront Voldemort. When his friends tell him he’ll be expelled
for leaving the dorms he responds “’There won’t be any Hogwarts to get expelled from!
… Losing points doesn’t matter any more, can’t you see? D’you think he’ll leave you
and your families alone if Gryffindor wins the house cup?’” (Rowling, 270). In Ender’s
Shadow, Bean comes to this realization after Ender is transferred out of Battle School.
He makes a speech to the rest of the army commanders suggesting that they ignore the
standings of the armies from that point on. He reminds them that “‘we’re not each
other’s enemies. The Buggers are the only enemy … that [score] board up there, that’s
the teachers’ game, getting us to turn on each other’” (Card, 362). When each of the
heroes realizes that the existence of the institution is no longer necessary for him to
complete his task, the institution loses its power. The final role of the institution, its
deconstruction, is thus completed.
In both Harry Potter and Ender’s Shadow the institution plays three vital roles.
First, it creates an environment in which an elite group of students, including the story’s
hero, can receive the training they need in order to defeat an evil force. Second, it
94
�provides the hero, as well as the reader, with an isolated environment in which aspects of
this new elite society, including its rules and regulations, may be observed and studied.
Finally, it provides the hero with an organized structure against which he can rebel in
pursuit of his ultimate quest.
Because the hero in each of these stories is uniquely gifted, there is no
institution that can fully prepare him or provide him with the information he needs in
order to play his role in the overall fight against evil. However, by circumventing the
normal course of action for students – by breaking the rules and thus breaking down the
institution – the hero is able to obtain the information he needs to complete his task.
Thus although the institution is working on the side of good, its deconstruction becomes
just as necessary at the end of the tale as was its establishment at the beginning.
Works Cited
Card, Orson Scott. Ender’s Shadow. New York: Tom Doherty Associated, 1999.
McVeigh, Dan. “Is Harry Potter Christian?”. Renascence. Spring 2002: 197-209.
Nel, Philip. J. K. Rowling’s Harry Potter Novels. New York: Continuum, 2001.
Rowling, J. K. Harry Potter and the Sorcerer’s Stone. New York: Scholastic, 1997.
95
�
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Wagner College Forum for Undergraduate Research
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Volume 2, Number 1
Table Of Contents
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Section I: Eastern Colleges Science Conference -- Abstracts -- 2 Redefining Love: The Interrelations Between Love, Attachment Styles and the Triangular Theory of Romantic Relationships / Jaime T. Carreno -- 2 Deep Aquifer Water as Alternate Drinking Water Source in Arsenic Affected Area of Bangladesh / Margaret Fiasconaro, Sarah Alauddin and Dr. Mohammad Alauddin -- 3 Aircraft Icing: An Experimental Study / Nicolas Rada and Dr. Gregory J. Falabella -- 3 Effect of Complexing Agent on TIO2 Hydrothermal Crystal Growth / Dawn Pothier and Dr. Maria C. Gelabert -- 4 The Effect of Fat Content Label on Food Intake / Joanna Ferreri and Dr. Laurence J. Nolan -- 4 Ion Chromatography Analysis of Deep Aquifer Water from Arsenic Affected Areas of Bangladesh / Sarah Alauddin, Margaret Fiasconaro and Dr. Mohammad Alauddin -- 5 Transcardial Perfusion of Zebrafish Brain / Matthew W. Gray, Adam James, Prof. Linda Raths and Dr. Zoltan L. Fulop -- 5 Hydrothermal Crystal Growth of Zinc Oxide Via Coordination Chemistry / Dana M. Romano and Dr. Maria C. Gelabert -- 6 Pluto: Captured Comet or Legitimate Planet / Michelle Bingham and Dr. Gregory J. Falabella -- 6 Validation of the Folk Remedy Garlic (Allium Sativum) in Wound Healing / Katherine LaChance, Christopher Hart and Dr. Ellen Perry -- 6 The Relationship Between Teachers’ Physical Attractiveness and Student Ratings of Their Effectiveness / Kerri Doran -- 7 An Experimental Study of Shoaling Behavior In ZebraFish (Danio Rerio) / Janette Lebron, Dr. Brian G. Palestis and Dr. Zoltan Fulop / 7 Physiological Responses to Guided Relaxation / Teresa Jackson, Carolyn Palinkas, Robert Liberto, ParamPreet Ghuman, Dr. Zohreh Shahvar and Dr. Zoltan Fulop -- 8 Alcohol-Induced Malformations in Zebrafish Embryos: Zebrafish as a Model Animal to Study Fetal Alcohol Syndrome / Jacqueline Whittenburg and Renee Sudol -- Section II: The Sciences -- Full Length Papers -- 10 Investigation of Iron (III)-based MRI Contrast Agents / Maryanne Gaul -- 20 Pluto: Captured Comet or Legitimate Planet? / Michelle Bingham -- 26 Autism and the MMR Vaccination / Stephanie Capasso -- Section III: The Social Sciences -- Full Length Papers -- 36 The Effects of Conscious Sedation on Anxiety in Oral Surgery Patients / Dina Gramegna -- 43 Redefining Love: The Interrelations between Love, Attachment Styles and the Triangular Theory of Romantic Relationships / Jaime T. Carreno -- 53 Memory: Effects of One’s Gender on Memory Retention / Nicole Gaeta -- 59 GPA and Study Habits: The Relationship between Study-Habits and Grade Point Average in College Students / Jenny Ludvigsen -- Section IV: Critical Essays -- Full Length Papers -- 68 Van Gogh and Gauguin / Kimberly Kopko -- 76 Housewife to an Empowered War Hero: The Feministic Transformation of the Disney Princesses / Kimberly Litto -- 86 Why Rules are Made to be Broken: The Establishment and Destruction of the Institution in Harry Potter and the Sorcerer’s Stone and Ender’s Shadow / Paula Casill
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Wagner College Forum for
Undergraduate Research
Spring 2004
Volume II, Number 2
Wagner College Press
Staten Island, New York City
��EDITOR’S INTRODUCTION
This edition of the Wagner Forum for Undergraduate Research is a special issue devoted
entirely to the Senior Program. Unlike previous issues it is separated into five sections
corresponding to each of the major divisions. All papers are representative of work
performed in conjunction with the 2003 Senior Reflective Tutorial or associated capstone
course(s). They show the enthusiasm of our students and progress made through the
Wagner Plan.
From the sciences, is a paper by Janette Lebron on an extremely rare genetic disease that
causes children to age prematurely. Then, in the social science section, Claire Lippmann
investigates through a case study how a two-year-old adjusts to being away from mommy
and familiar surroundings for the first time. Also, be sure not to miss an examination of a
20th century composer’s early works and a first for the journal – a paper written entirely
in Spanish.
Read on and enjoy!
Gregory Falabella and Richard Brower, Editors
��Section I: The Sciences
2 Too Young to Be Old: The Cause of Hutchinson-Gilford Progeria
Syndrome
Janette Lebron
15 Bots
Sean Munson
Section II: The Social Sciences
30 Case Study of a Two-Year Old Girl’s Emotional Adjustment in a
Private Day Care Setting
Claire Lippmann
38 A Reflection of the Little Steps Treatment Program
Josephine Vitale
46 Internship at Bay Ridge Preparatory School
Lindsay Schwartz
Section III: Performing and Visual Arts
68 Ruth Crawford Seeger’s Suite for Small Orchestra: An American
Twentieth-Century Musical Composition
Kelly Parker
�
Section IV: The Humanities
82 El Antiracionalismo en El Túnel y La Resistencia, de Ernesto Sábato
Susan Altman
Section V: Professional Programs
88 Commodities Futures Markets
Rich Barbiera
99 Why Diversification is Necessary in Long Term Portfolio Planning
John Roberts
��Section I: The Sciences
�Too Young to Be Old: The Cause of
Hutchinson-Gilford Progeria Syndrome
Janette Lebron1 (Biology)
I. Introduction
Hutchinson-Gilford Progeria Syndrome (HGPS) is an extremely rare genetic
disease. HGPS causes children to age prematurely. The reported birth incidence is about
one in eight million. It is characterized by dwarfism, baldness, pinched nose, small face
and small jaw, delayed tooth formation, wrinkled skin, diminution of subcutaneous fat,
stiff joints, and premature arteriosclerosis. Death occurs on average at age 12, usually
from myocardial infarction (heart attack) or stroke.
In 2003, the cause of HGPS was discovered as a de novo mutation in the LMNA
gene on chromosome 1 during spermatogenesis. The LMNA gene codes for A-type
lamin proteins, which are important for normal function of the nuclear envelope in the
cell. This discovery has supported the long time argument that the mode of inheritance
for HGPS is sporadic autosomal dominant mutation due to paternal age effect (Brown,
1992). This discovery also adds HGPS to long list of laminopathies. Laminopathies are
diseases caused by mutations in the LMNA gene. Other laminopathies include EmeryDreifuss Muscular Dystrophy, types 2 and 3; Limb-girdle muscular dystrophy, type 1B;
Charcot-Marie-Tooth disorder, type 2B1; Dunnigan type of familial partial
lipodystrophy; Mandibuloacral dysplasia; familial form of dilated cardiomyopathy; and a
subset form of Werner’s Syndrome.
II. Historical Background
Johnathan Hutchinson first reported this syndrome in 1886 as a case of
“congential absence of hair and its appendages.” Hutchinson published a report in 1895
about a second patient with similar characteristics. Hastings Gilford described these two
patients further in 1897 and 1904. Gilford named the syndrome “progeria.” The word
progeria has Greek roots meaning “before old age” (DeBusk, 1972)
During the 1900s, close to one hundred cases of classical Hutchinson-Gilford
Progeria Syndrome have been reported. Today, there are about forty known cases of
1
Research performed under the direction of Dr. Ammini Moorthy (Biological Sciences)
2
�progeria in the world. Chances are there are certainly more cases, but they are not
reported or diagnosed correctly.
III. Clinical Features
Individuals with HGPS generally appear normal at birth, but by 1 year of age,
severe growth retardation is observed. Generally, individuals are of short stature and the
weight to height ratio is low. Complete sexual maturation is absent. The skin appears
dry and wrinkled. Prominent superficial veins are seen. There is widespread loss of
subcutaneous fat tissue. Characteristic head features include craniofacial disproportion,
micrognathia, alopecia, scalp veins and eyes are prominent, and a “plucked-bird”
appearance. Eyebrows and eyelashes are absent. Dentition is delayed and is abnormal.
The voice is thin and high-pitched. Thin limbs, stiff joints, coxa valga, and “horseriding” stance are all observed (DeBusk, 1972).
Individuals with progeria have a normal to above-average intelligence. The
average age of death is 12 years of age. Almost all deaths are due to myocardial
infarctions or congestive heart failure. Atherosclerosis, with interstitial fibrosis of the
heart, is usually seen in autopsy reports (Brown, 1992).
HGPS is known as a segmented progeroid syndrome. Not all systems of the
individual’s body show signs of advanced aging. Some of the features often associated
with normal aging such as tumors, cataracts, diabetes, and hyperlipidemia are not usually
present.
IV. Psychosocial Aspects of HGPS
The death of a child is one of the most devastating experiences a family can
encounter. The family puts all its energy and attention on the ill child. During this time,
changes occur in family members’ emotional, spiritual, and cognitive states (Livneh et al,
1995).
The parents of the child have an enormous emotional and spiritual reaction to
the death of the child. Emotional reactions usually include those of anxiety, denial,
depression, guilt, overprotection, and anger. Parents have an overwhelming fear of losing
their child and feel helpless and powerless. They experience separation anxiety when
most of the control over the child is given to medical personnel. Parents may experience
denial of the reality of the disease and have unrealistic hope. Anger is another reaction
often observed in parents of dying children. Anger may be displaced toward external
sources, for example caregivers and God (Livneh et al, 1995).
3
�Parents often experience spiritual unrest. They feel the world is unjust and
search for meaning during their time of pain. Their child’s death serves as a catastrophic
blow to their future hopes and dreams (Livneh et al, 1995).
Siblings of the ill child have unique reactions to the child’s death. Children and
adolescents proceed to grieve more rapidly for the dead sibling, compared with their
parents. Siblings generally keep their grief private. Behavioral problems may begin at
school as a result of not outwardly expressing their grief. As a result of the death of their
sibling, children become more aware of threats to life and of the finality of death (Livneh
et al, 1995).
V. Biochemistry Involved with HGPS
Eukaryotic cells have nuclear and cytoplasmic compartments that are separated
by the nuclear envelope. The nuclear envelope is a large intricate structure made up of
outer and inner lipid bilayer membranes, nuclear pore complexes, nuclear lamina, and
chromatin. The outer nuclear membrane is continuous with the endoplasmic reticulum
and is covered by ribosomes. The two membranes are 20-40nm apart and connected at
the nuclear pore complexes. The nuclear pore complexes are large protein structures that
allow transport of macromolecules between the cytoplasm and the nucleus. The nuclear
lamina is a proteinaceous meshwork of intermediate filaments (IF) associated with the
inner nuclear membrane through interactions with integral membrane proteins (Goldberg
et al, 1999; Hutchison et al, 2001).
The inner nuclear membrane and the nuclear lamina (Fig. 1) are involved in
several biological functions, including: regulation of the nuclear envelope shape and
structure; disassembly and reassembly of the nuclear envelope during mitosis; providing
anchoring sites for chromatin and affecting higher order chromatin organization; lamins
are needed for the elongation phase of DNA replication; lamins are important for
initializing and completing apoptosis and lamins interlink adjacent nuclear pore
complexes (Goldberg et al, 1999).
Nuclear lamins are the major components of the lamina. Lamins associated with
the nuclear lamina are classified as type V IFs. They share a common primary sequence
consisting of globular N-terminal (amino end) and C-terminal (carboxyl end) domains
and a central alpha-helical rod domain. The rod domain can be divided into four alphahelical segements, coil 1a, coil 1b, coil 2a, and coil 2b, which are separated by non-alphahelical linker sequences (Fig. 2). Lamins are classified as either A-type or B-type,
depending on their primary sequence, behavior at mitosis and tissue-specific expression
patterns (Hutchison, 2001).
Type B lamins are expressed in all somatic cells and remain associated with
membrane vesicles during mitosis. The B-type lamins include B1 and B2, which are the
4
�products of two separate genes, LMNB1 and LMNB2 respectively. Type A lamins are
expressed in differentiated cells and are soluble during mitosis. The A-type lamins,
lamin A and lamin C, are products of one alternatively spliced gene, LMNA gene
(Goldberg et al, 1999).
Type A Lamins
The lamin A/C gene (LMNA gene) maps to chromosome 1q21.2-21.3. The
LMNA gene has 12 exons. The genes measure to be 57.6kb (Lamin A/C, 2003). Lamin
A is coded by exons 1-12 and lamin C by exons 1-10. Precursor messenger RNA
(mRNA) has internal sequences that interrupt the protein-encoding sequence. The
internal sequences which are removed are called “introns” and the sequences that remain
in the processed mRNA are called “exons.” A splice site within exon 10, located just
upstream of the stop codon for lamin C, splices together with exons 11 and 12 to code for
lamin A (Eriksson et al, 2003).
Lamin A is 664 amino acid protein with a molecular weight of 70 kDa (Lamin
A/C, 2003). A nuclear-localization signal (NLS) is located close to the alpha-helical rod
domain. The NLS is necessary for nuclear import. The C-terminal end of lamin A
contains a sequence motif CaaX (C, cysteine; a, any alipathic amino acid; X, any amino
acid). The motif is modified by farnesylation of the C-terminal cysteine residue (a single
nucleotide in a nucleic acid). A farnesyl group is attached to the C-terminal motif CaaX
and is a membrane attachment device. That is followed by cleavage of the three Nterminal residues and carboxy-methylation of the cysteine. After nuclear import, the Cterminal 15 residues of lamin A are removed by proteolytic cleavage to yield mature
lamin A (Hutchison et al, 2001). Lamin C is a 572 amino acid protein. It differs from
lamin A in that it lacks the final 82 amino acids, including the CaaX motif. Lamin C is
not modified throughout its lifetime (Lamin A/C, 2003).
VI. Progeria Genetics
The mode of inheritance for HGPS is sporadic autosomal dominant. A de novo
mutation occurs in the LMNA gene during spermatogenesis. HGPS is only known to be
paternal in origin (Eriksson et al, 2003).
The most common HGPS mutation is a C (cytosine) to T (thymine) in the
context of a CpG dinucleotide. Cytosine is the most mutable base in the vertebrate
genome, as a methylated C can be deaminated to T and miscopied. The mutation on
codon 608, G608G (GGC>GGT) is a silent mutation because these two codons encode
for G (glycine). A codon is a section of DNA, three nucleotide pairs long, that encodes
for an amino acid. Another mutation in the same codon G608S (GGC>AGC) results in a
5
�substitution of serine for glycine. These mutations activate a cryptic splice site (Eriksson
et al, 2003).
Lamin A is normally synthesized as a precursor molecule, prelamin A. The
codon 11 HGPS mutations and consequent abnormal splicing would produce a prelamin
A that has the CaaX motif, but is missing the site of endoproteolytic cleavage. Also, cellcycle-dependent phosporylation of lamin A is important for its normal function, and one
site for phosphorylation is deleted in the abnormal HGPS protein. The incompletely
processed prelamin A acts as dominant negative, because mature lamin A is never
received by the nuclear lamina to perform normal functions (Eriksson et al, 2003).
Why are muscle and skeletal cells affected the most?
The nuclear envelope is vulnerable to damage in contractile tissues such as
skeletal and cardiac muscle. The nuclear envelope in these cells is more vulnerable
because B-type lamins are expressed at reduced levels. Mutations in lamina proteins
destabilize the association of lamins to the nuclear envelope. The lamina as a whole
would become less effective as a load-bearing structure, particularly in muscle.
Ultimately, this general fragility translates into physical damage leading to cell death and
tissue damage. The nuclear envelope in these cells is fractured and there is leakage of
lamins and chromatin into the cytoplasm. The damage is limited in skelelal muscle
because the muscle fibers are a syncitium, and not all nuclei will be damaged within a
single muscle fiber. A syncitium is a mass of multinucleated cytoplasm without division
into separate cells. Unfortunately, in cardiac muscle, loss of individual cardiomycotes
will be cumulative and will eventually lead to conduction blocks (Hutchison et al, 2001).
VII. Treatments
Low Dose Aspirin Treatment and HGPS
Children with HGPS are at high risk for heart attacks and thrombotic strokes.
Studies in adults show that the benefits of low dose aspirin therapy increase with
increasing cardiovascular risk. Low dose aspirin may help to prevent atherothrombotic
events, by inhibiting platelet aggregation (Gordon et al, 2002).
Nutritional Supplements and HGPS
Nutrition is a difficult daily aspect of HGPS because these children often have
poor appetites. Improved caloric intake may result in better skin and nail health and
improved energy level and mood. Some children with HGPS have high cholesterol, and
all children with HGPS develop heart disease. Nutritional supplements help provide
6
�balanced nutrition including carbohydrates and fats. Some products that can be bought
for extra nutrition are Pediasure, Ensure, Boost, and Enlive! (Harten, 2002).
Emotional Support
The Sunshine Foundation is a wish granting organization founded in 1976. The
foundation helps seriously ill, physically challenged, and abused children by taking all
responsibilities to make their wishes come true. Most of the funding is in the form of
donations. One of the main events that the Sunshine Foundation does annually is a
reunion for all known children who suffer from HGPS. Sunshine has sponsored 21
Annual Progeria Reunions to date. For one week, the children enjoy the company of
other children like themselves (Sunshine Foundation, 2003-2004).
The Progeria Research Foundation was created in early 1999 by Dr. Leslie
Gordon and Dr. Scott Berns. They organized PRF some time after they were given the
news that their son was diagnosed with HGPS. PRF is the only non-profit- organization
in the world dedicated to progeria research. PRF runs the Cell and Tissue Bank and
Medical Database for children with progeria and their families. PRF played an important
role, along with the National Institute of Health, in the discovery of the gene, LMNA
gene, that causes HGPS. All researchers and staff working for PRF volunteer their time
and energy to find a cure for HGPS. (Progeria Research Foundation, 2003).
RNA interference
The genome inside every cell contains thousands of genes. If the cell left itself
unchecked every gene would be transcribed simultaneously. To allow the cell to function
normally, generally, a gene’s DNA code is transcribed to messenger RNA (mRNA) only
if a particular protein assemblage has docked on the promoter region in the gene.
Some genes are so dangerous to the cell, that it should never be expressed. One
way for the cell’s systems to censor gene expression is called RNA interferene (RNAi).
When a threatening gene is expressed, the RNAi machinery silences it by intercepting
and destroying only that particular gene’s mRNA, without disturbing the messages of
other genes. This censoring system is seen in many different organisms, like plants,
nematodes, Drosophila, and humans (Lau et al, 2003).
Scientists are looking into ways of using RNAi as therapy to treat cancer, viral
infections, and certain dominant genetic disorders and other diseases that could be
controlled by preventing selected genes from giving rise to illness-causing proteins( Lau
et al, 2003).
7
�VIII. Literature Cited
Brown WT, 1992. Progeria: a human-disease model of accelerated aging. Am J Clin Natr
55:1222S-4S
DeBusk FL, 1972. The Hutchinson-Gilford Progeria Syndrome. Journal of Pediatrics
80,14 part(2) 697-721
Eriksson M et al, 2003. Recurrent de novo point mutations in lamin A cause HutchinsonGilford progeria syndrome. Nature 423: 293-298
Goldberg M et al, 1999. Functional organization of the nuclear lamina. Gene Ther Mol
Biol 4:143-159
Hutchison C, 2001. Lamins in disease: why do ubiquitously expressed nuclear envelope
proteins give rise to tissue-specific disease phenotypes?. Journal of Cell Science 114:919
--- Lamin A/C (LMNA) http://www.dmd.nl/lmna_home.html
Accessed November 3, 2003
Lau NC et al, 2003. Censors of the Genome. Sci Amer 289,2:34-41
Livneh H, 1995. Progeria: Medical Aspects, Psychosocial Perspectives, and Intervention
Guidelines. Death Studies 19:433-452
---Online Mendelian Inheritance of Man. http://wwwncbi.nlm.nih.gov/omim
Accessed November 3, 2003
---Progeria Research Foundation. http://www.progeriaresearch.org/
Accessed November 3, 2003
---Sunshine Foundation. http://wwwsunshinefoundation.org/progeria.html
Accessed November 3, 2003
8
�Appendix A: Clinical features of other laminopathies
Emery-Dreifuss Muscular Dystrophy, type 2 (OMIM 181350)
Myopathy intermediate between limb-girdle and scapuloperoneal atrophy; late onset
cardiomyopathy; arrhythmia; early contractures; neck stiffness
Emery-Dreifuss Muscular Dystrophy, type 3 (OMIM 604929)
Spinal rigidity; contractures; diffuse muscle wasting; pelvic girdle muscle weakness;
difficulty walking; muscular dystrophy
Limb-girdle Muscular Dystrophy, type 1B (OMIM 159001)
Atrioventricular conduction disturbances; bradycardia; dilated cardiomyopathy; sudden
cardiac death; mild joint contractures; hip girdle muscle weakness; shoulder girdle
muscle weakness; myopathic changes
Charcot-Marie-Tooth Disorder, type 2B1 (OMIM 605588)
Kyphoscoliosis; pes cavus; foot deformities; distal limb muscle weakness; distal limb
muscle atrophy; 'steppage' gait; foot drop; distal sensory impairment; hyporeflexia;
areflexia; axonal degeneration/regeneration on nerve biopsy; decreased number of
myelinated fibers may be found
Dunnigan type of familial partial lipodystrophy (OMIM 151660)
Symmetirc lipoatrophy of trunks and limbs; fat sparing at the neck; buffalo hump area;
tuberoeruptive xanthomata; acanthosis nigricans; lean muscular limbs; phlebectasia;
rounded and full face
Mandibuloacral dysplasia (OMIM 248370)
Hypoplastic mandible; severe dental crowding; wide cranial sutures; acroosteolysis; stiff
joints; hypoplastic clavicles; atrophy over head and feet; alopecia; short stature;
hematemesis
9
�Familial form of dilated cardiomyopathy (OMIM 115200)
Congestive cardiomyopathy; conduction defects; atrial fibrillation; ventricular
arrhythmia; congestive heart failure; pericardial effusion; Adam-Stokes attacks
Subset of Werner’s Syndrome (OMIM 277700)
Short stature; stocky trunk; prematurely aged face; cataracts; retinal degeneration; beaked
nose; premature arteriosclerosis; osteoporosis; slender limbs; scleroderma-like skin;
subcutaneous calcification; thin, sparse, gray hair; premature balding; diabetes mellitus;
hypogonadism, Osteosarcoma and meningioma in about 10% of sufferers.
10
�Figure 1: Nuclear Lamina. The inner nuclear membrane and the nuclear lamina are
involved in several biological functions, including: regulation of the nuclear envelope
shape and structure; disassembly and reassembly of the nuclear envelope during mitosis;
providing anchoring sites for chromatin and affecting higher order chromatin
organization; lamins are needed for the elongation phase of DNA replication; lamins are
important for initializing and completing apoptosis and lamins interlink adjacent nuclear
pore complexes.
11
�Figure 2: Lamins. Lamins B1 and B2 are expressed by LMNAB1 and LMNAB2
respectively. Lamin A and lamin C are the products of alternative splicing of the LMNA
gene.
12
�Photos of Children with Progeria
13
�14
�Bots
1
Sean Munson (Computer Science)
I. Introduction
Bots have become a commonly used attribute of the Internet. What is a bot, you
may ask? A general definition of a bot can be considered to be a program that is meant to
be left alone while in operation to interact with the Internet. The two types of bots are
spiders and intelligent agents. Spiders , otherwise known as web crawlers are bots “that
index and map specific web sites (Pallmann, page 4)” all across the Internet. In contrast,
intelligent agents have some complexity in their designs, they make decisions without the
aid of interaction and therefore are able to perform tasks. For instance, an intelligent
agent could notify a person via email once an occurrence has taken place on the Internet.
Examples of spiders are those that are used for search engines. The search
engine spider traverses the web in order to keep the databases of its search engine current
and up to date. The search engine can be broken up nicely into two diagrams, one is
called the “front end (Pallmann, page 4)” and the other is called the “back end (Pallmann,
page 5)”. The diagram for the “front end (Pallmann, page 4)” is shown in Figure 1.
On the front end a user types into a web browser the search terms that describe
what he or she is looking for. That is then sent to the search engine’s web server, which
translates the search terms into a database query and sends the database query to a
database of indexed web sites. The database of indexed web sites then sends records that
match the database query back to the search engine web server. The search engine’s web
server then sends a results page back to the web browser for the user to read.
The other half of the search engine, the “back end (Pallmann, page 5)” is “the
program that scours the Internet and updates the database (Pallmann, page 5).” The
spider is vital to the search engine’s existence, the “spider is just as essential as the search
engine’s front end (Pallmann, page 5)”. If the spider did not exist then the information
that is displayed on the web browser would quickly become old and of no need to the
user of the search engine. The diagram of the search engine’s “back end (Pallmann, page
5)” is shown in Figure 2.
A spider continuously searches through the Internet and as it does so, it indexes
each site. Once a spider comes to a web site’s home page, the spider must then go to
1
Research performed under the direction of Dr. Adrian Ionescu (Computer Science)
15
�Web Browser
Search
Terms
Results
Page
Search Engine
Web Server
Database
Query
Matching
Records
Database of
Indexed
Web Sites
Figure 1: The Front End
Database of Indexed
Web Sites
Records
Spider
Robot
Response
Pages
URLs
Web
Sites
Figure 2: The Back End
16
�every link that is on that web page. This is “a process called crawling (Pallmann, page
5).”
The other type of bot that can perform certain tasks is the intelligent agent.
Intelligent agents can “work unattended (in the background) (Pallmann, page 5).” An
example of an intelligent agent is a “news bot (Pallmann, page 5).” The diagram for a
“news bot (Pallmann, page 5)” is shown in Figure 3.
User
Instructions
News Bot
Data
News Source #1
Web Site
Notification
Data
Data
News Source #3
Web Site
News Source #2
Web Site
Figure 3: News Bot Example
The user gives the news bot instructions for it to perform. The news bot then
goes out to the specific news source web sites to perform the instructions. Perhaps the
news bot is waiting for certain events or news to take place and be displayed on the news
source web site. Then the news bot may gathers the data that has been sent to it by the
news source web site and then sends the user of the news bot some sort of notification.
The notification could be an on screen display, it could be a sound that is played through
the computers speakers, it could be an email, or it could be all three.
17
�Spider and Intelligent Agent
The spider and the intelligent agent are two very different types of bots. The
spider that is used by many search engines is “nearly invisible (Pallmann, page 6).”
Contrastingly, because of the notification and instructions that are involved, spiders will
cause the users to see intelligent agents. Another major difference is spiders usually run
on servers and intelligent agents usually run on personal computers.
II. Programming Bots
When writing the programming code for a bot one needs to be aware of the
fundamentals of bots. First of all, bots are meant to run on their own. And secondly,
they are meant to run for a long period of time. Therefore, a programmer must include
good code that reports significant errors when attention is needed. Also the programmer
must write code that is efficient with the systems memory resources.
On the Internet there are web sites that do not want or like bot interaction.
“Hammering (Pallmann, page 15)” is what web site management does not like about
bots. Hammering is when a program accesses a web site many times in a row, which in
turn can slow down the web sites performance. Most web sites want people to be able to
access them and if a bot compromises this, then they have the option of participating in
“The Internet Robot Exclusion Standard (Pallmann, page 15).” The Exclusion Standard
incorporates a text file that has to be named robots.txt. The robots.txt file is specific to
each web site but only if the web site has implemented its use.
For example, cnn.com’s robots.txt file (see Appendix I) does not allow
all bots to enter certain areas of its web site. When viewing a robots.txt file, the text
following the ‘#’ symbol is ignored or commented out. The ‘*’ symbol represents any
and all bots. The portions following ‘Disallow’ are the areas of the web sites that are
off limits for the bots that are specified by ‘User-agent:’. Then for more specific
instructions pertaining to certain bots, instead of ‘*’, the name of the bot is used.
Although bots have demonstrated their usefulness for an Internet user, this
programmer was interested in testing their purported usefulness for the Internet.
Therefore, the purpose of this project was to integrate robots for Internet use, and to test
their efficiency for Internet users and their interaction with the Internet.
In this project there were two C++ source files that were added,
CRobotInternet and CRobotMail. The CRobotInternet class can be used to
retrieve information from the web. The data that can be extracted can be strings or
integers or any other type of standard data type. CRobotInternet also has the
capability to communicate with web servers. The other class, CRobotMail gives the
18
�programmer general e-mail control and capabilities. More specifically, it “allows one to
read all messages from the inbox, including new ones, and to send a message, with or
without a file attachment (page 78).”
For this project, I designed my robot to go to a specified web site and notify the
user when a certain string has been posted on the web site. The user must first enter the
strings or phrases into the robots interface. Then the robot can search and wait on the
web site to refresh. Once the web site has been refreshed with the appropriate string, the
robot will then notify the user. Also the user must enter the e-mail address that he/she
wants the robot to notify them at.
For this project, my first step was to get the Microsoft Developer Studio
running. Then, I created a dialog based MFC application. The Microsoft Developer
Studio makes creating the robot a lot simpler than if writing the program from scratch.
The studio has the ability to generate code for the programmer. While creating the MFC
application, I accepted all the default options. I named the MFC application
stockHeadline. Then I added the following classes to the project:
CRobotInternet.h, CRobot.h, CRobotMail.h,
CRobotInternet.cpp, and CRobotMail.cpp. These files make creating the
project a lot simpler by using their available functions. Next, at the top of the
stockHeadline.cpp file, I added the following header files:
#include “CRobot.h”
#include “CRobotInternet.h”
#include “CRobotMail.h”
The above lines enable the project to access the functions that are in CRobotMail and
CRobotInternet.
The next step is to open the main dialog resource and to add the necessary
controls. There needs to be an e-mail address edit box, a phrases edit box, a display box
for all the phrases that have been added to the list, and a group of buttons consisting of
hide, close, add, and remove. The hide button minimizes the robots interface. The close
button terminates the application. The add button adds a phrase to the list of phrases and
the remove button removes the highlighted phrase.
To simplify the creation of the dialog box I added member variables to the
member variables section of the class wizard. The class wizard is a tool in the Microsoft
Developer Studio that breaks down and gives one more control of the classes used in
projects. In the class wizard, I added variables and gave them appropriate Resource ID’s.
The following is what I added:
19
�Variable Name
Resource ID
m_mail
IDC_MAIL
m_words
IDC_WORDS
m_words_ctl
IDC_WORDS
Next, I created a context menu. A context menu displays the options once a user
clicks on the icon that is in the system tray. Normally one gets options when he or she
right clicks on icons that are in the system tray. To create the context menu for the
project I went to the ResourceView tab in Microsoft’s Developer Studio. Once there I
was able to create a new menu resource. Then I was able to define the menu items with
the following resource IDs:
Caption
Resource ID
&Update
IDC_UPDATE
&Configure
IDC_CONFIGURE
E&xit
IDC_EXIT
The ampersand makes the character after it a shortcut for that command. If the
menu is activated and the options are visible then pressing the letter x on the keyboard
will cause the program to exit, the letter u on the keyboard will cause the program to
update itself, and the letter c on the keyboard will cause to program to re-configure itself.
The icon in the system tray has the ability to change states. By pressing the
ResourceView tab I was able to draw icons that will be displayed when the program takes
a certain state. There are three different icons to be created:
Icon
Description of Icon
Idle
The letter ‘I’ that stands for Idle.
Active
The hourglass was used for this icon in order to represent that
the program is busy.
Error
The letter ‘X’ was used to depict that something is wrong with
the program.
Now the icon on the system tray nearly has the ability to display its state to its
user. Next I defined the class variables and constants that I put in the stockHeadline.h
file. The following are the function titles that I added:
void SetTray (int nWhichIcon, CString sStatus) ;
void LoadWords ( ) ;
20
�void SaveWords ( ) ;
void ScanForStockHeadlines ( ) ;
void OnMenuUpdate ( ) ;
void OnMenuConfigure ( ) ;
void OnMenuExit ( ) ;
Each function is related to the buttons that were added to the dialog box or are
related to the options after right clicking on the system tray icon except for
‘ScanForStockHeadlines’ which gives the program the ability to know when the
appropriate phrase has been found.
Next I added the appropriate message handlers in the IDC_WORDS combo box,
which can be found in the class wizard. The first message handler to be added is ‘add’.
One of the things to know is if there is any phrase to add to the list of phrases. The
following checks to see if the entry line is blank:
if ( m_words = = “” )
{
MessageBox ( “ Please enter a phrase. “,
“A phrase is required”,
MB_EXCLAMATION ) ;
return ;
} // end if
In the if statement, ‘m_words’ checks to see if the line is blank and if it is then
an error message will be reported. The other message handlers that needed to be added
were OnRemove, OnInitdialog, OnOk, and OnTimer. OnRemove is the
code for the ‘remove’ button on the dialog box. Once the errors were checked for the
word it could then be removed, the code for the removal of a phrase from the dialog box
is as follows: m_words_ctl.DeleteString( m_words_ctl.GetCurSel (
);
The OnInitdialog message handler puts the intelligent agent in the
Windows system tray. The OnOk message handler responds to the click of the hide
button and respectively hides the intelligent agents interface. Lastly the OnTimer
21
�message handler will execute the intelligent agent on a set interval. This function gives
the agent the ability to make routine check-ups of the web.
Next I wrote the scanForStockHeadline function which retrieves the
appropriate and requested web page and determines whether the web page has the correct
and matching phrase. To determine if the web page is accessible the following line of
code was used:
if ( internet.httpGet ( “//* web page address *// “,
sHTML, nResult, sErrMsg )) ;
After this function is complete the code for the intelligent agent is concretely
finished. All that is left to do is use the finished application.
III. Conclusion
Robots have proven to be a highly useful tool for the internet. In conclusion, my
project supports their usefulness in conjunction with the internet. For today’s fast paced
information needs, the applications of robots and the internet are seemingly endless.
With the growth of the internet today, the programmer’s job will be a challenging one to
meet the demands for tools to manage, navigate and gather information from the web. As
the use of the Internet increases, robots or even more efficient tools will need to be
designed. Thus the programmer’s challenge for the future will be to supply users with
tools such as robots that are functional and user friendly to maximize their Internet time.
IV. Bibliography
Pallmann, David. Programming Bots, Spiders, and Intelligent Agents in Visual C++.
Redmond, Washington: 1999.
22
�Appendix A
The following is the robots.txt file taken from www.cnn.com on November 17, 2003.
# Robots, scram
User-agent:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
*
/cgi-bin
/TRANSCRIPTS
/development
/third
/beta
/java
/shockwave
/JOBS
/pr
/Interactive
/alt_index.html
/webmaster_logs
/newscenter
/virtual
/DIGEST
/QUICKNEWS
/SEARCH
User-agent:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Mozilla/3.01 (hotwired-test/0.1)
/cgi-bin
/TRANSCRIPTS
/development
/third
/beta
/java
/shockwave
/JOBS
/pr
/Interactive
/alt_index.html
/webmaster_logs
/newscenter
/virtual
/DIGEST
/QUICKNEWS
/SEARCH
User-agent: Slurp
Disallow:
/cgi-bin
23
�Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
/TRANSCRIPTS
/development
/third
/beta
/java
/shockwave
/JOBS
/pr
/Interactive
/alt_index.html
/webmaster_logs
/newscenter
/virtual
/DIGEST
/QUICKNEWS
/SEARCH
User-agent:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Scooter
/cgi-bin
/TRANSCRIPTS
/development
/third
/beta
/java
/shockwave
/JOBS
/pr
/Interactive
/alt_index.html
/webmaster_logs
/newscenter
/virtual
/DIGEST
/QUICKNEWS
/SEARCH
User-agent:
Disallow:
#Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Ultraseek
/cgi-bin
/TRANSCRIPTS
/development
/third
/beta
/java
/shockwave
/JOBS
/pr
24
�Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
/Interactive
/alt_index.html
/webmaster_logs
/newscenter
/virtual
/DIGEST
/QUICKNEWS
/SEARCH
User-agent:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
smallbear
/cgi-bin
/java
/images
/development
/third
/beta
/webmaster_logs
/virtual
/shockwave
/TRANSCRIPTS
/newscenter
/virtual
/DIGEST
/QUICKNEWS
/SEARCH
/alt_index.html
User-agent:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
Disallow:
GoogleBot
/cgi-bin
/java
/images
/development
/third
/beta
/webmaster_logs
/virtual
/shockwave
/TRANSCRIPTS
/newscenter
/virtual
/DIGEST
/QUICKNEWS
/SEARCH
/alt_index.html
25
�Appendix B
The following is stockHeadline.cpp
// stockHeadline.cpp : Defines the class behaviors for the
application.
//
#include "stdafx.h"
#include "stockHeadline.h"
#include "stockHeadlineDlg.h"
#ifdef _DEBUG
#define new DEBUG_NEW
#undef THIS_FILE
static char THIS_FILE[] = __FILE__;
#endif
///////////////////////////////////////////////////////////
//////////////////
// CStockHeadlineApp
BEGIN_MESSAGE_MAP(CStockHeadlineApp, CWinApp)
//{{AFX_MSG_MAP(CStockHeadlineApp)
// NOTE - the ClassWizard will add and remove
mapping macros here.
//
DO NOT EDIT what you see in these blocks
of generated code!
//}}AFX_MSG
ON_COMMAND(ID_HELP, CWinApp::OnHelp)
END_MESSAGE_MAP()
///////////////////////////////////////////////////////////
//////////////////
// CStockHeadlineApp construction
CStockHeadlineApp::CStockHeadlineApp()
{
// TODO: add construction code here,
// Place all significant initialization in
InitInstance
}
///////////////////////////////////////////////////////////
//////////////////
26
�// The one and only CStockHeadlineApp object
CStockHeadlineApp theApp;
///////////////////////////////////////////////////////////
//////////////////
// CStockHeadlineApp initialization
BOOL CStockHeadlineApp::InitInstance()
{
AfxEnableControlContainer();
// Standard initialization
// If you are not using these features and wish to
reduce the size
// of your final executable, you should remove from
the following
// the specific initialization routines you do not
need.
#ifdef _AFXDLL
Enable3dControls();
using MFC in a shared DLL
#else
Enable3dControlsStatic();
linking to MFC statically
#endif
// Call this when
// Call this when
CStockHeadlineDlg dlg;
m_pMainWnd = &dlg;
int nResponse = dlg.DoModal();
if (nResponse == IDOK)
{
// TODO: Place code here to handle when the
dialog is
// dismissed with OK
}
else if (nResponse == IDCANCEL)
{
// TODO: Place code here to handle when the
dialog is
// dismissed with Cancel
}
// Since the dialog has been closed, return FALSE so
that we exit the
27
�// application, rather than start the application's
message pump.
return FALSE;
}
28
�Section II:
The Social Sciences
�Case Study of a Two-Year-Old Girl's Emotional
Adjustment in a Private Day Care Setting Case
Claire Lippmann1 (Psychology)
Being away from home and mommy for most of the day can be difficult when
experienced for the first time. In accordance with this, Watamura, Donzella, Alwin, and
Gunnary (2003) found that most infants and toddlers show signs of physiological stress when
placed in day care. What seems troubling to most parents is the fact that young infants cannot
express their feelings or thoughts through language. Instead, parents must be able to read the
child's actions and behavior, which is not always easy. While spending time at Wagner
College's Early Childhood Center, I chose to focus on one particular child's emotional
adjustment to the day care: Samantha, two years old, the youngest of the 14 children in her
class. Using Erik Erikson's and Jean Piaget's models of childhood development, as well as
other authors discussing childhood research and theories, Samantha's observed behavior will
be compared and consequently, the theories will be discussed and re-examined in a modern
context. In addition, an emphasis will be brought on the quality verses the quantity of child
care, demonstrating that the quality of a day care should matter most to parents who worry
about their child's behavioral, psychological, and physiological well being when placed in
such an environment.
One would think that the smaller the child the more difficult it is to adapt to the new
child care environment. Samantha, however, adjusted particularly well to the day care center,
especially in comparison to her slightly older classmates. As will be discussed more in depth
later on, Samantha revealed no or few signs of separation anxiety, and showed an overall
positive attitude towards her peers and teachers. She attended the Early Childhood Center
five days a week, often arriving earlier than her classmates in the morning and staying late in
the afternoons. Samantha developed strong bonds with her teachers, picking out her favorite
ones and shadowing them for most of the day. During the first few weeks of school she
engaged mostly in solitary play, staying away from the group play being engaged by her
peers. Due to her age, towards the beginning of the school year, Samantha still required a lot
of personal attention and affection. As time went by, however, Samantha grew slightly more
independent, needing less time with teachers and spending more time playing with her peers.
When ill she was very lethargic, tired and weary, and made her needs and wants known
1
Research performed under the direction of Dr. Miles Groth (Psychology)
30
�through the use of crying. Even though she was in poor health, and in no shape to participate
actively in the day care's activities, her parents dropped her off nonetheless. Although during
that time she never directly asked for her mother, I am almost certain that she would have
felt sentimentally better if with her mother.
Before going on, it is necessary to talk a bit about the Early Childhood Center itself
to establish a background. Lamb (1998) accumulated evidence suggesting that the quality of
child care is important for children's development, furthermore stating that higher quality
care is associated with increased development of cognitive and language skills. Luckily for
Samantha and her classmates, the Early Childhood Center is a high quality, private child care
center. Children coming from upper and middle socioeconomic backgrounds attend this
facility. Its teachers' high devotion to each child is what makes it a quality place for children.
The classroom consists of four teachers and 14 children. Of the four teachers, one has been
teaching for 15 years, two are graduate assistants who plan on being teachers themselves,
and one, myself, remains an undergraduate student. I believe this diverse aspect of the
classroom brings an enormous advantage to the children, because they are looked after by
people who truly care and love children, and whose motivation is not related to money (since
the two assistants and I were not getting paid).
Interestingly enough, current findings have shown that extensive early experience
in child care can be associated with behavior problems developed later on, but that the actual
quality of care can balance the risks linked with the time spent in child care (Love, Harrison,
Sagi-Schwartz, Ijzendoorn, Ross, Ungerer, Raikes, Brady-Smith, Boiler, Brooks-Gunn,
Constantine, Kisker, Paulsell, & Chazan-Cohen, 2003). Children attending the Early
Childhood Center obtain most of the personal attention they need, although as we shall see,
this may not be enough on the part of the educator, whom even with the best intentions
cannot bring the same kind of emotional feedback to the child as the mother. On the one
hand, this can be explained by the fact that teachers must attend to several children's needs at
once, which can sometimes be troublesome. On the other hand, it can also be explained by
the well-known fact that teachers tend to stimulate children intellectually, whereas parents
tend to be more sensitive to their child's emotional equilibrium. Furthermore, the National
Institute of Child Health and Human Development (NICHD, 2003) reports that the more
time spent in non-maternal care in the first four and one half years of life may be associated
with more externalizing problems and conflicts in kindergarten. Above all, it is important to
realize that quality of child care matters just as much as quantity of child care when it comes
to children's social-emotional development (Love et al, 2003).
Samantha shows no negative behavior traits; she is cooperative, attentive, and even
quite talkative when asked simple questions that she comprehends. Throughout the first few
weeks of school, Samantha showed hardly any signs of separation anxiety, as though she
somewhat understood that her mother was not abandoning her, but would soon return.
31
�Agreeing with this, Selma H. Fraiberg (1959) writes, "In the second year we find that the
infant can tolerate small amounts of discomfort and anxiety without being reduced to
helplessness and panic". Samantha reduced her anxiety by clinging to and shadowing her
teachers. This behavior reminds us of Margaret Mahler's concept of emotional refueling,
except that instead of it occurring with the mother, Samantha obtained emotional refueling
from the teachers she felt closest to and spent the most time with. Accordingly, Fraiberg
(1959) reminds us that "Babies who do not suffer with excessive anxiety seem to develop
their own methods of overcoming such fears".
Although Samantha, or any infant at this stage, does not fully grasp the concept of
object permanence, she understands the concept when applied to people she knows such as
her mother, brother, or favorite teacher. In other words, Samantha believes her mother
‘disappears’ but frequently returns. What is, in her view, a magical phenomenon, suffices for
common, everyday situations in reducing anxiety. The same explanation fits the way
Samantha talks about her brother. Every day Samantha and one of her parents drop off her
brother (age 5) at the school bus stop. As a result, when asked about her brother, Samantha
ensures me he is on the school bus - proving she does not realize her brother's school bus
takes him to school, where he spends the day in a classroom rather than on the bus. This sort
of dialogue shows some aspects of object permanence have been mastered by the child, but
not yet to its full capacity.
When attempting to tap into a child's emotional life and psychosocial development,
Erikson's model of childhood development appears among the most powerful and influential
theories. It suggests a total of eight developmental stages, for which a crisis must be resolved
in each stage in order for a person to develop psychosocially without hauling issues attached
to the previous crisis. Erikson differed from his precursors by believing that "conflict arises
not from the internal forces of the person, but rather the person's interaction with his or her
environment" (Cross, 2001). In other words, Erikson viewed culture as an extremely
important aspect of a person's development, therefore suggesting that depending on the
child's developmental age, stages may occur earlier or later than stated in his model.
Erikson suggests that during the first year of a child's life the child must master the
crisis of trust versus mistrust. In this stage parents play a primary role because "Food, shelter,
and proactive efforts at comforting the infant lead it to hold a basic trust about the world"
(Cross, 2001). Samantha's behavior shows that she has mastered her primary crisis, yet, she
still has not been toilet trained, and therefore has not been subjected to the next crisis of
autonomy versus shame and doubt. Another feature of this stage of development is the need
to explore: the child experiences increased physical movement ability, and consequently
feels the need to explore the world. This stage can be extremely tiring for parents and may
lead them to discourage their child's explorations. Such a restraint may lead the child to
develop self-doubt and shame. Once again, when following Erikson's model, Samantha does
32
�not seem to have reached the toddler stage yet, however she seems to be on the route of a
healthy psychosocial development, considering that she is only two years and three months
old. In the day care she explores when she chooses to, and soils in a diaper, but does not
exhibit feelings of doubt or shame, or any particular signs of autonomy that are usually
applied to two and a half and three year olds. This is in accordance to her age and
environment, taking in account the fact that her parents have not yet presented her the task of
toilet training, one of the most fundamental aspects of Erikson's toddler phase.
When focusing on a child's cognitive development, Piaget's theory was also
tremendously influential, as well as comprehensive. Piaget was interested in understanding
how it is that children become rational, and wanted to understand not only how children
think but also how they learn to think. Piaget's model of cognitive development worked
similarly to Erikson's model of childhood development because both proposed the idea that
one stage precedes another and consequently lead to an individual's well being and balance
with his or her environment (Piaget, 1972). In Piaget's view, a two-year-old's development
corresponds to the preoperational stage, whose major accomplishments are language and
conceptual development. During this stage, children show signs of centration, "a tendency to
focus on only one especially noticeable aspect of a complicated object or situation"
(Sternberg, 2003). This tendency can be seen in Samantha's behavior when she works on
puzzles, as she focuses on a single dimension: finding where the puzzle piece goes,
sometimes without taking into account that the piece she holds belongs to a different puzzle
than the one she is working on.
In addition, Piaget believed that the affective, social and cognitive aspects of
behavior are inseparable, because neither one can function without the other. To explain this
aspect of behavior, Piaget presents us with the idea of children's development of mental
images, believing this developmental process "results in the formation of new affects in the
form of lasting sympathies or antipathies toward other people" (Piaget, 1969). This view
shows Samantha has reached the preoperational stage and has developed certain mental
images about her environment, which in turn permit her to make new friendships, and as a
result increase the richness of her surroundings. Piaget also stressed this stage as critical for
language development, thus indirectly supporting Love and Ahnert's findings which suggest
that children in day care are associated with higher cognitive and language scores at 24 and
36 months (2003,2003). Since in Piaget's view, language at this stage is set as a major goal,
and that according to Love et al. (2003), children placed in child care are more prone to
communication, both theories come together and seem to support one another. Interestingly
enough, although Piaget focused primarily on children's cognitive development, he perceived
children's private speech as irrelevant to children's cognitive development, not realizing the
fundamental link existing between the two.
33
�Lev S. Vygotsky, a well-known and outstanding Russian psychologist from the
1930's, was the first to realize the importance of children's private speech. Up to the 1960's
Western psychologists and educators had been persuaded by Piaget that private speech
played no constructive part in normal cognitive development. However, Vygotsky saw a
strong connection between social experience, speech and learning, and furthermore believed
that "early social communication precipitates private speech...social communication gives
rise to all uniquely human, higher cognitive processes" (Berk, 1994). Even though the speech
produced by children lacks structure, as well as vocabulary, they manage to state the aspects
that seem the most confusing to them. As the tasks they take on become more common and
well practiced, this private speech becomes internalized and remains with us throughout our
entire lives. Berk (1994) suggests, along with many other researchers, that "self-guidance is
the central function of private speech", and that "although children are often rebuked for
talking to themselves out loud, doing so helps them control their behavior and master new
skills." After all, if this aspect of childhood behavior is so universal, the need to recognize its
purpose seems understandable. When observing Samantha individually, I asked her to
complete a few cognitive operations, mainly consisting of recognizing certain objects from
the classroom and matching them with drawings in a picture book. Whenever the object's
presence was a bit harder to establish, she would start mumbling as though going through the
motions in her head. The experience was repeated with puzzles, and in accordance with
Vygotsky's findings, the more challenging the puzzles were, the more Samantha felt the need
to express her thoughts out loud. In addition, her cooperative behavior may be explained by
her frequent use of private speech, which serves the purpose of a regulator of frustration and
anxiety.
Vygotsky also studied children's imagination and creativity, which he viewed as
extremely central to a child's general development. He proposes, "Already at an early age,
children have creative processes, which are expressed in their play" (1967). Moreover,
Vygotsky (1967) believed "The child's play activity is not simply a recollection of past
experience, but a creative reworking that combines impressions and constructs from the new
realities addressing the needs of the child”. This view is similar to Piaget's notion of the child
inventing the world as he or she experiences it. From both these points of view, play has a
fundamental role in a child's development, teaching children to simulate adult situations, and
therefore teaching them little by little how to fit into society. Nevertheless, play can also be
extremely creative; children continually invent games with rules evoking immense
imagination and creativity.
The child care setting represents an encouraging play environment by providing
excessive amounts of toys and activities the child can actively participate in. After all,
"creativity is a necessary force of existence" (Vygotsky, 1967) and a quality child care offers
a nearly perfect environment for children to "practice" life. Samantha plays an average of six
34
�to seven different games (with no rules) and participates in five to six diverse classroom or
individual activities per day. In other words, Samantha has the opportunity to grow up in a
rich, socially interactive environment, where play is encouraged, and private speech is not
looked down upon. She spends her day in a positive learning and caring environment where
many aspects of her behavior can be enhanced and developed in a healthy manner. Perhaps
Samantha's adjustment to the child care center may not have been so easy under different
circumstances, or in a less privileged setting.
The Early Childhood Center accommodates children in a very welcoming fashion.
It is a place where children are listened to, respected, valued as individuals, and due to the
ratio of children per teacher, are given lots of personal attention to meet up to their emotional
needs. However, not all children are so fortunate. Alice Miller attempts to bring to light the
dangerous impacts and devastating effects childhood traumatization can have on adults, and
consequently on society. From her discoveries she reaches the conclusion that human beings
are not inherently destructive, that they are made that way because of ignorance, abuse, and
neglect, and more so if no trustworthy figure can stand by their side. Miller's theory (1988)
furthermore suggests that it is only by confronting the truth that has been avoided time and
time again, that individuals can be saved from self-destruction, as well as blindly destroying
others. Miller also stresses that children, whose vital needs are violated by being exploited,
beaten, punished, manipulated, neglected, or taken advantage of, will be permanently
harmed, and that since, for these children, it is forbidden to express feelings of anger or pain,
"they are compelled to suppress their feelings, repress all memory of the trauma, and idealize
those guilty of the abuse" (Miller, 1988). This dissociation from the original cause invites
them to express their feelings of despair, anger, helplessness, and pain in destructive acts
against others or against themselves. If these individuals turn out to be parents themselves,
their children become scapegoats that the parents beat in order to escape the feelings coming
from the way they were treated as children by their own parents. However, if these
mistreated individuals manage to find emotional support and tenderness, instead of getting
blamed for being at fault, the slate may be cleaned and the cycle broken (Miller, 1988).
Miller (1988) writes, "People whose integrity has not been damaged in childhood, who were
protected, respected, and treated with honesty by their parents, will be - both in their youth
and adulthood - intelligent, responsive, empathetic, and highly sensitive."
Samantha's environment is highly conducive to the positive behavior and personal
integrity Miller writes about. Like Miller, I strongly believe that "a child responds to and
learns both tenderness and cruelty from the very beginning," that parents and educators must
be compassionate and respectful towards children no matter what the situation at hand may
be, because children learn to love from the love they receive.
35
�Samantha's cooperative, responsive and intelligent behavior shows she is brought
up in a supportive environment, and explains why her adjustment to child care occurred with
such ease. Although opinions vary on the advantages and disadvantages of placing a child in
child care, one thing remains certain, that the quality of the child care should be carefully
examined in order to confirm the positive outcomes the school setting will have on the child.
As we now know, childhood trauma is easy to come across but its effects are everlastingly
distressing.
References
Ahnert, L., & Lamb, M. E. (2003). Shared care: Establishing a balance between home and
child care settings. Child Development, 74(4), 1044-1049.
Berk, L. E. (1994, November). Why Children Talk to Themselves. Scientific American, 7883.
Cross, T. L. (2001). Gifted Children and Erikson's Theory of Psychosocial Development.
Gifted Children Today, 24, 54-57.
Fraiberg, S. H. (1959). The Magic Years: Understanding and Handling the Problems of
Early Childhood. New York: Fireside.
Lamb, M.E. (1998). Non-parental Child Care: Context, Quality, Correlates, and
Consequences. Handbook of Child Psychology, 4, 73-133.
Love et. al (2003). Child Care Quality Matters: How Conclusions May Vary with Context.
Child Development, 74(4), 1021-1033.
Miller, A. (1988). The Untouched Key: Tracing Childhood Trauma in Creativity and
Destructiveness. New York: Doubleday.
National Institute of Child Health and Human Development Early Child Care Research
Network (2003). Does Amount of Time Spent in Child Care Predict Socio-emotional
Adjustment during the Transition to Kindergarten? Child Development, 74 (4), 976-1005.
Piaget, J. (1972). The Psychology of Intelligence. Totowa, NJ: Littlefield, Adams.
Piaget, J. & Inhelder B. (1969). The Psychology of the Child. New York: Basis Books.
36
�Sternberg, R. J. (2003). Cognitive Development. Cognitive Psychology, 3rd edition. 443482. Belmont, CA: Wadsworth/Thomson Learning.
Vygotsky, L. S. (1967). Imagination and Creativity in Childhood (Translated by Francine
Smolucha). Prosveshchenie, 84-96.
Watamura, S. E., Donzella, B., Alwin, J., & Gunnary, M. R. (2003). Morning-toAfternoon Increases in Cortisol Concentrations for Infants and Toddlers at Child
Care: Age Differences and Behavioral Correlates. Child Development, 74, 10061020.
37
�A Reflection of the Little Steps Treatment Program
Josephine Vitale1 (Psychology)
I. Introduction
Codependency, of alcoholism and addiction, in children is a disease in much of
the same way that it is a disease for their parents. It is caused by an integration of
biological, social, and psychological factors that have influenced the child.
Codependency can originate at anytime during an individual's lifetime, especially during
early childhood. Therefore, early intervention is crucial for the prevention of chemical
dependency and further codependency (YMCA Pamphlet).
In a family with a substance-abusing parent, life is often unstable and chaotic.
Children have an increased risk of physical and emotional illness. Some of the common
problems that are experienced by these children include truancy, hyperactivity, substance
abuse, aggressiveness, anxiety, and depression as well as may others (Gadol, 2000).
Children from chemically dependent families share feelings of responsibility for their
families, they feel they are "unlovable" and they have mixed emotions due to the
unpredictability of their families. These children are at higher risk of developing
dysfunctional behaviors including substance abuse problems. The goals of prevention for
these children should include educating them about the disease of chemical dependency,
understanding how chemical dependency has affected their family life, strategies to resist
using alcohol and drugs and an opportunity to identify with a positive adult role model.
The Little Steps program occurs in a weekly group psychotherapy session,
which is scheduled in repeatable 6-week cycles. The program is structured to meet the
developmental needs of each child in the program. It is divided into 3 specific age
groups. The Little Steps group is age appropriate for children between the ages of 4 and
9. This group includes story time, art therapy and a discussion. The activities allow the
children to identify and express various feelings, including anger, sadness and fear, in a
constructive manner. The Stepping Stones group is age-appropriate for children between
the ages of 10 and 12. This group utilizes a mix of art activities, therapeutic games and
discussion. Counselors in this group assist children in handling their increased awareness
of chemical dependency. Clients, ages 12 through 14, take part in the Stepping Out
group. A great deal of discussion and expressive activities are used to help the clients
1
Research performed under the direction of Dr. Richard Brower (Psychology)
38
�understand the disease of addiction and its impact on the lives of the adolescent.
Additionally, the Little Steps program provides their clients with further services such as
parent support groups, individual counseling, family conferences, and other
extracurricular activities provided by the YMCA.
The Little Steps program promotes a number of goals for their clients. The
primary goal is to have the children achieve an understanding that they are not the cause of
their parents' problems with chemical dependency and that they do not have the ability to
make them stop. It is also important for the children to understand that chemical
dependency is a disease. As a result of the participation in the program, children learn how
to identify feelings and express those feelings in positive way. Additionally, they learn how
to speak honestly, be assertive, make decisions, make friends, and believe in themselves.
As a result of deciding to take part in this internship, my hypothesis is that after
treatment in the Little Steps program for a time period of over 6 months, clients will be
more aware of their feelings, better able to express them and have a better understanding
of chemical dependency.
II. Methods
As I began my internship at the Little Steps Treatment Program I believed that I
would be limited in the number of services I could take part in. My experience was, in
fact, the opposite of my belief. During my 100 hours of field experience, I took part in
every service that is provided by Little Steps. This includes the Little Steps, Stepping
Stones, Parent, and family group as well as staff trainings, intakes and individual
counseling.
In the Stepping Stones, the group included an average of 5 children, one head
counselor and myself. Every session opened up by allowing any child to discuss some
issue that they wanted to talk about. This often included the events that had occurred
since the child was last in group. If no child was willing to discuss any events then some
sort of icebreaker was used in order to allow the children to open up. Following this,
there was a discussion on the topic that was planned for the day. Various topics included
anger management, feelings, self-esteem and chemical dependency. The topic was
usually accompanied by a related activity that utilized art or writing in order for the
children to express themselves. When the activity was completed the children discussed
what they had done and their feelings about it. Group was concluded by distributing an
affirmation statement, which offered a positive message to each child. The average length
of each group was 1 hour and 15 minutes. After all the children were gone, the head
counselor and myself wrote clinical notes on each child in the group. These notes
included my observation of how the child reacted to the activity and any significant
concern the child might have suggested.
39
�March 18, 2003: Self-esteem
The children first discussed what self-esteem is and some things that people may
say to them that hurt their feelings. Every child was given a sheet of blank paper. They
each had a turn to discuss hurtful things. Each time they mentioned something that was
critical or hurtful they were required to tear a piece of the paper in order to symbolize
how hurtful words can tear away at a person's self-esteem. Many children mentioned
such things as being yelled at, being made fun of, and being ignored as things that have
hurt their self-esteem. After each child had completed this section, the counselors
demonstrated that the individual's self-esteem could be built up again after being hurt by
using words that are positive. Each child took turns saying nice things to the other
children in the group. When the child received a compliment they wrote it down on a torn
piece of paper and they put the pieces back together on a mural. This was continued until
each child's self-esteem was put back together. At the end of the group, the children
discussed whether the "new" self-esteem was different than the original. The children
gave many positive responses to this activity. They enjoyed doing it and they
communicated about many of their feelings. One child mentioned that she would like to
do this at home when she is feeling down and I encouraged each child to do this when
they felt that their self-esteem had been hurt.
The Parent group is much less structured than the other groups in the Little Steps
program. On the average, the group consists of 10 individuals, one lead counselor and
myself. These individuals are either the substance abuser in recovery or the spouse of the
substance abuser. At times, the group may also include grandparents, legal guardians, and
foster parents. The group's activities vary on a week-to-week basis according to what the
clients suggest to do. Most of the time one parent will begin discussing one of their
concerns and the rest of the group contributes to the conversation with their inputs. The
parents give each other advice and guidance while the counselors attempt to stir the path
of the discussion. On occasion, the lead counselor or myself would choose a passage or
quote to read and discuss, or we would choose an activity that may be in conjunction to
what the children in the other groups are doing. Usually, the counselors try to discuss
some aspect of what the children are doing in their group but they do not go into it in too
much depth due to confidentiality issues. Some common topics that are discussed in
Parent group include custody issues, addiction, divorce, and concern about their children.
At the end of group, I normally wrote out a brief clinical note regarding the events of
group.
40
�March 13,2003: Discussion by Parent Group
Regarding the Activity of the Little Steps Group
This activity focused on imagining that the characters of Winnie the Pooh were
part of a dysfunctional family with a member who was chemically dependent. They
pretended that Winnie the Pooh was the individual with a problem with chemical
dependency. The purpose of the activity was to identify the roles of each family member
and to be able to identify the traits of each role. We told the parents that the role of Pooh
was the alcoholic and Rabbit was the chief enabler. Christopher Robin was the perfect
child, Tigger was the rebel, Piglet was the clown, and Eeyore was the lost child. The
parents then tried to identify what role they played in their family of origin and what role
they now play. They also tried to identify what role each of their children was playing.
There was some controversy over this activity because some people disagreed that these
roles should be classified only for families with chemical dependency. Many parents
agreed that these roles could be played out in any normal family. The purpose of this
activity was to have the parents be aware of the role that they have in the family and to be
aware of their children's roles.
Individual counseling is the least structured of all the services provided by the
Little Steps program. It is based entirely on the client's needs. The client and the
counselor spend 45 minutes, one-on-one with each other once a week. They are able to
build a trusting relationship so that the client feels comfortable enough to share whatever
they would like to. Clients usually receive this service after requesting it and choosing a
counselor that they feel comfortable with. I began individual counseling with J****, who
is a 7 year old boy from the Little Steps groups, during the last few weeks of the
internship. J**** 's mother suggested that he has a problem with managing his anger and
he is confused about his father's chemical dependency and his role in the family. She
suggested that I work on these issues with him during our time together. During my first
session with the client, he was timid and nice. We tried to get better acquainted with each
other so we discussed school, sports and his family. During the second session, we played
a feelings game and J**** was able to open up more about himself and his feelings. For
our next meetings, I plan on giving the client options on what he would like to do with
our time together.
During my internship at the Little Steps program, I have completed
approximately 7 intakes on my own. At the beginning, I familiarize the new clients to the
Little Steps program. We discuss the rules, activities and goals of the treatment program
as well as give them a brief tour of the vicinity. All paperwork, assessment, goal setting,
and registration take place at this time.
41
�III. Discussion
When I began the internship at the Little Steps program I knew that I wanted to
get the maximum amount of clinical experience from the work I would be doing. I
believe that in my 100 hours at Little Steps I have accomplished that goal. I have
successfully learned the basic practice of conducting group therapy and individual
counseling and I feel confident enough to perform these services on my own. I had
become familiarized with the overall organization and goals of treatment agencies as well
as the methods in which intakes and paperwork are completed. I have learned how to
identify and cope with the needs of every individual client. The skills I have acquired
from this internship can be applied to virtually any agency in which I chose to work for in
the future. As a result of my dedication to this experience, the YMCA Counseling Service
has offered me a position as counselor for the Little Steps program. I have decided to
accept this offer so that I can further my experience in a clinical treatment agency.
The purpose of the Little Steps treatment program is to have the clients
understand that they are not the cause of their parent's chemical dependency problem and
to believe that they are important and special children. There is a great deal of focus on
this goal. I believe that this is a slow process but the Little Steps program has been
effective in accomplishing this. Little Steps has additionally been effective in teaching
the client how to express their feelings, that chemical dependency is a disease and more
importantly that they are children and should be having fun and making friends instead of
worrying about their families.
One of the most important aspects of this program is that it allows the children
to recognize that they are not alone in their family struggles. They learn that the other
children in the program experience similar problems and feelings. This helps the children
better deal with their family life. For 75 minutes each week, the children can come to
group knowing that they will not be judged or criticized by their peers but instead they
will find understanding and reassurance by the other children in the group. This allows
the children to feel more positive about themselves.
An additional positive component of the Little Steps program is that it gives the
children an opportunity to identify with a healthy adult role model, which is often their
counselor. Many of the children may not have any other positive adult role models in
their lives therefore; all counselors make an effort to be a positive part of every child's
life. As a result, I have witnessed the strong relationships and bonds that have been
formed between the counselor and the client. Most of the children in the Little Steps
program do not participate out of their free will. They are forced to be there by the courts
or their families. At times, this causes the clients to be resistant and hostile to counseling.
This occurs more often in the older children and the young adolescents because they
refuse to accept that have a problem. These individuals often feel responsible for their
42
�families and refuse any help. As a result, the treatment program is less effective to those
who object getting the treatment. It is difficult to get these individuals involved but once
they do they realize the importance of sharing their concerns with the group.
On the other hand, I have witnessed first-hand how effective Little Steps could
be if the children are open to this experience. I believe that the program is most effective
when the children start participating at an early age. This allows them to experience the
differences among each group and it allows the children to grow with every group they
step into. Before a child can move up into another group they must first meet all the
criteria of the Little Steps program followed by a graduation ceremony. This process is
extremely effective because the children are publicly recognized for their
accomplishments and they receive a great deal of satisfaction from it. This encourages the
children to continue to participate and succeed in the next group.
The experience I have obtained from this internship will be memorable. I have
learned a great deal from the counselors, supervisors, social workers and psychologists.
Most of all, I have learned from the children who participate in the program. They have
taught me more about life than any textbook ever could. This internship has reassured my
belief that I want to make a career out of helping children and that I am more effective
when working with children rather than any other population.
IV. References
Anonymous. (2001). "Tanya talks about chemical dependency in the family”. Issues
Affecting Children From Chemically Dependent Families, " 30-32. Retrieved on April 8,
2003 from the YMCA counseling center.
Gadol, A. (2000). Coping with an alcoholic or drug-abusing parent. The Family
Forum Library. 4-10. Retrieved on April 8, 2003 from the YMCA counseling center.
"Little Steps is for children. A Treatment Program for Juvenile Codependency."
Retrieved on April 8, 2003 from the YMCA counseling center.
43
�Appendix A: RFT Internship Log
Date
Hours
Program
Description
Notes
12/19/2002
3
Little Steps
Christmas Party; included the entire family, food arts
and craft. All of the children made ornaments and had
a good time.
1/02/2003
3
Meeting & Intake
Discussion of the planned activities for the next seven
week cycle.
1/07/2003
3
Stepping Stones
1/09/2003
3
Parent Group
First parent group, extremely emotional and intense.
Parents were understanding of each other’s feelings.
1/14/2003
3
Stepping Stones
Mi*** was the only child to show up to group. We
discussed her issues about possibly going into foster
care.
1/17/2003
3
Parent
The group discussed whether alcoholism is genetic.
Joe was concerned with why he fell into alcoholism
and drug abuse but not the rest of his family.
1/21/2003
3
Stepping Stones
The activity consisted of inventing tools that may be
useful in families with substance abuse problems.
1/23/2003
3
Parent
1/28/2003
3
Stepping Stones
Children completed an acronym activity about their
name.
1/30/2003
3
Parent
Parent discussed another quote and M*** admitted
that she has a problem with control and perfection.
2/04/2003
3
Stepping Stones
We played the feelings game. D*** was upset about
fighting with his brother.
2/11/2003
3
Stepping Stones:
Family Group
Both C*** and D*** families were not getting along with
each other.
2/13/2003
3
Parent:
Family Group
2/25/2003
4
Meeting &
Stepping Stones
2/27/2003
3
Parent
Parents interpreted a quote about responsibility.
Only a few people showed up to a group.
Discussed activities for the new cycle. The head
Counselor for the Stepping Stones group was
switched to Danny. D*** reacted very well to having a
male counselor.
He opened up a bit more in
discussions.
Counseled the group as my own
44
�3/4/2003
3
Stepping Stones
The activity was a code letter in which the children
wrote to a person that they were angry with. The
children agreed that it was a good way to express
anger without trouble.
3/6/2003
4
Parent & Intake
3/11/2003
3
Stepping Stones
D**** was the only client to come to group. We played
with the stress ball.
3/13/2003
3
Parent
We discussed the roles of Winnie the Pooh, which was
the activity in Little Steps.
3/18/2003
4
Stepping Stones
& Treatment Plan
meeting
Self-esteem activity- Children discussed things that
have hurt their self-esteem and what they could do to
build it up. Staff was trained in completing treatment
planning for their clients.
3/20/2003
4
Parent & Intake
Counseled the group on my own. Parents discussed
issues about war and divorce.
3/25/2003
3
Stepping Stones
Anger activity- children discussed the difference
between the negative and positive ways to express
anger. They learned alternative ways to express
anger.
3/28/2003
4
Parent & Intake
Counseled group on my own. We discussed legal
issues regarding divorce.
4/3/2003
3
Parent
4/8/2003
3
Stepping Stones:
Family
Easter Egg game- each family spoke about their loves
to become familiar to the rest of the group.
4/11/2003
4
Intake & Individual
Counseling
First individual with 7 year old J*****. We tried to get to
know each other and we discussed the confidentiality
rule.
4/15/2003
3
Meeting
Case conference about the P**** family. We decided
to locate outside resources to help the family.
4/17/2003
4
Intake & Individual
Client was much more comfortable in counseling. He
opened up more about himself. We played a
communication game.
4/22/2003
4
Meeting & Intake
At the meeting we discussed the activities for the next
cycle.
4/29/2003
3
Stepping Stones
Ice Breaker: Collage
5/1/2003
4
Parent & Individual
Spirituality was discussed.
Ice Breaker
45
�Internship at Bay Ridge Preparatory School
Lindsay S. Schwartz1 (Psychology)
I. Introduction
A learning disability (LD) is a neurological disorder that affects the brain's
ability to receive, process, store and respond to information. The term learning disability
is used to describe the seemingly unexplained difficulty a person of at least average
intelligence has in acquiring basic academic skills. These skills are essential for success
at school and work, and for coping with life in general. LD is not a single disorder. It is a
term that refers to a group of disorders (National Research Council, 2001). Learning
disabilities are different in everyone, however in most, they are usually lifelong
conditions. Some individuals may have several overlapping learning disabilities, and still
others have only one isolated learning problem that has little impact on their lives
(NlNDS, 2003).
There was a time when educators did not know much about learning disabilities.
They thought if a student was not doing well, they must not have been trying hard enough
or they were not able to comprehend the material being taught; in other words, they were
stupid. Nowadays, educators are taught how to deal with this population, whether it is in
a special education classroom or in a "mainstream" classroom with support staff.
Teachers learning how to deal with these students have made huge improvements on the
students learning and self esteem. Special-education enrollment has grown 65 percent
since the inception in the mid 1970s, to about 6.1 million students in the 1999-2000
school year. By far the biggest growth has been in the percentage of children classified as
learning disabled -- which was 21 percent when the law was passed, but 46 percent in
1998 (Ladner, 2002).
II. Method
In trying to find out more about learning disabilities and the services provided, I
conducted an interview with the Director of Support Services at Bay Ridge Preparatory
School, Dr. Mayring, and asked her a few things about her position in the school. Dr.
Mayring said, "I am involved in teaching people how to work with the remediation of
1
Research performed under the direction of Dr. Richard Brower (Psychology)
46
�learning disabled students. I have been the Director of Support Services for the past two
years, and I train interns, and staff, on what strategies are effective in remediating deficits
in reading, math, and general study skills." Dr. Mayring also told me that she finds the
most important thing for beginning teachers to know is that they are role models for the
students. The philosophy of Bay Ridge Prep is to treat the students with respect; this
means that teachers do not yell at students or demean them. There is faith that given the
correct structure, students will be motivated to learn and improve themselves (Mayring,
personal communication, February 10, 2003).
After finding out about learning disabilities and visiting Bay Ridge Prep, I
decided to conduct my internship there. But before anything could begin at the school, I
had to attend an orientation to affiliate myself with the school. This entailed learning
about the school and their rules of conduct. Mainly I spent the day observing different
classes in the lower school to try to decide where I would most benefit the school and my
educational experience. It was decided that I should mainly observe the learning disabled
classes while also spending some time with the mainstream classes to observe some of
the differences. This was a very valuable day; I was shown many different classes and got
to see how different this school really is. Bay Ridge Prep is a small private school with a
very different philosophy. The main thing that I noticed right away at this school was the
fact that the teachers are very patient, polite, and respectful of the students. Showing the
students respect makes them feel excellent and important. There is no yelling or
embarrassment of the students, if they do not understand something, it is explained again,
they are not made to feel inadequate. For these reasons and many others, this school is
very unique and special in my opinion. Below is a list of my hours and of my journal
entries for each given day.
Table 1: Psychology Internship Schedule
Monday
Wednesday
2nd Period: Language Arts (LD students)
2nd Period: Kindergarten
3rd Period: Language Arts (LD students)
3rd Period: Speech Group (LD)
4th Period: Speech Group (LD students)
4th Period: 2nd/3rd Grade
5th Period: 2nd/3rd Grade
5th Period: Kindergarten
6th Period: 2nd/3rd Grade
6th Period: 2nd/3rd Grade
47
�III. Results
January 13, 2003
2nd Period
Today is my first day doing my psychology internship. I will be working with different
populations within a school. This period (2nd), I am working with learning disabled children
who are getting help with their speech. The speech teacher takes a group of children during
scheduled class time throughout the day.
3rd Period
This group is a language arts group. They are working on plurals. They find this task
difficult. They are adding "S" and "ES" to the ends of different words to make them plural.
4th Period
Another speech group enters the room. They find it interesting that I am here and many
questions arise. I explained politely to the students that I was doing what is called an
internship to further my education. This group was a little more difficult. The group
consisted of all boys from about age 12 to 14. Two of the boys were in all the same classes
and had a hard time focusing on the work; they were laughing almost the entire class. There
was only one boy who was quiet and wanted to get some work done so the teacher had him
sit in another room where it was quiet and he could concentrate. I found it a shame that the
boy who wanted to do the work was the one that had to leave the room. The boys in this
class were Zack, Jamere, Sage, Sekou, and John; for further reference.
6th Period
This is when the children eat lunch. My supervisor asked me to work with one of the kids,
Jack who was having social difficulty in his classes. He just wanted me to get to know the
boy and talk with him, be a mentor. It has been found that this will work with a child like
Jack, if he has a mentor and he is having difficulty in his class, he knows he can come out for
a few minutes and talk about what it is that is bothering him.
January 22, 2003
Today I spent the day with the youngest group in the school, the pre-k. This group was very
interesting; they had a very different way of playing and looking at things. They ask many
questions, most of which start with why. They have to know everything. You can actually
see them learning as they ask questions. They are putting it all together. They like to play
48
�with you as well as playing alone. One of the girls wanted me to play with her favorite doll
house; then later on she was content going into a separate area and playing alone, while I
supervised from afar. This group was enjoyable, mostly I think because they are so carefree,
they don't have any worries, they just want to know why things happen.
January 27, 2003
Today during language arts I worked with a boy named Matthew. Matthew is in a special
education class and has difficulty with certain tasks. One main task that he has trouble with is
copying notes from the board. He needs individualized attention while attempting this task to
make sure he gets it done. If there is not someone sitting near him to make sure he does it, he
won't. This particular boy is better at writing sentences that are dictated to him rather than
copying them from the board.
4th Period
During this period I sat in on the 2nd and 3rd grade. Ms. Selkowe, the teacher played a game
of math bingo with the kids. There were three children playing. Michael was winning. A new
girl from the class had finished up what she was working on and asked if she could join the
game. When she did, she started winning and Michael had a very hard time accepting that.
He felt that it was the new player's fault that he was not winning anymore, which was not the
case because it was a game of bingo and it is really a game of luck, if you have the correct
piece on your board then you win. Michael started crying and he did not want to play
anymore. This happened towards the end of the period and nothing was really resolved
because of that. By the time the next period came about, Michael was feeling better and
started settling in for the next class.
5th Period
This class was the second and third grade literature. Ms. Selkowe started reading and then
took volunteers to read aloud. It took a few minutes for the kids to get settled and start
reading. There are two teachers in this class, they walk around and help the kids when
needed. There are many different levels in this class and it makes it very difficult to teach.
One of the girls in the class cannot read very well and needs constant reminding of where the
class is up to in the book. There is criticism from the kids towards each other as soon as they
make a mistake. They don't really correct each other nicely, they get very upset and most
times, the one getting criticized gets even more upset. This class works on a point system, in
which they get points for settling in well and transitioning well from one class to the next.
49
�6th Period
During this period, I sat with the kindergarten, first, second, third, and fourth grade classes
while they had lunch. I observed the social dynamics of the children and how they interacted
with each other. They each have their own spots in the cafeteria to eat. Some interact with
each other very nicely and as expected others have difficulty and are still learning how to
make and keep friends.
January 29, 2003
The first hour of my day was spent with the kindergarten and first grade class. They went on
a treasure hunt to practice their map making skills. They each drew their own maps of the
classroom and hid a penny somewhere for another student to find. The kids had trouble
understanding that if someone found their map it was a good thing. They wanted to be
secretive and not have anyone find their penny. The teacher, Ms. Small was trying to explain
that it was a good thing and that if someone found their penny it meant they were good map
makers and they succeeded at their task. The only way Ms. Small could convince the kids
that it was a good idea that the others find their pennies was when she told them they would
get a prize if their pennies were found. At the end of the exercise, Ms. Small asked for
comments from each child stating what they thought of the treasure hunt. She wanted to
know if it was easy or hard to find the penny and if the map was detailed enough. Of course
some said easy and still others said it was hard.
The next class I observed was the second/third grade class. It was time for math and they
were practicing word problems. An example of a word problem they were working on was,
"Jenny bought a hat for $12.00 and a pennant for $3.00. She paid with a $20.00 bill, how
much change did she get back?” It was interesting to see the process that the children go
through in order to reach their answers. One of the children in this particular class is
advanced, but not so much that he is ready to move up to the fourth grade class, so one of the
teachers in the room works with him individually during math class. What I have noticed
today is that it is very hard to get and hold the attention of the whole class. Later in the day, it
was time to read aloud. Ms. Selkowe read a story and the kids had to pay attention so that
they could answer any questions that came about. Some of the kids have a hard time sitting
in their seats, especially when they cannot speak. One girl in particular is always jumping up
out of her seat and the teachers constantly have to tell her to sit and to raise her hand if she
would like to speak.
50
�February 3, 2003
Second and third period this morning I sat in on a learning disabled language arts class.
They were working on idioms, auditory processing, grammar, and the book 20,000 Leagues
Under the Sea. This class does pretty well in terms of behavior. Some of the children have
trouble raising their hands and being nice to each other. Many of these children have trouble
reading and writing. Ms. Swoboda, the teacher made up a contest for the kids to try and
make it more enjoyable for them. The children had to read a page in their books, there could
be two winners. One of the winners would be for the person who reads the fastest and the
other would be for the person with the least errors. The children then had to do a fill in the
blank worksheet which they had trouble with. The words were in a word bank and they still
could not figure out which word goes with which sentence.
Next was math with the second and third grade class. Settling in is usually hard for this class.
It takes them a few minutes, Ms. Selkowe counts down in order for them to realize she is
waiting for them to settle down and start to work. Some of the kids get very upset because
they don't think they will be ready by the time the countdown is over. Once the count is over,
the kids settle into the topic and the class continues. The topic for today was subtracting
money. In this exercise, the kids each got a $5.00 bill to buy something from a make-believe
store, and they had to find out what their correct change would be. The kids had trouble
realizing that this was a fake toy store; they said they did not want anything that the store had
to offer. This stopped them from doing the exercise for a while and it delayed the class. I am
wondering how you do work with some kids and get the others to do the assignment quietly?
Later on I observed an evaluation. This evaluation was with a first grader named Erin. There
were two tests used, one was the CELF 3, which is the Clinical Evaluation of Language
Fundamentals. This test is for expressive and receptive language skills. The other test is
called the LACT, which tests more for auditory discrimination. A pre-check was being done
to see if Erin had the skills yet to pick out similarities and differences. The LACT used
blocks, she had to put out different colored blocks or the same colored blocks based on
whether the sounds, letters, or names are the same or different. Erin had more trouble putting
sounds together rather than naming them separately. She was able to discriminate the sound
for I, she was also able to put that together with P so that she got IP, she could not however,
switch the letters around to make the sound PI. When she was asked to do this, she added
another color block to represent another sound instead of just switching the two she had
around. I also observed her listen to a story and try to ask questions related to the story. She
did much better at this task than the previous one. She was able to answer all the questions
and relate the story back to the tester. When Erin was finished with these tasks she was able
51
�to play an educational game on the computer. It is called "Earobics" and it teaches listening
skills for speech and language development and academic success. There are different games
within this program, some of which include a rhyming game and a listening game where you
match sounds with pictures and matching words with their pictures as well.
I asked my supervisor what this all meant for Erin and he said that she is a candidate for
speech and language therapy and should be tested further. She is slightly behind for her age
and speech would improve her marks greatly.
February 5, 2003
When I got in this morning one of my first jobs was to go over to the high school division of
this school and pick up one of the 5th graders who is advanced for his age and is taking high
school math. The reason I went to pick him up is because he is only in 5th grade and cannot
walk there himself however, he is advanced enough to sit in on the high school math class.
They wanted someone who would have a meaningful conversation with him on the way
back. We spoke about what he liked and what he disliked and had a very nice walk back to
the school.
Next, I sat in on the learning disabled class while they had speech. Matthew, Sam, and Sylvia
are in this class. Matthew and Sylvia have learning disabilities and social problems as well as
Sam, however; Sam is the only one of the group that had brain trauma when he was a child.
They are nonetheless, very nice children and a very nice group together. This period they
worked on idioms and they were read stories or situations, in which they had to tell if the
person acted appropriately or inappropriately. This sounded very basic to me when I first
heard what they were going to do. I was surprised to find out they had trouble with this
exercise. They had difficulty with the work but mostly they had trouble staying on topic.
They would start telling stories about themselves and situations that they have been in, but
the stories were not on topic even though they thought they were.
The next part of my day, was spent with the 2nd/3rd grade doing math. This class time was
to be taken up with a review for their test coming up on Friday. I have found while observing
this group that the kids have trouble interacting when one is doing something they don't like.
Michael, who tends to have a lot of social difficulties, was kicking the chair. Instead of
asking him to stop, Melissa and Paige yelled his name and expected him to stop and of
course he did not stop. I tried asking the girls if they thought they could ask him a little bit
nicer and they tried and he stopped. Michael is very extreme about things. Before the
incident with the chair, he was bringing his books to the other room for their lesson and the
52
�books almost fell. Instead of asking for help or putting them down and getting a better grip
on them, he panicked and yelled, "Somebody help me, help me, my book is falling, help!"
During 5th period, I went to visit the first grade class. I have found that they have trouble
settling in and starting their subject, I attribute this to them being so young, but I have also
found that the older kids have trouble with this as well. I have also noticed, at this age you
cannot give them a choice about what they would like to do. If you do this, there is always
someone who doesn't want to do the activity that the rest do and they cannot "bounce back"
and join the activity even if it's not really what they want to do. The older kids have an easier
time adjusting to a situation like this. At the first grade level the children are very much
interested in what they want to do, it is very much centered on "me".
February 10,2003
This morning was spent with the learning disabled class. They were reading the book 20,000
Leagues Under the Sea. Ms. Swoboda had the students practice their reading skills aloud;
each child took a turn, some having more trouble than others. There were fewer children in
the class today and it was noticeably more peaceful. Ms. Swoboda asks the kids many
questions about things that they have just read to make sure they comprehend what they have
read. After reading, some kids went into the computer room and others were to practice their
fluency builder skills. This means that the children have a page full of words that are very
similar and they have to read them as fast as they can while getting the words correct. They
have one minute to do this and the score is based on how many words were read and how
many errors there were. Ms. Swoboda let me do the fluency builders with two of the children
for experience. I did this with Matthew and John. John had trouble with the sh sounds, he
would say s instead. For example, if the word was brash, he would say brass. Matthew did
well, he got a few errors but I think that was because he was trying to rush through it and
read fast so that his score would be better.
The next class that came into the classroom included Zack, Sage, John, Michael (who was
not supposed to be in the class but Ms. Swoboda let him stay), and Sekou. This group was
very hard to control and keep on topic. They are five middle school boys who spend the
entire day together and they laugh and joke the whole time instead of doing the required
work. The class worked on homophones and strategies to help them remember things in
class. They laugh the whole time they are in class. I think they need ways to help them
control themselves. Ms. Swoboda does a token economy with the kids in which she gives
them "speech bucks" for doing well in the class and when they save enough money, she
treats them to lunch. This is a great idea and it helps to focus the kids however, she does not
53
�do this consistently and so the kids are not consistently behaved. After these classes, I spent
time talking with Ms. Swoboda about the different kids and their disorders and/or
disabilities.
February 12, 2003
This morning I spent time with the first grade class while they were doing mapping. The end
goal of this project is to map out the path from their homes to the school. The first part of this
was to draw their homes and their schools and they will fill in the rest later. One of the girls
was talking to another and said, "My mother talks about penis at home." I was wondering
how the teacher was going to handle this. She just told her that she should talk about that at
home with her mom but that it was not really school conversation. I thought this was a great
way to handle the problem because the girl did not walk away feeling badly or embarrassed.
Next, I spent time with the learning disabled class while they had speech. Sam and Sylvia
were in this group. They were working on opposites and it was very interesting to see what
they had trouble with and what they found very easy. Sam had a hard time with opposites
like everyone and no one while he found words like guilty and innocent very easy and he
knew them right away. This group works well together, they are not hard to control and they
pay attention most of the class. The hardest part was to keep Sam from rushing, all he
wanted to do was skip ahead and finish right away. Everything in the class was going well
and then out of nowhere, Sam started saying things like he doesn't belong on this planet and
how odd he is. He was telling us how many scars he had and all about his go - cart accident
which he has brain damage from. He did say however, that God gave him a gift of singing.
Sylvia then chimed in and said that God gave her a gift also; he gave her the gift to see into
the future. Sam proceeded to say that they should prove their talents, he would sing if she
would tell him something that was going to happen in the future. She thought for a moment
and said, "Sometimes I need to have the vision in a dream, I cannot just do it." So Sam sang
anyway.
The next class was spent with the second and third grade class. They are working on
multiplication. At the beginning of class they get points for transitioning well into their next
class. One girl did not get ready fast enough so she did not get the points and she was very
upset about it. She did not get in trouble for not being ready; she just didn't get any points.
She started crying and was very upset. She also would not go to math until the teacher finally
came in and got her. After math was over, the class played a game of jeopardy to review for
their social studies test on China.
54
�The next class started with conflict resolution. What the teacher has them do is try to resolve
their conflicts by telling each other what they felt bad about and what they can do to change
that feeling. This time, Christine felt that Erin and Stacy did not want her to play in their
game during gym. It took quite a few minutes of class time to try to resolve this and in the
end, Christine still felt badly. When reading finally got started, they were working on nouns.
The exercise for this was to look at a picture and try to name all the nouns they could find.
They first did this as a group to make sure the exercise was understood and then they each
got their own different picture and had to try to name the nouns themselves.
February 19,2003
Today I spent the morning with the first grade class while they had their writers' workshop.
This is the time of day when they learn their sounds and letters and then practice writing
them. It was interesting to see how Ms. Small went about teaching them this technique. She
begins with the letters on a picture card. She has each of them say the letter on the card, say
what the picture on the card is, and say the sound the letter makes. Then she gives them a
worksheet to work on their own with the new letter that they have learned that day. Today
they had a picture of a rainbow on their worksheet because they learned the letter "R". Then
they had to circle everything on the page that starts with the letter "R". After they worked
really hard, it was snack time.
The next group I spent time with was the speech group which included Sam, Sylvia, and
Matthew. This period the kids worked on categories and why it is important to put things
into categories in the first place. It always amazes me, what I find to be a simple task they
have so much trouble with. Their answers are so logical to them, but they are usually not
correct. For example, when asked why door and umbrella are similar or are put into the same
category, Sam replied, "Because when it rains, you need to put the umbrella in the door when
you are done with it", instead of the correct answer which was that they both open and close.
Next the second and third grade continued with their multiplication. Ms. Selkowe uses the
idea of putting things into groups to teach them this skill. It seems to be working rather well.
They got to color ice cream cones today. It was explained to them that each time they learn a
new multiplication table they will get to add another scoop to their ice cream and write on it
which table they learned. The kids seemed very motivated to do this and quickly began to
color. I learned today that one of the children in Ms. Selkowe's class has a behavioral report
that must be filled out each day and is checked by his mother and a psychologist that works
with him and the school to improve his behavior. The report must be filled out each day and
it has sections on it labeled "Got ready and packed his bag with no more than 2 warnings"
55
�and “Participated and paid attention without being reminded". It is always interesting to find
out what difficulties certain kids have and what you can do to help make them have a better
school experience.
After the math class with the second and third grade I went back to the first grade to help out
during their reading time. It is a great experience to try and help a child who is first learning
how to read. I got to sit with some of the kids and read with them, I read some of the page
and then they read the rest. Some of the kids have more trouble than others, but they are all
learning well. They are all good kids and are well behaved for their age.
February 24, 2003
This morning I observed the second and third grade class. During this period they were
writing poems about anything they wanted. They were shape poems in which they picked
any shape they wanted like a sport, heart, music, etc. and wrote about it. One of the boys,
Michael, had a fit about not wanting to go to school anymore. He thinks he has learned
enough (after only second grade) and he doesn't need to go anymore. He refuses to do work
and says he is bored. At this point I have seen the teachers cater to him, they talk to him and
it doesn't resolve anything so they let him sit for a while but he doesn't get any work done
this way. I am curious to see how they will try to resolve this issue.
During the next period I was with the speech and language group. This group worked on
fluency builder, spelling, grammar, nouns, verbs, etc. The kids have a hard time interacting
with each other and sharing things, they do not help each other often. They saw me writing
and asked what I was doing. One of the kids asked if I was writing about how bad they are. I,
of course, said no.
The next period was a review of the 2 and 3 times tables. Then they moved on to the 5 times
tables. Each child got a chance to go up to the board and solve a problem. They were doing
very well. Ms. Selkowe told them there was going to be a surprise. Once everyone learned
and memorized their 6 times tables they were going to have an ice cream party. Michael was
still having trouble. He now said that he doesn't want to do anything and he doesn't want to
be near anyone. He now doesn't like the boy next to him because he considers him to be a
gambler. When the teacher asked him if he knew what a gambler was he said it is someone
who does work for prizes. This class works on a point system where if they do well then they
get points and after a certain number of points they get prizes. Therefore, he considers this
boy a gambler because he follows this system. He doesn't want anything to do with the point
system anymore and he says he will bring it down and whoever created it will go down too.
56
�After this I spent time with some of the older kids in 6th grade. They had math. They were
working on integers, specifically adding integers. They went over the homework and then
went over some new material on adding integers. The teacher gave them all rules for doing
this and then they went over some problems together so they would understand their
homework.
February 26, 2003
It took the kids a very long time to get settled today. They all were hungry and had to have
snack, then when they were going to get started they all needed to use the bathroom. They
did not get started until about 25 minutes into the period. When they eventually got started,
they practiced reading and singing a song they are going to be presenting to the other classes.
Then they learned what the difference is between real and make-believe. One of the students
Ben had a hard time sitting still, this went on for most of the class. He kept going ahead of
the other students and distracting them while they were singing. Eventually, Ms. Small asked
him to go read at the table by himself because he was distracting everyone. He was calm
when he came back to the group.
Next, I spent time with the learning disabled speech and language group. They worked on
comparisons. Things like schools have desks and churches have pews, teachers have students
and dentists have patients. A big challenge for this group aside from the actual work is
staying on topic, they like to talk about themselves a lot and tell stories. They all did well
with this exercise and got a lot of "speech bucks". The second and third grade was working
on math when I got there. Someone spilled their drink and it was handled extremely well.
Typically, a teacher would yell and flip out in a situation like this; Ms. Selkowe on the other
hand handled it really well. She told the girl where the paper towels were so she could clean
it up. Some of the other girls came to help and it was forgotten instead of being blown out of
proportion. They covered the 1 times tables and the 0 times tables. The first grade class was
working with watercolors. They spent the period doing paintings for their upcoming show,
Down by the Bay.
Then I was able to observe a first grader being tested individually. Her first task was to tell
which words and pictures were the same and which are different. Then she was presented
with a word, for example pig. She was read a list of four other words and had to tell which
word ended like pig. In this case, pig matched with dog because they had the same ending
sound. The tester had to teach the girl how to do this which took a while and then she had her
try it on her own. The girl had a hard time with this; she kept saying the first sound instead of
57
�the last. So if the word was pig and the choices were house, pen, dog, and ran, she would say
the answer was pen because it started with p. She was not grasping that the word should end
the same way, not start the same way.
March 10, 2003
Since it is a Monday morning, the speech and language group is having a difficult time
settling into their assignments. Ms. Swoboda is talking over them. She is being forced to
speak so loudly because they are very noisy. Since the boys were not listening they did not
know what to do. Ms. Swoboda had to explain the directions over again to them while
everyone else was working. The others already knew the directions because they were
listening when she explained them the first time. Some of them seem to have a lot of trouble
with this exercise. It was putting a verb into a list of three words. For example, Popcorn,
Balloons, and Firecrackers all Pop. They could not grasp this.
Next they worked on plurals and apostrophes. Example, the crab's legs or the bricks were
stacked. They needed to know where the apostrophe goes or if it was just plural and all you
needed to do was add an s. They also had a lot of trouble with this. They need more practice
before the midterm.
Next, there was a speech group which included John, Zack, Sekou, and Sage. The exercise
they were working on was reading paragraphs and answering specific questions. This group
is still very hard to control. One boy had to be walked back to class because he was not
trusted to get their on his own. After they worked on this speech exercise, they reviewed for
an upcoming science test. The group was still having trouble. When the one boy left who
was acting like the class clown another took over his position. He had a lot of trouble sitting
still and paying attention to the assignment. He touches things and grabs things out of
peoples' hands. Ms. Swoboda had to talk to him after class and explain to him why he
shouldn't do that. He actually didn't understand why what he did was wrong. She had to
explain it to him. She asked him if he knew he shouldn't grab things out of people's hands
and he said that he wouldn't mind if it was done to him. She said, “Really, you wouldn't mind
if someone grabbed a pen out of your hands?” He said if it was a friend he wouldn't mind but
if it was someone he didn't like, he would just punch them in the face. I thought that was an
interesting comment, not one you hear everyday.
Next, the second and third grade had math. Everyone was out of their seats and not very
settled. They were, however, getting their work done. Then they worked on presenting their
last few projects for black history month. They are still very unsettled. The kids presented
58
�well and most asked intelligent questions. One of the girls is very quiet and had a hard time
presenting in front of the class. Ms. Selkowe helped her by asking her questions that
prompted her to speak.
March 12, 2003
The first grade class was working on math this morning. They were making change with
coins. They were trying to see how many ways they could make 10 cents using pennies,
nickels, and dimes. Stacy, who is young for the group had a hard time with this exercise. All
she was doing was coloring on the paper they were supposed to be writing their answers on.
Ms. Small tried to help her make 10 cents. She wanted her to find at least one way to do this
before the period was over. It didn't happen. Matthew, who is Stacy's age, is advanced. He
didn't have any difficulty doing this exercise. In fact, he did a better job than most of the kids
in the class, even the ones that are older than he is. Ms. Small left for a minute to use the
bathroom and it was interesting to try and manage the class on my own. It was snack time so
it wasn't really a structured activity and they were all out of their seats. I tried to get them
back in their seats because that's where Ms. Small wants them when they are eating. One of
the girls started saying she doesn't like girls; only boys. She told this to another girl,
Christine. Christine of course got upset because she was basically saying she didn't like her,
because she is a girl. She asked how can you not like girls? The reply was I only like boys,
so Christine said fine then we will just leave (and she named all the girls in the room) and
leave you with all the boys. The interesting part about this is that the girl who said she
doesn't like girls has a mother who is a lesbian. Even at this young age, she is picking up on
the differences between the sexes. I think the fact that she said she doesn't like girls has to do
with her mother(s).
During the second/third grade math class they were working on word problems. They started
with the homework from the night before and moved on to today's work. They started a
worksheet together and the kids worked in groups of two to figure out the answers to the rest
of the sheet. This group lesson went well but it takes a lot to get the class quiet and have
them pay attention. The ones who know the answer call out and the others get upset because
they took their turn. The ones who called out get upset because the teacher doesn't call on
them; they don't realize that it's someone else's turn. When the kids have to work alone the
classroom is very loud and not much work gets done. The kids only work when a teacher
comes over and helps them. Most of them say they need help and this is because they weren't
listening when the teacher did the first two problems with them.
59
�The next period all the grades from kindergarten through fourth grade got together to hear
the poems that the second and third grade wrote. They called it a publishing party and had
cookies and juice. They read their poems and the people that they read them to had to write
comments about the poem. This went very well. It was coordinated between the classes,
everyone had fun, and their was nothing but positive comments being made which made the
students feel great.
March 26, 2003
I spent first period with the kindergarten/first grade class. One of the kids showed a scrap
book from his trip on spring break. This was my first experience with this class by myself. It
was interesting. I had to think creatively to get them to participate in what I was doing. First,
I took out a book that the teacher gave me to read to them. They are used to reading with her
so they knew what to do. Before reading the story, she has them look at the cover and say
what they think the book is about. Then she goes through the book without reading it, she
just looks at the pictures and asks them what they think. Then we actually read and look at
the pictures. I did all of this but when I was done I didn't know what to do with them.
Luckily, they said can we draw pictures about the book? So, I said sure. That took up most of
the time. I had to stall a little until the teacher came back because they said they were done
and I didn't really have anything else for them to do. I had them trade markers and color the
pictures but that didn't turn out too well because they all wanted markers someone else had.
They eventually finished and Ms. Small came back in time. It was a great experience but I
know I need so much more experience in getting their attention and having them participate
in what I am doing.
Next was the speech class. Ms. Swoboda asked everyone to sound out some words and tell
the first letter, last letter, and middle sounds and blends. Some of the kids had trouble
removing a letter from a word. For example, the word club, if you take out the L, the word
becomes cub. They did better when they had to take away the first letter like spun and take
away the S instead of taking away a letter in the middle. The kids were doing well in this
class; they were all listening and cooperating. Now they are starting their homework which is
to answer questions in their books because tonight they are studying for a spelling test.
Next class was the second and third grade. They were finishing math when I first came in.
Some of the kids are still working on their multiplication tables so that they can have their
ice cream party that Ms. Selkowe promised them. Next, they moved on to social studies. At
first, everyone was participating in the lesson. They were talking a lot so Ms. Rosenberg
60
�stopped and waited for their attention. They were complaining about the assignment, not
wanting to do what the teacher was doing. Ms. Rosenberg had to wait a lot during this class.
March 31, 2003
Second and third grade science
When I first got in, I was supposed to go to speech but Ms. Selkowe said that one of the kids
was having a difficult day and he needed some support. So, I went to her class. It turned out
that by the time the student got back to the class after music, he was doing much better. He
stayed in the class with Ms. Selkowe and she gave him some extra attention. They did
science. They had a talk about how compasses work. Most of the class were saying what
compasses do but not how they work. They are going to continue the discussion tomorrow.
Language Arts with the sixth, seventh and eighth grade class
They were very interested in me this period. They were asking what I was writing and why.
Why I was there and what grade I am in. I explained to them a little about what an internship
is and a little about the notes I take. I think they felt better when I told them what I was
writing about. They always think its something about them; something bad about them. They
are working on their grammar; doing their work individually.
Speech group
This group played a game called brainopoly, which is similar to monopoly but they have to
answer questions for points. They need a lot of social training, they are not very nice to each
other, they insult each other, they are very quick to say someone is wrong, and they are very
competitive and don't play games well together. One of the kids said very loud when no one
was speaking, "Shut up!" to one of the other kids and Ms. Swoboda said nothing. She lets
way too many things go and picks on the small things. Throughout the class, they are even
more insulting to each other and all Ms. Swoboda says is guys... or she will tell them to get
out and never follow through with it and they know it. All she does is threaten them. If they
are not doing what she wants she says she is going to send them to the principal's office or
she is going to give them a worksheet to do because she knows they don't like that. So they
stop for a minute but then do it again because there is no real punishment.
2nd/3rd grade literature
One of the boys forgot his book and said I guess my mother forgot to put it in my bag I
should slap her in the face. I thought that was a very strange comment. Ms. Rosenberg was
61
�having a very hard time controlling her group. She raised her voice at one of the girls
because she wasn't listening; it didn't do anything because the girl kept doing what she was
doing.
April 2, 2003
I spent the first period with the kindergarten/first grade class. They continued reading and
analyzing Jaspers Beanstalk (a book they have been reading). They tried to remember
everything that happened on each day in the book. Then it was off to speech and language
with Sam, Sylvia, and Matthew. This group is doing well. Matthew is on new medication
and from what I hear; it is helping him in school. This period they tried to explain simple
concepts to people; like what a desk is, or what a ring is.
Next I went downstairs to spend time with the second/third grade. When I got down there
one of the girls that I know was having a hard time. She was having a fight with one of her
friends in the class. We went for a walk to talk about it. She opened up to me without me
even probing for information about what was wrong. She told me all about a fight that they
had in gym. We spoke about some different ways she could handle it one of which being that
she could talk to the girl and that is the resolution she chose. She asked if I would stay with
her when she did it and I said of course; we decided we would do this at lunch.
The kindergarten/first grade class was working on math when I got there. Ms. Small had
them playing a game with coins. They had to roll the dice and see what number they came
up with, and then they would take out pennies to represent that number on the dice. The
object was to be the first person to get up to 25 cents. They also had to try to exchange their
pennies for some bigger coins like nickels and dimes. Every time they had five cents in
pennies, they would change it for a nickel and eventually when they had 10 cents in pennies,
they would change them for a dime.
April 7, 2003
The language arts group worked on diagraphs, consonants, and blends this class. Diagraphs
as they learned it are two consonant letters that represent one sound. Consonants are two of
the same letter that represent one sound, and blends are two consonant sounds next to each
other that represent two different sounds but blend together. They also read the book Holes.
The next group was the speech group. They worked on comprehension for their lesson. Ms.
Swoboda read a story and asked questions about it. Some of the kids did well but many of
them have difficulty with this skill. Some of them did not do well because they were talking
62
�through the story so they didn't hear it and couldn't answer the questions. I asked Ms.
Swoboda if she considered giving reinforcements for good behavior instead of just for
answering questions (which is what she does now). She said she tried but it didn't work with
the "speech bucks", which is what she uses to reinforce them for answering questions
correctly. I asked her if she tried anything besides the "bucks" and she said that nothing
works with them. I think she should try something else maybe a different reward for good
behavior. It works with answering questions so it may work with behavior if a creative
alternative is tried. The reason I kept asking Ms. Swoboda this is that this group really needs
something to control them. They do not behave well for her and I think she really needs to do
something about it because they walk all over her.
Next, I went to the second and third grade who was working on literature. They are reading
Helen Keller so the teacher, Ms. Rosenberg decided to teach them a little bit of sign language
so that they might get to feel a little bit of how Helen Keller felt everyday. They were to only
talk using sign language, however that didn't work. Ms. Rosenberg asked if I knew any sign
language and when I told her I knew a little she asked me to help her act out a skit of sign
language so the kids could get into what she was trying to do. At first she tried to teach them
the whole alphabet but they were talking out loud and were not very interested. When she
told the kids to learn the letters of their names and they could learn how to sign their names
they were much more interested. They learned their names and how to say I'm very happy to
meet you. They enjoyed what they were learning and the lesson went well. The only down
side to this was that the kids were not very well behaved. They were not doing anything
wrong but they were very loud and when Ms. Rosenberg tried to get their attention, no one
would listen to her. She seems nervous in front of them; she even asked me the other day
what I thought of a certain situation that went on in the classroom because she didn't know
how to solve it. She is still a new teacher and is learning how to do different things in the
classroom.
April 9, 2003
Ms. Small showed the kindergarten/first grade class a picture of blocks and they had real
blocks in front of them to make the picture she showed them. First, she showed them a
picture and let them look and copy it, then she showed them a picture and put it away and
they had to put their blocks together from memory. Most of the kids did really well with this.
The speech and language group was reviewing for science. Ms. Swoboda worked on making
note cards with them. This will help them with their study skills, which many of the students
63
�need much help with. Then I went downstairs to help one of the teachers. She needed two of
her students to take a make-up math test; I stayed with them.
Next, the language arts class met and did some reading with their reading text books. This
book is used to practice reading and comprehension. There are questions at the end of each
chapter to see if they understood what they read. They each take turns reading paragraphs in
the chapter. Then they started their homework because they have a lot to do. They are
answering the questions in the back of the book. Some of them have trouble writing
complete sentences. I worked with one boy specifically who had a lot of trouble with this
task. He had no trouble with answering the questions so that meant that his comprehension
was on track, however, he did not know how to answer in a complete sentence. He would
answer all of his questions starting with because and when I explained it to him it made a
little bit more sense, but he still needed my help. He was motivated to finish his work when
he had the help, if he was left alone, however, he did not complete his work. He would talk
to the kids next to him and not really care about the work. I saw a dramatic change in his
motivation when he received the help. He got right on track, answered the questions, asked
me questions on how to do the work, and he even wanted to keep going when the teacher
said that the time was up.
When I saw the kindergarten/first grade class in the afternoon, their behavior changed. The
kids who are normally bouncing off the wall were quiet and the kids who are usually quiet
were bouncing off the walls. It was strange, but Ms. Small handled it very well. She always
knows how to talk to the kids to keep them in control while still making them feel good, no
one walks away feeling badly. Ms. Small had a game for the kids to play to help their
reading skills. One person stood up in front of the class and Ms. Small gave them word
endings to hang around their necks on an index card (Ex: in). Each other student had a letter
to go in front of the ending (Ex: P, W, F) and someone else wrote the word that was made on
the card on the board. Everyone got a turn and everyone sounded out their words and letters.
It was a great idea for them to play and learn at the same time.
April 14, 2003
This morning I went to the language arts class. They were trying to finish the book Holes
because the movie is coming out and they are going to take the class to see it but they have to
finish the book first. The question came up about race in the book; it takes place over 100
years ago. A white woman likes a black man and Ms. Swoboda asked what the kids think is
going to happen. They said it won't be accepted because they are different. Then they started
asking questions about what a baby would look like from an inter-racial couple (not in those
words). It was a tricky topic as Ms. Swoboda tried to explain. Next I went to the second and
64
�third grade class. They were working on math and continuing to learn their multiplication
tables. The students are doing very well with this. I think it was a great idea for Ms. Selkowe
to tell the kids they will get an ice cream party when they learn at least six of their
multiplication tables. This highly motivated them and they are working like crazy to get that
ice cream!
Next I went to the kindergarten/first grade class where they were also doing math. They were
continuing their game with the coins. This game has been great for them. They love to play
and they are learning how to count change in the process. I have noticed great improvement
in the kids. They went from not knowing which coin is which to not only discriminating
between coins but also making change of their own.
April 16, 2003
Today is my last day of interning at Bay Ridge Prep. I am going to visit all of the classes and
say goodbye. I thanked all of the teachers who helped me and my supervisor. They were all
great and said that I was a lot of help in their classes and I told them how much I learned
from them. This internship was a very valuable experience.
IV. Discussion
This past semester has taught me a great deal. Each situation that I encountered
was unique in its own way. Each student is also unique in their own way. There were
many times in which I had no idea what to do in the classroom. I spoke to my supervisor
and to the teachers of the classes I sat in on and I received some excellent advice. I
realize that there are many times in a classroom in which you will not know what to do,
but if you follow your instincts and you have the students’ best interests in mind, then
you will do the right thing. By talking with others you can really learn a lot. You can
listen to their past experiences because they have been in the field much longer.
When working with learning disabled students, it is important to remember that
they do not learn or comprehend information the same way that others would; you must
be patient with them. You have to think of new and creative ways to teach because the
traditional ways do not always work with these students. There were situations when I
first started going to the school in which I watched the teacher teach and I wondered why
she had to repeat herself so many times. Then I realized that they were simply not
understanding her. I took for granted the way that I learn new information; when I hear it
I either understand it right away or by asking questions about the material I can grasp it
better. These students not only did not understand the information given, but they did not
know how to ask questions to further their knowledge.
65
�They also have very poor study skills. These are students that are getting ready
to enter high school and they did not even know how to take notes or copy down their
homework. The teacher would have them take out their homework notebooks and write
down the homework. If she did not tell them to do this, they wouldn’t. They also had to
have their parents sign their homework and all of their tests. These are tasks that you
would normally give a lower school student so they learn how to manage themselves.
These students were like lower school students in middle school students’ bodies. They
have been taught these study skill techniques and note taking techniques before, however,
they do not comprehend them. These are some of the main differences between the
learning disabled population and the mainstream population and the mainstream students.
If we give them that extra time, they will succeed.
This was a great experience for me because I was trying to decide what direction
to take after graduation from college. After I spent time with the learning disabled
classes and the mainstream classes, it was easier to make a decision about what I would
like to do in the future. I enjoyed working in the mainstream classrooms more than the
learning disabled classrooms but with the experience I have had this past semester, I
would consider working with both populations.
I have learned a great deal from the past semester’s internship at Bay Ridge
Preparatory School. I have learned how each student is different in their own way and
we should embrace that instead of shying away or trying to make everyone learn the
same way. Students will never comprehend the same way and I have learned that you
must come up with challenging strategies to overcome this obstacle. Through our class
discussions and the experiential learning aspect of this class, it has been a valuable
learning experience and has made me ready to go out and start my career and my life.
V. References
Ladner, M. (2002). Stop writing off African Americans as learning disabled. Retrieved
April 26, 2003, from www.detnews.com.
National Research Council. (2001). What is a learning disability? Retrieved April 26,
2003, from www.ld.org.
National Institute of Neurological Disorders and Stoke. (2003). What is the prognosis for
learning disabilities? Retrieved April 26, 2003, from www.ninds.nih.gov.
66
�Section III: Performing
and Visual Arts
�Ruth Crawford Seeger's Suite for Small Orchestra:
An American Twentieth-Century Musical Composition
Kelly Parker1 (Music)
Ruth Crawford Seeger was a very important American composer of the 20th Century.
Her work was innovative and was influenced by composers such as Adolf Weidig, Dane
Rudhyar, and Henry Cowell. This paper examines one of Seeger’s earlier works, Suite
for Small Orchestra, written in 1926. I found this piece particularly intriguing because
of the polyrhythmic ostinato figures found throughout the first movement. Crawford
created interest in this piece through the utilization of complex rhythms rather than
through its melodic content. It was very refreshing to research such an accomplished yet
relatively unknown American composer, and to gain insight into a woman that was able
to leave her mark on 20th Century music.
Ruth Crawford was born in East Liverpool, Ohio, on July 3, 1901 to Clark and
Clara Crawford. She was born to upper-middle class parents, and had one older sibling,
Carl. Both Clark and Clara were well educated individuals that tended to be well
respected members of the community. Clark was a Methodist minister, and thus was
often reassigned to different towns across the country. Before Clark’s death in 1912, the
Crawford family had lived in Liverpool, Ohio; Akron, Ohio; St. Louis, Missouri, Muncie
and Bluffton, Indiana; and finally Jacksonville, Florida, where the family remained after
their father had passed on. Even in the face of raising two children alone, Clara Crawford
showed her poise and determination by purchasing a three story home in Jacksonville,
and renting extra rooms to outsiders while still providing a home for her children.
Clara’s love of the arts, devotion to a cause, and determination to achieve her goals
against all odds were all traits that were passed on to her daughter, and we see evidence
of the first when Ruth Crawford began taking piano lessons not long after the family
settled in Florida.2
Crawford began her piano training at the School of Musical Art in Jacksonville,
where she studied with Bertha Foster and Valborg Collett, a Leipzig trained Norwegian
woman that made Crawford more self-conscious and pushed her to strive for perfection.
1
Research performed under the direction of Dr. David Schulenberg (Music)
Matilda Gaume, Ruth Crawford Seeger: Memoirs, Memories, Music (Metuchen, N.J.:
The Scarecrow Press, Inc., 1986), 8.
2
68
�Upon Crawford’s graduation from high school, Foster offered her a teaching position at
the School of Musical Art, hoping that she would use this time to bring her musical
abilities to a higher level. While studying with Madame Collett, Crawford found it at
times difficult to keep up with the demands of her teacher. This resulted not from of a
lack of enthusiasm, but from a muscle-cramping issue that would plague her throughout
her career. Though she sought both osteopathic and electrical treatments, Crawford was
never able to get past this debilitating problem and in college realized that she could
never have a career as a concert pianist.
During the three years that followed her high school graduation, Ruth Crawford
continued to take and give piano lessons. She also took a few harmony lessons while she
saved her money to pay for her collegiate level training, either in New York or Chicago.
Crawford chose to attend the American Conservatory in Chicago and began her studies in
fall 1921. Crawford came to the Conservatory with the idea of pursuing advanced study
in music and of receiving training as a pianist.3 She intended to stay for only one year and
thus was expected to take both the first and second years of harmony at the same time.
She adjusted very well to these circumstances and at the same time became very
interested in harmony. At the beginning of her second semester at the Conservatory,
Crawford showed her piece Elf Dance (composed several years earlier while still in
Jacksonville) to one of her harmony professors, Adolf Weidig. Weidig thought it showed
distinct talent and became Crawford’s first mentor in her compositional endeavors.4
While she was discovering success in her study of harmony, Crawford found her
muscle problems to be detrimental to her advancement in piano. In a letter to her mother,
Crawford proclaimed “I cannot practice! My left arm has gone on strike!”5 By the end of
her first year at the Conservatory, her piano teacher Henoit Levy encouraged Crawford to
continue her studies in Chicago and made her aware of a position teaching piano on the
south side of Chicago. Crawford accepted the position and ended up staying at the
Conservatory until 1927, when she graduated with her master’s degree in composition.
Crawford did not begin studying composition formally until her third year at the
Conservatory, but a few manuscripts survive that Crawford dated as early as 1922. These
pieces include many small piano studies that she most likely used in teaching lessons:
Little Waltz (1922), Caprice (1922), and other small exercises that focus on trills and
triplet studies. Two songs, To One Away and Return, are dated 1923, as are Nocturne for
violin and piano, Theme and Variations for piano, and the first movement of a piano
3
Ibid, 21
Ruth Crawford. Letter to her mother, October 16, 1921 found in Ruth Crawford
Seeger: Memoirs, Memories, Music (Metuchen, N.J.: The Scarecrow Press, Inc., 1986)
5
Ibid
4
69
�sonata.6 Crawford’s Kaleidoscopic Changes on an Original Theme, Ending with a Fugue
(1924), her most ambitious piece to date that is romantic in style, yet it has its share of
dissonances with Scriabinesque harmonies.7
Crawford’s 1926 Suite for Small Orchestra (now also referred to as “Music for
Small Orchestra”) was written while she was still in Chicago working on her Master’s
degree. As she matured as a young woman and composer, she found her own voice and
new influences on her career. Yet because of the hard work she had put in with her
instructor, Crawford spoke of Weidig later in life by saying “Sprinkling sevenths and
ninths plentifully and insistently, and observing or breaking the solemn rules of harmony
with equal regularity, I was guided with great understanding during the next years by
Adolf Weidig…who seems to me to have had an unusual balance between necessary
discipline and necessary allowance of individuality.” 8
In 1924, Crawford began taking piano lessons with Djane Lavoie Herz, a
musical socialite who had come to Chicago in 1923 when her pupil, Gitta Gradova, made
a “somewhat sensational New York debut and was accorded lavish praise by the critics.”9
Madame Herz was French Canadian but moved to England when she was 16 to study at
the Royal Academy. After some time there she moved to Paris and then to Berlin, where
she studied with Arthur Schnabel and was introduced to Alexander Scriabin, whose pupil
she became for the next two years. As a result of this exposure, the hand of Scriabin lies
heavy on Ruth’s works dating from 1924 to 1929. Crawford admired his philosophical
ideas and used techniques such as atonality, extensive use of dissonance, clearly marked
dynamics, ostinato, and having a high degree of organization within the music while
having it sound improvised. When examining the Suite for Small Orchestra for these
similarities, one notices that the first movement works its way to two dynamic climaxes,
which are further enhanced by a textural increase towards these two high points.10
The movement opens with only the piano playing f’ (Figure 1) on the off-beats
but gradually gains depth through the addition of polyrhythmic ostinato patterns and short
solo passages that are often written in the extreme ranges of the particular instrument. At
rehearsal letter C, the piano continues to play on the off-beats in the right hand while
playing four-pitch chords in the left (Figure 2). The cello continues with the quintuplet
6
Matilda Gaume, Ruth Crawford Seeger: Memoirs, Memories, Music (Metuchen, N.J.:
The Scarecrow Press, Inc., 1986), 133.
7
Ibid
8
Ruth Crawford, letter to Nicolas Slonimsky, January 29, 1933 found in Ruth Crawford
Seeger: Memoirs, Memories, Music (Metuchen, N.J.: The Scarecrow Press, Inc., 1986)
9
The Musical Courier (October 30, 1924), p.23
10
Matilda Gaume, Ruth Crawford Seeger: Memoirs, Memories, Music (Metuchen, N.J.:
The Scarecrow Press, Inc., 1986), 140.
70
�ostinato it has been playing since rehearsal letter A, against the bassoon solo line
containing triplets. The rhythmic texture at rehearsal letter F is the densest in that all
instruments (except clarinet) are playing, and, more importantly, there are five
polyrhythmic lines sounding against each other. The flute has triplets, the bassoon has
duplets, violin I and II has sextuplets, cello I has quadruplets, and the right hand of the
piano has quintuplets in octaves. The left hand of the piano still has a four-pitch chord in
the left hand, while the violin III and IV and cello I have whole and dotted half notes
respectively to add more depth to the music (Figure 3).
Harmonically, this piece is atonal, but that does not take away from the
deliberate organization employed by Crawford as demonstrated by the gradual addition
of instruments and polyrhythmic figures. This piece is not serial, but there are several
instances where all twelve pitch classes are heard within a measure. In discussing the
Suite in her book, Ruth Crawford Seeger: Memoirs, Music, Memories, Matilda Gaume
wrote: “Both movements show the use of layered rhythmic and melodic ostinati and tone
clusters, which became characteristic of her style.”11 Gaume was incorrect in calling the
pitches in the piece tone clusters because there are repeated pitches in different octaves
and they are not in close position. Crawford liked to experiment with wide ranges of the
instruments; I would classify the notes as pitch collections (Figure 4).
Herz also introduced Crawford to Dane Rudhyar, a French composer who was
also very attracted to the ideas of Alexander Scriabin. Rudhyar shared his interest in the
music from “long ago and the far away and exotic lands.”12 Rudhyar’s affinity for block
chords and his interest in the moment rather than the forward motion of the music had
some influence on Crawford’s approach to rhythm. In the Suite she uses a four pitch
chord in the bass of the piano throughout most of the first movement. Crawford
demonstrates use of polyrhythmic patterns and melodic lines that begin on the upbeat as
well as her interest in creating a piece that was rhythmically diverse. Judith Tick explains
that the manner in which Crawford chooses to open the Suite, a single f’ reiterated nine
times in off-beat patterns on the piano (m. 1-2), further illustrates Rudhyar’s interest in
mysticism and his theory of the single tone as a spiritual nucleus (Figure 1).13 In
Rudhyar’s The Rebirth of Hindu Music, he explains: “Concentrate on a tone and in it, you
11
Ibid
Ibid, 144.
13
Ruth Crawford Seeger, Music for small orchestra (1926); Suite no. 2 for four strings
and piano (1929) / Ruth Crawford; edited by Judith Tick and Wayne Schneider, 2nd ed.
(Madison, Wis.: Published for the American Musicological Society by A-R Editions,
1996), xiii.
12
71
�may discover the secret of being and find Ishwata, the Christ within.”14 The f’ persists
unchanged for the first twenty-one measures of the Suite; Crawford was demonstrating
her interest in mysticism and the symbolism that is conveyed through one repeated tone.
In the same letter in which she praised the guidance of Weidig, Crawford also
wrote: “Contact in 1925 with Djane Lavoie Herz, with whom I studied piano, and with
Dane Rudhyar, and later with Henry Cowell, established a definite turning-point in my
work, and enabled me to see far along the way toward which my numerous student
compositions I had been groping.”15 Cowell not only gave Crawford the “courage” to be
experimental, but also afforded her the opportunity to have these new works published in
Cowell’s own New Music. Based out of his New Music Society of California, Cowell
gave new composers that he deemed worthy of being published, yet still had little chance
of doing so, a chance to have their scores seen by the public.
Cowell was not only an advocate for Crawford and other American composers
but a composer with his own ideas on the direction of music in the world. Cowell began
studying music at the University of California at Berkeley with Charles Seeger, Ruth
Crawford’s husband to-be, “who encouraged him to develop a more systematic approach
to composition.”16 In 1919 Cowell wrote a new treatise on composition, New Musical
Resources, which focused around the idea that there is a “physical identity between
rhythm and harmony.”17 Cowell states that both rhythm and harmony can be reduced to
simple mathematical ratios, and that one can translate these ratios from one group to the
other, thus utilizing this systematic approach. He also explores issues of dissonant
counterpoint, quartal harmony, and tone clusters, but emphasizes what new possibilities
lay within various rhythmic combinations.
Examining his Quartet Romantic (1917), Cowell demonstrates how one takes
the mathematical ratios produced by C major chord, and then converts those intervallic
relationships into rhythmic patterns. Cowell explains that the frequencies of c and c’ are
in the ratio of 2:4, those of c’ and e’ in the ratio 4:5 and those of e’ and g’ in the ration of
5:6. Thus, the music is written with groupings of 6 notes against 5 notes against 4 notes
and finally against 2 notes, all sounding at once (Figure 5). At the time, Cowell deemed
the music unplayable, and even asked the French inventor Lev Terman to build a
14
Dane Rudhyar, The Rebirth of Hindu Music (New York: Samuel Weiser, 1928, 1972),
18.
15
Ruth Crawford, letter to Nicolas Slonimsky, January 29, 1933, found in Ruth Crawford
Seeger: Memoirs, Memories, Music (Metuchen, N.J.: The Scarecrow Press, Inc., 1986)
16
Robert P. Morgan, Twentieth-Century Music (New York: W.W. Norton & Company,
1991), 299.
17
Ibid
72
�machine that could play such complex rhythms.18 Yet while this music was labeled
“impossible,” this did not stop Ruth Crawford from doing her own experimenting with
polyrhythms in the first movement of her Suite for Small Orchestra. Beginning at m. 6
we see a grouping of five quarter notes in the cello I part set against the single pitch f’,
which has been playing on the upbeats of the measures since the beginning of the piece.
As the ostinato figure continues, Crawford adds additional “simple” whole, half, and
quarter note lines in the flute, bassoon, cello II and piano parts but does not place another
bracketed pattern of pitches (a group of three) against the group of five until measure
fourteen. Moving ahead to m. 26, Crawford ambitiously composes groups of three half
notes (flute) against two half notes in the bassoon, against six quarter notes in violin I and
II, against four quarter notes in cello I, against five quarter notes (in octaves) in the piano
(Figure 6). As this was composed in 1926, when Crawford was still a young and rather
inexperienced composer, it is doubtful that she was able to hear this piece performed.
Crawford had only the sight of Cowell’s music and the ideas of the still unpublished New
Musical Resource (it remained as such until 1930) to go by when composing this suite. It
is even more remarkable that Crawford dared to use a larger ensemble; Cowell’s piece
was written for string quartet rather than a ten-part orchestra.
In 1929 Ruth Crawford left Chicago for New York on Cowell’s
recommendation. His intention was for Crawford to begin studying with his former
teacher, Charles Seeger, in composition. Seeger was apprehensive about accepting
Crawford as his student because he was at that point not completely convinced that a
woman should hold a worthy position in the world of musical composition. Cowell was
able to convince Seeger to take Crawford on as a student, and his influence became
evident in the revision of her Suite for Five Wind Instruments and her four Diaphonic
suites. These suites utilize Seeger’s ideas of the dissonating (making dissonant) of a
single melody as long as possible.19 Other pieces that demonstrated Crawford’s adoption
of Seeger’s dissonant tendencies include her last work for piano, Piano Study in Mixed
Accents (1930), and Three Songs for Contralto, Oboe, Piano, and Percussion (19301932).
In 1930 Crawford was the first woman to be awarded a Guggenheim Foundation
fellowship for European study in composition. While there, Crawford wrote her String
Quartet (1931), the most distinguished of her works. It was first performed in 1933.
Charles Seeger described the third movement as a study in “dynamic counterpoint,” as
each of the four parts has an ever changing dynamic pattern, and the final movement as
an example of total organization of pitch, rests, rhythm, dynamics, tempo,
18
19
Ibid, 300.
Charles Seeger, “On Dissonant Counterpoint,” Modern Music, 7 (1930): 25-31.
73
�instrumentation and form.20 Crawford returned to the United States in November 1931,
and in 1932 she married Charles Seeger. The marriage to her former teacher changed
Crawford’s life both musically and personally, in that upon the birth of their first child
Michael, her focus shifted from her career in composition to raising a family.
While Ruth Crawford Seeger seemed suddenly to “give up” her music in
exchange of her tending to her growing family in the early 1930’s, she did not abandon
the art so much as change focus from composing modern pieces to reflect 1930’s radical
politic as well as Seeger’s work as an ethnomusicologist. The Great Depression had an
impact on the Seeger family income, and Ruth and her husband Charles began to
consider how music could a provide “voice” to express the nation’s social, political and
economic troubles. Once again in 1932 Henry Cowell entered the Seeger family’s life
and introduced them to a group of musicians in New York known as the Composers’
Collective. Charles Seeger recalled that the purpose of the group was “to connect music
somehow or other with the economic situation.”21 Crawford Seeger wrote only two
original compositions for the Composers’ Collective, Sacco Vanzetti, and Chinaman,
Laundryman. While these pieces were written with the intention of impacting those most
severely affected by the Depression, both Ruth and Charles realized that people were
looking for something familiar in a time of such distress and uncertainty. Thus,
Crawford’s focus changed again, from writing new songs to express the status of society
to bringing new life to America’s folk music.
As a result, both Ruth and Charles began an intense study of the “true music of
the people” by researching Anglo-American folk music and finding many discrepancies
between the published and recorded versions of many of these works. While living in
New York, the two forged a lasting friendship with John and Alan Lomax, who soon
asked Crawford Seeger to write the musical transcriptions for their new anthology, Our
Singing Country. She accepted the offer, and also provided the Lomaxes with insightful
remarks at the beginning of the book on how one should go about performing folk music.
In 1935 Crawford Seeger and her still growing family moved from New York to
Washington D.C., where both she and Charles became more immersed in folk music.
Charles had earned a position working with the Resettlement Administration and later
with the Federal Music project.22 Ruth gained access to the Archives of American Folk
Music in the Library of Congress while she was working on Our Singing Country and
also used these resources to write her second and final essay for orchestra, Rissolty,
20
Jane Bowers, Women Making Music: The Western Art Tradition, 1150-1950 (Chicago:
University of Illinois Press, 1986), 377.
21
Charles Seeger. Taped interview for Matilda Gaume. London, July 1967.
22
Jane Bowers, Women Making Music: The Western Art Tradition, 1150-1950 (Chicago:
University of Illinois Press, 1986), 380.
74
�Rossolty.23 This work was commissioned by CBS and was based on three folk songs
transcribed from the Library of Congress. “Had she lived longer, she probably would
have written other original compositions using folk materials.”24
In the 1940’s Crawford Seeger spent much of her time teaching music in nursery
schools in the Washington D.C. area. She had great capability in the classroom, as she
was patient and empathetic with the young children that she worked with. During this
time Crawford Seeger also became one of the leaders of the group of women who
organized the cooperative Silver Spring (Maryland) Nursery School, in the Washington
D.C. suburb where the Seegers were living.25 Even while she was teaching Ruth
continued her work with folk music by compiling three books of folk songs for voice and
piano: American Folk Songs for Children (1948), Animal Folk Songs for Children (1950),
and Christmas Folk Songs for Children (1953).
Ruth Crawford Seeger’s final completed work before her death in 1953 was
Suite for Wind Quintet (1952), which was written more in her early modern style than in
the folk style that she had adopted over the previous fifteen years. While she wrote fewer
than thirty original works overall, Crawford’s impact on twentieth-century music and
American music history has been firmly established as a result of her perseverance and
dedication to what she loved. Crawford’s compositional abilities were recognized and
encouraged by the leading musical minds in Chicago, New York, and throughout her
studies in Europe as a result of her Guggenheim Fellowship. While she did put aside her
career in composition to nurture her growing family, Crawford found a new passion
through the analysis and transcription of folk music, and helped reunite Americans with
traditional music that provided comfort during the unstable times of the Great
Depression. Crawford’s collections of folk music also provided music teachers with a
great resource in their classrooms, and her work with the music programs in nursery
schools around Washington D.C. should be remembered and admired by future music
educators. Ruth Crawford Seeger was a dynamic woman who achieved success in two
different musical careers as well as in her family life, something that so many women still
find difficult to do today, and thus is a wonderful role model for those of us that wish to
do so as well.
23
Ibid
Charles Seeger. Taped interview for Matilda Gaume. London, July 1967.
25
Peggy Seeger. Taped recollections for Matilda Gaume. Kent, England, July 22 1977.
24
75
�Figure 1 taken from Ruth Crawford Seeger’s
Suite for Small Orchestra, 1926.26
26
Figure 2 taken from Ruth
Crawford Seeger’s Suite for
for Small Orchestra, 1926.27
Ruth Crawford Seeger, Music for small orchestra (1926); Suite no. 2 for four strings
and piano (1929) / Ruth Crawford; edited by Judith Tick and Wayne Schneider, 2nd ed.
(Madison, Wis.: Published for the American Musicological Society by A-R Editions,
1996)
27
Ibid
76
�Figure 3: Crawford’s use of polyrhythmic
figures in her Suite for Small Orchestra
(1926).28
28
29
Figure 4: Crawford’s use of pitch
collections, not clusters, in that the
notes are not in close position, and
that the pitch classes c, e, a, and b
are notated twice.29
Ibid
Ibid
77
�Figure 5: Cowell’s derivation of polyrhythmic texture in his
New Musical Resources and Quartet Romantic (1917).30
30
Robert P. Morgan, Twentieth-Century Music (New York: W.W. Norton & Company,
1991), 299.
78
�Figure 6: Suite for Small Orchestra picture indicating that
Crawford’s use of polyrhythmic texture is similar to Cowell’s.31
31
Ruth Crawford Seeger, Music for small orchestra (1926); Suite no. 2 for four strings
and piano (1929) / Ruth Crawford; edited by Judith Tick and Wayne Schneider, 2nd ed.
(Madison, Wis.: Published for the American Musicological Society by A-R Editions,
1996)
79
��Section IV: The Humanities
�El antiracionalismo en El túnel y
La resistencia, de Ernesto Sábato
(Anti-Rationalism in Ernesto Sábato’s
Resistance and The Tunnel)
Susan Altman1,2 (Spanish)
Argentinian writer Ernesto Sábato has criticized the dangers of rationalism throughout
most of his literary career. El túnel (The Tunnel), published in 1948, is a novel in which
Sábato’s philosophical views are clearly defined. More recently in La resistencia (2000)
(Resistance), a non-fiction text, the author turns his philosophical preoccupations to
today's society. In The Tunnel, the main protagonist kills the woman with whom he is in
love when he thinks she has betrayed him; tension has resulted from his attempt to
rationalize love. Although there is no literal death in La resistencia, Sábato examines
the death of humanity on a different level. Here he warns us that we live in a society in
which globalization is turning us into clones, and that our interest in advanced
technology, rather than people, will ultimately lead us to our extinction. For Sábato, a
human being must be able to accept the illogical and the unexplainable in order to exist.
El antiracionalismo en La resistencia y El túnel, de Ernesto Sábato
El autor argentino Ernesto Sábato ha escrito dos obras, El túnel (1948) y La resistencia
(2000), que critican el racionalismo. La resistencia es una clara reflexión de su filosofía,
mientras El túnel es un texto ficticio en el cual se vislumbra de forma más sutíl. Sábato
pide "una vida más humana" al criticar el hecho de que vivimos en una sociedad donde se
les da más importancia a las cosas que a las personas. Perdemos nuestra humanidad
cuando sucumbimos a la tecnología y a la producción. Pasamos tiempo absortos en
productos electrónicos en vez de interactuar con otras personas, o con la naturaleza. Por
lo tanto, la búsqueda del objeto se considera más importante que resolver el problema de
la pobreza. Los que no producen, no son importantes. Esta tesis antiracional se percibe a
su vez en El túnel, aunque en este texto ficticio el escritor se enfoca en maneras de
1
2
Research performed under the direction of Dr. Katica Urbanc (Languages).
Dr. Margarita Sánchez (Languages) reviewed paper as a second reader.
82
�pensar, mostrándonos la mentalidad hiperconsciente y lógica de Juan Pablo Castel y la
mentalidad más intuitiva de María Iribarne Hunter.
En La resistencia Sábato trae a colación la posibilidad de llevar "una vida más
humana" y pide que sus lectores consideren la vida de otra manera. Según Sabato,
pasamos mucho tiempo con la televisión, las películas, el teléfono, y la computadora; sin
embargo, en su lugar, uno debería concentrarse en el arte de la conversación, apreciar la
vida cotidiana, y gozar de los paisajes naturales. Siente que un resultado de este estilo de
vida es que los niños no ven más que violencia y destrucción en la televisión y en los
juegos. Opina que al vivir así, los seres humanos pueden llegar a extinguirse como se
extinguieron los reptiles. También, según Sábato tenemos que cuidar la tierra de la cual
dependemos tanto; si no cuidamos de la tierra, se puede perjudicar toda vida futura.
Sábato siente que "... nuestra «sociedad avanzada» deja de lado a quienes no
producen" (64); vivimos en una sociedad inquieta por la "idolatría de tecnología" y
la«explotación» (83) puesto que las personas harían cualquier cosa por dinero. El autor
opina que el poder mundial está concentrado en manos de veinte o treinta empresas y
que vivimos en un mundo donde a pesar de la alta tecnología, todavía existe la pobreza.
Siente que la masificación ha traído una pérdida de originalidad a causa de la
globalización, y que la gente está asustada de tomar sus propias decisiones por temor a
perder sus puestos.
Para Sábato, la democracia, que trae justicia social y libertad, es buena. Opina
que el ser humano y la originalidad son necesarias para la democracia. Sábato cita a Lord
Acton: "El poder corrompe, pero el poder absoluto corrompe absolutamente" (84). El
autor comparte con nosotros sus ideas existencialistas. "Si vivimos como autómatas
seremos ciegos a las huellas que los hombres nos van dejando […]", nos dice (19).
Según Sábato, si se pierden las relaciones humanas, las cosas tomarán poder sobre
nosotros. El alma humana anima el cuerpo humano, al igual que el ser humano anima el
objeto. La presencia de un hombre es detectada en acciones y objetos.
Es interesante notar que mucho antes de escribir La resistencia, el autor expuso
algunas de estas preocupaciones filosoficas en El túnel. El protagonista de esta novela,
Juan Pablo Castel, opina que la vanidad contibuye al progreso de la humanidad. Sin
embargo a Mimí, otro personaje, no le gusta que la gente tenga mucho éxito. Para ella, la
grandeza y el dramatismo son demasiado agresivos y el artista no debe llamar la atención
sobre sí mismo. En su opinión no es cortés mostrar originalidad, pues esto manifiesta la
mediocridad de los demás. Sin embargo el apunte filosófico principal en esta novela es el
antiracionalismo. Aquí, el autor no critica la tecnología, sino la mentalidad lógica en un
solo hombre, Juan Pablo Castel. Juan Pablo, un artista, se enamora de María Iribarne
Hunter porque cree que es la única persona que entiende su arte. Cuando cree descubrir
que ella lo ha traicionado con otro amante, la mata.
83
�Juan Pablo busca agresivamente a María. Es un ser hiperconsciente y racional,
aunque su lógica no da resultado (Holzapfel 440). No es capaz de aceptar reacciones por
las cuales no hay motivos aparentes, o a lo mejor, motivos oscuros. Necesita absolutos y
necesita evitar tomar decisiones porque sabe que será incorrecta puesto que le faltan
datos (Francis y Adams 22). Cuando mata a María, la única persona con quien se siente
conectado, destruye la posibilidad de futura comunicación y amor. La historia termina en
un sistema cerrado circular. El protagonista ha intentado imponer una estructura racional
sobre un universo inexplicable, y su fracaso de aceptar lo ilógico y lo inexplicable lo
encerrará en una prisión (Francis y Adams 27). El personaje de Juan Pablo se encuentra
existencialmente aislado. Sufre una inhabilidad de comunicar con otros, especialmente
con seres queridos.
El personaje de María se opone claramente al de Juan Pablo. Es callada y
reservada. Es intuitiva. Acepta una visión relativa e inexplicable del universo. Para
María, la elección correcta es sin importancia porque no hay absolutos y todo es igual.
María se enfrenta bien con lo relativo y filtra cuidadosamente todo lo que no cabe dentro
de su comprensión. Claramente, se adapta a las situaciones que ofrece el mundo (Adams
y Francis 22). La novela presenta por lo tanto un conflicto entre lo racional, Juan Pablo,
y lo irracional, María. Este conflicto se extiende a la psique de Juan Pablo; según Francis
y Adams, el protagonista siente tanto amor rationalista como emocional por María. Es
interesante observar que la idea de «crisis de consciencia» que se vislumbra en el siglo
diecinueve fue una reacción contra la confianza científica en la racionalidad y la
perfeccion del hombre (Holzapfel 441). En El túnel, percibimos una extensión de esta
filosofía en el siglo veinte con su mecanización de la vida (Holapfel 441). El arte brinda
un escape y un camino a la salvación en un mundo dominado por la tecnología y la
ciencia. El título es apropiado, pues el túnel representa el aislamiento del hombre
moderno y su profunda enajenación (Holzapfel 440 y Márquez 361). María dice que ella
«no es nadie» y piensa que como artista Juan Pablo no la necesita. Juan Pablo, al
contrario, piensa que ella le da un sentido a su arte. No piensa que los críticos sepan
nada porque no supieron entender la verdad hallada en sus cuadros.
Sábato señala en El túnel que viveremos todos en un túnel si no aceptamos lo
ilógico y lo inexplicable de la vida. En La resistencia, el autor advierte que la obsesión
de nuestra sociedad con la tecnología puede llevarnos a la extinción. También lo puede
hacer la globalización, ya que nos convierte en clones. Esta pauta que fija el fin de los
humanos se vislumbra a su vez en El túnel, donde la inhabilidad de aceptar lo irracional
conduce a la muerte.
84
�Bibliography
Francis, Nathan T. and William F. Adams. “The Limits of Rationalism in Sábato’s ‘El
Túnel.’” Revista de Estudios Hispánicos. 13 (1979): 21-7.
García, Eligio Márquez. “Un anarquista de la existencia: Ernesto Sábato.” Revista de
Occidente. 31 (1970): 358-66.
Holzapfel, Tamara. “Dostoevsky’s ‘Notes from the Underground’ and Sábato’s ‘El
Túnel.’” Hispania: A Journal Devoted to the Interests of the Teaching of Spanish
and Portuguese. 51(1968): 440-50.
Nigoyo, Gonzalo Díaz. “El optimismo de ‘El túnel,’ de E. Sábato. Cuadernos
Hispanoamericanos: Revista Mensual de Cultura Hispánica. 359 (1980): 440-50.
Sábato, Ernesto. El túnel. 1948. Barcelona: Biblioteca de Bolsillo, 1997.
,
85
��Section V:
Professional Programs
�Commodities Futures Markets
Rich Barbiera1 (Business)
Topic: Why should or would companies hedge into the commodities futures markets?
My paper will entail information behind commodities. I intend to cover the
history behind commodities. I will answer questions such as: What is the significance of
trading a commodity you own in the market? There will also be many other questions I
will be analyzing and explaining about the market that date back to the first floor a
commodity was traded on. Using examples I will show the different types of hedges and
trades. How external factors affect the price market, which in turn affects trading.
I will cover hedging and the ‘basis’. Why do companies hedge or contain
hedging programs with which they enter certain markets with their products or
commodities? I intend to explain about hedging. What is a hedge? This is both the most
basic, and the most important term that I will delve into. Next I will show how
commercial hedging is important for firms to interact in because it can play a big
differential between the total net loss and net profit a company reaches at the end of each
year. Finally comparing hedging to just the basic concept of using one’s knowledge about
the price market to trade for oneself and make some money.
Commodities, in their original form as agricultural products, reflect one of the
earliest industries, farming. Around the time of the Civil War, the farmer usually took the
brunt of market fluctuations. If he was ready to sell after the harvest, so was everyone
else. There was an excess of supplies, even more so than the amount required by
consumers, resulting in depressed price levels. Farmers had several alternatives: accept
whatever price that could be derived from the already oversupplied market, put their
crops back into storage in the hope prices would improve, or haul their crops back home
(Horn 1984).
The situation reversed itself toward the end of the harvest season. Unsold grain
became in shorter supply as the season's crop was consumed. This scarcity resulted in
much higher and unwanted prices. Grain merchants were forced to buy the
the year's supply, which was much more than they could utilize, during the harvest
period. If not, they had to pay inflated prices late in the marketing year, before the next
harvesting season, in order to keep their mills running while manufacturers competed for
1
Research performed under the direction of Dr. Mary Lo Re (Business)
88
�the availability of whatever amount of the supply was left, or in stock. In the case of
oversupply of the crop, goods had to be sold at fire-sale prices. (Horn 1984) Fire-sale
prices are like selling at the lowest price possible, practically giving the crop or
commodity away. At this stage of the game farmers are even willing to accept offers
made by the consumers.
To protect themselves against such seasonal fluctuations, producers and
consumers of commodities, such as crops, began to buy and sell for forward delivery.
Such transactions, or as we know them as to-arrive contracts, involved a binding
transaction between say a farmer and someone looking to purchase what the farmer is
offering, consumer. A contract is formed for a certain amount of a commodity to be
delivered at a certain price in a certain amount of days. Arrival of the commodity could
be ten, thirty, or even sixty days later. However, this deferred delivery did not eliminate
all of the risk involved. Risk still lay upon the buyer and/or seller's shoulders. An
example of this would be: "A miller agrees on April 1 to buy 5,000 bushels of corn from
a farmer for $2.20 per bushel. The corn is to be delivered on June 1. The buyer and seller
both agree on a price for a product ‘to arrive’ two months later." (Horn, 5)
This agreement or bound contract does not solve the problem of market risk.
The seller takes a risk estimating the return of the crop before harvest and need only
worry about its production. Here the seller can lose, however, if say the price per bushel
rises by .40 cent to $2.60 by June 1. The seller loses an additional profit of .20 cent. The
buyer need only fear a price decrease by the delivery month. Say the price per bushel
drops to $2.00, the buyer just suffered a .20 cent loss per bushel.
Commodities are traded in the future markets for reasons such as perceived risk,
profitability, and to hedge products against fluctuating prices. Firms will either place
orders or hedge their products into these commodity futures markets. In doing so they are
looking to achieve some profit in the process or to simply save their industry some
money in future production and distribution. Is it positive financially for a firm to take on
such a risk, whereby hedging into the futures markets? Does trading benefit any
individuals in particular who take on the risk and if so can they also be scrutinized for
such actions?
Firms are looking to protect themselves from the fluctuation of prices, which
basically results from the economy. When looking to either enter a commodity into the
futures market or just merely enter the market an individual, such as a speculator, firm, or
client, must be aware of events taking place around the world, such as a drought,
affecting the commodity causing the prices to fluctuate. Then there are the simple terms
of supply and demand for the commodity. Does the desire for the commodity outweigh
the supply of it or does the amount of the commodity outweigh the desire? If you know
the answers to these questions you can predict the price fluctuations. Reading and
89
�understanding external factors and events that occur in the economy can and most likely
will give you an edge in the futures market.
For instance, on the NYMEX (New York Mercantile Exchange), three weeks
ago oil was trading as low as $28 dollars in April because news from Iraq portrayed
information that U.S soldiers claimed control of a few of the oil fields. On top of that, the
Department of Energy (DOE), which calculates the amount of oil and other natural
resources, lists the supply circulating in millions of barrels. Three weeks ago that number
of supply was positive, meaning there was an excess of barrels in stock, so prices
decreased due to less demand of the natural resource of crude oil. However, the news
now of a much longer anticipated war caused panic on the floor of NYMEX driving
prices back up to approximately $31-$32 dollars in April.
The key to understanding and forecasting where prices will come in, either
lower or higher the previous day, is to be able to read the economy and be able to apply
the laws of supply and demand toward the futures markets. The economy can be one
infinite roller coaster and firms such as ones in the airline industry have to "be ahead of
the game". Firms in the airline industry face very low profits to none at all compared to
the price per ticket and the price for fuel. So they try to save money on something like
fuel by hedging into the futures market to "hopefully" protect themselves against
fluctuating prices.
Traders represent commercial firms who use the market for hedging. There can
be no serious exceptions to the statement that, "futures trading depends on hedging."
(Tweles, 25) Hedgers must find it rewarding to continue to use these markets. Brown
states, "Certain propositions can be developed about the price behavior of hedge assets
and of fairweather goods."(Brown, 30) The higher the level of hedging the higher the
level of the futures business will be. The risk-elimination view of hedging usually begins
with the naive illustration of the two kinds of a hedge.
"A processor holds 100,000 bushels of cash wheat at $2.00 a bushel and its
fearful of a decline in price. He immediately sells 100,000 bushels of future
contracts at $2.00 and is thereby short hedged (because he sold, but didn't
buy back). If the fear decline materializes and wheat drops to $1.85 a bushel,
the profit on the short sale of futures offsets the loss on the inventory."
(Tweles, 33)
The other kind of hedge would be a long hedge where the processor a commercial
business has a commitment to sell 100,000 bushels of wheat at a specific time and price
in the future, which he has not contracted to buy. He can protect himself and the business
by buying a futures position equal in amount to the forward sale and thereby fix its
forward cost. Thus through selling short and buying long to offset the loss or flatten a
90
�position the hedging process is said to eliminate the risk of price fluctuation. (Teweless
1974)
Hedging has to have a basis. The basis is different from area to area and when a
hedger refers to basis, he means, "his basis," or the basis of his local area. The basis "is
the difference between the cash price at any location and the futures price in any futures
exchange."(Angell, 99) It is the change in the basis, rather than the absolute price level,
that will determine a hedger's success. A basis may be said to be either "weak" or
"strong." A "weak" basis will have a wide difference between futures and cash. A
"strong" basis will have only a narrow difference between the two. Whether you have a
strong or weak basis depends on a number of factors, among which are the following:
"the overall supply and demand of the commodity, how much supply is circulating
around the economy and is the demand high enough to support a strong basis; the overall
supply and demand of substitute commodities and comparable prices, are there enough
substitute commodities out there with prices equal to or less than the one that you are
pursing to make money off of; geographic disparities in supply and demand, basically
casualties hurricanes, tornadoes, and other ruining say a harvest period or season
affecting the supply and quality of the commodity; transportation considerations, is
transportation of the commodity cheap and reliable or will you have to worry about
incurring a loss from transportation; available storage space, is there enough storage
space for you to purchase excess commodities and use them further for your own
profitability ."(Angell 1979) The basis also may be strong or weak depending on the type
of hedge you are risking to take a position into, whether it be the futures and/or cash
markets.
You have the selling hedge, individuals or firms who own the cash commodity,
such as farmers. They look to sell the commodity into the futures market and, by
definition, become hedged. Having placed this hedge the farmer will then be long cash
and short futures. The farmer will have bought more contracts than he has sold in the
cash market, where he would be losing money now. Compared to the futures market
where he sold more contracts than he bought, where he would be gaining money in the
future or date of delivery. Along with this he is looking to take some risk off his back by
placing some of the risk into the ring on the floor of the exchange. This speculator is a
trader in the pit on one of the many regulated commodity futures markets floors. The
speculator is in it for the mere profit not the physical product. The speculator will help
the farmer for a commission. Now the farmer has a good season, however, he needs 40
cents to make a profit. He also derives that his basis is about one-half cent below the
Chicago futures. If the Chicago futures are selling at 40.5 cents, the local price will be 40
cents, the price he wants for his production. To lock in that price, he sells short in the
futures market. Now the price drops 5 cents during the time he is hedged. He has offset
91
�his position because the cash market loss is compensated by the gain on the futures
position. If you are an analyst of the futures market you see that the farmer gained back
the 5 cents he lost in the cash market by selling a forward or futures contract of his
product at 40 cents, avoiding the loss before it drops 5 cents. (Angell 1979)
The farmer could keep hedging into a position, instead of offsetting, until he
gains a profit from it, however, he could incur a loss at the same time from continuous
hedging, that is the risk. Farmers, as well as other producers of vast commodities, usually
pay close attention to all the farm products flowing around in the economy. They have a
good idea how much supply there is and therefore can predict what kind of demand exists
driving the day-to-day prices to hedge themselves into a successful position. What they
don't know is what kind of season they will be graced with.
The buying hedge, buyers look to hedge into a position of a short cash position
and a long futures position. Buyers, such as elevator operators, processors,
manufacturers, and exporters, take the opposite role of the sellers. A flour miller, who
requires wheat in his milling operations, will place a buying hedge to establish his cost
objective. The hedge protects him against the possibility of an increase in the price of
wheat. On September 1 the flour miller decides he needs 5,000 bushels of wheat at a
price of $3.15, and his basis is 10 cents under Chicago. He assumes the basis will remain
the same, so he will look for 10 cents higher at a price of $3.25 Chicago wheat to meet
his price objective. He needs the wheat in December, because he will be looking to make
profits outside the harvesting season. He instructs his speculator to buy December
Chicago wheat at $3.25. Next he sees wheat rose 20 cents in both the cash market and the
futures market by December 1. The flour miller buys 5,000 bushels of cash wheat on
December 1 at $3.35 in the cash market, due to the 20 cents inflation. Next he sells 5,000
bushels in the futures market of December wheat at $3.65. Apparently the futures market
rises faster than the cash market so the flour miller comes out with a net profit of $500.
He lost $1000 in the cash market but because of the quicker rise of 30 cents in the futures
market, he gained $1500. (Angell 1979) The flour miller not only reduced some risk, but
also made some futures market. All types of firms are willing to face this risk as well as
the adversity, because it is possible to make a sufficient profit on a mere 10-20 cents
price change in the fluctuation of the futures market.
Future prices reflect the basis of a hedge and whether you should get yourself
out of a position, the selling hedge, or place yourself into one, the buying hedge.
Knowing this it is valuable to know what the basis will be at some time in the future,
aiding you in a possible prediction of future prices. The futures price for any commodity
for any given time reflects in what Angell states, "consensus judgment of that
commodity's worth formed by every hedger and speculator participating in the market."
(Angell, 1979) Additional buying will push prices higher as well as additional selling will
92
�push prices lower. You must recognize that a sudden change in this "consensus" can
occur at any moment. However, why do different futures months trade at different levels?
Why would wheat trade at one price in say September, however trade at a very different
price in November? "There is a reason and the reason behind the pricing structure
reason’s why basis changes are apt to be much more predictable than price level
changes."(Angell, 1979) Each successive commodity month will sell at a slightly higher
price than the nearer month. Angell states, "These higher prices reflect the expenses of
storage, insurance, interest, and on the invested capital. All the things of that sort of
nature." (Angell, 1979)
There is of course an inverted market, reflecting a short supply. Here distant
months sell at a discount to nearby months. You see this in spreads, the trading of two
different months at a strike price, same volume and commodity. Because of the short
supply situation traders bid up the price of the nearby months and will decrease with each
following month. The cash price reflects the supply and demand theory. Who is willing to
buy or sell? Is there a surplus or shortage in the economy for a specific commodity or
natural resource?
Arbitrage, or what spread trading is sometimes called, is possible when logical
price relationships do not exist.
"When market premiums or discounts are different from product values,
differential arbitrage potential exists. Traders look for price differentials,
which exceed the cost of transportation between two market locations. The
essence of financial markets involves using the discrepancy between
borrowing money at a cheaper rate while acquiring an asset that pays a higher
rate or has a lower price. The result is arbitrage profit."(Leuthold, 1989)
Arbitrage activity can also be faced if there is any differential between implied rates and
quoted futures prices above transaction costs. When a premium or discount is identified
speculators will focus on an arbitrage trade because product values differ unless
transaction costs are below price differentials, such as implied rates. (Leuthold, 67)
Spreads are a good way to make a quick profit. They are less risky, although
they have smaller potential for large gains. These contracts are for different delivery
months of the same commodity, but sometimes involve different commodities or the
same commodities on different exchanges. These are interdelivery, intercommodity, ~and
intermarket spreads. Interdelivery is where a trader purchases contracts of one delivery
month while selling another delivery month simultaneously. Intercommodity involves the
buying and selling of two totally different commodities, also known as crack spreads.
Finally intermarket spreads deal with two totally different markets like NYMEX and
COMEX.
93
�If spreads were not different for each pair of delivery months and did not vary
from hour to hour, there would be no reason for futures markets to exist. For futures
markets to exist for many commodities, something must be special to the spreads for
each. Let's look at a natural resource like copper for example. To see the importance of
variable spreads to futures markets, consider the simple situation where a competitive
economy can consume a finite stock like copper. Suppose it is costless to store the
copper. According to well- established models of natural resources, in this world of
perfect certainty the equilibrium array of prices at any moment in time, and the realized
path of the spot price as well, would be such that the prices for later delivery dates would
increase at the rate of interest. If the rate of interest is zero percent per annum, the price
of copper for delivery tomorrow would equal that for delivery six days, thirty days, or ten
years hence. By simple calculation, the spreads between pairs of futures prices would
also be the same, namely zero. (Williams,20)
The two legs of the spread might consist of positions in contracts for different
securities or different maturities on the same instrument. Here we can look at interest rate
futures; commercial paper interest rates and how they move faster and farther than the
interest rates on T-bills of the same maturity during the latter stages of the cyclical trend.
Under such circumstances, a spread such as an intercommodity spread during the final
months of a cyclical uptrend, as borne out by the experience of the latter half of 1978,
would have been to go long both T-bill and commercial paper futures, just as short
positions in both contracts would be in order as rates approach the trough of a cyclical
downturn. (Loosigian 1980)
A long 90-day T-bill -long 90-day commercial paper spread might have been
initiated on June 5, at a 90 basis-point yield premium, commercial paper over T-bills. By
November 20, the spread had opened up to 237 basis points, accruing a profit of 147
basis points. Assuming the spread was initiated and "unwound" on those two rates, the
profit calculation would have appeared as follows. (Loosigian, 362)
T-Bill and Commercial Paper Spread
June 5, 1978 Commercial Paper Over T-Bills
Buy 1 Dec. 1978 T-Bills
at 92.28 (7.72% discount)
Buy 1 Dec. 1978 commercial
paper at 8.62% discount
90 basis points
Sell 1 Dec. 1978 T-Bills
Sell 1 Dec. 1978 commercial
at 91.17 (8.83% discount)
paper at 11.20% discount
227 basis points
_______________________________________________________________________
94
�Loss $2,775 (111x$25x1)
Profit $6,450 (258x$25x1)
Spread Profit $3,675
(147x$25x1)
Risk Shifting
Another major function of interest rate futures is risk shifting. "'A futures market
allows the separation of the risk of price change from risk arising from other normal
business functions similar to the separation of theft or fire risk from other business
risks."(Powers, 8) Separating these risks allows them to be "packaged" in special ways
and transferred from those who have them but may not want them (hedgers) to those who
do want them (speculators). (Powers 1984)
We see through various forms of hedging that the positive outweighs the
negative risk factors. Firms, speculators, or even your everyday average traders cannot go
wrong entering the futures market or entering a commodity or resource into the futures
market and taking that perceived risk. Why take that chance? As you can see knowledge
of the external factors, which in turn affect the price fluctuations, which in turn gives you
a good idea of where prices may fall, is the key to ultimate profit.
Why buy a contract at a higher price now when you could buy it in the future for
a lower price? Why sell a contract at a lower price now when you can make more on a
future contract? "There exists one substantial risk, however, for which no commercial
insurance: the risk of adverse price change on raw and processed commodities."(Kroll,
303) This is why farmers in the past as well as other producer's of vast commodities
hedge themselves into a futures market. There are so many risks, mainly external, but
internal as well, so take some risk off, enter a commodity futures market, and plan ahead
of the game. I have given several examples of outright trades in the commodities future
markets as well as an example of spreads on interest futures showing you why proprietors
such as farmers hedged into markets and why firms sometimes will do the same. The
commodities market is a hidden one that many people don’t know about and don’t know
how effective it can be for various firms.
References
Angell, George. 1979. Winning in the Commodities Market. Garden City, NY: Doubleday.
Brendan, Brown. 1982. A Theory of Hedge Investment. New York: St. Martin’s Press.
Horn, Frederick F. 1984. Trading in Commodity Futures. New York: New York Institute
of Finance.
Kroll, Stanley. 1972. “Commodity Hedging For Insurance and Profit”. The CPA Journal,
(April): 303-307.
95
�Leuthold, Raymond M., Junkus, Joan C. and Cordier, Jean E. 1989. The Theory and
Practices of Future Markets. Lexington, Massachusetts/Toronto: Lexington Books.
Loosigian, Allan M. 1980. Interest Rate Futures. Homewood, Illinois: Dow Jones-Irwin.
Murphy, John J. 1986. Technical Analysis of the Futures Markets: A Comprehensive
Guide to Trading Methods and Applications. New York: New York Institute of Finance.
Powers, Mark and Vogel, David. 1984. Inside the Financial Futures Markets. New
York: John Wiley & Sons.
Teweless, Richard J., Harlow, Charles V. and Stone, Herbert L. 1974. The Commodity
Futures Game: Who Wins? Who Loses? Why? New York: McGraw-Hill Book Co.
Williams, Jeffrey. 1986. The Economic Function of Futures Markets. Cambridge,
England: Cambridge University Press.
Yahoo.com. Finance. Gold. http://finance.yahoo.com
(8.83% discount)Yahoo.com. Finance. Crude Oil. http://finance.yahoo.com
96
�97
�98
�Why Diversification is Necessary
in Long Term Portfolio Planning
John Roberts1 (Business)
I. Introduction
When planning out a long-term portfolio, in order to reduce risk one should keep
a well-diversified portfolio. For example, the saying of putting all your eggs in one basket
is just the opposite of this. Profit maximization and risk reduction are the main goals of
most investors, even though some people may invest for other reasons. In order to
accomplish this you need proper diversification and I plan to discuss throughout this
paper the ideas behind diversification and long term planning and why the two together
can lead to optimal portfolio performance.
II. The Reasoning Behind Diversification
Diversification is the idea of spreading assets out among different asset classes,
such as stocks, bonds, money market instruments, and physical commodities (Gastineau
1992, 91). This can be taken one step further by even spreading them out over
international boundaries within these categories. By spreading out assets over many
different categories and industries one reduces the risk of instability within his/her
portfolio. For example, imagine if you take two portfolios A and B. Portfolio A consists
of two stocks in the car industry and portfolio B consist of one stock in the car industry
and one in the airlines industry. Obviously, if the car industry is not doing well, neither
will portfolio A. Portfolio B will still not do as well, but because it was diversified and
uses more than one industry, the risk was reduced and the airline industry stock contained
in Portfolio B will help balance the portfolio. That is why diversification is a key when
investing.
III. Pro's and Con's of Diversification
The idea of diversification can have its positive and negative effects when
dealing with investments. The good thing about diversification is that it allows one to
reduce risk and still have room for profit at the same time. When a company or industry
1
Research performed under the direction of Dr. Mary Lo Re (Business)
99
�is having tough times and stock prices begin to fall, diversification serves as protection
for investors (Sheimo 1999,343). If used properly one may not even notice the decline in
a major industry because of the protection provided by spreading out your assets.
On the other hand, diversification does have its setbacks. First, if there is an
overall market decline, diversification cannot help. If all stocks are performing poorly
there is nothing that can help to fix a declining market. Next, when compared to selecting
carefully for value, diversification may water down returns. When one spreads out his/her
risk, they also may be spreading out their return. The idea of having one stock and
praying for the big jump in stock price is risky and short-term thinking. The payoff may
be much nicer if you have all your eggs in one basket, but the risk of losing everything is
much greater if that price jump was a decline.
IV. Asset Allocation
Asset allocation is a commonly used technique in the investment of funds
(Butrimovitz 1999,2). The International Encyclopedia of the Stock Market states that the
term asset allocation is nothing more but dividing money and placing it into different
types of investments (Sheimo 1999, 185). The basic principle behind this is that asset
classes are nothing more than a group of securities that share a common ground. An
example of this would be taking 35% of your money and placing it in the money market,
taking 40% and placing it in fixed incomes such as bonds, and taking the remaining 25%
and placing it in common shares. By dividing ones investments and placing them in
different markets, one is providing him/herself with proper diversification also. Studies
taken have come up with the following data to show the importance of asset allocation
(Reilly, Norton 1999, 55). 85%-95% of overall investment returns come from the first
and second decisions, which are the long-term allocation decisions (Reilly, Norton 1999,
55). This shows that with proper asset allocation in the beginning stages one may gain the
majority of their returns. Another study was conducted to find out if asset allocation was
any better than just "throwing darts" to pick out stocks. The study reported that through
asset allocation one does produce better risk adjusted returns than if they were to just
select any random set of investments (Butrimovitz 1999, 10).
To show how asset allocation can really work for ones portfolio, we will look at
a period of time from Jan. 1988 to Dec. 2000. The table below shows the data that was
collected at the Investor Index site. One would have earned on average an annual return
of 13.83% per year and a standard deviation of 9.99 if their portfolio consisted of 60% in
a broad U.S. equity index fund, and 40% in a broad U.S. bond index fund (Investor Index
2003, 1). Standard deviation measures the degree of uncertainty in a stock (Gallagher,
Andrew 2000, 151). Now add in international equities, non-U.S. bonds, and commodities,
three more asset classes into the picture. Ones portfolio return goes up to 14.57% while
100
�the risk stays the same. By taking it one step further and dividing the international
equities into European equities, Pacific equities, and Emerging Market equities, and by
adding high yield U.S. bonds, one could have raised an average annual return to 14.64 %,
while still taking on no more risk(Investor Index 2003, 1). Over time this asset allocation
strategy generated a much larger return than the original two-asset portfolio while
managing to keep the same amount of risk. This may not seem much now, but over time
it could make a very big difference in ones portfolio. Also, by reallocating over time and
adding in profits made, these numbers could change even more for the better.
Table 1: An Example of Asset Allocation
Expected Return
Standard
Deviation
2 Asset Portfolio
13.83
9.99
Adding I.E, Non-US Bonds and Commodities
14.57
9.99
Adding 3 different types of International Equity
14.64
9.99
V. Long Term Investment Planning
In order to perform the proper asset allocation one must understand what exactly
a long-term investment plan is and how it will benefit. First, one has to look at the words
long term. This refers to a plan length and most long-term plans are over 1 year in length.
Some plans are for longer time periods but, to be on the same page we will use one year
plus. Next, when thinking about asset allocation and planning, there is a four- step
portfolio management process that should be modeled when trying to decide on the best
investment decisions for oneself (Reily, Norton 1999,37).
The process starts by having the individual investor make a policy statement,
which acts as a road map for all decision making. The investor's goals and objectives,
constraints, and guidelines should all be mentioned in the policy statement. Being that
different investors have different needs throughout their life, one should base his plan
around his age, financial status, future plans, and needs (Reily, Norton 1999,37). When
creating a financial plan (FP for short), one of the first things needed is insurance. The
insurance is there for not only accidents and “just in case”, but it provides protection
against uncertainty along with adding diversification to ones set of assets. No serious
investment plan should be started without having the proper coverage of living expenses
and any unexpected events (Reily, Norton 1999, 37). On top of having insurance to cover
101
�the various reasons that our life needs (disability, car, home, health, etc.), one should also
keep a cash reserve that is enough to cover any emergencies. This does not have to be
money in the bank, but could be invested in liquid assets in case cash is needed quickly.
In making a policy statement, one must next look at in what stage of the
investment life cycle is the investor in to help understand the type of individual they are
dealing with and the decisions they will make (Reily, Norton 1999,38). A person in the
Accumulation Phase is in his/her early to middle years and is more likely to take
moderate to high-risk investments. They most likely have a heavy load of bills, from car
payments to school loans, and want to accumulate assets to help build a solid ground for
the rest of their life.
The Consolidation Phase frequently arises in the latter half of ones life when
earnings exceed expenses. One is still thinking long term about their children's college
bills and even retirement, but ones investments will not be as risky as in the accumulation
phase because one does not want to put everything that he/she has earned into jeopardy
(Reily, Norton 1999,38).
The Spending and Gifting stages are pretty much the same in that they both
occur later in life, around the time of retirement. Living expenses should be paid for
through employee pension plans, and most people are in to the preservation of their
capitol. They may want to think about estate planning and possible inflation so they will
have some riskier investments even though their overall portfolio will be more
conservative than it was during the consolidation phase (Reily, Norton 1999,38).
Besides looking at the various stages of life for an investor, one should also take
into account the personality type of the investor. Some researchers say that type of
occupation influences the way one invests. Certain personality types tend to attract
certain jobs, which in turn will affect the way a person may invest (Stalla 1990, 7). These
personality types are broken down into two sections, passive and active investors.
Passive investors tend to be people who inherited or risk the capital of others.
They did not earn the money and hence tend to have a low tolerance for risk. One can
find this personality type in many occupations such as corporate executives, lawyers in
large firms, medical and dental non-surgeons, politicians, bankers, and journalist (Stalla
1990, 7). Many middle and lower socioeconomic classes are passive investors. Passive
investors usually make the best clients for financial advisors because they are risk
adverse and prefer diversification. They, however, tend to be trend followers which could
have a positive or negative effect (Stalla 1990, 7).
At the other end of the spectrum there are active investors. These are people
who have a high tolerance for risk and want to play a major part in their financial destiny.
These people have earned their own wealth and when they are not in control their risk
levels drop (Stalla 1990, 7). Active investors are found in certain occupations also. They
102
�include small business owners who have started their own business, medical and dental
surgeons, independent lawyers, entrepreneurs, and self-employed advisors and non
college graduates. Active investors play the role of a financial advisor themselves and
tend to follow a focused strategy instead of a diversification strategy like passive
investors (Stalla 1990, 7).
Another way to classify investors is by his/her personality type. This actually
looks at the type of person the individual is. By knowing this one can further help to
determine the risk level of the individual and break them up into one of the four groups
(Stalla 1990, 7). The first type of personality looked at is the Adventurer class. People in
this class are strong willed and tend to be entrepreneurial. They like to make their own
investment decisions and have a high tolerance for risk. Also, they tend to concentrate
their investments more instead of diversifying their portfolios. This class is one that
financial advisors have difficulty working with unless they find a way to show the
individual that a cavalier style is not the way one should run core portfolio (Stalla 1990,
7). Celebrities would be the next type of personality individuals can be classified in. They
like action and tend to be fashion followers. This carries over to their investment
decisions because many of the moves they make are trendy, meaning others do it so I
should to. They make impulsive decisions, which is why a financial advisor is necessary
to keep this type of individual away form making rash investments. They also tend to
make easy prey for maximum turnover brokers.
The third personality type is called the Individualist (Stalla 1990, 8). These also
are strong willed and confident people but they are not impulsive. They do their own
research but make excellent prospects for financial advisors because they tend to be too
busy with work to manage their assets. Once work is over and retirement sets in they get
more involved with their assets and many times take the place of their financial advisors
themselves (Stalla 1990, 8). The final type of personality would be the Guardians. This is
the more conservative type of person who is not as confident in his or her own money
management. They are very careful when it comes to choosing a financial advisor, but
remain loyal to them as long as no radical changes occur. This type of personality is
made up of people who haven't earned their money but received an inheritance or lump
sum of money (Stalla 1990, 8).
There is one more way to help understand how much risk an individual can take
when investing. By looking at ones goals, one can further assess the decision making of
an individual because certain goals tend to drive ones investment decisions. Near-term
high priority goals would include the purchase of a house or payments of college
education. Such goals are very important (Stalla 1990, 8). They can be classified as
emotional priorities and would attract investments in the safest securities. Long-term high
priority goals such as having a comfortable retirement in 20 to 30 years can be obtained
103
�over a longer time span (Stalla 1990, 8). This allows the investor to make more
aggressive decisions because of the longer time frame and it is not as important as a
house payment or college payment that must be made either immediately or shortly down
the road. Lower priority goals are those that if one does not succeed at, it doesn't really
matter. An example of this would be trying to invest to go on a cruise. It is not a
necessity, so not achieving this would not end ones world. These goals normally are
achieved by aggressive investments (Stalla 1990, 8).
Entrepreneurial Goals are the final group of goal levels that use a focus strategy
to achieve the goal. A focus strategy would be investing all of ones stock in one company
such as the firrn one may work at. No diversification is used in this strategy. Now that
one knows the type of investor they are dealing with and can create their policy
statement, one can move on to step two. This consists of being up-to-date on the market
and its conditions, the world economy, and future trends in business. By knowing this
information and combining it with his policy statement, the investor may go to stage
three and implement his plan by constructing a portfolio.
VI. Financial Planners
Many people who invest really don't have the knowledge to make an investment
plan and construct a portfolio without a little guided help. CFP's or certified financial
planners have the knowledge and background to assist one while they invest. The
planners take a comprehensive, client-centered approach when planning, and believe they
can really improve people's investment lives (Lee 2001, 2). It’s important when choosing
a CFP that one knows the different types and what they offer (Lee 2001,3). Mark
DiGiovanni states in the article, “What is financial planning anyway?” If someone asked
five different CFP about an issue, one would probably get five different answers showing
that not all CFP think exactly the same (Lee 2001,3). CFPs must go beyond minimum
and find out exactly what clients want, what they need, and how they want it to happen
(Dilberto, Anthony 2002, 1). They can give them advice, but what may seem right for the
CFP may not be right for the individual, so they want to know as much about who they
are working with as possible.
VII. Why Diversification is Necessary for Financial Planning
In creating an optimal portfolio, the most famous method used today would be
the Markowitz Portfolio Theory. This theory states that high return dominates low return
and low risk dominates high risk. Now the Markowitz theory does not just give one the
set of stocks that are needed to make ones optimal portfolio, but it determines the best
104
�combinations of assets for a given risk level or a given return level (Maosenzhog 2003,
2). The best combination for a given level is displayed on the efficient frontier.
The graph above is just an example that shows the efficient frontier as arc AB. A
risk adverse investor wants to minimize risk as much as possible, so points A and E
would be suitable for that type of investor. Point A represents the portfolio with the
lowest possible risk on the efficient frontier (Maosenzhog 2003, 4).
Now this example also shows the efficient frontier but added in now are the
individuals satisfaction (utility) levels which show if a person is more or less risk
adverse. On the optimal portfolio set point C would be the risk adverse investor and
point D represents an investor who would prefer a higher return.
VIII. Merrill Lynch’s Strategies
Given the basic idea behind the Markowitz model, Merrill Lynch came up with
a group of US private investor profiles, which gave a graduated risk/return tradeoff
depending on investor preference (Merrill Lynch 2003, 2). The five profile types are:
capitol preservation, income, income for growth, growth and aggressive growth. Table 2
105
�shows Merrill Lynch’s asset allocation percentages depending on the type of profile one
would fall under.
Table 2: Merrill Lynch US Investor Profiles-2003
Capital preservation refers to the risk adverse investor who wants a safe steady gain and
accomplishes this by placing the majority of his or her investments in bonds and cash.
The opposite of the five profile types would be the aggressive growth, which
characterizes an investor placing the majority of his or her investments in stocks to get a
larger return. The graph below shows that proper diversification of assets can lead to
steady growth on one’s portfolio. It is based on 52 years of market research which verify
that stocks and bonds rarely both produce negative returns. In actuality it only happened
1.3% of the time during the period in question (Merrill Lynch 2003, 3). Also, it was
reported that positive year on year returns happened 97% of the time for investment
profile capital preservation and 80% of the time for aggressive growth (Merrill Lynch
2003, 3). The data above also shows that diversification of assets and proper asset
allocation lead to building and preservation of capital and at the same time lower
portfolio risk in all investor profiles.
Annual Rolling Returns of ML Investor Profile Models
106
�Too much exposure to one specific stock can also be just as bad as improper
asset allocation. Merrill Lynch ran a test where they selected the four largest stocks from
each of the ten sectors of the S&P 500 (Merrill Lynch 2003, 13). By doing this, they
created a portfolio of forty equities and listed the historical risk and return for each of
them. The purpose of the experiment was to show that its not a good idea to have all of
ones eggs in one basket, in other words they wanted to show the single security risk.
Table 3 located at the end of this paper shows the forty equities, their risk, return, and
stock price. Table 4 shows as the concentration of the stock increased how the Sharpe
ratio compares to it. The Sharpe ratio, which was conceived by Nobel Laureate William
Sharp, relates an investments return to its risk. It implies that the higher the Sharpe ratio
is, the more an investor is compensated for per a given risk level. Out of the 40 stocks
that were analyzed, only eight of them had a Sharpe ratio that increase as the
concentration of the stock increased (Merrill Lynch 2003, 17). The other 32 stocks
proved that a diversified portfolio is superior to a single stock portfolio.
IX. Conditions in the Bad Years
In times where our market is susceptible to other types of shocks in the world,
such as the war in which we are experiencing right now, one would say that
diversification could only be a positive for those who take their money and invest. A
wide range of market strategist suggests that we be aware of the past lesson that wars are
generally a bad thing for US equities (Rosenberg 2002, 2).
To show the shakiness of the market, I looked at three different sectors of the
market and what people thought about each. Oil, defense, and consumer staples all
though to be growth opportunities even showed instability which is why diversification is
necessary, especially in times of need. Oil prices, now around $26 a barrel, was estimated
that it could rise to about $40 a barrel before and during the war, driving up the stock of
major companies (Rosenberg 2002, 2). A swift end to the war could send the price
dropping just as fast though (Rosenberg 2002, 2). Defense is one of the more positive
picks and is thought to climb from $334 billion in 2002 to $409 billion in 2005, a 7%
annual growth rate (Rosenberg 2002, 2). Consumer staples were looked at and said to be
a safety investment for wartime investors. The amount of toothpaste and soda sold will
not change no matter what happens with the war (Rosenberg 2002, 3). As one can see,
wartime investments call for diversification because of the instability of the market.
Some products such as consumer staples may be on the rise, but many products such as
oil may decline in the tougher times. Diversification helps one position him/herself so
one will not do badly if either outcome happens, good or bad (Lehmann 2003, 1).
107
�X. Conclusion
Diversification is the idea of spreading assets out among different asset classes,
such as stocks, bonds, money market instruments, and physical commodities. When
planning out a long-term portfolio, in order to reduce risk one should keep a welldiversified portfolio. Merrill Lynch summed it up with the statement out of their
Investment Policy handout which stated that it is essential to adapt and maintain a well
diversified exposure to the major asset classes relative to a client's risk tolerance, return
expectations, and investment objective (17). They also state that no matter the financial
technique used, as long a the resulting portfolio has proper diversification at all levels and
the objectives of income generation or long-term growth are fulfilled, then whoever
follows this has done a correct job (Merrill Lynch 200317). The benefits of
diversification are well documented and reasonably understood, and holding a broad
range of asset classes can lower overall portfolio risk and lead to more stable returns,
which is a positive in long-term planning (Merrill Lynch 2003, 1). Besides learning the
above stated, I also learned that holding a concentrated portfolio could lead one to
smaller returns than compared to a diversified portfolio. Table 2 on the back shows us
that the Sharpe ratio and annual returns were negative for the majority of the time on the
concentrated portfolios. When the well-diversified 40 stock portfolio was analyzed, it
(Sharp ratio and annual return) turned out positive. In conclusion, I feel that once a
person figures out the stage of investing they are in, their personality and type, one can
come up with a successful plan to create a well-diversified portfolio that would minimize
risk along with collecting stable and steady returns.
XI. Works Cited
Butrimovitz, Gerald. 1999. "Asset Allocation, Portfolio Optimization: Better RiskAdjusted Performance." Journal of Financial Planning 12 (7):80-87.
Dilberto, Roy, and Mitch, Anthony. 2002. "Financial Life Planning." Journal of
Financial Financial Planning 15 (11):42-44.
Gastineau, Gary L. 1992. Dictionary of Financial Risk Management. Chicago: Probust.
Investor Index. Com. "Determining the Asset Allocation That's Right for You".
<http://www.assetallocation.orgiFree/sense.html>.
Lee, Shelley A. 2001. "What is Financial Planning Anyway?" Journal of Financial
Planning 14 (12): 36-46.
108
�Lehmann, Richard. 2003. "Wartime Investing." Forbes, 31 March, 114.
Maosenzhong. "Lecture 6: Markowitz Portfolio Theory an CAPM."
<http://ntmain.utb.edu/maosenzhong/teachingiFINA4382/lecture6.pdf>.
Merrill Lynch Global Securities Research & Economic Group, Global Investment
Strategy Department. 2003. "Managing Your Wealth: A Primer on Asset Allocation and
Portfolio Management." 21 January, 1-17.
Reilly, Frank R., and Edgar A.Norton. 1999. Investments: Fifth Edition. Orlando.
Harcourt.
Rosenberg, Yuval. 2002. "Would a War Kill Your Stocks?" Fortune, 25 November, 185187.
Sheimo, Michael, Ed. 1999. International Encyclopedia of the Stock Market: Vol. 1.
Chicago. Fitzroy. 1.
Stalla, Robert J, Ph.D, CFA.1990."The 1990 CFA Review Course Outline, Volume II."
Ohio. Stalla Seminars Inc.
109
�110
�Table 4: Concentrated Stock Portfolios: Risk & Return Characteristics
_______________________________________________________
111
�
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Volume 2, Number 2
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Section I: The Sciences -- 2 Too Young to Be Old: The Cause of Hutchinson-Gilford Progeria Syndrome / Janette Lebron -- 15 Bots / Sean Munson -- Section II: The Social Sciences -- 30 Case Study of a Two-Year Old Girl’s Emotional Adjustment in a Private Day Care Setting / Claire Lippmann -- 38 A Reflection of the Little Steps Treatment Program / Josephine Vitale -- 46 Internship at Bay Ridge Preparatory School / Lindsay Schwartz -- Section III: Performing and Visual Arts -- 68 Ruth Crawford Seeger’s Suite for Small Orchestra: An American Twentieth-Century Musical Composition / Kelly Parker -- Section IV: The Humanities -- 82 El Antiracionalismo en El Túnel y La Resistencia, de Ernesto Sábato / Susan Altman -- Section V: Professional Programs -- 88 Commodities Futures Markets / Rich Barbiera -- 99 Why Diversification is Necessary in Long Term Portfolio Planning / John Roberts
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Wagner College Forum for
Undergraduate Research
Fall 2004
Volume III, Number 1
Wagner College Press
Staten Island, New York City
��EDITOR’S INTRODUCTION
During the summer break an opportunity to go back and reread past issues of the Wagner
College Forum for Undergraduate Research presented itself. Although many of the
articles are not in our respective fields, we can honestly state that they represent fine
scholarship and are enjoyable to read. Hence, we would like to extend our sincere thanks
to all who contributed to the success of the first three volumes. For those of you new to
this publication, a section containing an index to past papers and abstracts can be found at
the end of this edition.
The Wagner Forum for Undergraduate Research, now in its third year, 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 typically subdivided
into three sections entitled The Natural Sciences, The Social Sciences and Critical
Essays. The first of these two sections are limited to papers and abstracts dealing with
scientific investigations (experimental and theoretical). 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 abstracts of papers and posters presented at the Eastern
Colleges Science Conference have been reprinted and placed in a special section. The
conference, which was held in Riverdale, N.Y. on April 2-3, is the largest undergraduate
research conference in the United States. Wagner College has, in recent years, played a
major role and been recognized for the outstanding work contributed by its students and
the faculty who supervised their research. Congratulations to all who have created an
environment conducive to the pursuit of knowledge and the exploration of new ideas.
Gregory Falabella and Richard Brower, Editors
��Section I: Eastern Colleges Science Conference
Abstracts
2 Synthesis and In Vitro Analysis of Iron(III)-Based MRI Contrast
Agents
Dawn Pothier and Dr. Nicholas Richardson
2
A Study of Pendulum Oscillation
Victoria M. Lynch and Dr. Otto Raths
2 Complex Ice Accretions on Aircraft Wings
Nicolas Rada and Dr. Gregory J. Falabella
3 Getting the Message Across: A Growing Demand for “Good” Codes in
the Information Age
Carolyn Palinkas
3 Preferences for Same-Sex Shoaling in Zebrafish (Danio Rerio)
Janette LeBron
4 Reversing Emotional Eating by Use of a Relaxation Technique
Lindsay B. Halperin and Dr. Laurence J. Nolan
4 Improving the Calorimeter Cup
Anna Arkhipova, Jared Jax, Michelle Bingham and Dr. Gregory J. Falabella
4
Stigma Against Mental Illness
Kara Edgren and Dr. Amy Eshleman
5
One Parameter Approximation of the Brachistochrome (Minimum Time)
Problem
Brittany T. Corn, Cho S. Kim and Dr. Otto Raths
5 Cloning and Expression of the HSV-1 Gene US9
Nicole D. Hosmer and Dr. Geoffrey Church
6 Phenotypic Expression is the Ultimate Proof of Genotypic Makeup
Janette Lebron
�6 Deep Aquifer Water, an Alternative Source of Drinking Water for
Arsenic Affected Bangladesh
Sarah T. Alauddin, Alyssa Kenyon and Dr. Mohammad Alauddin
7 Eating Behavior of Meal Plan and Non-Meal Plan Students in Singleand Multiple-Item Laboratory Meals
Kristen L. Fisher and Dr. Laurence J. Nolan
7 The Implications of Priming on the Attitudes of College Students
Experiencing Theatrical AIDS Education
Carolyn D. Tudisco
Section II: The Natural Sciences
Full Length Papers
10
Getting the Message Across: A Growing Demand for “Good” Codes
in the Information Age
Carolyn Palinkas
Section III: The Social Sciences
Full Length Papers
46
The Effects of a Nutrition Label on Food Consumption
Joanna Ferreri
Section IV: Critical Essays
Full Length Papers
66
The Invention of Homosexuality
Frank G. Garritano
74
Concern for Individual Will Bring Forth Concern for the Whole
Amy Jensen
�80
Scheherazade of Latin America: Eva Luna as Archetypal
Storyteller
Brianna Doughty
90
Witchcraft and French Popular Culture: An Explanation of the
Occult
Jake Browne
96
Gene Therapy: How Therapeutic Is It?
Kelly Parker
112
“And there are no Footprints in the Dust Behind us…” Language
as the Source of Human Power and Identity in The Telling
Bradley Seymour
Section V: Index to Articles
Published in Earlier Volumes
Tables
118
Past Papers
120
Past Abstracts and Extended Abstracts
��Section I: Eastern Colleges
Science Conference
�Synthesis and In Vitro Analysis of
Iron (III)-Based MRI Contrast Agents1
Dawn Pothier (Chemistry) and Dr. Nicholas Richardson (Chemistry)
MRI tumor detection by traditional contrast agents has proven difficult due to rapid
excretion from the blood pool. However, a contrast agent that can reversibly bind to a
macromolecule in the blood, such as human serum albumin (HSA), will remain in the
blood pool for a longer amount of time. In addition, macromolecular binding can
decrease spin-lattice relaxation times(T1) due to the Proton Relaxation Effect (PRE),
allowing for enhanced differentiation between vascularized and non-vascularized tissue,
and improved detection of tumors. A homologous series of ligands, all candidates for
HAS binding, was synthesized and coordinated to iron(III). The relaxivities of the
iron(III) complexes in water and HAS solutions were determined by use of a 20 MHz
minispec.
A Study of Pendulum Oscillation
Victoria M. Lynch (Physics) and Dr. Otto Raths (Physics)
Since the time of Galileo, the periodic motion of the pendulum has fascinated physicists.
Our paper presents period measurement data for a 2-meter and a 13-meter pendulum, the
longest ever constructed at Wagner College. Using period data, precise statistical values
of the acceleration due to gravity (g) were calculated and will be presented.
Complex Ice Accretions on Aircraft Wings
Nicolas Rada (Physics) and Dr. Gregory Falabella (Physics)
Last year the disastrous effects of ice accumulation on aircraft were explored through an
experimental approach. A generic icing horn carved out of soap was employed. In
actuality the shape of the ice formation varies considerably depending on ambient
conditions and flight parameters. As a result, a comprehensive study involving several
different ice accretion shapes was undertaken. Creating durable facsimiles of many
different ice accretion shapes necessitated the development of a new procedure. It
entailed using a digital 3-D model to produce a mold in which melted soap reinforced
with glue is poured and frozen overnight. Preliminary data is encouraging and indicates
that loss of lift is most severe when the ice juts from the surface at a sharp angle.
1
Recipient of Excellent Quality Presentation Award
2
�Getting the Message Across: A Growing Demand for
“Good” Codes in the Information Age2
Carolyn Palinkas3 (Mathematics)
To ensure that data is transmitted accurately and efficiently over noisy channels, one
must implement “good codes” – codes that reveal unaltered messages, once decoded. In
this study, “good codes” are created using functions that operate like matrices over
algebraic structures known as near-fields. Several forms of these codes are established
and implemented, with the number of parameters varying. Systematically, a comparative
analysis is conducted on the “matrix-like” functions using the programs GAP4 (Groups,
Algorithms and Programming) and SONATA (Systems of Near-rings and their
Applications). Current results in the area are minimal, and the findings of this study may
be used to advance these results and to help prove new theorems showing the existence of
inverses of “matrix-like” functions over near-fields.
Preferences for Same-Sex Shoaling
in Zebrafish (Danio Rerio)
Janette Lebron4 (Biology)
The zebrafish (Danio rerio) is a model organism in genetics and development. However,
little is known of its normal behavior. We quantified zebrafish shoaling by comparing
time spent by test fish near stimulus fish to time spent near an empty compartment at the
opposite end of a narrow tank. Only visual cues were available. Test fish spent
significantly more time near stimulus fish than near the empty compartment, in both
same-sex and opposite-sex pairings. In both males (p<0.025) and females (p<0.05),
shoaling was significantly more frequent in same-sex than in opposite-sex pairings. We
have confirmed this preference for members of the same sex by giving fish a choice
between groups of males and females. However, our experiments took place in the
afternoon, while zebrafish spawn in early morning.
2
Recipient of Excellent Quality Presentation Award
Research performed under the direction of Dr. Mark Farag (Mathematics)
4
Research performed under the direction of Dr. Brian Palestis (Biology)
3
3
�Reversing Emotional Eating
by Use of a Relaxation Technique
Lindsay B. Halperin (Psychology) and Dr. Laurence J. Nolan (Psychology)
Studies have demonstrated that inducing stress in an experimental setting can cause
emotional eaters to consume larger quantities of food. Studies conducted on stress
management have indicated that certain relaxation methods including listening to music
can lower stress. In this study, we attempted to reduce stress-induced eating in emotional
eaters in the laboratory by playing a classical music selection after a stressful activity and
before food was presented. Meal size in this group was compared to two no-relaxation
control groups: one which was provided with food immediately after the stressful activity
and another which was given food after a delay comparable to the time taken to play the
music.
Improving the Calorimeter Cup
Anna Arkhipova (Physics), Jared Jax (Physics),
Michelle Bingham (English) and Dr. Gregory Falabella (Physics)
The calorimeter cup, used to measure heat transfer, is an important piece of equipment in
many areas of the physical sciences. Our laboratory experience has indicated that the
design of the standard model used in many undergraduate laboratories is flawed and leads
to significant inaccuracies. Despite its double wall, heat escapes (or enters) from the
surroundings. The current research is an attempt to improve the design without adding to
its cost. Through experimentation we discovered that free convection cycles in the top
portion below the cap are responsible for most of the heat loss. To alleviate the problem
the cap was modified. Preliminary findings suggest that the new design, although subtle,
is a substantial improvement.
Stigma Against Mental Illness5
Kara Edgren (Psychology) and Dr. Amy Eshleman (Psychology)
“The mentally ill are disliked to a surprising degree” (Farina, 1971). Mental illness
carries a deeply discrediting social stigma. The present study explores acceptance of
these stigmatizing beliefs among college students and psychiatric patients. Participants
5
Recipient of Excellent Quality Presentation Award
4
�completed the Mental Illness Stigma Scale twice. College students completed the
questionnaire from their own perspective, then from the imagined perspective of someone
with a mental illness. Psychiatric patients completed the questionnaire from their own
perspective, then from the perspective of someone without mental illness. Results reveal
the prevalence of stigma expressed by each group and subtle prejudice expressed by
college students. We test the hypothesis that psychiatric patients assume those without
mental illness hold greater stigmatizing beliefs than is admitted by the college student
sample.
One Parameter Approximation of the
Brachistochrome (Minimum Time) Problem
Brittany T. Corn (Physics/Mathematics),
Cho S. Kim (Computer Science) and Dr. Otto Raths (Physics)
In 1697, Jean Bernouli addressed a problem that was instrumental to the formulation of
the Calculus of Variations: What is the frictionless path joining two points such that a
mass will slide from upper to lower point in minimum time? Our paper presents various
one-parameter models, which demonstrate other paths, which produce shorter time than
the shortest path.
Cloning and Expression of the HSV-1 Gene US9
Nicole D. Hosmer (Biology) and Dr. Geoffrey Church (Biology)
Herpes simplex virus (HSV) can infect the mouth and the genitals and can recur over a
person’s lifetime. Treatment of herpes is dependent upon further research into virus
assembly. We have focused on the role the US9 protein might play in this assembly
process. In order to study this protein we have isolated the US9 gene from viral genomic
DNA via PCR, the gene was then cloned into the expression vector pGEX-KG.
Following transformation into E.coli , expression of the US9 protein was induced in an
effort to begin looking for binding partners. This poster explains the details of the
cloning procedure and the justification for choosing US9 as a structural protein of
interest.
5
�Phenotypic Expression is the
Ultimate Proof of Genotypic Makeup
Janette Lebron6 (Biology)
Special X chromosome rearrangements called attached-X (X^X) in Drosophila
melanogaster forces the male fly to transfer his X chromosome to his F1 sons
(patroclinous inheritance). This allows for inducing X chromosome mutations in the
parental male that can be scored (lethals/phenotypic changes) in the F1 males. The
gametes from the attached X^XY female will be X^X and Y and from the male X and Y.
All the males carrying X lethals will die (1:1 ratio of males to females is offset), but
newly induced observable phenotypes (eye color, body color and wing shape) are
expressed in the male. X-ray and neutron beam induced X chromosomal mutations will
be investigated in the F1 male Drosophila. The significance of this method is that it gives
an effective way of scoring recessive mutations (that affect genes on X chromosome) in a
diploid system the same way as in a haploid system.
Deep Aquifer Water, an Alternative Source of Drinking
Water for Arsenic Affected Bangladesh
Sarah T. Alauddin (Chemistry), Alyssa Kenyon (Chemistry)
and Dr. Mohammad Alauddin (Chemistry)
Bangladesh, a developing country with a population of about 130 million people, is in
desperate need of drinking water at permissible level of arsenic. About 97% of the
population depends on shallow aquifer (40-100ft depth) water as their principle source of
drinking water which is highly contaminated with arsenic. In our laboratory, we have
analyzed over 120 water samples from deep aquifers (600 ft or more depth) for arsenic
(As), boron (B), lead (Pb) and cadmium (Cd) by graphite-furnace atomic absorption
spectroscopy method. While the water samples meet the WHO guideline value for As,
Pb and Cd, some samples have B at a level higher than the WHO permissible value. The
detection limits for As is 0.50 mg/l, for Pb and Cd are 1.00 mg/l and for B it is 0.05 mg/l.
The method validation was checked by parallel analysis of National Institute of Standards
and Technology (NIST) reference water. The deep aquifer water promises as a short
term solution for arsenic affected Bangladesh population.
6
Research performed under the direction of Dr. Ammini Moorthy (Biology)
6
�Eating Behavior of Meal Plan and Non-Meal Plan Students
in Single- and Multiple-Item Laboratory Meals
Kristen L. Fisher (Psychology) and Dr. Laurence J. Nolan (Psychology)
In the laboratory, participants eat more in a multiple-item meal than in a single item meal.
There is also evidence that first semester college students gain weight on all-you-can-eat
buffet meal plans. No long term studies of the effect of dietary variety on meal size have
been conducted. We hypothesized that students exposed to high dietary variety may not
respond to multiple item meals in the laboratory in the same way as other students. Thus,
we compared the meal size of meal plan students regularly exposed to a high variety
cafeteria to that of non-meal plan students provided with both multiple-item and singleitem meals in the laboratory on nonconsecutive days.
The Implications of Priming on the Attitudes of College
Students Experiencing Theatrical AIDS Education
Carolyn D. Tudisco7 (Psychology)
The present study tests the effectiveness of theatre in AIDS education. Further, it
proposes that a simple priming exercise reinforces education and increases empathy
towards characters with AIDS. Scenes from an AIDS-related play were produced.
Participants were randomly assigned to complete one of two priming questionnaires
(focusing on AIDS or a control). Following the performance, all participants reported
attitudes toward people with AIDS. The hypothesis predicted that participants who
received the AIDS-related prime would hold more positive attitudes toward people with
AIDS than would the group with the control prime. A third group reported attitudes
toward people with AIDS without attending the theatrical performance. This group was
predicted to express the greatest amount of stigma against people with AIDS.
7
Research performed under the direction of Dr. Amy Eshleman (Psychology)
7
��Section II:
The Natural Sciences
�Getting the Message Across: A Growing Demand
for “Good” Codes in the Information Age
Carolyn Palinkas1 (Mathematics)
In this study, “good codes” are created using functions that operate like matrices upon
M2(N) over a chosen N, where N is an algebraic structure known as a near-field and
M2(N) is a 2 × 2 matrix near-ring over N. Several forms of codes are established and
implemented, with the number of parameters varying. A frequency analysis shows that
as the number of parameters increases, the letter frequencies in the ciphertext become
more uniform, supporting the idea that the codes become more difficult to break.
I. Introduction and Background
With the Internet being used as a major form of communication and as a business
enterprise, and with new-found national defense issues emerging, the United States of
America is redefining the Information Age. Each day millions of people communicate on
the Internet by sending e-mails and by voicing their opinions on message boards. People
can even type messages to each other by using their cellular phones. Online businesses
are thriving because customers have become more comfortable with sending private
information over computers due to secure coding methods. Since September 11, the
nation has been perfecting its ways of transmitting and securing military information.
There are seemingly countless examples of information exchanges in our world
today. For each exchange, we must condense our data by encoding it using sequences of
numbers. It is only in this way that our messages can be sent through channels to their
destinations.
All types of communication channels contain some degree of noise - interference
caused by neighboring channels, electric impulses, deterioration of equipment, etc. The
problem is that the noise often interferes with data transmission [1]. With such an
abundance of data being passed back and forth through these noisy channels, how can we
be sure that our encoded messages have been accurately and efficiently transmitted to our
recipients? When transmitting our data, we must use “good” codes - codes that reveal
unaltered messages, once decoded. “Good” codes are easily implemented and inverted,
and are sometimes able to detect and correct errors as well. Since we are immersed in the
Information Age, there is a growing demand for these “good” codes in our society. With
new technological advances constantly being made, there is a need for better coding
1
Research performed under the direction of Dr. Mark Farag (Mathematics)
10
�methods. Many “good” codes have already been created, but it is pertinent that we
continue to make advances in coding theory so that each message that is sent can sail
smoothly across the vast, bumpy sea of information. In this study, “good” codes are
formulated by encoding and decoding messages using functions that operate like matrices
over algebraic structures known as near-fields.
II. Near-fields
Definition 2.1. A nonempty set R is said to be a left near-ring if in R if there are two
operations + and · such that:
(a) a, b ∈ R implies that a + b ∈ R.
(b) (a + b) + c = a + (b + c) for a, b, c ∈ R.
(c) There exists an element 0 ∈ R such that a + 0 = a for every a ∈ R.
(d) Given a ∈ R, there exists b ∈ R such that a + b = 0.
(e) a, b ∈ R implies that a · b ∈ R.
(f ) a · (b · c) = (a · b) · c for a, b, c ∈ R.
(g) Left distributivity: a · (b + c) = (a · b) + (a · c) for a, b, c ∈ R.
A right near-ring would replace property (g) by the following property:
(g’) Right distributivity: (a + b) · c = (a · c) + (b · c) for a, b, c ∈ R.
An example of a near-ring is M0(Z3), the set of all zero-preserving maps on Z3, where
Z3 is the cyclic group on three elements. Let f, g ∈ M0(Z3), and define f ◦ g as (f ◦ g)(x)
= f (g (x)). Then, the right distributive law holds, making it a right near-ring.
Definition 2.2. A near-ring R is said to be a field if all of the elements of R form an
abelian group under + (addition in R), if the nonzero elements form a group under · (the
product in R), and if both distributive laws hold.
A familiar example of a field is the real numbers, because all of the elements in R
form an abelian group under addition, and the nonzero elements of R form an abelian
group under multiplication. Furthermore, both the left and right distributive laws hold.
In 1905, Dickson [3] showed that “one-sided distributive fields,” or “near-fields”
exist. Like fields, near-fields are sets with two operations. However, they differ in that
they are missing one property of distributivity. Thus, they are either called “left” or
“right” near-fields, depending upon which property of distributivity holds. This property
makes codes involving near-fields more complex than codes involving fields, and inverse
functions become more difficult to calculate. Near-fields were specifically chosen for this
study, as opposed to near-rings, to ensure that the elements have multiplicative inverses.
11
�Definition 2.3. A near-ring R is said to be a near-field if the nonzero elements of R form
a group (not necessarily abelian) under ·, the product in R.
Thus, two properties need to be added to Definition 2.1 to obtain a near- field:
(h) T here exists an element 1 ∈ R such that a · 1 = 1 · a f or every a ∈ R.
(i) F or each nonzero a ∈ R, there exists b ∈ R such that ab = ba = 1.
The reader is referred to the following references for basic definitions and properties of
near-rings and near-fields: [3], [8], [9].
III. Matrix-like Functions
Regular matrix multiplication fails to be associative using the elements of a nearfield, since near-fields have only one property of distributivity. Therefore, a method that
utilizes matrix-like functions must be implemented. Meldrum and van der Walt defined
matrix-like functions in the following way:
Definition 3.1. ([6], p. 312) Let n be an arbitrary natural number.If (R, +, ·) is any left
near-ring with identity 1, Rn is the direct sum of n copies of (R, +). The element of Rn
with 1 in the i-th place and 0 elsewhere is denoted by εi. The element of Rn with 1 in the
j-th place and 0 elsewhere is denoted by
εj. Let ιj be the j-th coordinate injection
function, so that ιj (1) = εi , and let Πj be the j-th coordinate projection function, so that
Π j(εj) =1. Define n × n matrices as functions from Rn into Rn .
Then, f r ij : Rn → Rn is defined by:
f r ij :=
ιi f r Πj for 1 < i, j < n and all r ∈ R.
In other words, f rij means to multiply the data in the j-th position by r, to insert the result
into the i-th position, and to put a zero in all other positions.
Example 3.2. Let i = 1, j = 2, r = a: (u, v )f a12 = (va, 0).
The matrix-like functions can be used to perform the same operations as regular
matrix multiplication over the ring of real numbers, R. The computer programs used for
this study are GAP4 (Groups, Algorithms, and Programming) [4] and SONATA
(Systems of Near-rings and their Applications) [5]. These programs use left near-fields,
so the multiplication is always done on the left in this study.
For example, Let A = 2 0 ,
0 3
and M =
12
3
4 .
�Using regular matrix multiplication,
3
4
2 0
0 3
=
3(2) + 4(0)
3(0) + 4(3)
=
6
12 .
Using matrix-like functions, (3,4) f 211 = (3(2), 0) = (6, 0).
(3,4) f 322 = (0, 4(3)) = (0, 12).
(3,4) g = (3,4)( f 211 + f 322 ) = (3(2), 0) + (0, 4(3)) = (6, 0) + (0,12) = (6,12).
It can be seen that the matrix-like functions are analogous to elementary
multiplication in standard Linear Algebra. The coding process for matrix-like functions
is that a sender of a message uses a function g to encode a message (u, v). The recipient
gets the encoded message (s, t) and uses the inverse function g-1 to decode the message.
IV. Two-, Three-, and Restricted Four-Parameter Cases
The matrix-like functions can be generalized for cases involving different numbers
of parameters. Then, one may substitute any elements of a chosen near-field into the
matrix, and for the message. When implementing the codes with the computer programs
GAP4 [4] and SONATA [5], coding can be done efficiently.
Two-Parameter Case.
Lemma 4.1. Let a, b ≠ 0.
Let A =
a 0
0 b
, and M =
u
v .
Using regular matrix multiplication,
u
v
a 0
0 b
=
ua =
vb
s
t .
Given the two-parameter function g = (f a11 + f b22), the inverse function g-1 = (f
f b^- 122).
a^- 1
11
+
Proof. g = (u, v) (f a11 + f b22) = (ua, vb) = (s, t). Then, the inverse function (s, t) g-1 =
(s, t) (f a^- 111 + f b^- 122) = (ua, vb) (f a^- 111 + f b^- 122) = (ua(a-1), vb(b-1)) = (u, v).
Three-Parameter Case. By adding a third parameter, it is not simply
right multiplication by an invertible element in the second position.
13
�Lemma 4.2. Let a, b, c ≠ 0.
Let A =
a 0 , and M =
b c
u
v .
Using regular matrix multiplication,
u
v
a 0
b c
=
ua
=
ub + vc
s
t .
Given the two-parameter function g = (f a11 + f b21 + f c22), the inverse function g-1 = (h 3 ◦ h 2
◦ h1), where h1 = f 122 + f a^-111, h2 = f 111 + f 122 + f - b21, and h 3 = f 111 + f c^-122.
Proof. (u, v)g = (u, v) (f a11 + f b21 + f c22) = (ua, ub + vc) = (s, t).
Then, the inverse function (s, t)g-1 = (h 3 ◦ h 2 ◦ h 1)
= (s, t) (h3 ◦ h2 ◦ h1)
= (ua, ub + vc) (h 3 ◦ h2 ◦ h1).
(ua, ub + vc) h 1 = (ua(a-1), ub + vc) = (u, ub + vc)
(u, ub + vc) h 2 = (u, ub + vc - ub) = (u, vc)
(u, vc) h 3 = (u, vc(c-1)) = (u, v).
Restricted Four-Parameter Case.
Lemma 4.3. Let a, b, c, d ≠ 0.
Further, suppose that a, b, d are in C(N) := [α ∈ N such that α · β = β · α for all β
∈ N], known as the center (set of all commutative elements).
Let A =
a b
c d
, and M =
u .
v .
Using regular matrix multiplication,
u
v
a b
c d
=
ua +vb =
uc + vd
s
t .
Let ∆ = (ab-1) – (ucd-1) ≠ 0. Given the four-parameter function g = (f a11 + f b12
+ f c21 + f d22), the inverse function g-1 = (h6 ◦ h 5 ◦ h 4 ◦ h 3 ◦ h 2 ◦ h 1), where h 1 = f 111 +
f d^-122, h 2 = f 111 + f
h6 = f 111 + f122+ f
-b
12+
–cd^-1
21 .
f
1
22 ,
and h 3 = f
a^-1
11
+ f 122, h 4 = f
ab^-1
11
+ f 122, h5= f ∆-111 + f 122,
Proof. (u, v)g = (u, v) (f a11 + f b12 + f c21 + f d22) = (ua + vb, uc + vd) = (s, t).
14
�Then, the inverse function (s, t)g-1 = (h 6 ◦ h 5 ◦ h 4 ◦ h 3 ◦ h 2 ◦ h 1)
= (s, t) (h6 ◦ h5 ◦ h4 ◦ h3 ◦ h 2 ◦ h 1)
= (ua + vb, uc + vd) (h 6 ◦ h 5 ◦ h4 ◦ h3 ◦ h2 ◦ h1).
Since d is in C(N), it follows that d-1 is in C(N), and that d-1 can be distributed on the
right.
(ua + vb, uc + vd)h 1 = (ua + vb, (uc + vd)(d -1)) = (ua + vb, uc(d-1) + vd(d -1))
= (ua + vb, ucd-1 + v).
Similarly, since b is in C(N), it can be distributed on the right.
(ua + vb, ucd-1 + v)h 2 = (ua + vb + (ucd-1 + v)(-b), ucd-1 + v) = (ua + vb – ucd-1b
– vb, ucd-1 + v) = (ua – ucd-1b, ucd-1 + v).
Since a is in C(N), it follows that a-1 is in C(N), and that a-1 can be distributed on the
right.
(ua – ucd-1b, ucd-1 + v)h 3 = ((ua – ucd-1b)(a-1), ucd-1 + v) = (ua(a-1) – ucd-1b(a-1),
ucd-1 + v) = (u – ucd-1ba-1, ucd-1 + v).
Since b is in C(N), it follows that b-1 is in C(N). Also, a is in C(N), so ab-1 can be
distributed on the right.
(u – ucd-1ba-1, ucd-1 + v)h 4 = ((u – ucd-1ba-1)(ab-1), ucd-1 + v) = (u(ab-1) –
(ucd-1ba-1)(ab-1)), ucd-1 + v) = (u(ab-1) – (ucd-1), ucd-1 + v).
(u(ab-1) – (ucd-1), ucd-1 + v)h 5 = (u(∆), ucd-1 + v)h 5 = (u(∆)(∆-1), ucd-1 + v) =
(u, ucd-1 + v).
(u, ucd-1 + v)h 6 =(u, ucd-1 + v – (ucd -1)) – (u, v).
V. Frequency Analysis
Because certain letters occur more frequently than others in the English
language, a code-breaker can use this information to analyze ciphertext. A frequency
analysis of the letters can be done on the ciphertext in an attempt to break the code
and to reveal the plaintext message. For example, in a simple monoalphabetic
substitution cipher, if the letter ‘q’ occurs more frequently in the ciphertext message, a
code-breaker may suspect that ‘q’ is actually one of the frequently occurring letters,
such as ‘e.’
An example of a cipher that uses regular matrix multiplication is the Hill Cipher.
The Hill Cipher is a cipher that takes blocks of size n and enciphers these blocks into
other blocks of size n. One must choose an integer n and create an n x n matrix A
15
�whose entries are integers mod 26. The plaintext message must be rewritten as a
series of row vectors. To encrypt, one would multiply the vector by the matrix and
reduce mod 26. In order to decrypt, one must calculate the inverse of the matrix and
multiply it by the ciphertext row vectors [1]. A ciphertext-only cryptanalysis of a Hill
Cipher is considerably more difficult than for a monoalphabetic substitution. If the
underlying plaintext is English, then the characteristic letter frequencies are obscured
[7]. A frequency analysis was done on this study’s two-, three-, and restricted fourparameter cases to determine if the characteristic letter frequencies become obscured
after a plaintext message is encoded with these codes.
Consider the following plaintext message:
I THINK ‘TASTE’ IS A SOCIAL CONCEPT AND NOT AN ARTISTIC ONE.
I’M WILLING TO SHOW GOOD TASTE, IF I CAN, IN SOMEBODY ELSE’S
LIVING ROOM, BUT OUR READING LIFE IS TOO SHORT FOR A WRITER
TO BE IN ANY WAY POLITE. SINCE HIS WORDS ENTER INTO
ANOTHER’S BRAIN IN SILENCE AND INTIMACY, HE SHOULD BE AS
HONEST AS WE ARE WITH OURSELVES [7].
A frequency analysis on the plaintext was conducted to see how often each letter
occurred in the text (see Appendix I). Punctuation and natural word divisions were not
considered. It can be seen that some letters, such as the vowels, naturally occur more
often.
In a preliminary study, a near-field of size 9 was chosen. Then, the elements of the
near-field were written in pairs for a total of 81 pairs, by the Multiplication Principle. An
extra element was added to the plaintext so that there was an even number of characters,
since the characters were placed in pairs. The extra element chosen was n0, which
represents the character ‘?’. An alphabet was created by assigning each pair to a specific
character. However, it can be seen that this is a substitution cipher, with a one-to-one
correspondence of pairs to elements.
Next, a near-field of size 49 was chosen. An alphabet was defined by assigning
each element of the near-field to a specific character. Characters included letters,
numbers, and symbols (see Appendix N). In this case the letters were chosen in a
systematic way, which makes the code vulnerable. To make the code more secure, a
random number generator can be used to assign the elements of the near-field to the
characters. A Microsoft Visual C++ program was written to transform the characters into
integers that represent the elements of the near-field (see Appendices 1 and 2). The
elements were then placed in pairs and encoded. There is no longer a correspondence
between numbers and elements, because the ciphertext of a character changes depending
upon where it is positioned. Programs were created in GAP4 and SONATA to test the
two-, three-, and restricted four-parameter cases (see Appendices C-H). The resulting
16
�ciphertext numbers were then counted manually, and frequency values were recorded for
the corresponding characters. A Microsoft Visual C++ program may also be created for
this part of the problem to make the calculations more efficient.
The two-parameter case is not much better than a substitution cipher. For example,
consider the string “function” using the alphabet defined in Appendix N. Let a = n3,
b = n5. Then, (n6, n21) = (f, u) → (n6 * n3, n21 * n5) = (n21, n20) = (u, j). Similarly,
(n14, n3) = (n, c) → (n2, n21) = (b, u),
(n20, n9) = (t, i) → (n9, n5) = (i, e),
(n15, n14) = (o, n) → (n6, n20) = (f, t).
Because an element may appear in the first or second position of a pair and it is
being multiplied by one other element, the case contains two substitution ciphers - one
for the first position and one for the second position of a pair. It can be seen that in the
second pair, n corresponds to b in the ciphertext, but n corresponds to t in the last pair.
The graph is therefore not noticeably more uniform than the plaintext message (see
Appendix J). There is some improvement in the three-parameter case, since a substitution
cipher is only being used in the second position of a pair. For example, consider the string
“function” using the alphabet defined in Appendix N. Let a = n3,
b = n5, c = n8. Then, (n6, n21) = (f , u) → (n6 * n3, n6 * n5 + n21 * n8) = (n21, n28) =
(u, 1). Similarly,
(n14, n3) = (n, c) → (n2, n22) = (b, v),
(n20, n9) = (t, i) → (n9, n35) = (i, 8),
(n15, n14) = (o, n) → (n6, n24) = (f, x).
It can be seen that the ciphertext does not change in the first position of the pairs,
since the same operation is being performed as in the two-parameter case. The spread of
the graph is larger, but there is still a section of high peaks on the lefthand side of the
graph. (see Appendix K).
The restricted four-parameter case shows some improvement in the tightness of the
band of the graph. The reason for this improvement is that neither position is a simple
substitution cipher (see Appendix L). It can be seen that the peaks are higher on the
righthand side for this case than they were for the three-parameter case. For example,
consider the string “function” using the alphabet defined in Appendix N. Let a = n1,
b = n21, c = n5, and d = n21, where a, b, d ∈ C(N). Then, (n6, n21) = (f, u) → (n6* n1+
n21*n21, n6 *n5 + n21 *n21) = (n10, n13) = (j, m). Similarly,
17
�(n14, n3) = (n, c) → (n40, n1) = (@, a),
(n20, n9) = (t, i) → (n5, n19) = (e, s),
(n15, n14) = (o, n) → (n35, n5) = (8, e).
An unrestricted four-parameter case was studied, and there was considerable
improvement in the uniformity of the letter frequencies (see Appendix M). By using
different elements for a, b, c and d for this case, there was a noticeable difference in the
graphs. Therefore, it can be seen that the choice of elements plays a large role in the
uniformity of the characteristic frequencies. One should use the computer programs to
test different elements until he or she can obtain the most uniform graph. However, the
inverse function of the unrestricted case was not determined, so it has not been verified
that the code can actually be implemented.
VI. Conclusion
Codes can be created using functions that operate like matrices upon M2(N) over a
chosen near-field, N. It can be seen that as the number of parameters increases for these
codes, the frequencies of characters in the ciphertext become more uniform. These
results give evidence that the codes become more difficult to break as the number of
parameters increases. It would be satisfying to compute the complete characterization of
an unrestricted four-parameter case for further study, so that one does not have to rely on
certain elements being in the center of a chosen N. These codes are in fact “good” codes.
The codes are easy to implement and invert by using the programs. Further study can be
done to show if these codes can detect and correct errors as well. The computational
results of this study may be used to advance current findings in the area and to help prove
new theorems showing the existence of inverses of “matrix-like” functions over nearfields.
VII. Literature Cited
[1] W. Trappe, and L. C. Washington, Introduction to Cryptography with Coding Theory,
Prentice Hall, New Jersey, 2002.
[2] I.N. Herstein, Abstract Algebra, 3rd ed., John Wiley and Sons, Inc., New York, 1999.
[3] G. Pilz, Near-rings, 2nd ed., North Holland Publishing Company, Amsterdam, New
York, Oxford, 1983.
[4] The GAP Group, Aachen, St. Andrews, GAP - Groups, Algorithms, and
Programming, Version 4.3, 2003, (http://www-gap.dcs.st-and.ac.uk/ gap).
[5] Aichinger, F. Binder, J. Ecker, R. Eggetsberger, P. Mayr and C. Nbauer, SONATA -
18
�System of Near-rings and Their Applications, package for the group theory system GAP4,
Version 2.0a, Division of Algebra, Johannes Kepler University, Linz, Austria, 1997,
(http://www.algebra.uni-linz.ac.at/Sonata/).
[6] J.D.P. Meldrum, A.P.J. van der Walt, “Matrix Near-rings”, Arch. Math. 47 (1986)
312-319.
[7] T. H. Barr, Invitation to Cryptology, Prentice Hall, New Jersey, 2002.
[8] J. D. P. Meldrum, “Near-rings and Their Links with Groups”, Pitman, London,
Research Notes in Math, 134, (1985), 275 pp.
[9] J. R. Clay, Nearrings: Geneses and Applications, Oxford Univ. Press Inc., Oxford,
1992.
19
�Appendix A: Microsoft Visual C++ Program to Change Plaintext Message Characters
into Numerical Values that Correspond to Elements of a Near-Field of Size 49
#include <iostream>
using std::cout;
using std::cin;
#include<string>
struct values
{
char *v;
};
typedef struct values val;
int main()
{
// Declaration
char Plaintext[500];
int i=0;
val Output[500];
for (i=0; i<500; i++)
Output[i].v=NULL;
// Input the data
cout<<"Enter your text data: ";
cin.getline(Plaintext,500);
i=0;
// Computations
while(Plaintext[i]!='\0')
{
20
�switch(Plaintext[i])
{
case '?':
Output[i].v = "0";
break;
case 'a':
Output[i].v = "1";
break;
case 'b':
Output[i].v = "2";
break;
case 'c':
Output[i].v = "3";
break;
case 'd':
Output[i].v = "4";
break;
case 'e':
Output[i].v = "5";
break;
case 'f':
Output[i].v = "6";
break;
case 'g':
Output[i].v = "7";
break;
case 'h':
Output[i].v = "8";
break;
case 'i':
Output[i].v = "9";
break;
case 'j':
Output[i].v = "10";
21
�break;
case 'k':
Output[i].v = "11";
break;
case 'l':
Output[i].v = "12";
break;
case'm':
Output[i].v = "13";
break;
case 'n':
Output[i].v = "14";
break;
case 'o':
Output[i].v = "15";
break;
case 'p':
Output[i].v = "16";
break;
case 'q':
Output[i].v = "17";
break;
case 'r':
Output[i].v = "18";
break;
case 's':
Output[i].v = "19";
break;
case 't':
Output[i].v = "20";
break;
case 'u':
Output[i].v = "21";
break;
22
�case 'v':
Output[i].v = "22";
break;
case 'w':
Output[i].v = "23";
break;
case 'x':
Output[i].v = "24";
break;
case 'y':
Output[i].v = "25";
break;
case 'z':
Output[i].v = "26";
break;
case '0':
Output[i].v = "27";
break;
case '1':
Output[i].v = "28";
break;
case '2':
Output[i].v = "29";
break;
case '3':
Output[i].v = "30";
break;
case '4':
Output[i].v = "31";
break;
case '5':
Output[i].v = "32";
break;
case '6':
23
�Output[i].v = "33";
break;
case '7':
Output[i].v = "34";
break;
case '8':
Output[i].v = "35";
break;
case '9':
Output[i].v = "36";
break;
case '.':
Output[i].v = "37";
break;
case ',':
Output[i].v = "38";
break;
case '!':
Output[i].v = "39";
break;
case '@':
Output[i].v = "40";
break;
case '#':
Output[i].v = "41";
break;
case '$':
Output[i].v = "42";
break;
case '%':
Output[i].v = "43";
break;
case '^':
Output[i].v = "44";
24
�break;
case '&':
Output[i].v = "45";
break;
case '*':
Output[i].v = "46";
break;
case '(':
Output[i].v = "47";
break;
case ')':
Output[i].v = "48";
break;
case ' ':
Output[i].v = " ";
break;
default:
cout<<"Error.\n";
break;
}
i++;
}
// Output the data
cout<<"Output: \n";
cout<<"[";
for(i=0; i<strlen(Plaintext); i++)
{
if (Output[i].v != " ")
{
cout<<Output[i].v;
if (Output[i+1].v != NULL)
25
�cout << ", ";
}
}
cout<<"]\n";
return 0;
}
Appendix B: Sample Input/Output of Appendix A
Enter your text data: i think taste is a social concept and not an artistic one im willing to
show good taste if i can in somebody elses living room but our reading life is too short
for a writer to be in any way polite since his words enter into anothers brain in silence
and intimacy he should be as honest as we are with ourselves
Output:
[9, 20, 8, 9, 14, 11, 20, 1, 19, 20, 5, 9, 19, 1, 19, 15, 3, 9, 1, 12, 3, 15, 14, 3, 5, 16, 20, 1,
14, 4, 14, 15, 20, 1, 14, 1, 18, 20, 9, 19, 20, 9, 3, 15, 14, 5, 9, 13, 23, 9, 12, 12, 9, 14, 7,
20, 15, 19, 8, 15, 23, 7, 15, 15, 4, 20, 1, 19, 20, 5, 9, 6, 9, 3, 1, 14, 9, 14, 19, 15, 13, 5, 2,
15, 4, 25, 5, 12, 19, 5, 19, 12, 9, 22, 9, 14, 7, 18, 15, 15, 13, 2, 21, 20, 15, 21, 18, 18, 5, 1,
4, 9, 14, 7, 12, 9, 6, 5, 9, 19, 20, 15, 15, 19, 8, 15, 18, 20, 6, 15, 18, 1, 23, 18, 9, 20, 5, 18,
20, 15, 2, 5, 9, 14, 1, 14, 25, 23, 1, 25, 16, 15, 12, 9, 20, 5, 19, 9, 14, 3, 5, 8, 9, 19, 23, 15,
18, 4, 19, 5, 14, 20, 5, 18, 9, 14, 20, 15, 1, 14, 15, 20, 8, 5, 18, 19, 2, 18, 1, 9, 14, 9, 14,
19, 9, 12, 5, 14, 3, 5, 1, 14 , 4, 9, 14, 20, 9, 13, 1, 3, 25, 8, 5, 19, 8, 15, 21, 12, 4, 2, 5, 1,
19, 8, 15, 14, 5, 19, 20, 1, 19, 23, 5, 1, 18, 5, 23, 9, 20, 8, 15, 21, 18, 19, 5, 12, 22, 5, 19]
Appendix C: GAP Code For the Two-Parameter Case
RequirePackage("sonata");
str:=[9, 20, 8, 9, 14, 11, 20, 1, 19, 20, 5, 9, 19, 1, 19, 15, 3, 9, 1, 12, 3, 15, 14, 3, 5, 16, 20,
1, 14, 4, 14, 15, 20, 1, 14, 1, 18, 20, 9, 19, 20, 9, 3, 15, 14, 5, 9, 13, 23, 9, 12, 12, 9, 14, 7,
26
�20, 15, 19, 8, 15, 23, 7, 15, 15, 4, 20, 1,19, 20, 5, 9, 6, 9, 3, 1, 14, 9, 14, 19, 15, 13, 5, 2,
15, 4, 25, 5, 12, 19, 5,19, 12, 9, 22, 9, 14, 7, 18, 15, 15, 13, 2, 21, 20, 15, 21, 18, 18, 5, 1,
4, 9, 14, 7, 12, 9, 6, 5, 9, 19, 20, 15, 15, 19, 8, 15, 18, 20, 6, 15, 18, 1, 23, 18,9, 20, 5, 18,
20, 15, 2, 5, 9, 14, 1, 14, 25, 23, 1, 25, 16, 15, 12, 9, 20, 5, 19, 9, 14, 3, 5, 8, 9, 19, 23, 15,
18, 4, 19, 5, 14, 20, 5, 18, 9, 14, 20, 15, 1, 14, 15, 20, 8, 5, 18, 19, 2, 18, 1, 9, 14, 9, 14,
19, 9, 12, 5, 14, 3, 5, 1, 14, 4, 9, 14, 20, 9, 13, 1, 3, 25, 8, 5, 19, 8, 15, 21, 12, 4, 2, 5, 1,
19, 8, 15, 14, 5, 19, 20, 1, 19, 23, 5, 1, 18, 5, 23, 9, 20, 8, 15, 21, 18, 19, 5, 12, 22, 5, 19,
0];
H:=ExceptionalNearFields(49);
N1:=H[1];
NN:=AsList(N1);
I:=Filtered(N1,a->ForAll(N1,x->a*x=x and x*a=x));
i:=I[1];
a:=NN[4];
b:=NN[6];
AINVERSE:=Filtered(NN,x->a*x=i and x*a=i);
ainv:=AINVERSE[1];
BINVERSE:=Filtered(NN,x->b*x=i and x*b=i);
binv:=BINVERSE[1];
k:=1;
outlist:=[];
while k<= Length(str)-1 do
> s:=str[k]*a; t:=str[k+1]*b;
> for i in [1..49] do
> if(s=NN[i]) then u:=i-1;
fi;
> if(t=NN[i]) then v:=i-1;
> fi;
27
�> od;
Append(outlist,[u]);
Append(outlist,[v]);
> k:=k+2;
> od;
outlist;
Appendix D: Sample Input/Output of Appendix C
gap> RequirePackage("sonata");
gap> $5, 12, 22, 5, 19, 0];
[ 9, 20, 8, 9, 14, 11, 20, 1, 19, 20, 5, 9, 19, 1, 19, 15, 3, 9, 1, 12, 3, 15, 14, 3, 5, 16, 20, 1,
14, 4, 14, 15, 20, 1, 14, 1, 18, 20, 9, 19, 20, 9, 3, 15, 14, 5, 9, 13, 23, 9, 12, 12, 9, 14, 7,
20, 15, 19, 8, 15, 23, 7, 15, 15, 4, 20, 1, 19, 20, 5, 9, 6, 9, 3, 1, 14, 9, 14, 19, 15, 13, 5, 2,
15, 4, 25, 5, 12, 19, 5, 19, 12, 9, 22, 9, 14, 7, 18, 15, 15, 13, 2, 21, 20, 15, 21, 18, 18, 5, 1,
4, 9, 14, 7, 12, 9, 6, 5, 9, 19, 20, 15, 15, 19, 8, 15, 18, 20, 6, 15, 18, 1, 23, 18, 9, 20, 5, 18,
20, 15, 2, 5, 9, 14, 1, 14, 25, 23, 1, 25, 16, 15, 12, 9, 20, 5, 19, 9, 14, 3, 5, 8, 9, 19, 23, 15,
18, 4, 19, 5, 14, 20, 5, 18, 9, 14, 20, 15, 1, 14, 15, 20, 8, 5, 18, 19, 2, 18, 1, 9, 14, 9, 14,
19, 9, 12, 5, 14, 3, 5, 1, 14, 4, 9, 14, 20, 9, 13, 1, 3, 25, 8, 5, 19, 8, 15, 21, 12, 4, 2, 5, 1,
19, 8, 15, 14, 5, 19, 20, 1, 19, 23, 5, 1, 18, 5, 23, 9, 20, 8, 15, 21, 18, 19, 5, 12, 22, 5, 19,
0]
gap> H:=ExceptionalNearFields(49);
[ ExplicitMultiplicationNearRing ( <pc group of size 49 with 2 generators> ,
multiplication ) ]
gap> N1:=H[1];
ExplicitMultiplicationNearRing ( <pc group of size 49 with 2 generators> , multiplication
)
gap> NN:=AsList(N1);
[ (<identity> of ...), (f1), (f2), (f1^2), (f1*f2), (f2^2), (f1^3), (f1^2*f2), (f1*f2^2), (f2^3),
(f1^4), (f1^3*f2), (f1^2*f2^2), (f1*f2^3), (f2^4), (f1^5), (f1^4*f2), (f1^3*f2^2),
(f1^2*f2^3), (f1*f2^4), (f2^5), (f1^6), (f1^5*f2), (f1^4*f2^2), (f1^3*f2^3), (f1^2*f2^4),
(f1*f2^5),
28
�(f2^6), (f1^6*f2), (f1^5*f2^2), (f1^4*f2^3), (f1^3*f2^4), (f1^2*f2^5), (f1*f2^6),
(f1^6*f2^2), (f1^5*f2^3), (f1^4*f2^4), (f1^3*f2^5), (f1^2*f2^6), (f1^6*f2^3),
(f1^5*f2^4), (f1^4*f2^5), (f1^3*f2^6), (f1^6*f2^4), (f1^5*f2^5), (f1^4*f2^6),
(f1^6*f2^5), (f1^5*f2^6), (f1^6*f2^6) ]
gap> I:=Filtered(N1,a->ForAll(N1,x->a*x=x and x*a=x));
[ (f1) ]
gap> i:=I[1];
(f1)
gap> a:=NN[4];
(f1^2)
gap> b:=NN[6];
(f2^2)
gap> AINVERSE:=Filtered(NN,x->a*x=i and x*a=i);
[ (f1^4) ]
gap> ainv:=AINVERSE[1];
(f1^4)
gap> BINVERSE:=Filtered(NN,x->b*x=i and x*b=i);
[ (f2^5) ]
gap> binv:=BINVERSE[1];
(f2^5)
gap> k:=1;
1
gap> outlist:=[];
[ ]
gap> while k<= Length(str)-1 do
> > s:=str[k]*a; t:=str[k+1]*b;
> > for i in [1..49] do
> > if(s=NN[i]) then u:=i-1;
> fi;
> > if(t=NN[i]) then v:=i-1;
> > fi;
> > od;
> Append(outlist,[u]);
> Append(outlist,[v]);
29
�> > k:=k+2;
> > od;
gap> outlist;
[ 10, 20, 3, 14, 0, 2, 15, 5, 6, 20, 6, 14, 6, 5, 6, 5, 21, 14, 3, 9, 21, 5, 0, 27, 6, 14, 15, 5, 0,
2, 0, 5, 15, 5, 0, 5, 1, 20, 10, 9, 15, 14, 21, 5, 0, 9, 10, 20, 10, 14, 6, 9, 10, 0, 0, 20, 3, 9, 3,
5, 10, 0, 3, 5, 1, 20, 3, 9, 15, 9, 10, 20, 10, 27, 3, 0, 10, 0, 6, 5, 15, 9, 10, 5, 1, 2, 6, 9, 6, 9,
6, 9, 10, 5, 10, 0, 0, 2, 3, 5, 15, 14, 0, 20, 3, 0, 1, 2, 6, 5, 1, 14, 0, 0, 6, 14, 15, 9, 10, 9, 15,
5, 3, 9, 3, 5, 1, 20, 15, 5, 1, 5, 10, 2, 10, 20, 6, 2, 15, 5, 10, 9, 10, 0, 3, 0, 1, 14, 3, 2, 10, 5,
6, 14, 15, 9, 6, 14, 0, 27, 6, 5, 10, 9, 10, 5, 1, 2, 6, 9, 0, 20, 6, 2, 10, 0, 15, 5, 3, 0, 3, 20, 3,
9, 1, 9, 10, 2, 3, 14, 0, 14, 0, 9, 10, 9, 6, 0, 21, 9, 3, 0, 1, 14, 0, 20, 10, 20, 3, 27, 1, 5, 6, 9,
3, 5, 0, 9, 1, 14, 6, 5, 6, 5, 3, 0, 6, 9, 15, 5, 6, 14, 6, 5, 1, 9, 10, 14, 15, 5, 3, 0, 1, 9, 6, 9, 3,
9, 6, 0 ]
Appendix E: GAP4 Code for the Three-Parameter Case
RequirePackage("sonata");
str:=[9, 20, 8, 9, 14, 11, 20, 1, 19, 20, 5, 9, 19, 1, 19, 15, 3, 9, 1, 12, 3, 15, 14, 3, 5, 16, 20,
1, 14, 4, 14, 15, 20, 1, 14, 1, 18, 20, 9, 19, 20, 9, 3, 15, 14, 5, 9, 13, 23, 9, 12, 12, 9, 14, 7,
20, 15, 19, 8, 15, 23, 7, 15, 15, 4, 20, 1,19, 20, 5, 9, 6, 9, 3, 1, 14, 9, 14, 19, 15, 13, 5, 2,
15, 4, 25, 5, 12, 19, 5, 19, 12, 9, 22, 9, 14, 7, 18, 15, 15, 13, 2, 21, 20, 15, 21, 18, 18, 5, 1,
4, 9, 14, 7, 12, 9, 6, 5, 9, 19, 20, 15, 15, 19, 8, 15, 18, 20, 6, 15, 18, 1, 23, 18,9, 20, 5, 18,
20, 15, 2, 5, 9, 14, 1, 14, 25, 23, 1, 25, 16, 15, 12, 9, 20, 5, 19, 9, 14, 3, 5, 8, 9, 19, 23, 15,
18, 4, 19, 5, 14, 20, 5, 18, 9, 14, 20, 15, 1, 14, 15, 20, 8, 5, 18, 19, 2, 18, 1, 9, 14, 9, 14,
19, 9, 12, 5, 14, 3, 5, 1, 14, 4, 9, 14, 20, 9, 13, 1, 3, 25, 8, 5, 19, 8, 15, 21, 12, 4, 2, 5, 1,
19, 8, 15, 14, 5, 19, 20, 1, 19, 23, 5, 1, 18, 5, 23, 9, 20, 8, 15, 21, 18, 19, 5, 12, 22, 5, 19,
0];
H:=ExceptionalNearFields(49);
N1:=H[1];
NN:=AsList(N1);
I:=Filtered(N1,a->ForAll(N1,x->a*x=x and x*a=x));
30
�i:=I[1];
a:=NN[4];
b:=NN[6];
c:=NN[8];
AINVERSE:=Filtered(NN,x->a*x=i and x*a=i);
ainv:=AINVERSE[1];
BINVERSE:=Filtered(NN,x->b*x=i and x*b=i);
binv:=BINVERSE[1];
CINVERSE:=Filtered(NN,x->c*x=i and x*c=i);
cinv:=CINVERSE[1];
k:=1;
outlist:=[];
while k<= Length(str)-1 do
> s:=str[k]*a; t:=str[k]*b + str[k+1]*c;
> for i in [1..49] do
> if(s=NN[i]) then u:=i-1;
fi;
> if(t=NN[i]) then v:=i-1;
> fi;
> od;
Append(outlist,[u]);
Append(outlist,[v]);
> k:=k+2;
> od;
outlist;
31
�Appendix F: Sample Input/Output of Appendix E
gap> RequirePackage("sonata");
gap> $5, 12, 22, 5, 19, 0];
[ 9, 20, 8, 9, 14, 11, 20, 1, 19, 20, 5, 9, 19, 1, 19, 15, 3, 9, 1, 12, 3, 15, 14, 3, 5, 16, 20, 1,
14, 4, 14, 15, 20, 1, 14, 1, 18, 20, 9, 19, 20, 9, 3, 15, 14, 5, 9, 13, 23, 9, 12, 12, 9, 14, 7,
20, 15, 19, 8, 15, 23, 7, 15, 15, 4, 20, 1, 19, 20, 5, 9, 6, 9, 3, 1, 14, 9, 14, 19, 15, 13, 5, 2,
15, 4, 25, 5, 12, 19, 5, 19, 12, 9, 22, 9, 14, 7, 18, 15, 15, 13, 2, 21, 20, 15, 21, 18, 18, 5, 1,
4, 9, 14, 7, 12, 9, 6, 5, 9, 19, 20, 15, 15, 19, 8, 15, 18, 20, 6, 15, 18, 1, 23, 18, 9, 20, 5, 18,
20, 15, 2, 5, 9, 14, 1, 14, 25, 23, 1, 25, 16, 15, 12, 9, 20, 5, 19, 9, 14, 3, 5, 8, 9, 19, 23, 15,
18, 4, 19, 5, 14, 20, 5, 18, 9, 14, 20, 15, 1, 14, 15, 20, 8, 5, 18, 19, 2, 18, 1, 9, 14, 9, 14,
19, 9, 12, 5, 14, 3, 5, 1, 14, 4, 9, 14, 20, 9, 13, 1, 3, 25, 8, 5, 19, 8, 15, 21, 12, 4, 2, 5, 1,
19, 8, 15, 14, 5, 19, 20, 1, 19, 23, 5, 1, 18, 5, 23, 9, 20, 8, 15, 21, 18, 19, 5, 12, 22, 5, 19, 0
]
gap> H:=ExceptionalNearFields(49);
[ ExplicitMultiplicationNearRing ( <pc group of size 49 with 2 generators> ,
multiplication ) ]
gap> N1:=H[1];
ExplicitMultiplicationNearRing ( <pc group of size 49 with 2 generators> , multiplication
)
gap> NN:=AsList(N1);
[ (<identity> of ...), (f1), (f2), (f1^2), (f1*f2), (f2^2), (f1^3), (f1^2*f2), (f1*f2^2), (f2^3),
(f1^4), (f1^3*f2), (f1^2*f2^2), (f1*f2^3), (f2^4), (f1^5), (f1^4*f2), (f1^3*f2^2),
(f1^2*f2^3), (f1*f2^4), (f2^5), (f1^6), (f1^5*f2), (f1^4*f2^2), (f1^3*f2^3), (f1^2*f2^4),
(f1*f2^5), (f2^6), (f1^6*f2), (f1^5*f2^2), (f1^4*f2^3), (f1^3*f2^4), (f1^2*f2^5),
(f1*f2^6), (f1^6*f2^2), (f1^5*f2^3), (f1^4*f2^4), (f1^3*f2^5), (f1^2*f2^6), (f1^6*f2^3),
(f1^5*f2^4), (f1^4*f2^5), (f1^3*f2^6), (f1^6*f2^4), (f1^5*f2^5), (f1^4*f2^6),
(f1^6*f2^5), (f1^5*f2^6), (f1^6*f2^6) ]
gap> I:=Filtered(N1,a->ForAll(N1,x->a*x=x and x*a=x));
[ (f1) ]
gap> i:=I[1];
(f1)
32
�gap> a:=NN[4];
(f1^2)
gap> b:=NN[6];
(f2^2)
gap> c:=NN[8];
(f1^2*f2)
gap> AINVERSE:=Filtered(NN,x->a*x=i and x*a=i);
[ (f1^4) ]
gap> ainv:=AINVERSE[1];
(f1^4)
gap> BINVERSE:=Filtered(NN,x->b*x=i and x*b=i);
[ (f2^5) ]
gap> binv:=BINVERSE[1];
(f2^5)
gap> CINVERSE:=Filtered(NN,x->c*x=i and x*c=i);
[ (f1^5*f2^6) ]
gap> cinv:=CINVERSE[1];
(f1^5*f2^6)
gap> k:=1;
1
gap> outlist:=[];
[ ]
gap> while k<= Length(str)-1 do
> > s:=str[k]*a; t:=str[k]*b + str[k+1]*c;
> > for i in [1..49] do
> > if(s=NN[i]) then u:=i-1;
> fi;
> > if(t=NN[i]) then v:=i-1;
> > fi;
> > od;
> Append(outlist,[u]);
> Append(outlist,[v]);
> > k:=k+2;
> > od;
33
�gap> outlist;
[ 10, 35, 3, 36, 0, 19, 15, 38, 6, 29, 6, 41, 6, 25, 6, 25, 21, 16, 3, 6, 21, 3, 0, 39, 6, 41, 15,
38, 0, 19, 0, 7, 15, 38, 0, 7, 1, 15, 10, 17, 15, 10, 21, 3, 0, 37, 10, 35, 10, 45, 6, 11, 10, 14,
0, 47, 3, 6, 3, 18, 10, 14, 3, 18, 1, 15, 3, 6, 15, 24, 10, 35, 10, 21, 3, 5, 10, 14, 6, 25, 15,
24, 10, 32, 1, 26, 6, 11, 6, 11, 6, 11, 10, 32, 10, 14, 0, 19, 3, 18, 15, 10, 0, 47, 3, 5, 1, 26,
6, 25, 1, 30, 0, 0, 6, 41, 15, 24, 10, 17, 15, 38, 3, 6, 3, 18, 1, 15, 15, 38, 1, 12, 10, 4, 10,
35, 6, 1, 15, 38, 10, 17, 10, 14, 3, 5, 1, 30, 3, 33, 10, 32, 6, 41, 15, 24, 6, 41, 0, 39, 6, 25,
10, 17, 10, 32, 1, 26, 6, 11, 0, 47, 6, 1, 10, 14, 15, 38, 3, 5, 3, 22, 3, 6, 1, 42, 10, 4, 3, 36,
0, 23, 0, 37, 10, 17, 6, 9, 21, 31, 3, 5, 1, 30, 0, 47, 10, 35, 3, 46, 1, 12, 6, 11, 3, 18, 0, 37,
1, 30, 6, 25, 6, 25, 3, 5, 6, 11, 15, 38, 6, 41, 6, 25, 1, 42, 10, 45, 15, 38, 3, 5, 1, 42, 6, 11,
3, 6, 6, 9]
Appendix G: GAP4 Code for the Restricted Four-Parameter Case
RequirePackage("sonata");
str:=[9, 20, 8, 9, 14, 11, 20, 1, 19, 20, 5, 9, 19, 1, 19, 15, 3, 9, 1, 12, 3, 15, 14, 3, 5, 16, 20,
1, 14, 4, 14, 15, 20, 1, 14, 1, 18, 20, 9, 19, 20, 9, 3, 15, 14, 5, 9, 13, 23, 9, 12, 12, 9, 14, 7,
20, 15, 19, 8, 15, 23, 7, 15, 15, 4, 20, 1,19, 20, 5, 9, 6, 9, 3, 1, 14, 9, 14, 19, 15, 13, 5, 2,
15, 4, 25, 5, 12, 19, 5, 19, 12, 9, 22, 9, 14, 7, 18, 15, 15, 13, 2, 21, 20, 15, 21, 18, 18, 5, 1,
4, 9, 14, 7, 12, 9, 6, 5, 9, 19, 20, 15, 15, 19, 8, 15, 18, 20, 6, 15, 18, 1, 23, 18,9, 20, 5, 18,
20, 15, 2, 5, 9, 14, 1, 14, 25, 23, 1, 25, 16, 15, 12, 9, 20, 5, 19, 9, 14, 3, 5, 8, 9, 19, 23, 15,
18, 4, 19, 5, 14, 20, 5, 18, 9, 14, 20, 15, 1, 14, 15, 20, 8, 5, 18, 19, 2, 18, 1, 9, 14, 9, 14,
19, 9, 12, 5, 14, 3, 5, 1, 14, 4, 9, 14, 20, 9, 13, 1, 3, 25, 8, 5, 19, 8, 15, 21, 12, 4, 2, 5, 1,
19, 8, 15, 14, 5, 19, 20, 1, 19, 23, 5, 1, 18, 5, 23, 9, 20, 8, 15, 21, 18, 19, 5, 12, 22, 5, 19,
0];
H:=ExceptionalNearFields(49);
N1:=H[1];
NN:=AsList(N1);
I:=Filtered(N1,a->ForAll(N1,x->a*x=x and x*a=x));
i:=I[1];
a:=NN[2];
34
�a in Center(N1);
b:=NN[22];
b in Center(N1);
c:=NN[6];
d:=NN[22];
d in Center(N1);
AINVERSE:=Filtered(NN,x->a*x=i and x*a=i);
ainv:=AINVERSE[1];
BINVERSE:=Filtered(NN,x->b*x=i and x*b=i);
binv:=BINVERSE[1];
CINVERSE:=Filtered(NN,x->c*x=i and x*c=i);
cinv:=CINVERSE[1];
DINVERSE:=Filtered(NN,x->d*x=i and x*d=i);
dinv:=DINVERSE[1];
k:=1;
outlist:=[];
while k<= Length(str)-1 do
> s:=str[k]*a + str[k+1]*b; t:=str[k]*c + str[k+1]*d;
> for i in [1..49] do
> if(s=NN[i]) then u:=i-1;
fi;
> if(t=NN[i]) then v:=i-1;
> fi;
> od;
Append(outlist,[u]);
Append(outlist,[v]);
> k:=k+2;
> od;
outlist;
35
�Appendix H: Sample Input/Output of Appendix G
RequirePackage("sonata");
str:=[9, 20, 8, 9, 14, 11, 20, 1, 19, 20, 5, 9, 19, 1, 19, 15, 3, 9, 1, 12, 3, 15, 14, 3, 5, 16, 20,
1, 14, 4, 14, 15, 20, 1, 14, 1, 18, 20, 9, 19, 20, 9, 3, 15, 14, 5, 9, 13, 23, 9, 12, 12, 9, 14, 7,
20, 15, 19, 8, 15, 23, 7, 15, 15, 4, 20, 1,19, 20, 5, 9, 6, 9, 3, 1, 14, 9, 14, 19, 15, 13, 5, 2,
15, 4, 25, 5, 12, 19, 5,19, 12, 9, 22, 9, 14, 7, 18, 15, 15, 13, 2, 21, 20, 15, 21, 18, 18, 5, 1,
4, 9, 14, 7, 12, 9, 6, 5, 9, 19, 20, 15, 15, 19, 8, 15, 18, 20, 6, 15, 18, 1, 23, 18,9, 20, 5, 18,
20, 15, 2, 5, 9, 14, 1, 14, 25, 23, 1, 25, 16, 15, 12, 9, 20, 5, 19, 9, 14, 3, 5, 8, 9, 19, 23, 15,
18, 4, 19, 5, 14, 20, 5, 18, 9, 14, 20, 15, 1, 14, 15, 20, 8, 5, 18, 19, 2, 18, 1, 9, 14, 9, 14,
19, 9, 12, 5, 14, 3, 5, 1, 14, 4, 9, 14, 20, 9, 13, 1, 3, 25, 8, 5, 19, 8, 15, 21, 12, 4, 2, 5, 1,
19, 8, 15, 14, 5, 19, 20, 1, 19, 23, 5, 1, 18, 5, 23, 9, 20, 8, 15, 21, 18, 19, 5, 12, 22, 5, 19,
0];
H:=ExceptionalNearFields(49);
N1:=H[1];
NN:=AsList(N1);
I:=Filtered(N1,a->ForAll(N1,x->a*x=x and x*a=x));
i:=I[1];
a:=NN[2];
a in Center(N1);
b:=NN[22];
b in Center(N1);
c:=NN[6];
d:=NN[22];
d in Center(N1);
AINVERSE:=Filtered(NN,x->a*x=i and x*a=i);
ainv:=AINVERSE[1];
BINVERSE:=Filtered(NN,x->b*x=i and x*b=i);
binv:=BINVERSE[1];
36
�CINVERSE:=Filtered(NN,x->c*x=i and x*c=i);
cinv:=CINVERSE[1];
DINVERSE:=Filtered(NN,x->d*x=i and x*d=i);
dinv:=DINVERSE[1];
k:=1;
outlist:=[];
while k<= Length(str)-1 do
> s:=str[k]*a + str[k+1]*b; t:=str[k]*c + str[k+1]*d;
> for i in [1..49] do
> if(s=NN[i]) then u:=i-1;
fi;
> if(t=NN[i]) then v:=i-1;
> fi;
> od;
Append(outlist,[u]);
Append(outlist,[v]);
> k:=k+2;
> od;
outlist;
37
�Appendix I: Frequency Analysis Graph of the Plaintext Characters
with a Corresponding Chart of Letter Frequencies
Character Counts
Plaintext
40
35
30
25
20
15
10
5
0
? a b c d e f g h i j k l mno p q r s t u vwxy z 01 2 3 4 5 6 7 8 9 . , !@# $%^&* ( )
Characters
?
a
b
c
d
e
f
g
h
i
j
k
1
19
5
8
7
25
3
4
9
29
0
1
Letter Frequencies for the Plaintext
l
x
10
0
m
y
4
4
n
z
23
0
o
0
25
0
p
1
2
0
q
2
0
0
r
3
14
0
s
4
22
0
t
5
22
0
u
6
4
0
v
7
2
0
w
8
7
0
38
9
.
,
!
@
#
$
%
^
&
*
(
)
0
0
0
0
0
0
0
0
0
0
0
0
0
�Appendix J: Frequency Analysis Graph of the Two-Parameter
Case with a Corresponding Chart of Letter Frequencies
Character Counts
Two-Parameter Case
40
35
30
25
20
15
10
5
0
? a b c d e f g h i j k lmn o p q r s t u vwx y z 0 1 2 34 5 6 7 8 9 . , !@# $%^&* ( )
Characters
?
a
b
c
d
e
f
g
h
i
j
k
32
15
11
23
0
32
27
0
0
30
25
0
Letter Frequencies for the Two-Parameter Case
l
x
9
0
0
m
y
.
0
0
n
z
,
18
0
o
0
!
15
4
p
1
@
0
0
q
2
#
0
0
r
3
$
0
0
s
4
%
0
0
t
5
^
14
0
u
6
&
4
0
v
7
*
0
0
w
8
(
0
0
)
39
0
0
0
0
0
0
0
0
0
0
0
0
0
�Appendix K: Frequency Analysis Graph of the Three-Parameter
Case with a Corresponding Chart of Letter Frequencies
Character Counts
Three-Parameter Case
40
35
30
25
20
15
10
5
0
? a b c d e f g h i j k lmn o p q r s t u vwxy z 01 2 34 5 67 8 9 . , !@# $%^&* ( )
Characters
?
a
b
c
d
e
f
g
h
i
j
k
17
17
0
25
2
7
33
2
0
2
27
8
Letter Frequencies for the Three-Parameter Case
l
x
2
4
m
y
0
8
n
z
6
3
o
0
18
0
p
1
1
0
q
2
5
1
r
3
5
4
s
4
3
1
t
5
0
4
u
6
5
1
v
7
1
0
w
8
1
5
40
9
.
,
!
@
#
$
%
^
&
*
(
)
2
3
9
2
0
6
3
0
0
2
1
4
0
�Appendix L: Frequency Analysis Graph of the Restricted Four-Parameter
Case with a Corresponding Chart of Letter Frequencies
Character Counts
Restricted Four-Parameter Case
30
25
20
15
10
5
0
? a b c d e f g h i j k l mn o p q r s t u vw x y z 0 1 2 3 4 5 6 7 8 9 . , ! @# $%^&* ( )
Characters
?
a
b
c
d
e
f
g
h
i
j
k
Letter Frequencies for the Restricted Four-Parameter Case
l
x
9
20
6
2
m
y
.
26
1
5
n
z
,
0
6
0
o
0
!
19
20
0
p
1
@
3
0
2
q
2
#
7
1
2
r
3
$
25
8
0
s
4
%
3
5
2
t
5
^
1
0
4
u
6
&
2
11
0
v
7
*
20
4
5
w
8
(
3
1
6
)
41
1
0
1
8
2
0
0
4
2
0
9
1
2
�Appendix M: Frequency Analysis Graph of the Unrestricted Four
Parameter Case with a Corresponding Chart of Letter Frequencies
Character Counts
Unrestricted Four-Parameter Case
40
35
30
25
20
15
10
5
0
? a b c d e f g h i j k lmn o p q r s t u vwx y z 0 1 2 34 5 6 7 8 9 . , !@# $%^&* ( )
Characters
?
a
b
c
d
e
f
g
h
i
j
k
Letter Frequencies for the Unrestricted Four-Parameter Case
l
x
9
2
10
8
m
y
.
2
4
4
n
z
,
9
4
11
o
0
!
8
3
4
p
1
@
4
4
1
q
2
#
3
13
13
r
3
$
4
6
6
s
4
%
8
4
10
t
5
^
4
6
2
u
6
&
5
4
0
v
7
*
9
1
4
w
8
(
7
10
4
)
42
2
3
1
1
5
13
4
4
6
1
0
0
9
�Appendix N: Alphabet – Assignment of Characters to a Near-Field of Size 49
?
a
b
c
d
e
f
g
h
i
j
k
n0
n1
n2
n3
n4
n5
n6
n7
n8
n9
n10
n11
l
m
n
o
p
q
r
s
t
u
v
w
x
y
z
0
1
2
3
4
5
6
7
8
n12
n13
n14
n15
n16
n17
n18
n19
n20
n21
n22
n23
43
n24
n25
n26
n27
n28
n29
n30
n31
n32
n33
n34
n35
9
.
,
!
@
#
$
%
^
&
*
(
)
n36
n37
n38
n39
n40
n41
n42
n43
n44
n45
n46
n47
n48
��Section III:
The Social Sciences
�The Effect of a Nutrition Label on Food Consumption
Joanna Ferreri1 (Psychology)
This study investigated the effects of nutrition labels on food consumption. Fifty
participants (restrained and non-restrained males and females categorized as normal or
overweight by body mass index) were tested in two conditions. In a preload/test meal
design, participants received either a true fat label or a "no fat" label on the same granola
bar (the preload). Prior to eating, participants were asked to consume as much macaroni
and cheese as they wished (the test meal) and the amount remaining was weighed. Also
throughout the study, participants were required to complete a measure of dietary
restraint and three appetite rating questionnaires were administered at three different
times throughout the study. It was hypothesized that the members of the true label
condition would eat less of the macaroni and cheese than those members of the "no fat"
label condition. It was further hypothesized that restrained eaters would be more effected
by the label than those participants labeled as unrestrained. Finally, it was hypothesized
that members of the higher body mass index group (overweight) would consume different
amounts than those labeled normal. The results show that those individuals in the "no fat"
label condition did not consume more macaroni and cheese than those individuals in the
true label condition. Regardless of dietary restraint status, participants consumed similar
amounts of macaroni and cheese in both label conditions. The failure of this study to
demonstrate label effects is attributed to a number of methodological differences between
this and other studies.
I. Introduction
Eating is dependent on many factors of everyday life; it is a social, physical and
often a pleasurable activity. However, the primary reason for eating is nutrition; people
eat because they must to survive. Usually, the amount of food consumed is subject to the
discretion of the consumer. Psychological, physiological and environmental influences
form a complex interplay, consequently creating numerous factors, to affect the amount
of food people eat. Social setting, energy density, nutritional information and dieting are
examples of some influences that have been found to have a significant effect on
consumption (Kim & Kissileff, 1996; Krai, Roe & Rolls, 2002; Rosen, 1981; Wardle,
Parmenter & Waller, 2000). Although these variables have been studied in depth, the
1
Research performed under the direction of Dr. Laurence J. Nolan (Psychology)
46
�effect of nutrition labels on food intake has rarely been investigated and is, therefore, the
aim of the present study.
With the increased availability of low-calorie and low-fat foods, nutritionally
important questions regarding the influences that beliefs about these food have on food
selection have been raised. One of these factors lies in the packaging. Many food
packages boast "fat free" or "low calorie" messages to encourage weight-conscious
consumers to purchase their products. Food packaging and labels may play an important
role in what foods consumers choose to purchase and how much of it they consume. A
label implying that a food is "good" for the consumer can persuade one to buy the
product it promotes. The packaging can also effect what consumers believe about the
product inside not only by what information it provides, but also because of its
appearance. Aspects of the packaging, such as the color, can cause consumers to believe
something about what they are buying; for example, a green box tends to imply that the
product inside is healthy (Bone & France, 2001).
Nutritional knowledge is an important factor in one's selection of food
consumed. It has been found that higher nutritional knowledge can lead to an increased
consumption of health conscious foods, such as fruits and vegetables, in a person's diet
(Wardle et al., 2000). The low intake rate of fruits and vegetables among adults has been
attributed to ignorance of the current intake recommendations (Krebs-Smith,
Heimendinger, Patterson, Subar, Kessler & Pivonka, 1995). Also, knowing that
consuming something is beneficial to one's health can lead a person to be more likely to
consume that food, despite the food's novelty or unfamiliarity (Martins, Pelchat & Pliner,
1997). Therefore, labeling foods with nutritional information may be a necessary and
essential stimulus in raising the awareness of nutritional importance and promoting
choice of healthier selections.
In a fast-paced society where fast food and quick lunches have become the
standard, eating healthy may not be an effortless behavior. In order to improve nutrition,
people must make a conscious effort to educate themselves and find healthy foods, often
times exerting more effort than usual. In addition, there are many other potential barriers
to a reduction in fat in one's diet. Depending upon product availability, price and reduced
taste quality, a low-fat alternative to a full-fat counterpart may be less acceptable to the
general population (Llyod, Paisley & Mela, 1995) or to those with preexisting negative
attitudes about them (Aaron, Mela & Evans, 1994). However, Llyod et al. (1995) found
that when these barriers are diminished, use of a low-fat product was easily adopted and
maintained. Not only may consumers be unaware of important nutritional facts, but they
may also be unaware of the actual amount of fat and other nutrients they are consuming.
A disinterest in lowering fat intake in one's diet may be attributed to a skewed perception
of the amount of fat a person is currently consuming (Mela & Nolan, 1996). In one study,
47
�participants reported a moderate drop in their fat intake when, in actuality, very little
change had actually occurred (Mela & Nolan, 1996). Mela and Nolan (1996) attributed
this result to a confusion between "foods considered 'fattening' (which may not be high in
fat) and high fat foods."
This is an important distinction because diet selections among free-living
consumers can be strongly influenced by what the consumer believes they are ingesting
(Gatenby, Aaron et al.,1994). Since the food's label serves as an easily accessible source
of nutritional information, consumers can use labels as their source of information about
the foods they eat. The association between fat intake and health issues has raised the
awareness of the importance of healthy eating. It is out of these concerns that low-fat
alternatives of common foods have become increasingly available. These products
provide an opportunity for consumers to ingest less fat without significantly altering their
dietary habits. Thus, the potential nutritional impact of reduced fat and fat-free products
is high (Caputo & Mattes, 1993). However, consumption of low-fat foods may not lead to
lower caloric intake. Caputo and Mattes (1993) served the same low-fat meal every day
for twelve days to human participants. Although the food did not actually vary,
participants were informed on some days that it contained more fat than it did. A
significantly higher amount of food was consumed when the meal was thought to be low
fat as opposed to when the participants were told the opposite (Caputo & Mattes, 1993).
Furthermore, it has been found that dietary restraint plays a role in the effect of this
knowledge. Dietary restraint is defined as an "individual's cognitive attempt to
consciously limit food intake for the purpose of regulating body weight" (Krai et al.,
2002). For instance, research has found that restrained individuals eat more potato chips
when they believe them to be "fat-free" as opposed to when they knew they were not
(Miller, Castellanos, Shide, Peters & Rolls, 1998). The present study wanted to examine
these issues through a different method, the preload/test meal design. One of the most
useful and influential laboratory techniques used in the study of human ingestive
behavior has been the preload/test meal design (Gray, French, Robinson & Yeomans,
2002). In this experimental design, a preload food or drink intake is manipulated (e.g.
energy density, size, macronutrients) before participants are exposed to a test meal. By
altering some aspect of the first meal (or preload), examiners are able to measure any
intake differences between participants based on the amount of food consumed in the test
meal. Due to its effectiveness in preceding investigations, this method has been utilized
in the present study by manipulating only the nutritional label of a preload before
consumption of a test meal.
The present study investigated differences in intake between two groups to
detect any labeling effects on consumption. The groups were also broken down into
restrained and non-restrained eaters, male and female, and normal weight and overweight
48
�to detect any consumption differences among these groups. Participants were classified as
restrained or non-restrained based on their restraint score on the three-factor eating
questionnaire (TFEQ; Stunkard & Messick, 1985). Participants were classified as normal
or overweight based upon their body mass index (BMI; kg/m2) which is a metric method
for computing body mass by weight corrected for height. The BMI standards are the
same for both men and women.
Based on the findings of preceding experiments, it was hypothesized that the
different nutrition labels would cause a significant difference in the amount of food
consumed between groups. Those participants that were offered the fat-free food label
were expected to eat more of the test meal than those given the truthful label. It was
hypothesized that due to being under the impression that the preload was fat free, those
participants in the experimental group would consume more of the test meal. It was also
important to examine whether participants were restrained or non-restrained eaters
because restrained eaters eat more of the fat-free food item compared to its regular
version when they were provided with information about the fat content of the food
(Miller et al., 1998). Therefore, it was also hypothesized that restrained eaters would be
more affected by the fat-free label condition than would those participants classified as
unrestrained. BMI was also examined and it was hypothesized that participants in
different BMI classifications (normal or overweight) would also show different eating
behaviors. The results of the study described below did not support any of these
hypotheses.
II. Method
Participants
Participants (N = 50, 17 male) ranged between the ages of 18 and 22 (M = 19.63
years, SD = 1.22) and their characteristics are described in Table 1. Participants were
recruited from the undergraduate population of Wagner College; all participants
participated on a voluntary basis. The mean body mass index (BMI) of the participants
2
was 24.62 kg/m (SD = 5.59). The mean restraint score of participants was 8.56 (SD ==
4.97). Age and BMI were not reported by one participant. The fifty participants were
randomly assigned to one of two groups, the control condition (label stating fat grams =
6) and experimental condition (label stating fat grams = 0). For the descriptive statistics
for each group are reported in Table 2. Informed consent was obtained from each
participant prior to study. Approval was obtained from the Wagner College Human
Experimentation Review Board.
49
�Overview
Participants were undergraduate men and women who volunteered to participate
in a study in which they were asked to consume a granola bar (which they were required
to eat in its entirety) followed 20 minutes later by a macaroni and cheese meal (which
they were instructed to eat as much as they wished). The amount of each food provided
was held constant for all participants, only the nutrition label on the granola bar was
altered: one group was told the granola bar contained no fat and 90 calories (although it
contained 6 grams of fat and 180 calories) and the other group was told the accurate fat
and calorie content. All participants were asked to provide demographic information and
to complete a measure of dietary restraint prior to the meal. Participants were also asked
to rate their feelings with regard to items such as hunger, fullness, sickness, thirst, desire
to eat and dessert desire at three points during the meal: prior to the granola bar, prior to
the macaroni and cheese meal and after completion of the meal.
III. Procedure
Participants were recruited by means of a campus-wide email solicitation and by oncampus recruiting in undergraduate psychology classes at Wagner College. Each
participant, as incentive to participate, was placed in a pool for the chance to win two free
movie tickets. The pool was created by each participant writing their name and phone
number on a piece of paper and placing it in a box. A name was then picked at random
after completion of the study and the winner was contacted.
The participant was asked to attend the experiment by appointment; each
appointment was forty-five minutes in length (see timeline of procedure in Figure 1). All
appointments were either in the morning or early afternoon depending upon the
participant's and examiner's availability. Each participant was tested individually.
After establishing an appointment time, the participant was instructed that they
would receive a telephone call the day before the experiment to confirm their
appointment and to receive instructions. At that time each participant was read the
following statement: "Do not eat anything this evening after dinner," followed by one of
the following: "When you wake up tomorrow, please do not eat breakfast and substitute
your normal breakfast with the meal you will eat during the study" or "Please eat
breakfast as you would normally and substitute your normal lunch with the meal you will
eat during the study" depending on their appointment time.
Upon arriving for the experiment, the participant entered the room and was
instructed to sit at the table. At this time, each participant provided informed consent and
placed their name in the box for the movie ticket raffle. The participant was provided
with a copy of the consent form for their records and a copy was retained by the
50
�examiner. In order to ensure that each participant's papers remained together while
ensuring anonymity, he or she was assigned a file number selected at random which was
written on all papers associated with that participant. The questionnaires were organized
so that one copy of each (TFEQ, three rating questionnaires) was placed in a pile and preassigned to one of the random file numbers. This number was written on each page of
this package and sorted randomly. The numbers were assigned to the participant based
upon arrival; the first appointment would receive the first package of questionnaires, the
next would receive the second, and so on. The sheet on which the amount consumed was
recorded was a list of the random numbers in a different order than the pile of papers to
ensure that the participant's name would not be associated with any of the results.
After the informed consent form was signed and collected, the participant was
given the TFEQ (Stunkard & Messick, 1985), which participants were verbally instructed
to complete. The packet containing the TFEQ form included a request for demographic
information (i.e. age, height, weight and ethnicity). The TFEQ contains two types of
questions (true/false and multiple choice) and provides the examiner with three scores:
disinhibition, hunger and dietary restraint. The present study only utilized the dietary
restraint score.
Upon completion of the TFEQ, which took approximately five minutes, the
participant completed the first of the three appetite rating questionnaires. This
questionnaire (rating questionnaire 1 or RQ1) asked the following questions: "How
hungry are you?" (hunger), "How full are you?" (fullness), "How sick do you feel?"
(sickness),"How thirsty are you?" (thirst), "How much would you like to eat a meal in
this situation?" (desire to eat), "How much would you like to eat a dessert in this
situation?" (dessert desire), "How open are you to trying new foods?" (food flexibility),
and "How much did you eat today?" (food intake). Each question was scored using a
visual analog scale (VAS) with lines measuring 150 mm in length. The participant was
verbally instructed to rate each item on a scale of "Not at All" to "Extremely"; "Not at
All" being anchored at the far left of the line and "Extremely" anchored at the far right. A
vertical line was to be placed on the line where they felt their feelings were best
represented.
When RQ1 was completed, the participant was given the preload food. The
preload consisted of two granola bars (Nature Valley, Oats 'n Honey Crunchy Granola
Bar, 2 bars, 42 g total weight; see Table 3 for nutritional information) presented to the
individual in a clear sealed bag on which a label indicating the fat and calorie content was
affixed. Each participant was assigned to either the true label (control) or the manipulated
label (experimental) condition alternately as they arrived for his or her appointment. For
participants in the control group, the fat and energy content on the label accurately
reflected the fat and calorie content of the granola bar and stated, "6 grams of fat, 180
51
�Calories." For participants in the experimental group, the label was manipulated to reflect
that the granola bar actually contained less calories and fat than it actually did. The
manipulated label stated, "Fat Free, 90 Calories." The participant was then instructed to
consume both granola bars in their entirety. At this time, the participant was provided
with 115 grams of water to drink while the granola bars were consumed. Regardless of
which label the participant received, the instructions given were the same. Each
participant was read instructions from a script which stated, "Please eat this meal in its
entirety. You will have five minutes to do so." The examiner remained in the room until
the participant consumed the bars.
After finishing the granola bars, the second VAS questionnaire was
administered to the participant (rating questionnaire 2 or RQ2) to assess what the
participant now felt after consuming the first meal. RQ2 asked the participant to again
rate hunger, fullness, sickness, thirst, desire to eat and dessert desire and now included
questions for rating of satiety and intake variance of the granola bars. Questions on this
questionnaire were the same as the first, except for the following changes. The question,
"How open are you to trying new foods?" was replaced with, "How much did you enjoy
this food?" (satiety) and the question "How much did you eat today?" was replaced with,
"How different is this food from what you would normally eat?" (intake variance).
Upon completion of RQ2, the participant was instructed to wait in the room
while the examiner prepared the next meal. During this time, the participant was
permitted to read. This time allowed the examiner to ensure that there were twenty
minutes between the completion of the granola bar and the consumption of the macaroni
and cheese which provided time for the first meal to have entered the intestine (Kim &
Kissileff, 1996). When the twenty minutes had ended, the examiner returned and the
participant was given the macaroni and cheese meal (Kraft Velveeta Shells and Cheese,
500 g; Table 3). The meal was served on a paper plate and the participant was given a
plastic fork with which to consume the meal. The size of the meal was in excess of what
the participant was expected to eat to ensure the participant would eat what they wanted
without emptying the plate. This allowed for the examiner to measure how much food
was eaten and to guarantee that the participant did not stop eating because they ran out of
food (Kim & Kissileff, 1996). Each participant was instructed to "Please eat at least some
of this meal as the next questionnaire will ask you to rate your liking of the meal. When
you are finished, please ring the bell and the examiner will return and collect the plate
and utensils. You will have as much time as you need to complete the meal." The
examiner was not in the room during consumption of the macaroni and cheese and only
returned upon hearing the bell.
When the bell was rung, the examiner returned, collected the remaining food
and administered the final VAS questionnaire (rating questionnaire 3 or RQ3). This
52
�questionnaire was used for the participant to again rate hunger, fullness, sickness, thirst,
desire to eat, dessert desire, satiety and intake variance and added a question for rating
the participant's awareness of any effects of the granola bar's nutrition label on the
amount of macaroni and cheese he or she consumed. The questions on RQ3 were
identical to RQ2 with the following addition: "How much do you think what you ate first
affected how much macaroni and cheese you ate?" (nutrition label effect on intake). This
was used to discover whether the participant was aware of any affects of the granola bar's
label on his or her intake of the macaroni and cheese, which would later be compared to
his or her behavior. After the participant departed, the remaining food was weighed. The
results were recorded and written on a form containing the participant's file number. All
papers involved with the participant, except for the informed consent form, were stapled
together and filed. The informed consent form was placed in a different folder to ensure
anonymity. This concluded the participant's role in the study. The participant was
informed of the purpose of the experiment, asked not to discuss this experiment with any
other participants and informed that they may contact the examiner after April 15, 2003
to receive full results from the study. They were also told that they would be contacted
shortly if they had won the movie tickets.
After the final participant's session was complete, the results were recorded and
analyzed. Those participants with dietary restraint scores ≤ 9 were classified as
unrestrained (N = 31) and those participants with a dietary restraint score ≥10 were
classified as restrained (N = 19). Participants with a BMI < 24.9 were classified as
normal (N = 31) and those participants with a BMI > 25 were classified as overweight
(N=18). This experiment utilized a 2x2x2 independent groups design with labeling
conditions, dietary restraint and BMI as the independent variables and with RQ1, RQ2
and RQ3 and the amount of macaroni and cheese consumed as dependent variables. A
three-way analysis of variance (ANOVA) was utilized to measure differences in
dependent measures.
IV. Results
An alpha (a) level of 0.05 was used for statistical analysis. Descriptive statistics
are available by groups (label, restraint and BMI) in Tables 4, 5 and 6. A three-way
ANOVA (Table 7) indicated that there was no significant difference in the mean amounts
consumed between the control and low-fat label groups, F(l,41) = .390, p > .05. It also
indicated that restrained individuals were not effected by the manipulated label more than
non-restrained individuals in amount consumed, F(l,41) = 1.720, p > .05. Furthermore, it
indicated that those individuals classified as normal did not significantly differ in amount
consumed from those classified as overweight, F(l,41) = 1.109, p > .05. Therefore,
contrary to the hypothesis, no significant differences were found among any of the main
53
�effects (label condition, dietary restraint and BMI). Correlations were performed between
the independent variables no relationships among them were detected (Table 8).
Additional correlations were performed among restraint score, BMI, amount
consumed, and two rating questions deemed of particular interest: "How much did you
enjoy this food" (satiety) and "How much do you think what you ate first affected how
much macaroni and cheese you ate?" (nutrition label effect on intake). Both questions
were from RQ3 and were answered after consumption of the macaroni and cheese meal.
The first question referring to enjoyment was chosen in order to determine if enjoyment
of the food was related to a higher amount consumed. There was a significant correlation
between this question and amount consumed, r(48) = .548, p < 0.05. The second question
was chosen to determine whether participants reported a label effect. Responses to this
question were significantly correlated to the amount consumed, r(48) = -.290, p < 0.05.
There were no other significant correlations between any other rating questionnaire
questions and amount consumed. Therefore, the present study was unable to detect any
main effects or or any relationships between amount consumed, restraint or BMI.
V. Discussion
The results suggest that contrary to other studies, nutrition labels do not have a
significant effect on the amount of food consumed by college students. However, the fact
that this study was unable to support the hypotheses does not provide evidence that the
hypotheses were incorrect in general. Rather, it only establishes that the present study
conducted in the manner described was unable to detect any statistically significant
effects. Research conducted in other labs, however, suggests that this topic deserves
further experimental attention.
The results of this study indicate that participants consumed the same amount of
food regardless of restraint status, BMI or label information. Manipulating a label on a
granola bar did not cause participants to eat more of the macaroni and cheese meal.
However, previous studies show that simply the implication that a food is less fattening
than it actually is causes people to consume more of that food than when they are
exposed to the food's full-fat counterpart (Aaron et al., 1994; Miller et al., 1998). Thus,
the labeling of a preload might potentially affect it.
Also contrary to previous findings, the present study's results imply that
restrained eaters are no more effected by food's nutritional information than nonrestrained eaters. Despite their heightened awareness of the fat and caloric content of
food, restrained eaters did not consume less food when presented with the true label
condition than they did when presented with the "no fat" label. Restrained eaters are
usually more effected by a change in nutritional information than eaters classified as nonrestrained (Miller et al., 1998).
54
�Similarly, overweight individuals did not consume a significantly different
amount of food than individuals classified as normal. This result suggests that regardless
of body mass index, a person will consume the same amount of food when presented with
a low-fat or a full-fat food. Previous research has found that overweight or obese
individuals consume more food on average than individuals of normal body weight
(Cinciripini, 1984). When testing for correlations between variables, no significant
relationships were found. This suggests that there were no relationships between the
variables. Therefore, not only was the amount consumed not correlated with restraint or
body mass index, but also that BMI was not related to restraint score, for example,
overweight individuals did not tend to be categorized as restrained. This results is
inconsistent with previous findings indicating a positive correlation between BMI and
restraint.
The only significant relationships were those between the amount consumed and
the two ratings on satiety and label effects. Those individuals that enjoyed the macaroni
and cheese tended to eat more of it. The other question, which asked participants to rate
the degree to which the label influenced his or her behavior indicate that low BMI's were
correlated with a high rating of label effect. However, although these individuals reported
a label affect, their behavior indicates otherwise. This finding is interesting in that it
implies that the participants are not aware of their own consumption.
In summary, the results of the present study do not indicate any effects of
nutrition labels but, as mentioned earlier, there is still sufficient reason to believe that this
topic deserves further attention. Food packaging and nutritional information have proven
to have significant effects on behaviors such as food consumption and food selection
(Bone & France, 2001; Krebs-Smith et al., 1995; Caputo & Mattes, 1993). Therefore, it is
likely that combining the two together (the packaging and the information) into the
nutrition label would have significant effects on behaviors such as consumption.
The preload/test meal design is a common method used to examine different
effects on meal size. This method was different in many ways from previous studies of
this type. First, some studies required participants to complete take-home reports on
intake for a period of time before the study and throughout its completion (Caputo &
Mattes, 1993). Through this, the researchers were able to determine how much a person
had consumed on the day of the experiment and how much that amount varied on a day
to day basis.
It is also common for experiments using a preload/test meal design to use a
repeated measures design, where one participant is tested repeatedly in different
conditions and behavior is recorded. It allows the examiner to clearly discern changes in
behavior by using the same individual. It is common in a preload/test meal design to
implement repeated measures (Caputo & Mattes, 1993; Gray et al., 2002; Kim &
55
�Kisseleff, 1996; Krai et al. 2002). This study implemented an independent groups design
in which two groups are tested under one condition each. In this case, individuals were
tested only once and were randomly assigned to one of two label conditions. A repeated
measures design was not used in this study as it increases the chances the participants
would discover the purpose of the study. Furthermore, there was concern that participants
would not return for a second visit without compensation.
This study was also different from other preload/test meal experiments in that it
did not manipulate content of the preload, it simply manipulated the label providing
information about the preload. It is common to manipulate different aspects of the content
of a preload such as energy density (Krai et al., 2002), fat content (Caputo & Mattes,
1993) or volume (Gray et al., 2002). The preload manipulation is determined by what the
experimenter is interested in studying, therefore, the nutrition label was manipulated in
this case. It is possible that manipulating the label of a preload is too weak an effect to
cause a significant change in test meal size. A preload/test meal design, therefore, may
not have been suitable in this study.
There were many limitations to the present study that need to be considered in
order to interpret the results. One limitation was that of the experiment's setting. Without
the availability of a dedicated area for testing, participants in the study were required to
complete the experiment in the Psychology Department's computer lab. This room
presented less than ideal conditions for which to run a psychological experiment. The
room provided distractions such as computers, windows and external noises from
adjacent class rooms. These distractions may have caused enough of a disturbance to
result in a retention of the null hypothesis.
In addition, the lack of dedicated examination space left the researcher unable to
schedule as many participants as she would have liked. With the resources to test only
one participant at a time, the total number of participants tested was low. Furthermore,
recruitment of participants was often difficult as there was not a readily available source
of student participants to employ.
In addition to the less than ideal room setting, the examiner was restricted by
time constraints. First, the room in which participants were seen was only available in the
mornings and early afternoon. Also, the researcher was restricted by her own class
schedule and the class schedules of the participants. A steady pool of participants may
have created a more available range of students available at the same time as the
examiner. As a result, participants were seen at varying times throughout the mornings
and early afternoon. This may have had an effect on the amount of macaroni and cheese a
participant consumed. If, for instance, the participant attended the first experiment of the
day (in the morning) it may have caused them to eat less than a participant that arrived
for an appointment scheduled closer to lunch. However, participants were evenly spread
56
�throughout the appointment times and therefore, this potential confound should have
balanced out.
The study was also limited by the makeup of the participants. Due to the
experiment being conducted by an undergraduate student on a college campus, it was
difficult to recruit subjects outside of the classification of college student. Had the study
been performed on a wider range of ages and lifestyles, the results may have been
different. However, the participants studied were well distributed in the study in that the
number of restrained individuals was roughly equivalent in both the experimental and
control group. Also, the study was dominantly performed on white participants. The
number of other ethnic groups was insignificant.
It is also possible that the foods chosen for the study were not ideal. The
combination of a granola bar and macaroni and cheese may not have presented the
participant with an appetizing meal combination, especially for those participants tested
in the morning. This, therefore, may have caused the granola bar to have had an effect on
the macaroni and cheese consumption for different reasons than initially hypothesized.
Although, the granola bar/macaroni and cheese combination may have negated any
effects of a label on meal size. It is possible that the granola bar was so satiating, that it
overrode any effects of the labels. Also when considering food selection, the examiner
should have taken into account the possibility that participants would be familiar with the
granola bar and be aware that it is not a fat free food. Even if the participant was unaware
of the type of granola bar, there is still the possibility that they are aware of the fat
content of granola itself. During the debriefing, some participants informed the examiner
that they were aware that the label on the bag was inaccurate. This would remove any
effect the label would have had on consumption. However, due to lack of resources, use
of a homemade preload was not an option and the examiner was constrained to the use of
a commercially available product. Awareness of the label was essential to the success of
this study and deserves particular attention at this point of the discussion. As mentioned
earlier, the label containing the nutritional information was affixed to the clear plastic bag
containing the granola bar. However, the examiner could not ensure that the participant
was aware of the label. Despite placing the bag flat on the table in front of the participant
with the label face up, the possibility that the participant did not observe the label still
existed. The examiner could have verbally instructed the participant to take note of the
label; however, by doing so, faced the chance of drawing too much attention on the label.
This could have led some to believe that this "label" was a manipulated factor in the
experiment. This was a reasonable assumption since the majority of participants in this
study were recruited from the undergraduate psychology classes of Wagner College.
Therefore, many participants were familiar with the deceptive techniques used in
psychological testing. This issue was brought to the examiner's attention by several
57
�participants during their debriefing. Other participants informed the examiner that they
did not notice the label on the bag. In order to detect how significant an effect this factor
may have had on the results, the examiner should have included a question on the rating
questionnaires asking the participants whether they saw the label and, if they did see it,
what the label said.
There is also reason to believe that the effects of nutritional information have
been underestimated, not only in this study, but in previous studies on this issue. There is
sufficient evidence to conclude that nutritional information does have a significant impact
on cognitive food decisions. It has been discussed that a reason for finding a weak
correlation between nutritional information and consumption was in fact a result of poor
testing methods rather than an incorrect hypothesis (Wardle et al., 2000).
According to Wardle and colleagues, one reason for inaccurate test results in
previous studies may be due to the conduction of the studies with unreliable instruments.
This would reduce the power to detect any associations of the variable with the tested
material. Also, Wardle found that although clinical results may not prove to be
statistically significant, there are other real, and therefore, significant effects that are
simply more modest and harder to detect in an experimental setting. Wardle also
concluded that the previous studies on the relationship between food intake and
nutritional knowledge was too busy concentrating on the "fat content" and ignored many
other factors such as energy, density and other health factors associated with food. These
factors may also be taken into consideration for the failure of the present study to support
its own hypothesis.
In conclusion, future research on this issue must take into consideration all of
the issues described above. Future research on nutritional information and its effect on
consumption could lead to many useful discoveries about eating behavior. By
ascertaining different influences on the amounts of food people consume, researchers
may be able to modify the behavior of overweight individuals or prevent overeating in
others.
V. Acknowledgements
This study was made possible by a grant from the Wagner College Faculty Grant Fund.
The author would like to thank the Department for their support and assistance
throughout the running of participants. Their patience and tolerance made this study not
only possible, but easily carried out. The author also thanks them for generously sharing
their facilities and technology with her to aid in the collection of data. The author also
thanks each student that participated in the study for donating their time to the research.
Special thanks are extended to Dr. Amy Eshleman for her assistance in data analysis.
Lastly, the author would like to extend her deepest appreciation to Dr. Laurence J. Nolan
58
�for his guidance and inexhaustible assistance in both creating this study and ensuring that
it be carried out properly. His dedication to this project, whether in his countless revisions
or numerous hours spent analyzing data, is greatly appreciated by the author and deserves
the sincerest gratitude. It is to Dr. Nolan that I dedicate this paper for without him, none
of this would have been possible.
VII. References
Aaron, J.I., Mela, D.J. & Evans, R.E. (1994). “The Influence of Attitudes, Beliefs and
Label Information on Perceptions of Reduced-Fat Spread”. Appetite, 22, 25-37.
Bone, P.F. & France, K.R. (2001). “Package Graphics and Consumer Product Beliefs”.
Journal of Business and Psychology, 15(3), 467-489.
Caputo, F.A. & Mattes, R.D. (1993). “Human Dietary Response to Perceived
Manipulation of Fat Content in a Midday Meal”. International Journal of Obesity and
Related Metabolic Disorders. 17f4\ 237-240.
Cinciripini, P.M. (1984). “Food Choice and Eating Behavior Among Obese, Lean, and
Normal Individuals”. Behavior Modification, 8(3), 425-443.
Gatenby, S.J., Aaron, J.L, Morton, G.M. & Mela, D.J. (1995). “Nutritional Implications
of Reduced-Fat Food Use by Free-Living Consumers”. Appetite, 25, 241-252.
Gray, R.W., French, S.J., Robinson, T.M. & Yeomans, M.R. (2002). “Dissociation of the
Effects of Preload Volume and Energy Content on Subjective Appetite and Food Intake”.
Physiology & Behavior, 76. 57-64.
Kim, J.Y. & Kissileff, H.R. (1996). “The Effect of Social Setting on Response to a
Preloading Manipulation in Non-Obese Women and Men”. Appetite, 27, 25-40.
Krai, T.V.E., Roe, L.S. & Rolls, B.J. (2002). “Does Nutrition Information about the
Energy Density of Meals Affect Food Intake in Normal-Weight Women?” Appetite, 39,
137-145.
Krebs-Smith, S.M., Heimendinger, J., Patterson, B.H., Subar, A.F., Kessler, R. &
Pivonka,E. (1995). “Psychosocial Factors Associated with Fruit and Vegetable
Consumption”. American Journal of Health Promotion, 10, 98-104.
Lloyd, H.M., Paisley, C.M. & Mela, D.J. (1995). “Barriers to the Adoption of Reduced-
59
�Fat Diets in a UK Population”. Journal of the American Dietetic Association, 95(3), 316322.
Martins, Y., Pelchat, M.L. & Pliner, P. (1997). "Try It; It's Good for You: Effects of
Taste and Nutrition Information on Willingness to Try Novel Foods”. Appetite, 28, 89102.
Mela, D.J. & Nolan, L.J. (1996). “From the Lab to the Living Room: Consumer Studies
of Ingestive Behavior”. Appetite, 26. 303.
Miller, D.L., Castellanos, V.H., Shide, D.J., Peters, J.C. & Rolls, B.J. (1998). “Effect of
Fat-Free Potato Chips With and Without Nutrition Labels on Fat and Energy Intakes.”
American Journal of Clinical Nutrition, 68. 282-290.
Rosen, J.C. (1981). “Effects of Low-Calorie Dieting and Exposure to Diet-Prohibited
Food on Appetite and Anxiety”. Appetite: Journal for Intake Research, 2, 366-369.
Stunkard, A.J. & Messick, S. (1985). “The Three-Factor Eating Questionnaire to Measure
Dietary Restraint, Disinhibition and Hunger”. Journal of Psychosomatic Research, 29(1),
71-83.
Wardle, J., Parmenter, K. & Waller, J. (2000). “Nutrition Knowledge and Food Intake”.
Appetite. 34. 269-275.
Figure 1: Timeline of Experimental Procedures
60
�Table 1: Descriptive Statistics of Age, BMI and Restraint Scores of Participants
Variable
Age
BMI
Restraint Score (TFEQ)
N
49
49
50
Mean
19.63
24.62
8.56
Standard Deviation
1.22
5.59
4.97
Table 2: Descriptive Statistics of BMI and Restraint Score by Label Condition
True Label Group (Control) N=26,9 Male
Variable
Age
BMI
Restraint Score (TFEQ)
N
26
26
26
Mean
24.51
8.58
19.38
Standard Deviation
5.86
4.93
1.17
“No Fat” Label Group (Experimental) N=24,8 Male
Variable
Age
BMI
Restraint Score (TFEQ)
N
23
24
24
Mean
24.74
8.54
19.91
Standard Deviation
5.39
5.11
1.24
Table 3: Nutritional Information of Food
Food
Nature Valley
Oats`n Honey
Crunchy Granola Bars
Kraft Velveeta
Shells & Cheese
Serving Size
Fat Content
Calorie Content
42g (2 bars)
6g
180
500g
52g
144
61
�Table 4: Descriptive Statistics of Amount Consumed (grams) by Label Condition
M
SD
N
Control
260.10
123.79
26
Experimental
254.68
122.00
24
Table 5: Descriptive Statistics of Amount Consumed (grams)
by Label Condition and Dietary Restraint
Restrained
Non-Restrained
Control
Experimental
M=213.26
SD=58.06
N=9
M=284.89
SD=142.73
N=17
M=258.82
SD=122.90
N=10
M=251.73
SD=125.90
N=14
Table 6: Descriptive Statistics of Amount Consumed (grams) by Label Condition and BMI
Normal
Overweight
Control
Experimental
M=236.07
SD=108.74
N=18
M=314.15
SD=145.58
N=8
M=243.22
SD=120.06
N=13
M=265.42
SD=135.30
N=10
62
�Table 7: ANOVA Test Results of Between-Subjects Effects of Amount Consumed
Main Effect
df
F
p
Label Condition
1, 41
0.390
0.845
Restraint Group
1,41
1.720
0.197
BMI Group
1,41
1.109
0.298
Restraint by Label
1,41
2.477
0.123
Restraint Group and BMI Group
1,41
0.999
0.323
BMI Group, Label
1,41
1.920
0.664
Restraint Group, Label and BMI Group
1,41
2.105
0.154
Table 8: Correlations
Label Effect
Amount
Restraint
BMI
Satiety
Label Effect
Amount
Restraint
r=0.151
p=0.294
r=0.548
p=0.000
r=-0.008
p=0.954
r=-0.117
p=0.422
r=-0.102
p=0.481
r=0.269
p=0.059
r=-0.290
p=0.043
r=-0.235
p=0.101
r=0.148
p=0.312
r=0.104
p=0.476
63
��Section IV: Critical Essays
�The Invention of Homosexuality
Frank G. Garritano 1 (Psychology)
Sexuality, as we know it, did not exist much before the 20th century. Surprising
as it may be to some, our sacrosanct definition of human sexuality, embodied in the
“Heterosexual / Homosexual” paradigm, did not exist before the late 1800’s. With only a
cursory glance at the current state of affairs, it seems fairly self-evident that indeed,
heterosexuality and homosexuality are very much real parts of our lives. This leaves one
wondering -- what was human sexual life like before the late 19th century? Sexual life no
doubt existed, was, and is a fundamental aspect of the human experience – but in what
ways did that experience differ? Through the objective examination of previous modes of
categorizing sexual behavior, we hope to demonstrate that the current system of
classifying sexual behavior is a fairly recent invention, with many unforeseen
consequences. With this in mind, we can then subject the current system of “Hetero” and
“Homo” to dissection and closer examination, revealing some of the problems intrinsic to
this mode of classification. Lastly, unburdened by the rigid requirements imposed by the
“Hetero / Homo” paradigm, we can attempt to arrive at a more accurate depiction of the
fundamental nature of human sexuality.
The first task in unraveling the tangled web of contemporary sexuality is to
attempt to demonstrate that our current system of classification is, at best, arbitrary, and
at worst, harmful. The simplest way to demonstrate that our hetero/homo system is
inadequate is to devote some time briefly to introducing past methods of organizing
sexual behavior, most specifically those of the Greeks and of pre-19th century individuals.
This forces one to acknowledge that our current way of classifying (Hetero / Homo) may
in fact not be the universal truth it has been exalted as, and may actually impede the
discovery of said truth.
Before we begin, it would first seem prudent to mention briefly the context of
the contemporary debate over homosexuality. The essence of the debate has long been
argued from one of two intellectual camps: constructionism, or essentialism. The
constructionists argue that homosexuality is a social construction, and as such, is a
peculiarity specific to our way of life and not necessarily an integral part of the human
psyche. Essentialists argue the other side of the coin, maintaining that homosexuality is
an essential part of the human experience and so must have existed throughout all of
1
Research performed under the direction of Dr. Miles Groth (Psychology)
66
�time. However, as with so many other things, neither is entirely true, and neither is
entirely false. The truth, instead, seems to lie somewhere in between.
Many people make the mistake of assuming that the ancient Greek relationship
with boys is an analogue for modern day homosexuality. In fact, the crux of the
essentialist argument rests very strongly on the assumption that Greek pederasty
relationships are identical, or at least comparable, to modern homosexuality. This is a
very dangerous assumption to make, and one that is easily called into doubt. Firstly, most
Greek males who participated in these relationships were “bisexual” – meaning that at
some points, they would enter into sexual relationships with boys or men, and at others
they would participate in the more “traditional” sexual relationship with one’s wife (How
to, 2002). This clearly jives with our current system of sexual classification. David
Halperin, in his book “One Hundred Years of Homosexuality,” also reminds the reader
that the ancient Greeks viewed sex not as a consensual act in which two people
participated, but as an act performed by one person unto another (1990). The act of
penetration was associated with the masculine, and the act of being penetrated was
associated with the feminine. This is representative of the very intimate way in which
sexual roles, social class, age, status, and masculinity were related to the sexual act. The
Greek relationship with boys was a relationship characterized by differences in age,
social class, power, social responsibility, citizenship and masculinity. There is no
question that contemporary homosexual relationships exist which could be characterized
by many, if not all of the same values. But it would be a grave ‘category mistake’ to
assign to homosexuality all those things which embodied the Greek pederasty
relationships (How to, 2002). Therefore, any reading of history in which a person
analogizes Greek pederasty with contemporary homosexuality is guilty of projecting the
present into the reading of history – of forcing Greek sexual culture to fit into our narrow,
rigid definitions of hetero and homosexuality.
Moving a bit closer to the present, our attention is drawn to that seeming limbo
existing between the definition of the modern notion of sexuality and all the rest of
history. In 1892, the word “homosexuality” was first created, although it did not appear
in popular academic or colloquial use until much later. David Halperin states, “Before
1892 there was no homosexuality, only sexual inversion. Sexual inversion, the term used
most commonly in the nineteenth century, did not denote the same conceptual
phenomenon as homosexuality” (One Hundred, 1990). In fact, the term ‘sexual inversion’
denoted quite a large variety of sexual pathologies and deviant behavior, of which
homosexuality was only one type (One Hundred, 1990). Instead, the new terminology
centered on what is referred to as “sexual object choice;” or more simply, a persons
preferred sexual partner. Halperin goes on to continue to suggest that a “blandly
descriptive, rigorously clinical” term like “homosexuality” may appear to be innocuous
67
�as a taxonomic device, but points out that the distinction carries with it a large amount of
ideological baggage, and has in fact presented “a significant obstacle to understanding the
distinctive features of sexual life in non-western and pre-modern cultures” (One Hundred,
1990). The existence of categories such as hetero and homo presuppose that there exists
in every individual some “seat of power” from which a persons “sexuality” (embodied in
their “sexual object choice”) reigns supreme, a notion absent from any pre-modern
accounts of human sexuality.
After only a brief review of certain types of sexual relationships to be found in
ancient Greece and pre-modern history, it becomes painfully obvious that the distinctions
made between sexual object choice in the contemporary classifications of hetero and
homosexuality are seemingly arbitrary. At no point does a reason present itself for the
removal of homosexuality from the far-reaching category of “sexual inversion” to the
dualistic, object-choice based paradigm of hetero / homosexuality. In addition, it would
also appear that our sexual-historical endeavors have been so greatly contaminated by our
projection of contemporary sexuality into the past (as evidenced by the way many people
identify pre-modern and historical Greek relationships with modern day systems of
classification) that we can longer envision a world in which things exist differently than
the way they currently do.
As Halperin notes, “homosexuality” does indeed appear to be an innocuous
taxonomic device (One Hundred, 1990). However, the truth of the matter is that our
current system of sexual classification has created a whole host of problems, and perhaps
undermined efforts to determine the features characteristic of human sexuality in general.
Perhaps the most pervasive of these problems are heterosexism and homophobia, which
share an unmistakable yet oft-unnoticed relationship.
Heterosexism can be defined as “a setting-level process that systematically
privileges heterosexuality relative to homosexuality, based on the assumption that
heterosexuality, as well as heterosexual power and privilege are the norm and ideal”
(Chesir-Teran, 2003). Take a moment to simply read those words, and entertain their
meaning for a moment. Many people fail to realize the extent to which we live in a
heterosexist world (i.e., the extent to which heterosexism is enshrined in our public
institutions). Many people also internalize the values of heterosexism, sometimes without
even fully realizing it. But what are those values, and why are they such a problem? The
basis for the heterosexist belief is that heterosexuality is in fact superior to homosexuality
-- be it for whatever reason. There are many reasons that someone might choose to accept
this statement at face value, and to many I am sure the statement does not appear to be so
inappropriate or problematic. However, consider for a moment the dangers inherent in
this belief. In an article entitled “Conceptualizing and assessing heterosexism in high
schools” in the American Journal of Community Psychology, Daniel Chesir-Teran posits
68
�(quite convincingly), that evidence of heterosexism can be found in “reduced feelings of
school safety, increased sexual risk, fewer same-gender friendships, and more rigid
attitudes about gender appropriate activities, goals, and careers” (2003). In other words,
the reason homosexual boys have such difficult times in high school, both anecdotally
and as evidenced by school records, is heterosexism. Increased suicide rates among
homosexual youth, higher rates of illicit drug use and unsafe sexual practices – just about
every single pitfall that modern homosexuals face on the rocky road to adulthood can be
related to heterosexism. In a paper of such limited scope, it is difficult to impress upon
the reader the urgency of this message without approaching a level of detail that is simply
unrealistic for this work. However, the structure of heterosexism is the same as every
other “ism” used by a majority to oppress a minority – it bears the same, unfounded
assumptions as to one groups “superiority,” it imposes unfairly on a whole group of
people a ‘lower’ level of ethical and moral consideration (since that is the definition of
inferior), and it gives to the ruling group a sense of superiority and “rightness.” This is all
excluding the inevitable potential for violence and “gay bashing” that goes along with
such a system, and, in fact, this system of heterosexism neatly explains the reason that
homosexuals are considered to be “acceptable targets” for abuse by many elements of
society today. Heterosexism is, in short, oppression of a minority by the tyranny of a
majority – an act condemned as it repeats itself throughout history, yet, American society
remains oddly acquiescent over the presence of heterosexism.
So, heterosexism exists – that much appears incontrovertible. The extent to
which it may or may not saturate the world we live in is not so clear. However, why does
heterosexism exist? To begin, it would be fruitful for us consider homophobia. Little time
needs to be spent documenting the fact that feelings of homophobia are positively
correlated with feelings of homosexual desire. One such example is a study done by
Adams, Wright, and Lohr in which they demonstrated that homophobic men showed
greater physiological sexual arousal to consensual male homosexual activity than those
who did not report negative affect towards homosexuals (1996). It is sometimes
postulated, as a way of explaining this relationship between homophobia and homosexual
desire, that homophobic individuals, “shamed” by society’s view of their innate
homosexual desire, sublimate that desire into homophobia. It seems, in addition, the
“shame” felt by these individuals could be considered evidence of precisely just how
deeply people internalize the heterosexist norm under which we now live. Those
individuals may internalize societies heterosexist rhetoric so deeply, that in the end, they
feel quite ashamed of their desires, causing them to display those characteristics we
would ascribe to homophobes. Let us now consider heterosexism and homophobia in the
same vein: heterosexism is the systematic privileging of heterosexuality over
homosexuality, and homophobia is marked by a certain ‘fear’ of homosexuality and
69
�homosexual behavior, predicated on an individuals own subconscious homosexual desire.
Could homophobia be the root cause of heterosexism? Could not the method by which
heterosexism has come to dominate sexual thought in America be through homophobia?
If homophobes do in fact have homosexual desires themselves, it is possible we have a
solution: homophobes, discouraged from their own feelings of homosexual desire by
societies heterosexist attitudes, instead sublimate those homosexual desires into a
homophobic attitude. Similarly, society’s heterosexist attitude is reinforced and affirmed
by the feelings of homophobic individuals. The presence of one half-of the equation
seems to buttress and otherwise reinforce the other, hence the reference to an “intimate
relation” between homophobia and heterosexism – each by its very existence allows the
flourishing of the other. Incidentally, this reasoning may also leave room to adequately
explain a problem that has eluded psychologists since Freud himself: the “problem” of
strictly heterosexual desire felt for women by heterosexual men.
After all of this, it seems fairly self-evident that perhaps the heterosexual /
homosexual paradigm is lacking, and fails to embody the complexities inherent in human
relation. It becomes very easy to question the stability and rationality of the current
sexual economy, but it is much more difficult to take those criticisms and observations
and to use them in the creation of a newer, more humane sexuality. (Note: The use of the
word ‘humane’ conjures up vivid images, but what could we call our system of sexuality
if not “inhumane,” for the irreparable damage that it does to the psyche of countless
homosexuals reared in a heterosexist and homophobic world)?
The system of sexual classification under which we live would appear to be at
fault for the problems discussed previously. The root of all those problems, however, can
be effectively traced back to a single, psychological mechanism that everybody employs
– defining what it is that is and is not normal. David Schwartz, in a paper in the Journal
of Psychoanalytic Psychology, argues very strongly against psychoanalytic theories of
human development (1999). Schwartz states, “developmental models are myths of origin
for the modern age,” providing “science-like paradigms of the sources of disturbance,
psychopathology, and perversion” (1999). Schwartz is driving at the fact that
developmental models, or any model where an individual is “fit” into carefully laid out
paradigms of normality and abnormality, without regard for that individual, are
inherently flawed. This idea can be taken and applied to our modern day “Heterosexuality
Paradigm,” where it serves as an explanation why the system of sexual classification we
are saddled with today came to fruition in the first place – to attempt to define what it is
that is abnormal (homosexuality), and to thusly arrive at that which is normal
(heterosexuality). A questionable goal, if ever there was one.
After laying out the groundwork for the critical analysis of our modern day
heterosexuality paradigm, we are left with little. Unfortunately, our own contemporary
70
�perceptions as to the nature of human sexuality have so clouded our perceptions that we
no longer have the freedom of thought to easily conceive of sexuality existing in a
framework outside of the one in which we live. However, it is not entirely impossible to
imagine sexuality existing in some other manner, and relating in some different way to
human experience. Taking what we have learned about pre-modern and ancient Greek
sexuality, along with what we have learned about the problems our current system of
thought leaves us with, we can attempt to identify some of the features that would seem
to be innate to our human sexuality.
The first, most startling notion to demand attention is the seemingly ambiguous
and amorphous characteristic of our sexuality. After envisioning sexuality in a strictly
hetero/homo framework for so long, it can come as quite a surprise to see how bidirectional our sexuality can be. For example, it is no secret that inside prison, many
otherwise “heterosexual” men engage in homosexual sexual acts. It is also no secret that
this is usually not a “permanent” change and that as soon as the men leave prison, they
generally return to their “heterosexual” way of life. Similarly, in ancient Greece, men
who were otherwise married and actively participating in domestic and civil life also
engaged in pederasty relationships with boys. Contrast this to our modern world, in
which nearly everyone is polarized: either exclusively heterosexual or exclusively
homosexual. The idea that sexuality is amorphous flies in the face of the idea that our
sexuality is directed at a particular sex – the two cannot coexist – one is necessarily more
correct than the other. Unfortunately for us, the model that we have chosen appears to be,
for lack of a better word, simply wrong. As Kinsey put it in his landmark study in 1948,
“People do not represent two discrete populations, heterosexual and homosexual...It is a
fundamental fact that nature rarely deals with discrete categories. Only the human
categorizes and pigeonholes…” (Kinsey, 1948).
Another feature of the modern era is our obsession with sexuality. Since Freud
and the development of psychoanalysis, every aspect of human existence has been
considered psychosexually, and indeed, Freudians still see “a phallus” or “an Oedipal
complex” in every feature of human psychic life – the sexualization of the psyche, if you
will. Everywhere we look we are saturated in sexual imagery – television, billboards, the
very clothes that we wear. The final conclusion thus becomes not only, “Maybe we got
the idea of human sexuality wrong,” but also “maybe we are making a big deal out of
nothing,” meaning perhaps our obsession with sex is not only unnatural, but harmful.
Indeed, after all of our inquiry we are left with many more questions than we are
answers. Sexuality is indeed a feature of human existence, but agreement tends to stop
there. The roles sexuality should have in our lives as well as the nature of our own
sexuality are puzzling questions without simple answers. The truth is, we do not know
what it is that makes us sexual beings, or why it is that we experience sexual attraction
71
�and feeling in the way that we do. Through methodological historical inquiry however,
we have been able to identify the features of pre-modern and ancient Greek sexuality, and
thusly to compare the characteristics of such with our own system of sexual
classification. Doing so has yielded not only invaluable information about the system of
sexual organization that exists today, but also provided insight into the elusive “nature”
of our own sexuality. We are certainly not close to the level of social change that would
be required to institute a shift from a hetero/homo framework to one more attentive to the
features and nuance of our own sexuality. However, the vehicle for social change is
discussion, and without discussing where we are, we will never be able to accurately
identify how we got here, or how to move forward.
Works Cited
Adams, H.E., Wright, L.W., Lohr, B.A. (1886) “Is homophobia associated with
homosexual arousal?” Journal of Abnormal Psychology, v. 105, pp. 440-445.
Aries, Philippe. (1985). “Thoughts on the History of Homosexuality” in Philippe Aries
and Andre Bejin (eds.), Western Sexuality. London: Blackwell, pp. 62-75.
Chesir-Teran, Daniel. (2003). “Conceptualizing and Assessing Heterosexism in High
Schools: A Setting-Level Approach” American Journal of Community Psychology, v. 31,
pp. 3-4.
Halperin, David. (2002). How to Do the History of Homosexuality. Chicago: U Chicago
Press, pp. 104-137.
Halperin, David. (2003). “Introduction: Among Men – History, Sexuality, and the Return
of Affect” in Katherine O’Donnell and Michael O’Rourke (eds.), Love, Sex, Intimacy,
and Friendship Between Men 1550-1800. New York: Macmillan, pp. 1-11.
Halperin, David. (2002) “Introduction: In Defense of Historicism” in How to Do the
History of Homosexuality. Chicago: University of Chicago Press, pp. 1-23.
Halperin, David. (1990). “One Hundred Years of Homosexuality,” in David Halperin
(ed.), One Hundred Years of Homosexuality and Other Essays on Greek Love. New
York: Routledge, pp. 15-40.
72
�Hensley, C., Tewksbury, R., Wright, J. (2001). “Exploring the Dynamics of Masturbation
and Consensual Same-Sex Activity within a Male Maximum Security Prison”, The
Journal of Men’s Studies, v. 10.
Katz, Jonathan N. (1996). The Invention of Heterosexuality. England, Penguin Books.
Schwartz, David. (1999). “The Temptations of Normality: Reappraising Psychoanalytic
Theories of Sexual Development,” Psychoanalytic.
73
�A Concern for an Individual Will Bring
Forth a Concern for the Whole
Amy Jensen1 (English)
The Sky, the Stars and the Wilderness by Rick Bass (1997), is a novella which
exemplifies various environmental views that exist in the world. One of the main issues
that defines an environmental view is how a person relates to other species. Do they
think species should be protected or regulated or left alone? These questions can only be
answered when it is clear where a person’s concern lies. Is their concern with an
individual, or a species? Or is it a total disregard for nonhuman species altogether and a
focus on only what the use of the environment is to humans? According to ecological
holism, as explained in Environmental Ethics by Joseph R. Des Jardins (2001), “the value
of an individual organism is derived in part by its function, role, operation, relationships
and the like” (190). As Des Jardins explains, the environmental view that thinks in terms
of the individual often leads to misinformed and risky management policies. Anne, the
narrator of The Sky, the Stars, and the Wilderness, feels a connection with the individuals
of nature and proves that the more concerned a person is with the individual of a species,
the more responsible and reverent they will feel towards the species as a whole, and will
therefore make decisions based on this view.
Anne experienced a unique childhood where she was immersed in a natural
environment each and every day. She holds nature in very high esteem and views nature
as a part of herself and as something to be respected. She was raised to hold such values
by her grandfather, mother, and in a lesser respect, her father. Her grandfather taught her
that “it was important to know the names of things--that once the names could be spoken,
knowledge would follow” (Bass 99). He appreciated each individual species that was on
the land that they lived on, and his granddaughter inherited this appreciation. She strived
to learn the names and characteristics of each and every bird species. She related to them
from the beginning of her life. She imagined the birds that would have been around in
the season that she was born. She learned how different species of birds hunted prey, and
the different songs the birds would sing (Bass 129).
Anne, however, was not only interested in birds but also in the many other
creatures that existed near her home on Prade Ranch. Grandfather had a guidebook
where he showed her what each creature, or flower or smell or sound was (Bass 93).
1
Research performed under the direction of Dr. Kim Worthy (Writing Center)
74
�Anne developed such an interest in all wild things that she explored the country with
maps her Grandfather made or with her Grandfather. The year after her mother had died,
Anne felt obligated to learn all that her mother had about nature as well as new things
that her mother might not have known on her own (Bass 93). Anne was intent upon
knowing every aspect of the land on which she lived, just as her Grandfather did. She
knew that it would take her an entire life to accomplish such a large feat (Bass 125). The
land had impressed itself upon Anne and she learned and imprinted the rules and systems
of the land (Bass 114). As she grew, the land became a part of her. Because of this, she
felt a connection not just to the birds or her family home, but to the land as a whole from
the trees to the animals to the river and rocks, as well as to the spirit of her mother.
Anne’s mother died when Anne was still a young child, only eight years old.
Her mother, like her grandfather, had a great appreciation and love for nature which she
shared with her children. When she died, Anne did not refer to her “burial” but her
“planting”. Her mother became a part of the nature that she and her daughter loved
dearly. When Anne felt the need to be with her mother, she would run through the woods
and experience all the beauty that nature holds and she felt like her mother was all around
her. She viewed her mother as once an individual, but after her death, as a part of the
whole environment. The narrator found her mother not only in the place she was
“planted,” but throughout the natural environment. She continued to visit her grave and
shared her thoughts with the presence of her mother’s spirit (Bass 137). By experiencing
the environment as a whole, Anne was able to experience her mother’s individual spirit.
Because her brother was so young when their mother died, Anne wanted to
share with him the presence of their mother’s spirit which she found in the woods.
“There is no other way to explain it: we’d run until Mother was alive…We’d run until we
ignited, until we blossomed, in her presence” (Bass 105). By immersing themselves in
nature, Anne hoped that her brother would be able to feel and remember their mother.
Anne and her brother would stay in the woods late, past midnight. This seems unusual, it
would be expected that the Father who had already lost his wife, would be over protective
of his children. But he appeared to have understood that his children could experience
their mother by experiencing nature in its entirety. Even if he did not understand
completely, he respected Anne’s connection with her mother through nature.
Anne’s family respected the environment as a whole, although they did utilize
individuals of the environment for their own benefit. For example, on a trip to the beach,
her father and her grandfather’s friend, Chubb, caught fish and “that was enough for
breakfast” (Bass 143). They did not use anymore than they needed. Anne realized the
difference between fishing individual fish for food and hunting individual animals for
sport. Hunting for sport displays a disregard for the individual as well as the whole. This
lifestyle is very similar to that which Deep Ecologists promote, that is, a lifestyle which
75
�“treads lightly on the Earth.” This lifestyle is simple, self-reliant, and found in
decentralized communities (Des Jardins 226). This was the life that Anne grew up in.
Although her family did use animals for food, they never killed more than what would
feed the family for one meal. When Anne brought her boyfriend Stan, to her family
home, he was wary of eating meat because he was a vegetarian. Anne forced him to eat
the venison ham from the deer her Father shot the year prior. Although it seems that she
is disrespecting her boyfriend’s beliefs by coercing him into eating the meat, it is clear
where her respect lies. Anne had a respect and concern for the environment as a whole
which makes the allowances for individuals of a species to be used by humans.
Also on this trip to the beach, Anne learned the respect and power other forms of
nature can have. Her family had decided to camp out on the beach. When the tides came
in, Grandfather wanted the family to “Stand your ground. It’ll be all right” (Bass 139).
However, the rest of the family disagreed and as the tides became larger and closer to
where they were had set up camp, they moved the car out of reach from the ocean. The
next morning, Anne described the beach as looking calm and friendly again (Bass 141).
Even her Grandfather, who had taught her so much about nature, still had things to learn
especially regarding the power that these forms of nature have.
The way Grandfather wanted to “stand ground” against the ocean was similar to
the lack of respect that the Predator’s Club had for the animals they killed. Although the
Grandfather did not seem to want to eliminate the ocean, the yearning for dominance is
still evident in his urging his family not to back off from the powerful waves.
The Predator’s Club was an organization whose purpose was to eliminate the
predator species that they claimed were threatening their crops or livestock. The view of
the Predator’s Club is that of domination. The Predator’s Club views nature as
something that is only present to be utilized by humans. To them, “it was all a huge
game, like chopping firewood for the winter: seeing who could gather the biggest stack of
dead wild animals to take in for bounties” (Bass 145). The Predator’s Club was not
killing a wild animal that attacked their cattle or sheep. They were killing wild animals
before there was an attack. The Predator’s Club was not trying to kill individual wild
animals to protect their livelihood, but an entire species for no good reason except
“sport.”
The Predator’s Club also used poisons which not only affected the wild animals
they were trying to kill but also the other animals such as robins, rabbits, raccoons, dogs,
cats, foxes and squirrels. As the narrator describes, “The land was aching with poison.
For the first time, we were afraid to drink the water straight from the river, as we’d done
all our lives” (Bass 152). The Predator’s Club did not seem to realize or care that all
aspects of nature are connected. When some aspect is changed or poisoned, there will be
an affect on the other species. Another effect the Predator’s Club had on the environment
76
�was that the lack of coyotes, hawks and eagles, caused an increase in the rabbit
population. As Anne was driving home from college on the weekends, rabbits would run
out into the middle of the road, and she would “swerve to miss one and would hit another
one…It was impossible to miss them and it would make me angry” (Bass 155). It made
her angry because she felt responsible for the overpopulation because of her sin of
omission. Because she failed to tell her father about the proof she had that there were
illegal killings of certain species by the Predator’s Club, certain species such as hawks
were becoming extinct in her town. As a result, the entire food chain was disrupted and
certain creatures, such as the rabbits, were multiplying and not dying out. There is a
balance to nature and when humans disrupt it, there are consequences. Anne felt that she
was responsible for this disruption because perhaps if she had informed her father, the
killings by the Predator’s Club would have stopped.
Although the Predator’s Club killed off the coyotes and eagles, it was Anne who
felt responsible for their extinction in her town. Anne went to school with Alicia, the
daughter of the Predator’s Club President. Anne felt that there was something wrong
with Alicia; that because her father was so mercilessly killing wild animals, Alicia just
was not right. When Alicia told the kids at school that her father kept eagle talons and
beaks from the eagles her father killed, no one believed her. When Alicia approached
Anne with solid proof, bracelets made out of eagle talons, Anne was amazed by the
power she felt from the talons, even after the eagle’s death (Bass 152). That eagle
represented much more than just an illegal killing. Anne had several difficult decisions
to make because that girl showed her a bracelet. She could have told her father and the
Predator’s Club members could have gone to jail for killing endangered species. She also
could have befriended Alicia, who was a lonely young girl who was less than invisible to
her schoolmates.
Another sin of omission that Anne committed during her childhood that shows
her strong sense of the whole through the individual, was not telling her father of the
golden eagle that she discovered in the woods which had been shot with a bullet. She
believed initially that the eagle was just resting. She tried to keep the eagle warm, but it
was already dead. Anne disposed of the eagle’s body in a very strange way. Anne hid
the eagle because it was proof that the endangered eagles were being shot and killed
which was illegal. She climbed up to the top of a mountain and carried it up above the
cliffs and placed the eagle on a huge dead oak. She tied the eagle to the tree so that it
could “see” down to the river. She posed it in such a way that it appeared to still be alive
(Bass 149). The eagle, though dead, was still a part of nature and would continue to be
so as its body returned to the earth to nourish it, in a cycle connecting it with every other
part of nature.
77
�Anne chose not to say anything to her father on both of these occasions because
she was afraid that the Predator’s Club would try to kill her father to keep themselves
from going to jail (Bass 146). Looking back, Anne seems to regret her decision of not
telling her father. In hindsight, she believed that it would have made a difference and the
predator species would not have died out. This is a large responsibility for one person to
bear, especially since she never hunted an eagle. If she had told her Father about the
individual eagle that she had found shot, he might have been able to prove that the
Predator’s Club members were illegally killing eagles. However, with the power the
Predator’s Club had they might have killed Anne’s father in an attempt to silence him.
Anne had to choose how to protect the eagles whom she felt were a part of herself or her
father. In the end, she sacrificed a part of herself to save her family as a whole.
Anne had a strong connection with nature during both of these incidents and
displayed a guilty conscience because she truly believed that if she had informed her
father of the incidents she had observed, that a significant difference would have been
made and she could have protected the nature that she held in such reverence. She did
not agree with the dominant views of the Predator’s Club because she viewed nature as
something that was not to be dominated but as something that humans should be able to
live alongside and experience without controlling.
Ecofeminism plays a large role in The Sky the Stars and the Wilderness.
Ecofeminism is an environmental worldview which makes the connection between social
domination and the domination of nature (Des Jardins 249). Ecofeminism also looks to
the society to find the source of underlying environmental problems (Des Jardins 235). It
is clear that the dominant force in Anne’s community is the Predator’s Club. They tried
to dominate nature by controlling the predator population. Socially, the members of the
Predator’s Club drove fear into other members of the community. Anne was fearful of
telling her father about the dead eagles because she knew that the Predator’s Club would
have no reservations about killing her father to keep from going to jail.
The domination of both social situations and the environment creates a contrast
to Anne’s view on life which is consistent with Aldo Leopold’s view that first one must
“love, respect and admire the land before applying land ethics” (Des Jardins 252). The
Predator’s Club’s environmental ethics were from a point of view that was not from love,
respect or admiration but rather from a view that was based strictly on domination and
looking at the natural world as something that should be used for human benefit. Anne
and her family had a respect for individuals of nature. Because of this, they also had a
respect for nature as a whole. By growing up in a place where nature was viewed as such
an important part of life, Anne developed a love and respect for nature. Out of this love
and respect grew a feeling of responsibility to make sure that the nature that was a part of
herself was protected from those who wanted to change it or remove species.
78
�Anne, the narrator of The Sky, the Stars, the Wilderness, felt a connection to
individuals and made decisions for the whole because of her connection to individuals.
She and her family had a belief system which is most closely associated with that of
Leopold where decisions based on land ethics were applied with a point of view of love,
admiration and respect for the land. Because there was respect for the land and its
inhabitants, the decisions that Anne and her family made were not of dominance but of
coexistence, unlike the Predator’s Club who sought to dominate the land and those
animals they felt were nuisances. Environmental ethics, the question of which is the best
course of action as time progresses will continue to be debated. However, it is clear from
the example of Anne’s Grandfather and the ocean that not all forms of nature can or
should be dominated. Anne viewed the many parts of the land as part of herself, and
made decisions with this view in mind. Nature is an unavoidable centrality of everyday
life, even in the most industrial parts of the world. It is evident that the way people
perceive nature’s role in their lives will dictate how they will view nature when the
subject of environmental conflict is at hand.
Works Cited
Bass, Rick. The Sky, the Stars, and the Wilderness. First Mariner Books, Houghton
Mifflin Company: New York: 1998.
Des Jardins, Joseph R. Environmental Ethics: An Introduction to Environmental
Philosophy 3rd Edition. Wadsworth Thomson Learning: California: 2001.
79
�Scheherazade of Latin America:
Eva Luna as Archetypal Storyteller
Brianna Doughty1 (Arts Administration)
Eva Luna, by Isabelle Allende, uses storytelling as a way of formulating
characters, communicating with the outside world, and dealing with the trials of daily life
in a therapeutic way. Stories are used as a source of strength, lending power and clarity
to characters in the novel. The storyteller acts as a communicator between the physical
world with its daily hardships and the internal world of the mind where events from the
past are stored away. The role of storytelling, the storyteller and the power that stories in
general yield over daily life and ultimately over our existence as a whole, along with the
influences that have lent themselves to this story about the making of stories, are central
to Eva Luna.
In “The Child’s Connections to the Universal Power of Story,” Shirley Raines
and Rebecca Isbell describe a story as “a personal experience that evolves into a story
and helps children gain a sense of identity, control and connection with others. The story
provides a means of exploring the world, as well as extending and exerting power over
experiences” (164). Although the article seems to focus solely on children’s experience
with storytelling, it goes on to dissect the power that stories hold over human beings in
general. According to Raines and Isbell, “a story’s power lies in its ability to be
remembered, entertain, teach, inspire, create and know” (164). These are the exact
characteristics of the stories told by Eva Luna. Her stories existed to entertain those
around her, to teach them or ultimately herself a lesson, to inspire those she loved and
cared for, to create new perceptions of the world around her and to gain a sense of control
over the events of her life, transforming her own identity.
Stories provide two different views of the world, external and internal. There
are the stories that describe a sequence of events and then there are those that provide a
glimpse into the core being of a person. The external stories are easy to decipher,
allowing listeners to lose themselves in a fictional arrangement of ideas and events. But
it is those that tell an internal story that are the most important because they give the
listener/reader insight into the events that have transpired to create the character’s inner
self:
1
Research performed under the direction of Dr. Marilyn Kiss (Languages) and associated
with the course SP213/EN213 Hispanic Literature in English Translation.
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�The essence of a story, is not only to bring people together to jointly experience
events, but also to process reality and to discover and create who we are. In this
way, stories wield tremendous power. In their telling and re-telling, they can
keep us angry, fearful and locked in combat, or on the contrary, with some
guidance, lead us to forgiveness and transformation, to a lessening of our pain
and suffering. (Stringer)
The most significant example of this idea of a story being both an external and internal
view into the life of a person is the scene where Eva creates a new story just for Rolf
Carle. She weaves the story of a woman who ultimately loses herself in the creation of a
past for a soldier she meets during her travels. The female character is described as “a
woman whose lifework was telling stories” and the soldier was described as “weary” and
having a “strong odor of melancholy” whose heart, which was incapable of loving, had
been speared by “solitude and violence” (280). These are characteristics that connect the
story Eva tells to the real life story about herself and Rolf. The storyteller “spoke for a
very long time because she wanted to offer him the novel of his life, and she had to
invent it all” (281). When she was finished, “she understood that in her desire to please
him she had given him her own memory: she no longer knew what was hers or how much
now belonged to him; their pasts had been woven into a single strand” (281). This story
can be interpreted both ways. It can be seen as an external view into the life of Eva as a
distinguished and talented storyteller able to create a beautiful story at a moment’s notice
in order to transport a person away from daily troubles. Or a listener can look even
further into what the story is saying about Eva and Rolf’s real life story. The character’s
eventual surrender “to the pleasure of blending with him into a single story” (280),
signifies how much of herself Eva already has sacrificed, or is willing to sacrifice for
Rolf. The woman searched deep within herself for the parts of the soldier’s past, and so
has Eva delved into her inner self for the parts of her that have become connected with
Rolf. Without coming out and directly saying it, Eva was able to portray her love for
Rolf through one of her many stories.
According to Belinda Hopkins in, “Transforming Tales”, this transformation or
delving into the inner-self, is a process of growth that is essential to the resolution of all
life’s conflicts and ultimately personal expression. Every event that transpires throughout
life has a profound effect on a person, whether the change is apparent right away or is
recognized over time. As Hopkins states, “Sometimes this transformation comes about
because of outside factors but sometimes it happens because the protagonists themselves
have somehow been transformed in the process of seeking resolution” (Hopkins 275).
The resolution that is sought after comes in the form of a stronger sense of self,
developing a higher self-esteem, expressing inner needs and feelings and claiming
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�emotions. Eva Luna takes the events of her life, the good, the bad, the ugly, the beautiful,
the terrifying, the tragic, etc…and creates her own resolution through her storytelling.
Storytelling serves not only as a way for people to share of themselves with the
outside world, but also as a way for Eva to bring her audiences together. Eva Luna is a
prime example of this skill. Her stories form a connection between herself and her
audience as well as herself and the outside world. Her words allow people the chance to
lose themselves for a moment and to be transported to another time and place. There
exists a certain type of magic in a story, according to Hopkins, that is used to connect a
storyteller with the audience; this is a skill that Eva masters:
[People] are drawn together as a group to share that world of myth, fantasy and
magic to which storytelling holds the key. Everyday concerns can be forgotten
or perhaps examined in different ways. There is a tangible magic which weaves
itself around the storyteller and the audience, glimpsed in the shining eyes, the
half-open mouth and that wonderful deep sigh when the tale comes to an end
and the spell is broken. (Hopkins 295)
This magic behind the stories told by Eva Luna and the story that is Eva Luna
itself, came from many sources, one of which was A Thousand and One Arabian Nights,
or more familiarly known as Arabian Nights. The story’s unknown origin gives it even
more of a mystical air and gives the art of storytelling more power over reality and the
unknown combined. A tale from Persia and the story of a young orphan growing up in
the streets of South America may not seem to have anything in common; however there
are two direct references to the story of Scheherazade made in Eva Luna. During Eva’s
time with Riad, she comes into contact with the exotic culture of the East. Riad was
constantly singing songs of the East and even taught her the art of belly dancing. There
are numerous fantastical references that coincide with the themes of Arabian Nights, such
as Eva being “calmed by the moon” (277) and communicating “in the language of the
stars” (215). Mimi claims to have read in her cards that Eva’s “destiny was to tell stories
and that everything else was wasted energy” (249), something that Eva states she has
always suspected since the first time she read Arabian Nights. Her first introduction to A
Thousand and One Nights came from Riad Halabi. It was then that she received her first
real taste of fanaticism. She says that, “Eroticism and fantasy blew into my life with the
force of a typhoon, erasing all limitations and turning the known order of things upside
down” (153). The story opened up a door of endless possibilities that she never knew
existed. Storytelling took on a whole new meaning, becoming a source of her own selfexpression rather than just a tool of basic survival.
The young girl in A Thousand Nights, Scheherazade, essentially saves her own
life through her ability to tell stories, thus making her story an excellent example of the
82
�power of storytelling that attracts so many authors, such as Allende, to her legacy. After
marrying the king, whose decree it is to kill his newly wedded wife each morning,
Scheherazade prolongs her sentence by weaving intricate stories that capture the king’s
interest, ultimately causing him to reevaluate his decision. According to A.S. Byatt, in
the article “Narrate or Die: Why Scherazade Keeps On Talking”, “Schenerazade triumphs
because she is endlessly inventive and keeps her head”. Eva Luna also triumphs over life
because she is able to take the events she witnesses, the horrors she experiences and the
people she meets along with the stories she hears on her way and create her own system
for dealing with her life. Byatt states, “The stories in A Thousand and One Nights are
stories about storytelling without ever ceasing to be stories about love and life and death
and money and food and other human necessities. Narration is as much a part of human
nature as breath and the circulation of the blood”. Storytelling is essential to both Eva
Luna’s and Scheherazade’s existence.
Besides embodying the true identity of a storyteller, the two female narrators
share many other similarities. Eva’s stories were born out of her life as part of the lower
class and from her time working as a servant and living on the streets. The stories of
Arabian Nights came from the oral tradition held in such high regard in the cultures of the
East. Just as the majority of Eva’s listeners, herself included, were illiterate and focused
on the power emoted from the spoken word, so did the people of the East who passed
along the mystical stories told by Scheherazade and later included in Arabian Nights.
They intricately weave themselves into the stories that make up their lives. This
transposition of themselves into their works as a way of maintaining their existence is the
key to the power behind the stories they tell. This is because “The greatest tribute which
can be paid to a storyteller, is that [their] own personality is temporarily forgotten,
because [they] have so completely identified themselves with [their] role” (Shedlock
144).
Eva’s skill lies not only in her ability to weave an entertaining sequence of
events and intriguing group of characters, but also in her ability to draw people’s
attention. In The Art of The Storyteller, Marie Shedlock says that one of the oldest truths
behind obtaining and maintaining the effect of a story is through dramatic presentation.
She says that “dramatic presentation is the quickest and surest method of appeal because
it is the only one with which the memory plays no tricks. If a thing has appeared before
us in a vital form, nothing can really destroy it; it is because things are often given in a
blurred faint light that they gradually fade out of our memory” (99-100). Eva’s stories
are anything but faint. Just as Raines and Isbell describe the role of a story to “capture
another time and place that [people] could not understand unless the storyteller tried to
entertain” (Raines), so do Eva’s stories take her audiences away from their daily lives.
83
�The key element to any story is emotion. When describing the art of
storytelling, Marie Shedlock states that “The medium that has been used in the telling of
the story is a purely artistic one which will reach the [person] through the medium of the
emotions” (148). Without emotion, Eva’s stories would not exist or accomplish what
they do. When she would recount the serials from the radio she would incorporate a
certain degree of emotion that made the endings more dramatic and touching. Melesio
and La Senora praised her by saying, “Your stories are better than the movies, there’s
more suffering, they would sob” (127). The quality of her narratives was better because
she used elements of her own human suffering to play on the emotions of her audience.
Eva’s stories provide an escape route for individuals suffering under the trials of
life. Her stories provide them with a way in which to lose themselves, if even for a
moment, and reevaluate how they are living their lives. Shedlock touches upon this idea
when she says, “One of the immediate results of dramatic stories is the escape from the
common-place. This desire for escape is a healthy one, common to adults and children
when we wish to get away from our own surroundings and interests, we step into the land
of fiction” (Shedlock 111). There are numerous examples in Eva Luna of stories being
used as forms of escapism. For instance, the scene where Eva and Rolf Carle wait in the
darkness for the events of the guerrilla uprising to take place the next day. Rolf says to
her, “Tell me a story, to get our minds off things” (280). This moment directly mirrors
the instant Allende captures from A Thousand and One Tales of the Arabian Nights. The
quote that reads, “Then he said to Scheherazade: ‘Sister, for the sake of Allah, tell us a
story that will help pass the night…’” alludes to the power that storytelling has to
transport an individual away from daily existence before the novel even begins. Another
example of Eva’s stories providing peace in a chaotic world, is when Eva tells the
Professor a few falsehoods strung into a story to give him a sense of peace on his
deathbed. She also has a skill for altering the endings of stories in a way that makes real
life events more tolerable and pleasing to the listener. An example of this is when Eva
reconstructs the events of Rolf’s life, much like she did for the soldier in her story. She
makes Katharina’s lonely death into an endearing experience as she remembers her
brother in the warm sunlight as her spirit slips away. She also takes Rolf’s concern for
his mother’s unstable state as she lives alone, far away from him, and turns it into an
empowering experience for her as she finds peace with her memories and the knowledge
that all her children are happy. The alteration of a few events creates a sense of peace
for Rolf and allows him to deal with the unhappiness that has overcome him. The only
person who was somehow negatively affected by her storytelling was Zulema. Although
she demanded that Eva tell her love stories, which she used as an attempt to connect
Zulema with her new life in a strange place as Riad’s wife, they merely made her more
upset. Instead of teaching her a lesson or giving her insight into life and how blessed she
84
�truly was, they served as a blatant reminder of a place where she so desperately wanted to
be. Eva says, “My stories did not make her happy; they merely filled her head with
romantic ideas, and led her to the dream of impossible escapades and borrowed heroes,
distancing her totally from her reality” (155). Also, near the end of the novel, after Eva
has grown up and refined her skills as a storyteller and channeled them onto paper, she
explains how she writes. She describes reality as “a jumble we can’t always measure or
decipher, because everything is happening at the same time” (300). She goes on to say,
“I try to open a path through that maze, to put a little order in that chaos, to make life
more bearable. When I write, I describe life as I would like it to be” (301). It is here that
she touches upon the extreme power of perception that she has as a storyteller.
In order for a storyteller to effectively produce a story, he or she must first
become part of the story itself. The narrator of any story is described as being
“responsible for the whole drama and the whole atmosphere which surrounds it. [They
have] to live the life of each character and understand the relation which each bears to the
whole” (Shedlock 31). Eva’s stories become just that, a compilation of the world around
her and her inner feelings. How her imagination was directly affected by the different
experiences that were presented to her throughout her life can be seen from her reaction
to the Minister’s house, where she works for a time as a child. She says,
My imagination took wing when I saw that corridor of locked doors; behind
every one I thought I heard whispers, moans, laughter. At first I put my ear to
the doors and peeked through the keyholes, but soon I found I did not have to do
that to divine the universes hidden there, each with its own laws, time, and
inhabitants, safe from the decay and contamination of the everyday world. (110)
These new additions to her imagination allowed her to expand her horizons of
storytelling. She says,
While I watched from behind the draperies of the grand salon, fascinated with
the refinements that furnished a wealth of new material for embellishing my
stories. Now I would be able to describe royal feasts, reveling in details I could
never have invented… (111).
Her characters and plots came “from things that are happening and from things that
happened before I was born – from newspapers, from what people tell me” (301).
As time passes, Eva compiles her life experiences in the form of stories just
waiting to be set free. According to Raines and Isbell, “Interpretation depends upon the
mind and life experiences of the listener. The story symbolizes a greater truth that the
listener will grow to understand. After hearing a story, many times at different ages, the
listener will use the lesson to understand human nature.” Many people come and go in
Eva’s life and she goes through multiple transition periods along with many life-altering
85
�events. Each one has a different effect on her that she might not be able to process at the
time and so she stores it away in her mind to be used later when the time or audience is
right. She takes in so much along the way but must live with what she knows and
perceives the world to be until the right opportunity and audience presents itself. This is
because the preparation for any story involves, “living with it for a long time, until one
has really obtained the right atmosphere, and then bringing the characters actually to life
in this atmosphere” (Shedlock 141-142). It’s a long process that Eva masters with
maturity and experience.
As she got older she began to question the world around her and how she fit into
it all. She began to realize the immense power that a storyteller yields over his or her
audience and their perception of the world around them. Raines and Isbell describe
storytellers as conductors of the greater power of stories in general. According to them,
“Storytelling figures represent the power of story. Some people are blessed with a
special gift for story, but the power of story is not totally dependent upon the storyteller’s
talent.” The more she matured, the more she began to respect the power of a story within
itself. She recognized her talent but understood that there was a greater force at work: the
imagination. This can be seen in her reaction to her first experiences as a writer. She
says,
I began to wonder whether anything truly existed, whether reality wasn’t an
unformed and gelatinous substance only half-captured by my sense. There was
no proof that everyone perceived it in the same way; maybe Zulema, Riad
Halabi, and others had a different impression of things; maybe they did not see
the same true colors or hear the same sounds I did. If that were true, each of us
was living in absolute isolation. The thought terrified me, I was consoled by the
idea that I could take that gelatin and mold it to create anything I wanted; not a
parody of reality, like the musketeers and sphinxes of my Yugoslavian patrona,
but a world of my own populated with living people, a world where I imposed
the rules and could change them at my will. In the motionless sands where my
stories germinated, every birth, death, and happening depended on me. I could
plant anything I wanted in those sands; I had only to speak the right world to
give it life. At times I felt that the universe fabricated from the power of the
imagination had stronger and more lasting contours than the blurred realm of the
flesh-and-blood creatures around me”. (187-188)
From this quote, another parallel with Arabian Nights can be drawn regarding the power
of storytellers.
Arabian Nights is both a work of literature and a genre in the process of
growing: the stories are shape shifters. The power of stories to forge destinies
86
�has never been so memorably and sharply put as it is in this cycle, in which the
blade of the executioner’s sword lies on the storyteller’s neck. (Warner)
This direct power of the storyteller seen in Arabian Nights is the exact power that Eva
Luna struggles with as she gets older. As she matures, the influences in her life change,
allowing her different opportunities that she might not otherwise have had access to. As
she entered adolescence, a time when sexuality and lust are both a mystery, her
perception of the world broadens.
It was her experience with Arabian Nights, a strong influence on Isabel
Allende’s creation of this novel from the very beginning, that forces her to confront her
own sexual and female identity. Her contact with the book, a copy of which was given to
her by Riad, awakens feelings in her that she was not aware existed. It was her
storytelling that provided her with the outlet she needed to sort through her feelings.
While Scheherazade utilized storytelling literally to save her life, Eva uses her skills to
stop herself from drowning in a sea of confusion and loss of identity. Their storytelling
not only rescued them, but also set them apart from other people while at the same time
giving them a sense of female empowerment at a time when they were both extremely
lost.
Telling stories becomes a way in which Eva is defined as a person. On several
occasions she is introduced as a storyteller by trade. For example, when she is first
brought to La Señora’s house by Huberto, he explains his reasoning as to why he brought
her there by saying, “She can keep you company, she knows how to tell stories” (117).
And later, when Melesio and Eva encounter one another after much time has passed, she,
now identified by the name Mimi, recognizes Eva and asks, “Aren’t you the girl who
used to tell the stories?” (206). Eva’s stories filled a void in La Señora’s lonely house
and also filled a void within herself when it came to her mother’s death. Her stories gave
her a sense of peace that allowed her to deal with the loss of her mother and draw upon
her memory when she was frightened. This can be seen in the scene where she later
escapes from La Señora’s house during the “Revolt of the Whores” and finds herself
alone and penniless on the streets. She summons her memories, categorized by stories
stored in her mind, to calm her fears and to give her a sense of security. By putting so
much of herself into her stories, Eva not only creates her own identity but also gives
those who hear her the opportunity to look deep within themselves. The idea of an
internal view into a person through a story presents itself again. As Sean Buvala touches
upon this notion of stories serving as a reflection of both the teller and audience member
when he writes in his article, “Personal Telling has Power,” “With good personal tales,
we are not called to gaze on the teller reflected in the mirror of story, but rather to stand
next to the teller and see our own reflection and stories along with the teller”.
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�Eva Luna is a phenomenal storyteller and her skills are even more apparent
when looking at Eva Luna as a whole. The novel encompasses the journey that Eva
endured to become the person and storyteller that she is at the end of the story when she
finally finds the peace and security she has been searching for. Throughout the story,
Eva is constantly making references to herself as a character within her own story. For
example when she begins to write her stories down for the first time in what would
eventually become the manuscript for the novel, she says, “I could see an order to the
stories stored in my genetic memory since before my birth, and the many others I had
been writing for years in my notebooks” (251) and “Little by little, the past was
transformed into the present, and the future was also mine; the dead came alive with an
illusion if eternity; those who had been separated were reunited, and all that had been lost
in oblivion regained precise dimensions” (252). She continues on to identify herself as
one of her own characters, as the all-powerful storyteller who was acting as the voice for
a life that would have otherwise gone unnoticed. She writes,
As soon as I had begun dusting off memories and weaving destinies, I saw that I
did not know where I was going, or what the resolution would be – if there was
one. I suspected that I would reach the end only at my own death and was
fascinated by the idea that I was another character in the story, and that I had the
power to determine my fate, or invent a life for myself. (252)
It is at the time when the novella, Bolero, is coming together that Eva fulfills her own
prophecy as a storyteller. She recognizes herself as a character in her own story called
life and finds her sense of self and inner strength. These discoveries she makes are what
her stories have been accomplishing all along; it’s just at the end when she finally is able
to reap the benefits of her skills and bring everything together.
Eva recognizes her story, ultimately the novel, Eva Luna, as a story for life
when she refers to the stories within her dreams that still remain to be told. She identifies
herself as a character within her own story when she says to Rolf, “I also try to live my
life as I would like it…like a novel” (303). By living her life as a story to be told, she
preserves herself in history in the cycle of oral tradition. After all, “stories provide a link
between past and future generations” (Raines). Her stories become her life, “in keeping
with the principles that we can construct reality in the image of our desires” (307).
It is through her story that Eva Luna gives every person the power to tell his or
her own story. She doesn’t tell stories or write for fame; rather she focuses on the real
power behind a story to preserve a memory or life in time. After all, “Why not focus on
changing the world from where you sit, with your own stories, with the stories of the
ancients, with the stories of truth? […] let’s not forget the real truth that storytelling starts
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�with just two people and a story to tell” (Buvala, “Remembering”). Eva sets all her
listeners/readers on the quest to find the truth about themselves and the world they live in.
Works Cited
Allende, Isabel. Eva Luna. Trans. Margaret Sayers Peden. New York: Bantam Books,
1989.
Buvala, K. Sean. “Personal Telling Has Power.” 2 May 2004
<http://www.storyteller.net/articles/126>.
Buvala, K. Sean. “Remembering Why We Tell.” 2 May 2004
<http://www.storyteller.net/articles/54>.
Byatt, A.S. “Narrate Or Die: Why Scheherazade Keeps On Talking.” New York Times
Magazine. 18 April 1999.
Hopkins, Belinda. “Transforming Tales: Exploring Conflict Through Stories and
Storytelling.” Arts Approaches to Conflict. Ed. Marian Liebmann. London, Jessica
Kingsley Publishers Ltd, 1996. 275-295.
Raines, Shirley C., and Rebecca T. Isbell. “The Child’s Connections To The Universal
Power Of Story.” Childhood Education. Spring 1994: 164-166.
Shedlock, Marie L. The Art of The Storyteller. New York: D. Appleton & Co., 1915.
Stringer, Thomas. “Storytelling in Mediation: The Hero’s Journey.” 22 April 2004
<http://www.mediate.com/articles/stringerTcfm>.
Warner, Marina. “Night Shifts: The Arabian Tales Have Spawned 1,001 Variations.”
The Financial Times. 26 July 2003: 30.
89
�Witchcraft and French Popular Culture:
An Explanation of the Occult
Jake Browne1 (History)
Having intercourse with the Devil, changing into animal figures, killing babies,
removing penises, casting spells: these were all devices thought to be used by a witch in
Early Modern Europe. Today, if someone admitted to these acts, we might look at them
in disbelief for a split second, but then shrug it off. “The person must be insane!” we
would think --- or perhaps they have a vivid imagination. However, these incantations,
spells and deeds were all too real for the Early Modern European. The height of the
witchcraft craze was in the sixteenth century, and thousands of people, mostly women,
were tried for the crime of witchcraft. More than half of them were found guilty and
executed. The trials and witch-hunts were extremely uneven throughout the European
continent. Some witchcraft trials took place in the church, others, most after 1550, in
secular courts. The courts ruled a kingdom, principality, or just a small village. The
distribution of cases was also highly uneven through Europe. Some villages experienced
a high number --- over hundreds and thousands of people tried over the course of three
centuries --- of witch trials, while other places witnessed very few. Rural areas were
more prevalent to witch trials than the cities (Levack 1). What were the cultural and
popular roots of witchcraft? What were the villagers saying about the deeds of witches?
The knowledge of witchcraft was transmitted, particularly in France, through oral
traditions and folklore. This paper will explore one such folktale, Le Petit Chaperon
Rouge (“Little Red Riding Hood”), and the message that it sent to the peasants and
children who heard this story.
To truly understand the popular culture and society’s thoughts on witchcraft, one
must investigate the areas in which the witch craze was most powerful. Geoffrey Scarre
points out in his book Witchcraft and Magic in Sixteenth and Seventeenth Century
Europe that in France the major trials were held in the rural mountainous areas. He says,
“If one excludes Lorraine and French-Comte … the areas most badly affected by witch
trials were the Pyrenees, Languedoc, the Alps and the North East” (21). Emmanuel Le
Roy Ladurie also realizes that the bulk of witch trials were happening not in the cities,
but in the countryside. In his book The Beggar and the Professor, a historical memoir of
1
Research performed under the direction of Dr. Alison Smith (History) and associated
with the course HI254 After the Black Death.
90
�three generations of a family, Ladurie cites Thomas Platter, one of the family members,
as being extremely apprehensive of witchcraft. Platter explains during his travels through
France the geographical reason as to why the witch craze was only in certain villages.
Ladurie dictates:
“Where are the witches’ villages …? Where is the Devil most powerful? And
he [Platter] answered, where the dispersed population, terrain, etc., prevents the
peasants from attending Mass or sermons; where pastoral visitations are
difficult; where ignorant rustics have no access to Scripture. Thus they are an
ideal prey for the Devil. Entrenched in their crannies, they secrete the agrarian
ideology par excellence, witchcraft. So Rouergue, the mountain of Saint-Pons,
spiritually abandoned, are nests of witches --- a witchcraft of lost corners” (169).
Ladurie, as well as Thomas Platter, understand that the most accessible and gullible
people to the evil spirits are the peasant people living in remote and mountainous areas.
The Devil does not have to fight off the scripture, God’s word, or the church with
agrarian people. Peasants living in such far-away and inaccessible places might even
appreciate the contact and attention the Devil could give. Therefore, the men and women
succumb to the Devil’s wishes and become witches, man- and maid-servants to the Devil.
Thomas Platter also fears another popular cultural belief that witches could
perform: ligature (aiguillette) or satanic castration. He exhibits this fear in his narrative,
explaining that at the moment when a priest blesses the marriage, “a witch slips behind
the husband, knots a thread, and throws a piece of money on the ground, while invoking
the Devil. If the coin disappears, the couple will be unhappy, sterile, and adulterous”
(167). The outcome of this would, in effect, make the husband’s genitalia useless,
worthless and lost. Platter, a physician, writes that in Languedoc “not ten weddings in a
hundred are celebrated publicly in a church. Couples, accompanied by their parents, go
secretly to a nearby village to receive the nuptial benediction” (167). By employing
secrecy for the marriage, a witch has a harder time finding the couple to cast the spell.
However, Platter shows fear that because the panic of ligature and witchcraft is so
terrible, the local populations are experiencing a decrease in weddings (167).
Most important to popular culture is the folktale. Several tales were widely
circulated throughout Europe, especially France, during the witch craze of the sixteenth
and seventeenth centuries. Some tales demonstrate the role of women as threats to the
natural order of society, thus promulgating hatred towards women. The stories were
based on women threatening society through being sinful and without guidance from men
(Chase 769). However, Gerhild Scholz Williams sees that some negative information
towards women found during the trials and persecutions of witches were not necessarily
about women at all. She quotes Joan Scott, saying that the information found about
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�women was “necessarily information about men … denoting cultural construction of
gender, which is a social category imposed on a sexed body” (11). The men wrote
information about their relationship to history, law and the order of society as well their
curiosities, fears, anxieties, and passions and superimposed these feelings onto a woman
character. They were curious of the unfamiliar, especially death. Men also wrote about
evil women because it fit so perfectly into the narrative of the Christian Church --- the
fight between “good and evil, Adam and Eve, Eve and Mary, Christ and Satan. They are
ultimately expressions of a single, gendered dichotomy: the flesh that is woman stands
opposite the spirit that is man” (11). Folktales were most likely spoken by men and
thought up by men. They were used to keep women at bay and lower in the social order.
Folktales, as demonstrated by Williams Scholz, were also used to mirror the practices and
teachings of the Christian church.
Little Red Riding Hood is one such folktale. Its origins are in the form of an
oral story passed down through generations during the witch persecutions in France
during the sixteenth and seventeenth centuries (Chase 769). Richard Chase, Jr. and
David Teasley state that Jan Brunvand, a folklorist in modern times, finds a similar
legend in France around 1579 where a witch in animal form is exposed of her true
identity after her hand is injured. Both stories --- Little Red Riding Hood and the
aforementioned --- are also similar to the tale of Jasmin’s Witch, a story of a Huguenot
woman accused of witchcraft in the sixteenth century which is retold by Ladurie (770).
The first recorded version of Little Red Riding Hood was written by Charles
Perrault in 1697, but has been changed and sanitized many times over most notably by
the Brothers Grimm. While traveling through villagers via the word of mouth, the story
was probably originally told around fires in peasant cottages in mountainous villages,
similar to the ones in which witches were being persecuted and burned (Darnton 9).
The story spread most throughout the Loire basin of France, which is also
coincidentally where the greatest number of werewolf trials were held. Witches could
transform into a number of different animals, including wolves and cats. E. William
Monter states, “Of course animal transformations can take many forms, but the animals
chosen will often include those most feared by a given society. Over much of Western
Christendom the wolf was such an animal” (157). The wolf in Little Red Riding Hood
could have been a fellow witch, but probably for the sake of the folktale and its
symbolism, was Satan.
Although the story changed shape while traveling throughout many regions,
three symbolic key elements of the story remained exactly the same. The first was the
choice of the path that the girl and the wolf selected (Chase 770). The wolf in the story
asks the little girl, “Which path are you taking, the path of the pins or the path of the
needles?” She replies, “The path of the needles” (Darnton 9-10). The wolf in the story
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�then takes the path of the pins. The fact that Red Riding Hood chose the path of the
needles indicates her decision to become a prostitute because women of ill repute struck
deals on “the basis of a package of bodkins or lace-needles” (Chase 771). The fact that
the wolf chose the path of the pins suggests his allegiance to Satan. A form of witchhunting was to prick the body with many pins in order to discover the Devil’s mark
(771).
Another feature of the tale was the cannibalism that Little Red Riding Hood
displayed when she ate her grandmother (770). “He [the wolf] killed grandmother,
poured her blood into a bottle, and sliced her flesh onto a platter.” Later on, when the girl
enters, the wolf offers her the “meat and wine in the pantry. So the little girl ate what
was offered; and as she did, a little cat said, ‘Slut! To eat the flesh and drink the blood of
your grandmother!’” (Darnton 10). Such an act of cannibalism mocks the Christian
tradition of communion, when congregants partake in the bread and wine, or body and
blood, of Jesus Christ. Also, the presence of the cat “suggests that Red Riding Hood is
engaged in witchcraft. The cat, acting as Red Riding Hood’s demon familiar, informs the
girl that her promiscuous behavior is linked to cannibalism and witchcraft” (Chase 771).
A cat always suggested witchcraft. Darnton states, “To cross one at night in
virtually any corner of France was to risk running into the Devil or one of his agents or a
witch abroad on an evil errand” (92). Witches also transformed themselves into cats,
“they howled, fought, and copulated horribly under the direction of the Devil himself in
the form of a huge tomcat” (92). There was only one way to protect oneself from sorcery
of cats: to maim it. One was to, “Cut its tail, clip its ears, smash one of its legs, tear or
burn its fur” (94). This would break the evil power. Darnton also gives evidence that
cats were witches in disguise. He says, “Peasants frequently cudgeled cats who crossed
their paths at night and discovered the next day that bruises had appeared on women
believed to be witches” (94). Even if a cat was not a witch in disguise, they still had evil
powers. They could, “Prevent bread from rising if they entered bakeries in Anjou. They
could spoil the catch if they crossed the path of fisherman in Brittany. If buried alive in
Béarn, they could clear a field of weeds” (94). However, cats could also be remedies for
the common maladies:
“To recover from a bad fall, you sucked the blood out of a freshly amputated
tail of a tomcat. To cure yourself from pneumonia, you drank blood from a cat’s
ear in red wine. To get over colic, you mixed your wine with cat excrement.
You could even make yourself invisible, at least in Brittany, by eating the brain
of a newly killed cat, provided it was still hot ” (94).
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�Cats were also known to smother babies and harm households. They would repeat gossip
they heard. Most importantly, their power could be used either for a person or against
them (94). Hence, the present-day imagery of witches usually involves a black cat.
The last feature of the tale is when the girl gets eaten by the wolf (770). The
early text reads, “’Oh, grandmother! What big teeth you have!’ ‘It’s for eating you
better, my dear.’ And he ate her” (Darnton 10). It wasn’t until the Brothers Grimm’s
version, did the hero, the huntsman, emerge (Chase 775). The girl in the story also
undresses --- a sort of seductive dance for the wolf --- and gets into bed with him. The
wolf then eats the girl, without much explanation in the text. Chase and Teasley state,
“The rapidity of its execution without need of comment reveals a merciless value system
that was deemed just at the time. The moral is obvious: choose a dissolute life and
punishment will be swift and certain. The girl’s death also restores God’s natural order”
(772). Little Red Riding Hood served to influence the behavior of sixteenth and
seventeenth century children. This popular folktale taught them the consequences and
horror that came with witchcraft. It was a way of using popular culture to teach values
and morals.
Little Red Riding Hood is just one example of popular culture’s response to
witchcraft. Women and some men were innocently burned and persecuted; villagers
lived in fear every day. They not only feared that a witch would put a curse on them, but
also that they would be accused of witchcraft. Due to the fear and panic, culture changed
and with it, stories developed. Was there a fear of sterility as Thomas Platter described?
Probably. Was it a witch that cursed the man to make him sterile? One cannot be too
certain. Witches were tortured in order to confess, thus releasing all validity of their
confession to modern-day historians. By studying popular culture during this time,
historians do learn one thing: witchcraft, real or not, haunted the peasants’ lives for
centuries. To them, witchcraft was real indeed.
Works Cited
Chase, Richard, Jr. and David Teasley. “Little Red Riding Hood: Werewolf and
Prostitute.” The Historian. 57.4 (1995): 769-777.
Darnton, Robert. The Great Cat Massacre and Other Episodes in French Cultural
History. New York: Vintage Books, 1985.
Le Roy Ladurie, Emmanuel. “Les paysans de Languedoc.” European Witchcraft. Ed.
E. William Monter. New York: John Wiley and Sons, 1969.
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�Levack, Brian. The Witch-Hunt in Early Modern Europe. New York: Longman, Inc.,
1989
Monter, E. William. Witchcraft in France and Switzerland: The Borderlands During the
Reformation. Ithaca, NY: Cornell University Press, 1976.
Scarre, Geoffrey. Witchcraft and Magic in Sixteenth and Seventeenth Century Europe.
Atlantic Highlands, NJ: Humanities Press International, Inc., 1990.
Scholz Williams, Gerhild. Defining Dominion: the Discourses of Magic and Witchcraft
in Early Modern France and Germany. Ann Arbor, MI: The University of Michigan
Press, 1998.
95
�Gene Therapy: How Therapeutic Is It?
Kelly Parker 1 (Music)
Within the brief history of gene therapy, the first protocol was performed in 1990 on a
four-year-old girl with adenosine deaminase (ADA), and the first protocol that resulted in
the death of one of its patients occurred in 1999. There are several different ways to
administer gene therapy, and even in the wake of the first death in 1999 and recent
restrictions placed on gene therapy protocols in 2003, there are new protocols that various
research labs are currently investigating. Gene therapy is highly controversial, and while
it could potentially provide treatments and cures for once terminal diseases, there are
many social and ethical issues that have to be weighed when determining how far this
science should progress.
I. Introduction
According to the “Human Genome Project Information” website (2003), gene
therapy is “a technique for correcting defective genes responsible for disease
development.” The site goes on to list four different methods of performing gene therapy,
but the two most common are somatic cell gene therapy and germ-line gene therapy. As
defined by Hubbard and Wald (1999), somatic cell gene therapy attempts to modify the
way certain tissues in the body function by inserting genes into the cells of those tissues.
According to Reilly (2000), germ-line gene therapy involves the genetic modification of
a single egg or sperm prior to conception, or the genetic modification of 4-8-cell embryo
created in a test tube. Gene therapy, though relatively new in terms of its practice, has
given rise to tremendous amounts of controversy in all areas of society. Even before
gene therapy was legally attempted, it suffered a setback due to an overzealous
hematologist, Dr. Martin Cline, who misled colleagues and patients into participating in
an experimental procedure that was not approved by the National Institute of Health.
Cline’s violation in 1980 triggered extreme social, political, and scientific obstacles for
other scientists interested in gene therapy to surpass in order to bring their ideas to
fruition.
It was not until September 13, 1990 when the first legitimate gene therapy
treatment commenced under the direction of Dr. French Anderson, Dr. Michael
Rosenberg, and Dr. Kenneth Culver. Since then, the progress of gene therapy continues
1
Research performed under the direction of Dr. Ammini Moorthy (Biology)
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�to move slowly, particularly since 1999 when a patient, Jesse Gelsinger, died of
complications resulting from his gene therapy regiment. The purpose of this paper will
be to give a history of gene therapy, including the history of the treatments and the
reactions of those in and outside of the scientific and medical communities. It will also
discuss the mechanics of gene therapy, current views and treatments being explored by
scientists and physicians. In particular, this paper will discuss how far gene therapy can
and should go, and how researchers and society should determine how far is too far.
II. Information
John Fletcher (1990) cited 1967 as the beginning of the gene therapy debate
when the Nobelist Marshall Nirenberg “wrote of programming cells with synthetic
messages, and recognized the promise and danger of this scientific procedure.” The next
major event in the history of gene therapy occurred between 1970 and 1973 when
Stanfield Rogers and a German physician, to treat sisters suffering from
hyperargininemia, performed the first vector treatment. They used the Shope papilloma
virus (SPV) in hopes that it would cause the expression of the defective gene.
By 1974, the National Institute of Health (NIH) recognized the growing interest
in gene therapy, and created the Recombinant DNA Advisory Committee (RAC). This
committee had the responsibility of approving all research projects involving
recombinant DNA (rDNA) performed in the United States, as well as handling any gene
marking research, and any gene therapy protocols with the Food and Drug
Administration (FDA). In conjunction with the National Commission for the Protection
of Human Subjects and its Belmont Report of 1978, the RAC and FDA established the
guidelines for gene therapy studies, and provided the hierarchy of approvals researchers
need to obtain before their research can commence. “Preliminary approval was required
by the home institutions’ institutional biosafety committee (IBC) and institutional review
board (IRB); final approval was then required by the RAC” (U.S. Office of Science and
Technology Policy 1991). Such approval is necessary for all institutes utilizing federal
funding for gene therapy projects, regardless if the experiments are performed in the
United States or abroad.
Dr. Martin Cline was the first person to attempt human gene therapy in 1980,
and regretfully for the pro-gene therapy community, his research caused a major setback
for its development. Cline was a researcher at the University of California at Los
Angeles (UCLA), and did not receive approval from the UCLA IBR for his recombinant
DNA (rDNA) transfer research. Cline ignored the rejection, and performed his rDNA
transfer in bone marrow cells on two patients in Italy and Israel, both of whom had a
blood disorder. Cline was not forthcoming with the fact that his experiment had not been
approved in the United States, and because there was no IBR in Italy at the time, and
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�because he had not been completely honest about what the research entailed to the Israeli
IBR, Dr. Cline was able to perform the rDNA transfer. The Los Angeles Times
published a full report of his defiance, and Cline was forced to step down from his
department chairmanship at UCLA (Jacobs 1990).
The main reason why scientists, like Dr. Anderson, have made their lives’ work
researching and creating methods of gene therapy is because they wanted to develop a
way to eliminate the most horrific genetic diseases that have no cure and no hope of
survival for those afflicted. However, due to Dr. Cline’s disobedience, it was very
difficult for people like Dr. Anderson, Chief of the Molecular Hematology branch of the
National Heart, Lung, and Blood Institute at the time, to get approval for any gene
therapy experiments from the Recombinant DNA Board and the NIH. During the decade
between Dr. Cline’s mishaps and Dr. Anderson’s approval for the first gene therapy
treatment, the number of biotech companies and research labs established for the purpose
of pursuing gene therapy grew in anticipation of Dr. Anderson’s breakthrough, which
began on September 13, 1990.
III. The First Treatment
Ashanthi DeSilva was a four-year-old girl that had been diagnosed with an
extremely rare immune deficiency disorder called adenosine deaminase (ADA). The
disease is caused by a defect on chromosome 20, and those afflicted with it must take
extreme care to avoid infections and other such ailments that require a normal immune
system to beat. Three years prior to Dr. Anderson’s administration of the first gene
therapy treatment for ADA, “scientists had developed a way to administer the bovine
version of this missing enzyme in a way that allowed it to circulate long enough in the
body to restore some measure of immune function” (Reilly 2000). This treatment was
not a cure, and was not as affective as what Dr. Anderson’s gene therapy experiment
promised to be.
The reason why ADA was an ideal choice for the first gene therapy treatment
was because while it was a rare disease that did not afford many people to actually need
the treatment, the disease lent itself to this form of action. ADA is a disease that is a
single gene disorder, which means that it afflicts only one group of cells. This particular
group of cells is very important to the area that deals with immunological defenses. The
method by which Ashanthi’s gene therapy was going to work was by inserting a cloned
version of a properly functioning adenosine deaminase gene into her cells. This differs
from traditional bone marrow therapy in that with bone marrow therapy, the patient has
two versions of a particular cell existing together in the body (Reilly 2000). With Dr.
Anderson’s proposed method of gene therapy, the patient would only have two versions
of a single gene co-existing in the body.
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�Ashanthi’s gene therapy began with doctors removing white blood cells from a
sample of collected blood. Next, they added chemicals to the blood to speed up the cell
division process. Once that had been completed, the scientists inserted an attenuated
virus that was known to invade white blood cells, which contained the cloned adenosine
deaminase (ADA) gene. The goal of this procedure was for the functioning copy of the
ADA gene to actually be accepted into Ashanthi’s DNA, and as the new cells continued
to divide, the normal ADA gene would replace the malfunctioning ADA gene. These
new, corrected cells would then be transferred back into Ashanthi’s body through
intravenous therapy in her arm. While this procedure seemed medically and scientifically
feasible, there was no absolute certainty that the new cells with the corrected gene would
function properly in Ashanthi’s body. Not only was it a concern of whether or not the
new DNA would function properly, but also could this treatment potentially harm
Ashanthi?
Thankfully, Ashanthi was not harmed by this procedure, and she is still alive
and well today. While other children with Ashanthi’s same disorder have received the
same treatment that she first received over a decade ago, these patients with ADA
continue to need follow-up treatments for their disease. Though there is evidence that
some of the corrected DNA is being utilized in their bodies, this mode of gene therapy is
not a cure for ADA. In fact, Dr. Anderson’s gene therapy did not replace the bovine
treatments already in existence for adenosine deaminase, but what it did do was open the
door for many other scientists and labs to further explore gene therapy methods (Reilly
2000). All of these methods have proven to be less effective compared to the vectors,
with the exception of the liposome, which is currently being used by scientists at UCLA
researching a treatment for Parkinson’s disease.
IV. Gene Therapy Methods
There are four different means by which gene therapy can be performed. The
method utilized by Dr. Anderson for treating Ashanthi is termed somatic cell gene
therapy. In this form of gene therapy, the patient has a target group of cells removed
from their body, and these cells are manipulated in the lab ex vivo. The “therapy”
involved in somatic cell gene therapy includes inserting the prepared cells with a vector
that is carrying the normal version of the defective gene that they are looking to correct.
Once this normal gene is inserted into the cells, the hope is that it invades the DNA of the
cells, and replaces the damaged gene. This new DNA that results from the combination
of the vector inserted into the cell and the hosts’ original DNA are called recombinant
DNA. As the cell division continues, the new cells that are created should have the
normal gene, and are then reinserted into the patient’s body. The idea is that these
vectors that carried the normal gene can find their way to ingratiate themselves into that
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�patient’s genome, and finally produce a properly functioning gene, thus eliminating the
disorder.
The vectors that are utilized in somatic cell gene therapy are commonly a variety
of viruses that can be modified to be capable of carrying the normal genes to the
appropriate cells. Once the viruses are manipulated, they have a way of holding onto the
therapeutic genes, and knowing what cells to deliver them to in order to correct the
problem. Some of the viruses that are utilized by gene therapists include retroviruses,
adenoviruses, adeno-associated viruses, and herpes simplex viruses (Human Genome
Project Information 2003) (See Figure 1 in Appendix A). There are also non-viral
methods of delivering normal genes to targeted cells. These methods include directly
putting normal DNA in human cells, creating liposomes that can transfer DNA through
the cell’s membrane, chemically linking the corrected DNA to a molecule that will bind
to special cell receptors, and creating a 47th artificial human chromosome into target cells
(Human Genome Project Information 2003).
Retroviral vectors “are retroviruses from which all viral genes have been
removed or altered so that no viral proteins are made in cells infected with the vector.
Viral replication functions are provided by the use of retrovirus “packaging” cells that
produced all of the viral proteins but that do not produce infectious virus” (Miller 1992).
Retroviral vectors are capable of successfully infecting 100% of its target cells and are
thus “ideal for many ex vivo applications of gene therapy” (Mulligan 1993). However,
their effectiveness is completely “dependant upon the existence of the appropriate viral
receptor on the target cell” (Mulligan 1993). The main problems associated with
retroviral vectors are that they cannot work in non-dividing cells, and that they do carry
some risk possessing contaminants that cannot be removed.
Unlike retrovirus vectors, “adenoviruses are capable of efficiently infecting nondividing cells and expressing large amounts of gene products” (Mulligan 1993).
Adenoviruses can carry large amounts of DNA, and are suitable “for infecting tissues in
situ, especially the lung” (Miller 1992) According to Miller (1992), the disadvantages of
utilizing adenovirus are that these vectors “may stimulate immunity or have other adverse
effects,” and have the possibility of “potential instability of gene expression because the
vector does not integrate into chromosomal DNA.”
Adeno-associated viruses (AAVs) and herpes simplex viruses are less-used
vectors compared to retroviruses and adenoviruses. “AAVs are relatively small viruses,
remarkable stable, and can infect human cells” (Miller 1992). However, AAVs are “less
efficient than retroviral integration, and also less precise, as tandem viral genomes with
slight deletions or rearrangements (or both) are often observed” (Miller 1992). AAVs
deliver their genetic material to a specific site on chromosome 19 (Human Genome
Project Information 2003).
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�Herpes simplex virus vectors can be used to target DNA in neurological cells.
Mulligan reports, “because of the complex regulation of viral replication, it has been
difficult to generate stocks of recombinant virus that are completely incapable of
replication” (1993). Researchers are currently working on methods to prevent the
expression of these genes that lead to making the infected cells toxic.
The primary arguments against somatic cell gene therapy arise out of concern of
risk to those patients that embark on this procedure. Those against somatic cell gene
therapy argue that extreme care and safety must be taken by the researchers in the labs
that manipulate the cells, and that those patients involved with the treatment are made
fully aware of risks and benefits of undergoing such measures. To combat these fears,
there are many published guidelines that the labs, biotech companies, and those that
manufacture supplies that will be used in somatic cell gene therapy procedures must
adhere to. These reports include Guidance for Industry, Guidance for Human Somatic
Cell Therapy and Gene Therapy, published by the Center for Biologics Research and
Evaluation, part of the Food and Drug Administration, as well as A Proposed Approach
to the Regulation of Cellular and Tissue-Based Products, also produced by the Food and
Drug Administration.
Another method of gene therapy is germ-line gene therapy, and is much more
controversial compared to somatic cell gene therapy. This method (which is not currently
being used on humans) involves the manipulation of the germ cells (reproductive cells) to
correct the defective gene before it is passed on to future generations. This can entail
either modifications to the individual egg and sperm, or the manipulation of a 4-or-8-cell
embryo conceived in a test tube. It is thought that corrections in gene dysfunctions can
best be made at this point because the embryo is at such an early stage of development.
Once the defective gene is corrected, it will be implanted into the mother by in-vitro
fertilization. “The rational for Human in Utero Gene Therapy (IUGT) is that it may
allow the correction of some types of genetic diseases before the appearance of any
clinical manifestations” (Zanjani and Anderson 1999). Those that are in favor of IUGT
also see this method as a means to replace somatic cell gene therapy, and more
importantly, allowing patients to avoid the risks and cost of that form of therapy.
The biggest obstacle facing germ-line gene therapy is that there is the large
amount of uncertainty involved with the treatment. There is no assurance of the amount
or extent of possible clinical risks, or long term affects of this form of gene therapy.
People also argue that because this treatment would be performed on embryos, and
because these embryos are unable to consent to such treatment, it is unethical because
they will have to live with the ramifications of the treatment for the rest of their lives.
They also believe that this kind of gene therapy can open the door to modifying genes
that are not defective, in order for parents to create the “perfect” child. This could upset
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�social balance by providing only those that could afford gene therapy extra advantages in
life over those that could not.
In examining the cost-effectiveness of germ-line gene therapy, skeptics question
whether this is the best use of research funds because of the uncertainty of the
effectiveness of gene therapy, and the ethical and social ramifications of the procedure.
Again, it is important to remember that this form of gene therapy has not been used on
humans, and that perhaps these concerns can be somewhat relieved as scientists fine-tune
the process.
The other two lesser-known methods of gene therapy are repairing genes
through selective reverse mutation, and the regulation of a gene by turning it off. The
second method, also referred to as gene silencing, can be used to block the production of
mutant proteins that cause genetic disorders (Holmes, 2003). Short interfering RNA
(siRNA) is added to a cell, and joins with proteins to create a silencing complex. “The
silencing complex binds to RNA copies of the faulty gene and destroys them” (Holmes
2003), but does not interfere with the RNA copies of the normal gene.
Following the success of Ashanthi DeSilva’s gene therapy treatment, the interest
from biotech companies and research labs to explore new gene therapy methods for other
diseases continued to grow, and people began investing large sums of money into these
businesses. While it was Dr. French Anderson’s plan to focus on rare, emotionally
draining diseases such as SCID and ADA, other people set their sights higher, searching
for gene therapy cures for AIDS and cancer. Unfortunately for those with such lofty
aspirations, little progress in finding gene therapy treatments for these diseases has
transpired since the early 1990’s. Dr. Harold Varmus, the NIH director during the
1990’s, did not like that so many scientists were focusing their gene therapy efforts
towards finding treatments for non-genetic diseases. Dr. Varmus also believed that the
science was too shoddy to push forward with human testing and did not like that he had
to sign off on protocols that were already approved by the Recombinant DNA Advisory
Committee (RAC) (Stolberg 1999). He felt as if it were redundant because the FDA
already had to approve such protocols, and he viewed the RAC as an opportunity for
biotech companies to raise money.
V. The First Fatality
However, in the mid-1990’s a treatment was being developed by researchers at
the University of Pennsylvania to treat a genetic disease occurring in one out of every
40,000 births that more often than not resulted in death within 72 hours of birth (Stolberg
1999). The disease, called ornithine transcarbamylase (OTC), is a urea-cycle disorder
(See Figure 2 in Appendix A). “The urea cycle is a series of five liver enzymes that help
rid the body of ammonia, a toxic breakdown of protein” (Stolberg 1999). If there is a
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�deficiency or complete absence of these enzymes, the ammonia can accumulate in the
blood, and then travel to the brain, which can cause a coma and eventually death. This
disease results from a genetic mutation on the X-chromosome, which means that it is
most likely carried by the mother, and passed onto their sons. Dr. Mark Bradshaw, a
pediatrician and an expert in OTC, helped develop the first treatments for this disease.
This therapy did not, however, prevent the initial coma that signifies the disease and often
leaves the child with significant brain damage. When Dr. Bradshaw joined the staff of
the University of Pennsylvania, he could only dream of one day developing a gene
therapy treatment for this terrible disease (Stolberg, 1999).
During this time, the University of Pennsylvania was the largest academic gene
therapy institution in the nation. In 1993, Jim Wilson, regarded by Dr. French Anderson
as “the best person in the field” (Stolberg 1999), became the director of Institute of Gene
Therapy at the University of Pennsylvania, and within a month began collaborating with
Bradshaw on a treatment for OTC. Wilson and Bradshaw utilized OTC-deficient mice,
and developed an adenovirus vector that would deliver the normal genes right to liver.
The mice that were treated with this therapy survived two to three months, while the mice
that did not receive this therapy did not (Stolberg, 1999). With these positive results, the
team wanted to move onto human subjects. Wilson wanted to jump right to babies that
were afflicted with OTC, yet Arthur Caplan, a bioethics expert at University of
Pennsylvania, warned that parents of these ill children would not be in the right state of
mind to give informed consent (Stolberg 1999). Thus, the team sought out volunteers
(mothers that carried the OTC gene) at the 1994 meeting of the National Urea Cycle
Disorder Foundation to donate blood to be studied.
When Wilson and Bradshaw were ready to propose their gene therapy protocol
to the RAC and NIH, Varmus did not shun their proposal because they were working
with a rare genetic disorder, and they had done extensive research with animal testing
prior to moving on to human subjects. There had been a few animal casualties due to
side effects in their research, including three monkeys dying of a blood-clotting disorder
and severe liver inflammation. The monkeys did, however, receive a dose that was 20
times the highest dose that would be utilized in the human protocol. The team admitted
that it was hard to say exactly how human subjects would respond to the treatment, which
involved running the adenovirus vector through catheter through the hepatic artery to the
right lobe of the liver, sparing the left lobe of any possible damage (See Figure 3
Appendix A). The team outlined the major risks involved, including bleeding at the sight
of entry and/or bleeding during a surgical procedure that may be necessary if there was
significant liver damage (Stolberg 1999). If liver failure were to occur, a transplant may
be an option for treatment, but it could subsequently lead to death.
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�Jesse Gelsinger was the youngest of 18 people that were participating in the
initial trial. Jesse had a mild form of OTC that resulted from a mutation of the gene
during conception (meaning it was not passed onto him by his mother), and he in fact had
two different cell lines, one normal and one abnormal. He was able to control his disease
through diet and a pill regiment, but was encouraged by his father to see if he could
participate in this new treatment. Jesse qualified, and was the last person to be treated by
Wilson’s and Bradshaw’s protocol.
Jesse’s treatment began in Philadelphia on September 13, 1999. He received the
highest dose within the protocol guidelines, and the interventional procedure seemed to
have gone well. That evening, Jesse became very ill with a 104.5-degree fever. The next
morning, Jesse’s eyes were jaundice, which indicated that either his liver was not
functioning properly or that he was experiencing a blood-clotting disorder that meant that
his red blood cells were breaking down too quickly. The jaundice was not an anticipated
side effect of the treatment, and approximately 24 hours after Jesse had his treatment, he
was in a coma. The doctors set Jesse up for dialysis, which helped him briefly, but by
that evening his lungs were not providing enough oxygen to the blood. Jesse eventually
suffered multiple organ failure and respiratory distress syndrome, and died that Friday,
September 17. Jesse was the first person to die from a gene therapy treatment. No other
person from the protocol died or even became significantly ill, yet the NIH put a hold on
all related research trials, and conducted a full investigation of Jesse’s death.
Jesse Gelsinger’s death in 1999 caused a major setback in the field of gene
therapy due to increased security and regulations for trials in order to prevent future
deaths. To this day, the FDA has not approved any gene therapy product to be put on the
market for sale. Not only is this because of Jesse’s death, but also because there has not
been any significant evidence of gene therapy being an effective treatment for diseases
since 1990 when the first trial began. The gene therapy community suffered another set
back in 2003 when the FDA put “a temporary halt on all gene therapy trials using
retroviral vectors in blood stem cells” (Human Gene Project Information 2003). This
action was the result of the two children in France developing a leukemia-like condition
after receiving gene therapy treatment for SCID in August 2002. The FDA is currently
meeting to develop new safeguards for somatic cell gene therapy trials involving the use
of retroviral vectors.
VI. Discussion
While these roadblocks have in some respects stood in the way of the
development of gene therapy, there are several labs that are currently working on some
new gene therapy protocols. A research team at the University of California at Los
Angeles is currently working on creating a “molecular Trojan horse” that can deliver
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�normal genes to areas of the brain that are defective, and help correct conditions such as
Parkinson’s and epilepsy (Ananthaswamy 2003). They say that the brain is a tough area
of the body to fix because the blood barrier surrounding the brain is difficult for large
cells to penetrate, meaning that the viral vectors typically used in gene therapy do not
work here. The team at UCLA has created a liposome that can get through this barrier
and deliver the normal genes to the brain. The liposome is covered with a polymer called
polyethylene glycol (PEG). They say that this polymer is necessary for the liposome to
pass through because they put antibodies in the polymer to latch onto the brain-capillary
receptors, and “trick” the brain into letting the liposome pass the barrier (Ananthaswamy
2003). This treatment has been successful in rats and monkeys, and does not appear to
have any toxic side affects. However, this treatment does have to be repeated monthly
because the new genes are not integrated into the genome.
At the University of Iowa, Beverly Davidson and Henry Paulson are working on
a treatment for Huntington’s disease that would reduce the production of the defective
proteins that cause the damage and the deterioration of the brain. Huntington’s disease is
an autosomal dominant genetic disorder whose gene is found on the short arm of
chromosome 4. In their mode of gene therapy, Davidson and Paulson would be
silencing the gene that causes the mutated proteins to be produced by pairing a short
piece of double-stranded RNA (siRNA) against RNA that codes for a particular protein,
which will stop the production of that protein (Holmes 2003). The team found that it
couldn’t shut off the gene completely because the brain cells would not survive without
some of the proteins produced by the gene. However, they believe that reducing the
number of toxic proteins being produced even slightly will improve the condition. It is
important to remember that with Huntington’s disease there is usually a good copy of the
gene along with the defective one that causes the disease, and thankfully this treatment
will only help alleviate the problems caused by the defective gene, and does not detract
from the effectiveness of the normal one that is naturally present.
In 2002, Ryszard Kole and his research team at the University of North Carolina
published evidence that they could repair the dysfunctional messenger RNA (mRNA)
that causes Thalasseaemia, a blood clotting disorder. With this particular disorder, the
malfunction occurs in the production of beta hemoglobin. There is a mutation in the
gene’s mRNA, which causes the creation of extra splice sites, thus making extra coding
sequences that produce malfunctioning hemoglobin molecules (Penman 2002). Kole
suggests that they can “trick” the cells into producing normal hemoglobin by using
antisense RNA to block the creation of additional splice sites (Penman 2002). The
antisense is delivered to the cells through a modified lentivirus (a type of retrovirus), and
in the lab they have already attempted this treatment ex vivo using bone marrow samples.
105
�They report that these bone marrow samples have produced 20 to 30 percent of a healthy
person’s level of hemoglobin (Penman 2002).
For many parents of children with genetic disorders, decisions of whether or not
to attempt new medical treatments that could help their children (such as gene therapy),
especially if these treatments are experimental and possibly fatal, are difficult. It is
important to remember that the first gene therapy trial conducted was performed on a
four-year-old girl, and the first person to suffer death under a gene therapy trial was 18years-old, and was the youngest person in that protocol group. While these treatments
are new and carry with them a deal of risk, parents may realize that they are the only
hope for survival or meaningful life that the child has.
Another question that arises with gene therapy and children is testing them for
diseases. Some people question whether it is right for children to have to bear the burden
of knowing that they are a carrier for a genetic disease or code for a gene that could
potentially result in the development of a disease, such as the BRCA1 and BRCA2 genes
that could pre-dispose a person to breast cancer. On the other hand, it can be relief to
know that one’s child is not a carrier for a disease, and this can prevent them from having
to undergo extra examination or doctors appointments, which can in turn save them
money and give them piece of mind.
A final gene therapy consideration for parents and/or future parents will occur
when (and if) germ-line gene therapy becomes available for humans, thus making it
possible to correct defective genes before or immediately following conception. Should
parents have the right to make those kinds of decisions that were once only decided by
nature and genetics for their child? Parents are expected to make many decisions for
their children without their consent because children are not capable of making those
types of decisions themselves. Most parents want to give their child the best life
possible, and one could argue that by alleviating their children (or future children) of a
genetic disease that could cripple or end their life prematurely, the parents would be
ensuring that the children’s quality of life is the best one scientifically possible. Yet by
changing the genes, they could be taking away something that makes that child unique,
and they would not be creating the person meant to be created by the union of those
particular egg and sperm. Is it fair for a parent or anyone else to deny that unborn
person’s unique existence, and on a bigger scale, to deny the world of that person’s
existence?
Many parents and/or future parents that are at risk of conceiving and/or bearing
children with genetic disorders are now seeking guidance from their physicians and
genetic counselors as to how they can handle the possible outcomes. Now more than
ever, it is imperative for physicians and counselors to give these patients complete and
honest answers to all their questions, so as they can give informed consent for treatment
106
�if they so choose. According to Parker and Gettig (2000), informed consent is “the most
prominent bioethical and legal doctrine to emerge in the early years of bioethics.” The
concept of informed consent is that when patients are considering whether or not to
participate in any type of gene therapy treatment, they are made aware of all the risks and
benefits that exist when embarking upon the treatment, and they are the ones that are
making the decision to partake in gene therapy based upon their own values and beliefs.
Informed consent exists to protect the patients from any undue influence as to whether or
not they should try a gene therapy treatment, and presents a guideline for physicians and
genetic counselors as to how they should supply their patients with the information they
need to make their decision.
In looking at this issue from a social standpoint, how will discrimination change
if parents were able to “program” their children to meet their specifications? The United
States has progressed immensely with its discrimination laws to provide equal
opportunities for persons with disabilities. If germ-line gene therapy were to exist, would
a new form of discrimination against persons that were not modified come into
existence? Walters (1999) raises the question of whether it is a “remediation or
enhancement” to perform germ-line gene therapy on an embryo that would allow that
child to have an IQ of 100 rather than 60 or 70. With the public schools moving towards
inclusion methods to better integrate children with disabilities into classrooms with
“normal” children, this country seems to be at a point where now more than ever, people
are much more tolerant of those individuals with disabilities than they ever were
previously. Walters (1999) ends his discussion of the ethical issues of gene therapy by
saying, “We can applaud the war on disease that genetic research is waging. It will be a
great day when a child is definitively cured of cystic fibrosis or when a particular family
line is liberated from the burden of fragile X syndrome. But we will be humane warriors
only if, in the midst of the battle, we also show respect for those who courageously cope
with disability and for those who cannot yet be cured." The United States is almost to a
point scientifically that while they could prevent unborn children from ever having to
endure devastating diseases, gene therapy can also create a host of new social problems
and inequities that did not previously exist, and may prolong discriminatory attitudes
towards those that live with the disabilities that gene therapy is attempting to eliminate.
VII. Conclusions
With the emergence of hundreds of biotech companies and research labs over
the past 20 years that are dedicated to exploring and discovering methods of
administering gene therapy to those that need it, there has been little progress in the field.
The biggest set-back for gene therapists came in 1999 when the gene therapy community
lost its first patient, Jesse Gelsinger, due to complications with his therapy for his liver
107
�disease ornithine transcarbamylase (OTC). Since that time, the Food and Drug
Administration (FDA) has produced stringent guidelines for researchers to follow, as a
means of preventing further death. While it is important to have these rules in place to
protect people, it is becoming apparent that the rules governing protocols and procedures
for somatic cell gene therapy will not be nearly as important as the rules that will need to
be made to govern germ-line gene therapy. While germ-line gene therapy may someday
provide children with the opportunity to live a life free of genetic disease, it may also
give their parents the opportunity to change society and create a new form of
discrimination. Gene therapy has the potential to change the world and the lives of those
suffering from once irreversible disorders. However, it could also provide the
opportunity to genetically engineer humans, thus creating a new era in eugenics. The
benefits are astronomical, but the risks could lead to the “racial cleansing” situation
similar to the one witnessed in Europe during World War II. Gene therapy is the next
logical step for the treatment, and someday the prevention, of terrible genetic disorders.
Nevertheless, if these treatments have the potential to be abused, perhaps this step should
not be taken.
VIII. Literature Cited
Fletcher J.C. 1990. Evolution of Ethical Debate about Human Gene Therapy. Human
Gene Therapy 1(1): 55-68
Hubbard R, Wald E. 1999. Exploring the Gene Myth. Boston: Beacon Press. p.209.
Jacobs P. 1990. “Pioneer Genetic Implants Revealed”, Los Angeles Times 1(26): 8
Lewis R. 2003. Human Genetics Concepts and Applications. New York: McGraw Hill.
pp. 390-396.
Miller A.D. 1992. Human Gene Therapy Comes of Age. Nature 357:(6378): 455-460
Mulligan R.C. 1993. The Basic Science of Gene Therapy. Science 260:(5110): 926-932
Reilly PR. 2000. Abraham Lincoln’s DNA and Other Adventures in Genetics. Cold
Spring Harbor, New York: Cold Spring Harbor Laboratory Press. p.253.
U.S. Office of Science and Technology Policy. 1991. Federal Policy for Protection of
Human Subjects: Final Rule. Federal Register 56:(117): 28003-28023
108
�Zanjani, E.D., Anderson, W.F. 1999. Prospects for In Utero Human Gene Therapy.
Science 285:(5436): 2084-2096
IX. World Wide Web Cited
Ananthaswamy A. 2003 March 20 [cited 2004 March 30]. Undercover Genes Slip into
the Brain [Internet]. Available from:
http://www.newscientist.com/news/news.jsp?id=ns99993520
Holmes R. 2003 March 13 [cited 2004 March 30]. Gene Therapy May Switch off
Huntington’s [Internet]. Available from:
http://www.newscientist.com/news/news.jsp?id=ns99993493
Human Genome Project Information. 2003 December 9 [cited 2004 February 26]. Gene
Therapy [Internet]. Available from:
http://www.ornl.gov/sci/techresources/Human_Genome/medicine/genetherapy.sml
Parker L.S, Gettig E. 2000 [cited 2004 April 25]. Ethical Issues in Genetic Screening and
Testing, Gene Therapy, and Scientific Conduct [Internet]. Available From:
http://www.acnp.org/g4/GN401000180/CH176.html
Penman D. 2002 October 11 [cited 2004 March 30]. Subtle Gene Therapy Attacks
Blood Disorder [Internet]. Available from:
http://www.newscientist.com/news/news.jsp?id=ns99992915
Stolberg S.G. 1999 November 28 [cited 25 March 2004]. The Biotech Death of Jesse
Gelsinger [Internet]. Available from: http://www.frenchanderson.org/history/biotech.pdf
Walter L. 1999 February [cited 2004 April 24]. Ethical Issues in Human Gene Therapy
[Internet]. Available from: http:// www.ornl.gov/sci/techresources/Human_Genome/
publicat/hgn/v10n1/16walter.shtml
109
�Figure 1: The four viral vectors utilized by gene therapists, their characteristics, and their
applications (Lewis 2003).
Figure 2: The manifestation of ornithine transcarbamylase (OTC) (Lewis 2003).
110
�Figure 3: Gene therapy sites (Lewis 2003).
111
�“And there are no Footprints in the Dust Behind us…”
Language as the Source of Human Power
and Identity in The Telling
Bradley Seymour1 (English and Psychology)
Language, in both written and spoken form, is a uniquely human characteristic. Every
other living being in the world is ostensibly able to function without language in this
conventional form. This is because all living beings aside from humans are able to
operate by fundamental sets of instinctual actions and processes; something that can be
referred to as a being’s inherent nature. Humans, oddly enough, are without this hardwired nature. We, as a consolation, are rather imbued with the capacity to utilize
language.
Language is how we construct our world view and our own identity. We think
not only in pictures and symbols, but also in words and phrases. Therefore, complex
thought is made possible by our capacity to understand language. It is how we relate to
things, and it is the vehicle with which we define purpose. As a uniquely human
function, “language is, like nest-building or hive-making, the universal and biologically
specific activity of human beings. We engage in it continually, compulsively, and
automatically. We cannot be human without it” (Roberts 141). Other forms of animal
life and most certainly plants do not have this ability, but they do have their own unique
characteristics than can be referred to as forms of power, such as superior speed, physical
strength, longevity and endurance. Each of these forms of life has its own niche in
existence; its own purpose: “They know the way, they know where to go and how to go,
following their nature” (Le Guin 134). But as humans, our purpose and our place in
existence are fluid and variable, and it is the power of language that allows humanity to
construct that purpose and place for itself. Because of this, language is the source of
human power and identity.
Therein lies the potential for language to be a tool for control. Since language is
essentially the key to everything, those who feel so inclined can use language as a means
to manipulate human identity and create hierarchical structures (or as I will refer to them
in this essay, orders) that force people into subjectivity. Meanwhile, those in power
1
Research performed under the direction of Dr. Susan Bernardo (English).
112
�remain in power by continuing to manipulate language to their benefit. After all, “control
of language … means control of one’s life” (Roberts 144).
There are three fundamental orders within Ursula K. Le Guin’s The Telling (or
rather, two orders and one anti-order). All three utilize and illustrate the power of
language in vastly different ways. The first is that of the omnipresent Corporation, which
uses the power of language by nearly depriving its subjects from language entirely. Next
is the fanatical Unist Religion, which rules its own subjects with false language. And the
final order, or anti-order, is that of the Telling, which uses language in its true
unadulterated form and, because of its anti-hierarchical nature, comprises an amazing
threat to the first two orders.
In illustrating the idea of language as human power, speculation on the
consequences of the total absence of language is an effective method for understanding
its utter importance. According to Uming Ottiar:
Without the telling, the rocks and plants and animals go on all right. But the
people don’t. People wander around. They don’t know a mountain from its
reflection in a puddle. They don’t know a path from a cliff. They hurt
themselves. They get angry and hurt each other and the other things (Le Guin
134-135).
A world without language is a world of chaos. It is a world without order that causes
humans to lose their sense of place, purpose, and power, so they will degenerate into
violent modes of behavior and bring about their own ruin and that of everything around
them. Language is necessary in order for human identity to exist, since it is the vehicle
for history and memory. Without it, “there are no footprints in the dust behind us,” (Le
Guin 30) because without language, we do not know where we have been, where we are
going, or even where we truly are. Truly, we are nothing. Language is needed to
maintain the natural order. Without it, “everything is confused. Everybody’s sick”.
(Le Guin 135)
The order of the Corporation, the dominant force on the planet Aka, places
heavy restrictions on language. In fact, it tries its best to wipe out nearly all language,
especially that which is written. If the Corporation is able to keep its subjects uneducated
and without identity, it is much easier for it to control those subjects and force them to
produce and consume. Individual thought is no longer a problem, as the individual no
longer truly exists. All that remains is the faithful “producer-consumer,” living life from
one business transaction to the next. Sutty encounters people of this sort in the Akan city
early in the book:
Conversation went by program. At the banquets people talked business, sports,
and technology. Waiting in lines or at the laundry, they talked sports and the
113
�latest neareals. They avoided the personal and, in public, repeated the
Corporation line on all matters of policy and opinion. (Le Guin 33)
These people “avoided the personal” because there simply is no personal. There is no
individual identity among these people, so the only discourse they can manage is on
superficial topics such as this. All of their “thoughts” are in accordance with Corporation
ideas, as they are nothing more than mindless drones of the Corporation. Because of this
strict system of control, the economy certainly remains stable. Those in power will
remain in power, as those without power do not know enough to realize they are without
it, or even to bother finding out what it is and why it is so important.
The order of the Unist Religion, the dominant force at one point back on the
planet Earth, uses language in quite a different manner than does the Corporation. Rather
than restrict all language, it exploits false language, or rather a vastly corrupted and
perverted version of language. It controls its followers not by keeping them silent and
without identity, but rather by projecting upon them a fanatical, closed-minded and
ultimately false identity. It concerns itself with ignoring and even eliminating language
that does not serve its own purpose, and therefore produces a twisted, false form of
propagandized language that gives rise to identities that are equally as twisted and false in
its subjects.
Though the Unist Religion is not discussed in as great length as is the
Corporation, it exists in the text in the past tense; it once existed and has since killed itself
off. All the lies, the fanaticism, and the propaganda eventually turned the aggression of
Unism in upon itself: “they were all dangerous, they were all violent… they’d always use
violence, because their belief justified it. It told them that God rewards those who
destroyed unbelief and the unbeliever” (Le Guin 220). The power of language was even
able to override the man-made controls that the Unists placed upon their subjects.
Language is so powerful that, when utilized in a false manner such as this, it becomes a
double-edged blade with the potential to do as much damage to its manipulator as it can
to its target. But Sutty’s own description of the matter is a better illustration: “There’s a
Hainish parable of the Mirror. If the glass is whole, it reflects the whole world, but
broken, it shows only fragments, and cuts the hand that holds it” (Le Guin 228). Indeed,
the raw power of language is the mirror.
Because of this amazing power, the order of the Telling is indeed a horrendous
threat to the first two orders. Sutty first begins to see proponents of this order in the
people on the riverboat: “but on the riverboat, people talked. They talked personally,
intimately, and exhaustively” (Le Guin 33). This is because these people actually have
authentic identities as a result of their freedom to use language to construct those
identities. Where the first two orders mentioned earlier both use language (or the lack
thereof) as a means for control and establishing and perpetuating a socioeconomic or
114
�religious hierarchy, the Telling naturally emphasizes that these hierarchies are false and
unnatural constructs. Indeed, the Telling could be looked at as being almost anarchical in
nature, and that is undoubtedly the word that would be used for it in both the Unist and
Corporation regimes. But the Telling does not exist to harm anything, as it is apparent to
its proponents that “hate eats the hater” (Le Guin 205). The Telling is rather about love
and truth. But of course, the orders that thrive on hatred, fallacy, and social or religious
oppression would never acknowledge that.
The Telling has the potential to destroy both the Unist Religion and the
Corporation. This is because the proponents of the Telling do not seek to further personal
interests, unlike those who endorse the Unist Religion and Corporation. In the order of
the Telling, there are no leaders and no followers. There are just people who tell stories –
all the stories – and do not discriminate between them or force one opinion over another.
There is true freedom for those who believe in the Telling for each and every person to
develop a unique and authentic identity. It is this true identity that keeps them from
being controlled. Truly, there is nothing to gain in the Telling by using the power of
language except for eventual understanding of the fundamental truths of the universe.
The only real danger associated with language – the true source of human power
and identity – is that the subjects of the Corporation and the Unists will realize that they
are under illegitimate rule and will rebel against that rule. This is true not only for these
two orders but, for that matter, any socioeconomic or religious institution in which the
masses are ruled by a select few based on man-made, and therefore false and unnatural,
assumptions. Uming Ottier realizes this, and it is during his extended tirade that he
speaks of it: “Those false maz, those big munan, those boss maz. Telling people that
nobody knew the truth but them, nobody could speak but them, everybody had to tell the
same lies they told” (Le Guin 135). Truly, no one person has the right to assert
dominance over another, as all people are equal. He understands entirely the falsehood of
the rule that people had been subjected to, and it is his involvement in the Telling that
allows him to do so.
This theme of language as the source of power is not uncommon in Le Guin’s
writing. In her Earthsea stories, there is an obvious link between language and identity,
and identity and power. In fact, the three are inexorably linked together. All power over
an object stems from one’s knowledge of that object’s true name. And no true name can
exist without language. Here, too, language is the source of power. For those in the
Earthsea stories, “languages allow their users in certain specific situations to change the
physical nature of reality” (Comoletti and Drout 3). In the more realistic The Telling,
however, the transformative power of language is not of the physical realm, but rather of
the social, religious, and mental.
115
�Language truly is the source of human power. Everything that makes a human
uniquely human stems, on some level, from language. From language springs memory,
history, purpose, and identity. Language is that set of footprints in the dust that defines
humanity’s past, present, and future. And to have control of language is to have control
of human life. This is precisely the reason for the Corporation and the Unist Religion to
fear the power of language to the point where it must be regulated, monitored, and in
some cases eliminated, in order to assure the perpetuation of their hierarchies. The
equalizing force of language, however, ultimately has the power to break these
hierarchies apart, whether from the outside or from within.
Works Cited
Comoletti, Laura & Drout, Michael. "How They Do Things with Words: Language,
Power, Gender, and the Priestly Wizards of Ursula K. Le Guin's Earthsea Books",
Children's Literature 29. (2001): 113-143.
Le Guin, Ursula K. The Telling. New York: Ace Books, 2000.
Roberts, Robin. “Post-Modernism and Feminist Science Fiction”,
Science-Fiction Studies 17 (1990): 136-149.
116
�Section V: Index to Articles
Published in Earlier Volumes
�Table 1: Past Papers
Title
Author(s)
Faculty
Issue
Winning Lotto Numbers: Pure
Chance or Hidden Bias
Behavioral Assay to Determine
Photo-sensitivity of Early-Stage
Nauplii of the Brine Shrimp Artemia
Franciscana
Increased Functionality and Copy
Protection for Online Images:
Dynamic Flash Images and the Web
Speciation of Arsenic Metabolic
Intermediates in Human Urine by IonExchange Chromatography and Flow
Injection Hydride Generation Atomic
Absorption Spectrometry
The Impact of Thin-Ideal Depicting
Media on Disordered Eating Among
College Students
The Effects of Mortality Salience on
Social Evaluation
Heroin Abuse as Product of the Urban
Environment in the Works of
Burroughs, Selby, Algren & Baldwin
The Biology and Psychology of
Melatonin
Hispanic Literature In English
Translation
Randye Shanfeld and
Dr. Gregory Falabella
G. Falabella
Fall 2002
Christina M. Owens
and Dr. Donald Stearns
D. Stearns
Fall 2002
Jason W. Nadal and
Dr. Adrian Ionescu
A. Ionescu
Fall 2002
Sarah Alauddin and
Dr. Mohammad
Alauddin
M. Alauddin
Fall 2002
Jessica Morin
A. Eshleman
Fall 2002
Matteo Rosselli
R. Brower
Fall 2002
Michael O’ Connor
D. Hensley
Fall 2002
Jene Tesoriero
E. Perry
Fall 2002
Michael Alas
M. Kiss
Fall 2002
Jacqueline
Whittenburg,
Renee Sudol,
Prof. Linda Raths and
Dr. Zoltan Fulop
L. Raths and
Z. Fulop
Spring 2003
Jessica Biren
R. Brower
Spring 2003
Diane Marie Vellon
R. Brower
Spring 2003
Melissa Mason
R. Brower
Spring 2003
Eric DeBarba
A. Schotter
Spring 2003
Anne Rossettini
E. Perry
Spring 2003
Ed Pietrowski
M. Groth
Spring 2003
Emily Dillon
M. Kiss
Spring 2003
Stephanie Capasso
L. O’Hare
Fall 2003
Alcohol-Induced Malformations in
Zebrafish Embryos: Zebrafish as a
Model Animal to Study Fetal Alcohol
Syndrome
How Watching Pornography
Immediately Effects Attitudes
Toward Sexual Relationships
The Change of Color and Shape and
Its Effects on the Memory of a Pattern
Taking the Job Home
The Representation of Class in
Chaucer
The Role of ESS1 in Transcription
Elongation
Homophobia: An Irrational Prejudice
From Vision to Reality: Development
of a Utopia in Parable of the Sower
Autism and the MMR Vaccination
118
�Title
Author(s)
Faculty
Issue
Pluto: Captured Comet or Legitimate
Planet
Investigation of Iron(III)-based MRI
Contrast Agents
The Effects of Conscious Sedation on
Anxiety in Oral Surgery Patients
Redefining Love: The Interrelations
Between Love, Attachment Styles and
the Triangular Theory of Romantic
Relationships
Memory: Effects of One’s Gender on
Memory Retention
GPA and Study Habits: The
Relationship Between Study-Habits
and Grade Point Average in College
Students
Van Gogh and Gauguin
Why Rules are Made to be Broken:
The Establishment and Destruction of
the Institution in Harry Potter and the
Sorcerer’s Stone and Ender’s Shadow
Housewife to an Empowered War
Hero: The Feministic Transformation
of the Disney Princesses
Too Young to Be Old: The Cause of
Hutchinson-Gilford Progeria
Syndrome
Bots
Case Study of a Two-Year Old Girl’s
Emotional Adjustment in a Private
Day Care Setting
A Reflection of the Little Steps
Treatment Program
Internship at Bay Ridge Preparatory
School
Ruth Crawford Seeger’s Suite for
Small Orchestra: An American
Twentieth-Century Musical
Composition
Anti-Rationalism in Ernesto Sabato’s
Resistance and The Tunnel
Commodities Futures Markets
Why Diversification is Necessary in
Long Term Portfolio Planning
Michelle Bingham and
Dr. Gregory Falabella
G. Falabella
Fall 2003
Maryanne Gaul
N. Richardson
Fall 2003
Dina Gramegna
L. O’Hare
Fall 2003
Jaime T. Carreno
A. Eshleman
Fall 2003
Nicole Gaeta
R. Brower
Fall 2003
Jenny Ludvigsen
R. Brower
Fall 2003
Kimberly Kopko
L. Morowitz
Fall 2003
Paula Casill
S. Bernardo
Fall 2003
Kimberly Litto
L. Morowitz
Fall 2003
Janette Lebron
A. Moorthy
Spring 2004
Sean Munson
A. Ionescu
Spring 2004
Claire Lippmann
M. Groth
Spring 2004
Josephine Vitale
R. Brower
Spring 2004
Lindsay Schwartz
R. Brower
Spring 2004
Kelly Parker
D.Schulenberg
Spring 2004
Rich Barbiera
K. Urbanc and
M. Sanchez
M. Lo Re
John Roberts
M. Lo Re
Susan Altman
119
Spring 2004
Spring 2004
Spring 2004
�Table 2: Past Abstracts and Extended Abstracts
Title
Author(s)
Popcorn PVP Induced by Purified
PVP
Hydrothermal Growth of Iron Sulfide
Crystals
Dawn Pothier and Dr.
Susan Tseng
Richard Moses and Dr.
Maria Gelabert
Steven Corn,
Randye Shanfeld and
Dr. Gregory Falabella
Maryanne Gaul,
Dr. Brian Palestis and
Dr. Susan Tseng
Peter Herbst and Dr.
Gregory Falabella
Gases and Thermostatistics
Experimental Analysis of the
Hydrolysis of Vinylpyrrolidone by
Gas
Numerical Simulation of Free
Convection
Speciation of Arsenic Sediment
Leachate by Solid Phase Extraction
and Flow Injection Hydride
Generation Atomic Absorption
Spectrometry
Growth Kinetics of NiSO4·7H2O
Crytals
Methadone Maintenance and
Preference Rating of Sweet Foods
The Efficient Solution of Block
Tridiagonal Linear Systems
Diagnosis and Treatment of
Aeromonas in Zebra Fish
Deep Aquifer Water as Alternate
Drinking Water Source in Arsenic
Affected Area of Bangladesh
Aircraft Icing: An Experimental
Study
Effect of Complexing Agent on TIO2
Hydrothermal Crystal Growth
The Effect of Fat Content Label on
Food Intake
Ion Chromatography Analysis of
Deep Aquifer Water from Arsenic
Affected Areas of Bangladesh
Transcardial Perfusion of Zebrafish
Brain
Hydrothermal Crystal Growth of Zinc
Oxide Via Coordination Chemistry
Margaret Fiasconaro
and Dr. Mohammad
Alauddin
Luther Schaeffer and
Dr. Maria Gelabert
Lisa M. Scagnelli and
Dr. Laurence Nolan
Peter Herbst and Dr.
Gregory Falabella
Jennifer Zafarino,
Thomas Smolka and
Dr. Kathleen Bobbitt
Margaret Fiasconaro,
Sarah Alauddin and Dr.
Mohammad Alauddin
Nicolas Rada and
Dr. Gregory Falabella
Dawn Pothier and Dr.
Maria Gelabert
Joanna Ferreri and Dr.
Laurence Nolan
Sarah Alauddin,
Margaret Fiasconaro
and Dr. Mohammad
Alauddin
Matthew Gray,
Adam James,
Prof. Linda Raths and
Dr. Zoltan Fulop
Dana M. Romano and
Dr. Maria Gelabert
120
Faculty
Issue
S. Tseng
Fall 2002
M. Gelabert
Fall 2002
G. Falabella
Fall 2002
B. Palestis and
S. Tseng
Fall 2002
G. Falabella
Fall 2002
M. Alauddin
Fall 2002
M. Gelabert
Fall 2002
L. Nolan
Fall 2002
G. Falabella
Spring 2003
K. Bobbitt
Spring 2003
M. Alauddin
Fall 2003
G. Falabella
Fall 2003
M. Gelabert
Fall 2003
L. Nolan
Fall 2003
M. Alauddin
Fall 2003
L. Raths and
Z. Fulop
Fall 2003
M. Gelabert
Fall 2003
�Title
An Experimental Study of Shoaling
Behavior in Zebrafish (Danio Rerio)
Physiological Responses to Guided
Relaxation
Author(s)
Janette Lebron, Dr.
Brian Palestis and Dr.
Zoltan Fulop
Teresa Jackson,
Carolyn Palinkas,
Robert Liberto,
ParamPreet Ghuman,
Dr. Zohreh Shahvar
and Dr. Zoltan Fulop
Faculty
Issue
B. Palestis and
Z. Fulop
Fall 2003
Z. Shahvar
and Z. Fulop
Fall 2003
The Relationship Between Teachers’
Physical Attractiveness and Student
Ratings of Their Effectiveness
Kerri Doran
A. Eshleman
Fall 2003
Validation of the Folk Remedy Garlic
(Allium Satirum) in Wound Healing
Katherine LaChance,
Christopher Hart and
Dr. Ellen Perry
E. Perry
Fall 2003
121
�
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Volume 3, Number 1
Table Of Contents
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Section I: Eastern Colleges Science Conference -- Abstracts -- 2 Synthesis and In Vitro Analysis of Iron(III)-Based MRI Contrast Agents / Dawn Pothier and Dr. Nicholas Richardson -- 2 A Study of Pendulum Oscillation / Victoria M. Lynch and Dr. Otto Raths -- 2 Complex Ice Accretions on Aircraft Wings / Nicolas Rada and Dr. Gregory J. Falabella -- 3 Getting the Message Across: A Growing Demand for “Good” Codes in the Information Age / Carolyn Palinkas -- 3 Preferences for Same-Sex Shoaling in Zebrafish (Danio Rerio) / Janette LeBron -- 4 Reversing Emotional Eating by Use of a Relaxation Technique / Lindsay B. Halperin and Dr. Laurence J. Nolan -- 4 Improving the Calorimeter Cup Anna Arkhipova, Jared Jax, Michelle Bingham and Dr. Gregory J. Falabella -- 4 Stigma Against Mental Illness / Kara Edgren and Dr. Amy Eshleman -- 5 One Parameter Approximation of the Brachistochrome (Minimum Time) Problem / Brittany T. Corn, Cho S. Kim and Dr. Otto Raths -- 5 Cloning and Expression of the HSV-1 Gene US9 / Nicole D. Hosmer and Dr. Geoffrey Church -- 6 Phenotypic Expression is the Ultimate Proof of Genotypic Makeup / Janette Lebron -- 6 Deep Aquifer Water, an Alternative Source of Drinking Water for Arsenic Affected Bangladesh / Sarah T. Alauddin, Alyssa Kenyon and Dr. Mohammad Alauddin -- 7 Eating Behavior of Meal Plan and Non-Meal Plan Students in Single and Multiple-Item Laboratory Meals / Kristen L. Fisher and Dr. Laurence J. Nolan -- 7 The Implications of Priming on the Attitudes of College Students Experiencing Theatrical AIDS Education / Carolyn D. Tudisco -- Section II: The Natural Sciences -- Full Length Papers -- 10 Getting the Message Across: A Growing Demand for “Good” Codes in the Information Age / Carolyn Palinkas -- Section III: The Social Sciences -- Full Length Papers -- 46 The Effects of a Nutrition Label on Food Consumption / Joanna Ferreri -- Section IV: Critical Essays -- Full Length Papers -- 66 The Invention of Homosexuality / Frank G. Garritano -- 74 Concern for Individual Will Bring Forth Concern for the Whole / Amy Jensen -- 80 Scheherazade of Latin America: Eva Luna as Archetypal Storyteller / Brianna Doughty -- 90 Witchcraft and French Popular Culture: An Explanation of the Occult / Jake Browne -- 96 Gene Therapy: How Therapeutic Is It? / Kelly Parker -- 112 “And there are no Footprints in the Dust Behind us…” Language as the Source of Human Power and Identity in The Telling / Bradley Seymour -- Section V: Index to Articles Published in Earlier Volumes -- Tables -- 118 Past Papers -- 120 Past Abstracts and Extended Abstracts
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Wagner College Forum for
Undergraduate Research
Spring 2005
Volume III, Number 2
Wagner College Press
Staten Island, New York City
��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 typically subdivided into three sections entitled The Natural
Sciences, The Social Sciences and Critical Essays. The first of these two sections are
limited to papers and abstracts dealing with scientific investigations (experimental and
theoretical). The third section is reserved for speculative papers based on the scholarly
review and critical examination of previous works.
This issue contains several noteworthy papers which encompass a variety of topics
including biochemical research involving GFP (green fluorescent protein), psychiatric
hospitalization and same-sex domestic violence. The interested reader will explore the
ramifications of stem cell research and rethink the decision to end WWII by dropping an
atomic bomb on Hiroshima.
Read on and enjoy!
Gregory Falabella and Richard Brower, Editors
��Section I: The Sciences
2 Design and optimization of an amplification protocol for detecting
GFP gene expression in E. coli by RT-PCR
Megan Hogan
Section II: The Social Sciences
16 The Implications of Priming on the Attitudes of College Students
Experiencing Theatrical AIDS Education Therapy: How Therapeutic
Is It?
Carolyn Tudisco
31 Labor Market, Earnings and Black-White Health Benefit Coverage
Lauren McMahon and Jonathan Ohn
33 Psychiatric Hospitalization: Is it Treatment or Torture?
Melissa D. Travostino
40 How Name Discrimination Can Occur in Resume Assessment
Kathariya Pungdumri
Section III: Critical Essays
62 The Destruction of Hiroshima: The Decision to Drop the Bomb
Alla Bronskaya
69 Stem Cell Research: Its Possibilities, Potential Hazards and Obstacles
Lauren Maltese
80 Hagar
Stephanie Williams
84 Esther
Rachel Dudley
90 Same-Sex Domestic Violence
Shara Zaslow
��Section I: The Sciences
�Design and optimization of an amplification protocol for
detecting GFP gene expression in E. coli by RT-PCR
Megan Hogan (Chemistry) 1
I. Introduction
Green fluorescent protein (GFP), originally isolated from the bioluminescent
jellyfish Aequorea victoria, has of late become an important tool in biochemical
research1. Green fluorescent protein (molecular weight = 27 kDa, fluorescence λmax= 508
nm) is localized together with aequorin, a 21.4 kDa, Ca2+-regulated photoprotein or
luciferase, within the light-generating granules (lumisomes) of A. victoria photocytes2, 8, 9.
Although the actual role of bioluminescence in the A. victoria lifecycle is unknown, other
species of jellyfish generate light as a defensive mechanism, emitting bright flashes that
are thought to temporarily startle potential predators or warn them of a potentially
poisonous meal1, 10.
The chemiluminescent protein aequorin consists of an apophotoprotein
(apoaequorin) and an imidazolopyrazine derivative called coelenterazine. Within the
active site of aequorin, coelenterazine reacts with molecular oxygen to form a highly
reactive chromophore or luciferin called hydroperoxycoelenterazine6. When aequorin is
mixed in vitro with three equivalents of Ca2+, it catalyzes the decarboxylation of
hydroperoxycoelenterazine to form an excited state of coelenteramide, which
subsequently stabilizes by falling to its ground state and emitting a photon of blue light
(fluorescence λmax= 470 nm). If, however, the reaction is carried out in the presence of
an excess of GFP, a green fluorescence is observed instead; the longer wavelength of the
light emission is thought to be the result of resonance energy transfer from the excited
state of coelenteramide (within aequorin) to GFP6. In the absence of aequorin, GFP
shows fluorescence only when exposed to long-wave ultraviolet (LW-UV) irradiation.
Ormö et al. (1996) were the first to determine the crystal structure of purified
GFP. Wild-type GFP consists of 238 amino acid residues and has two maximum
absorption peaks at 395 and 475 nm4. GFP is folded in an 11-stranded cylindrical β
barrel 42 Å long and 24 Å in diameter wrapped around a central helix4. Each strand in
the cylindrical barrel consists of 9 to 13 residues4. The intrinsic fluorescence of GFP
1
Research performed under the direction of Dr. Roy H. Mosher (Biological/Physical Sciences) in
partial fulfillment of the Senior Program requirements.
2
�requires no prosthetic group and originates from a fluorophore that is generated as a
result of a spontaneous reaction between three amino acids within the protein itself1. The
GFP fluorophore is formed autocatalytically by the posttranslational cyclization and
oxidation of the tripeptide Ser65-Tyr66-Gly67 within the primary structure of the native
protein3.
Because GFP requires no special cofactors or additional groups to function, it
has found a variety of uses in both cellular and biochemical research. Many of these
applications employ GFP as a molecular tag to follow protein transport and localization
within a cell or to trace the proliferation and migration of specific cell types within a
developing embryo; GFP has also been used frequently as a convenient tool for studying
gene expression under a variety of cellular conditions5. In summary, the functional utility
of GFP stems not only from its ease of use and flexibility but also from the fact that even
a single cell expressing it produces a readily detectable green fluorescence under LW-UV
light5.
In order to use GFP as a molecular tag, a DNA fragment encoding the A.
victoria GFP gene (gfp) must be introduced into a host cell through a process known as
transformation or transfection. During this procedure, host cells are made competent to
take up DNA from their external environment. To ensure stable maintenance within the
host cell, DNA fragments carrying the desired genes are usually inserted into small,
autonomously replicating DNA molecules called plasmids prior to the transformation
procedure. In the present study, cells of the Gram-negative bacterium Escherichia coli
that had been transformed with the recombinant plasmid pHisGFPuv (which carries a
copy of the A. victoria GFP gene) were used as an abundant source of template DNA for
all experimental procedures7.
Once cells have been transformed with gfp, gene expression can be monitored
using both direct and indirect methods. The process of gene expression in bacterial cells
first requires that a gene be transcribed into messenger RNA (mRNA), which then serves
as a template for the synthesis of a specific polypeptide during the second phase of gene
expression known as translation. Since GFP becomes fluorescent almost immediately
after it is translated, the extent to which protein synthesis occurs can be determined
directly by visual inspection of bacterial colonies illuminated by LW-UV light. Cells
producing even low amounts of GFP glow green and, to a certain extent, the strength of
the observed fluorescence is proportional to the amount of protein produced; however,
relative levels of fluorescence can be estimated most accurately using a
spectrofluorometer.
To monitor gene expression at the transcriptional level, a less direct method of
detection such as the reverse transcriptase-polymerase chain reaction (RT-PCR) must be
used. The polymerase chain reaction (PCR) is a technique that was initially developed to
3
�amplify very small amounts of a specific DNA sequence (the target sequence) to
facilitate further analysis. The procedure begins by heating a solution of DNA containing
the target sequence until the two strands of the double helix separate or denature. Two
single-stranded oligonucleotide primers with sequences complementary to opposite
strands of the DNA molecule at the left-hand and right-hand boundaries of the target
sequence, respectively, are added and the temperature is lowered to allow annealing of
the primers to the target sequence. The temperature is then raised and a thermostable
DNA polymerase (usually Taq polymerase), along with the requisite deoxynucleoside
triphosphates (dNTPs), is added to catalyze extension of the primers from their 3’ termini
in the 5’ to 3’ direction. The cyclic process of heating to denature the template and
primer sequences, cooling, and then heating the reaction mixture to the optimum
temperature of the DNA polymerase, is then repeated 25 to 30 times and results in an
exponential amplification of the target sequence copy number.
RT-PCR is a procedure that is used when the desired sequence to be amplified is
located within a RNA molecule. Because the PCR procedure can only amplify DNA
sequences, a complementary DNA (cDNA) copy of the RNA molecule must first be
synthesized. The RT-PCR procedure begins by isolating the RNA containing the desired
target sequence. A RNA-dependent DNA polymerase (reverse transcriptase), dNTPs, and
a deoxyoligonucleotide primer complementary to the 3’ end of the RNA molecule are
added to the RNA. Reverse transcriptase then extends the annealed primer from its 3’
terminus generating a single-stranded DNA molecule that is complementary to the RNA
template strand; the target sequence within the cDNA can then be amplified by PCR.
In this study, optimal PCR conditions required to amplify a portion of the
GFPuv gene from pHisGFPuv were determined (Note: The GFPuv gene is a mutated
version of the wild-type GFP gene, which encodes a protein that produces a much
stronger fluorescence when exposed to UV light). In addition, a method for verifying the
identity of the amplified DNA fragment was established. These results represent an
essential first step in the development of a RT-PCR protocol for detecting gfp expression
in E. coli at the transcriptional level.
II. Materials and Methods
Chemicals and reagents
Qiagen (Valencia, CA) synthesized both forward (GFPuvF) and reverse
(GFPuvR) oligonucleotide primers. A 200 base pair DNA ladder (Edvotek; West
Bethesda, MD) and a 100 base pair DNA ladder (New England Biolabs; Beverly, MA)
were used as size markers during agarose gel electrophoresis. PuReTaq Ready-To-Go
PCR Beads (Amersham Biosciences; Piscataway, NJ) and wax pellets (Edvotek) were
4
�used for PCR. DNase-free/RNase-free water (Invitrogen; Carlsbad, CA) was used to
prepare all solutions and in all reactions. Molecular biology grade agarose (Bio-Rad;
Hercules, CA) was used to prepare agarose gels for electrophoresis. Restriction enzyme
NdeI and 10X NEBuffer 4 (New England Biolabs) were used to verify the results of PCR.
All other chemicals were of reagent grade unless otherwise specified.
Buffers and solutions
All solutions made for direct use in PCR were prepared under a Biohazard hood,
and pre-sterilized micropipettor tips with aerosol filter blocks (Fisher Scientific;
Fairlawn, NJ) were used to transfer and measure solutions. Latex gloves were worn at all
times to protect against DNase and RNase contamination. Solutions of 1 M Tris-HCl
buffer (pH 8) and 0.5 M EDTA (pH 8) were both obtained from Invitrogen. A solution
of 50X TAE electrophoresis buffer (Edvotek) was diluted to 1X strength for use in
agarose gel electrophoresis. An ethidium bromide solution (1 µg/mL) from Modern
Biology Inc. (West Lafayette, IN) was used to stain agarose gels for visualizing DNA
bands by UV transillumination. TE buffer (pH 8) consisted of 10 mM Tris-HCl (pH 8)
and 1 mM EDTA (pH8), and was prepared by diluting stock solutions of 1M Tris-HCl
(pH 8) and 0.5 M EDTA (pH 8) in DNase-free/RNase-free water. Primer stock solutions
were prepared by briefly centrifuging tubes of freeze-dried oligonucleotides and then
adding enough TE (pH 8) buffer to give solutions with a final concentration of 100 µM or
100 pmol/µL; stock solutions were dispensed in 12-µL aliquots that were stored at
–20oC. Primer working solutions were prepared by combining 10 µL of primer stock
solution with 90 µL of DNase-free/RNase-free water, giving a final concentration of 10
µM or 10 pmol/µL; working solutions were dispensed in 10-µL aliquots and then stored
at –20oC.
Culture conditions
Cells of Escherichia coli DH5αF’IQ + pHisGFPuv were obtained from Janette
Lebron. Cultures of E. coli had been grown for approximately 16 hours with shaking
(~200 rpm) at 37ºC in 50 mL of LB broth (www.difco.com) supplemented with 100
µg/mL ampicillin and 0.25% (w/v) L-arabinose in a 250-mL Erlenmeyer flask. To
harvest cells, 1.5-mL aliquots of culture broth were placed into sterile microcentrifuge
tubes and centrifuged at full speed (16,000 x g) in a microcentrifuge. The supernatant
was decanted and the cell pellets were frozen at -80ºC.
Extracting plasmid DNA
Plasmid DNA was extracted using a Quantum Prep Plasmid Miniprep Kit (BioRad) as recommended by the manufacturer. Briefly, a frozen cell pellet was thawed
5
�rapidly at room temperature and resuspended in the residual liquid; the resulting cell
suspension was transferred to a 2-mL microcentrifuge tube and spun at full speed in a
microcentrifuge for 30 s. The supernatant was removed and the pellet was resuspended
in 200 µL of Cell Resuspension Solution by briefly agitating on a vortex mixer; the
suspension was then combined with 250 µL of Cell Lysis Solution. The tube was
inverted ten times and the resulting cleared lysate was combined with 250 µL of
Neutralization Solution. The tube was inverted ten times and centrifuged for 5 min and
the supernatant was then transferred to a spin column placed inside a 2-mL wash tube.
Quantum Prep Matrix (200 µL) was added and mixed with the supernatant by pipetting
the solution up and down; this was then centrifuged for 30 s at full speed and the filtrate
was discarded. Wash Buffer (500 µL) was added to the spin column and centrifuged for
30 s; the filtrate was discarded. Another 500-µL portion of Wash Buffer was added to
the spin column and centrifuged for 2 min. The spin column was transferred to a 1.5-mL
microcentrifuge tube and a 100-µL portion of sterile deionized water (preheated to 70oC)
was added to the surface of the spin column and the plasmid DNA was eluted by
centrifuging at full speed for 1 min.
Primer design and synthesis
Oligonucleotide primers were designed using the Primer3 online software
available on the MIT web page (http://frodo.wi.mit.edu/cgi-bin/primer3/primer3_www.cgi).
The GFPuv nucleotide sequence (Accession # U62636) was obtained from the GenBank
Database (http://www.ncbi.nlm.nih.gov/Genbank/index.html) and uploaded into the
Primer3 software. The selected primers were chosen to minimize 3’-intra-primer and interprimer annealing and amplify a 247-bp DNA fragment within the GFPuv open reading
frame (orf). Both primers were 20 nucleotides in length and bound, respectively, to
opposite ends of the DNA fragment to be amplified and on opposing strands (Appendix 2).
The forward primer (GFPuvF) had the sequence: 5’-GTCAGTGGAGAGGGTGAAGG-3’.
The reverse primer (GFPuvR) had the sequence: 5’-CAGCACGCGTCTTGTAGTTC-3’.
The GFPuv nucleotide sequence was analyzed for restriction endonuclease
cleavage sites using the Sequence Manipulation Program at the University of Alberta,
Edmonton, AB, Canada (http://www.ualberta.ca/~stothard/javascript/). The sequence
was uploaded into the “Rest & Trans Map” program to produce a restriction map of
unique sites within the region of the GFPuv orf to be amplified. The program indicated
the presence of a single site for the restriction endonuclease NdeI (see Appendix 2), such
that upon digestion with the enzyme the predicted 247-bp amplicon should be cleaved
into two DNA fragments of 101 bp and 146 bp, respectively.
Setting up the polymerase chain reaction (PCR)
6
�To estimate levels of plasmid DNA, samples of pHisGFPuv DNA extract were
electrophoresed along with known quantities of phage lambda DNA (Edvotek) through
an agarose gel, stained with ethidium bromide, and observed by UV transillumination. A
sample of the plasmid DNA extract was then serially diluted to give template DNA
solutions of approximately 100 pg/µL and 10 pg/µL, respectively. All reactions were
carried out in thin-walled 0.5-mL microcentrifuge tubes containing PuReTaq Ready-ToGo beads and suspended to give a final volume of 25 µL. The final reaction mixture
contained 2.5 units of PuReTaq DNA polymerase, 10 mM Tris-HCl, (pH 9.0), 50 mM
KCl, 1.5 mM MgCl2, and 200 µM of each dNTP. Three reaction tubes were set up and
contained, respectively, the following:
NT Control tube
50 pg DNA tube
500 pg DNA tube
DNA template
0 µL
5 µL (10 pg/µL)
5 µL (100 pg/µL)
GFPuvF (10 µM)
2 µL
2 µL
2 µL
GFPuvR (10 µM)
2 µL
2 µL
2 µL
Water
21 µL
16 µL
16 µL
Cycling conditions for PCR
The thermocycler program for PCR (Appendix 1) was conducted on a MJ
Research Minicycler. Prior to initiating the cycling program, a wax pellet was aseptically
added to each reaction mixture, which was then denatured at 95ºC for 5 min. The cycling
program incorporated a touchdown procedure during which the annealing temperature
was decreased by 0.5oC/cycle from 65oC to a touchdown annealing temperature of 50oC.
The first cycle of the program consisted of a denaturing step of 95ºC for 1 min, an
annealing step of 65ºC for 2 min and then an elongation step at 72ºC for 45 seconds. The
next 9 cycles were identical to the first except that the annealing temperature was reduced
by 0.5oC/cycle. For the next 20 cycles, the annealing temperature continued to drop
0.5ºC /cycle until it reached 50ºC, and the length of the extension time was increased by 5
s/cycle. For the final 10 cycles, the annealing temperature was maintained at 50oC and
the length of the extension time continued to increase by 5 s/cycle. The cycling program
ended with a final extension step of 7 min. The reaction mixture was then cooled to 4ºC
and stored at -20ºC.
Electrophoresis
Gels were cast at 0.8% (w/v) or 1.5% (w/v) agarose in 1X TAE buffer. Agarose
powder (0.24 g or 0.45 g) was added to 30 mL of 1X TAE buffer in a 250-mL
Erlenmeyer flask and heated to boiling in a microwave oven until completely dissolved.
The molten agarose solution was allowed to cool for ten minutes, after which it was
7
�poured into a mini-gel casting frame (7 x 7 cm) with a well-forming comb at one end.
The molten agarose was allowed to harden for approximately 25 min at room temperature
before the comb and rubber dams were removed from the casting tray. The agarose gel
was placed into an electrophoresis chamber and 1X TAE buffer was added until the gel
was completely submerged. Samples were prepared for electrophoresis by combining 10
µL (final volume) of sample solution with 2 µL of 5X loading dye (Bio-Rad); samples
were then loaded into the wells of an agarose gel through the layer of buffer covering it.
Gels were typically run at 80 V for 1 h, and then transferred to a solution of ethidium
bromide (1 µg/mL) for 10 minutes; to remove unbound ethidium bromide, gels were
placed in an equal volume of distilled water for 5 min. To visualize fluorescent DNA
molecules, stained gels were transilluminated with long-wave UV light and photographed
by a Kodak Digital Camera assembly.
Restriction enzyme digest conditions
DNA digestion with restriction endonuclease NdeI was carried out in a sterile
1.5-mL microcentrifuge tube and the reaction mixture consisted of: 5 µL of PCR
products, 1 µL of 10X NEBuffer 4, 3 µL of water, and 1 µL of NdeI (20 U/µL). The
reaction was incubated at 37ºC overnight and then stored at -20ºC.
III. Results and Discussion
To confirm the presence and integrity of DNA in plasmid extracts, samples were
separated by agarose gel electrophoresis. The agarose gel shown in Fig. 1 confirmed the
presence of primarily covalently closed circular (ccc) DNA in the pHisGFPuv plasmid
DNA extract, with only minor amounts of open circular (oc) and single-stranded (see
faint bands running slightly faster than ccc DNA in Fig. 1) forms of the plasmid; no E.
coli chromosomal DNA was visible in the plasmid extract. Although the amount of DNA
extract loaded into lane A was twice that in lane B, the intensity of the bands in both
lanes did not differ. However, a faint band was observed in the lane directly to the left of
lane A; this may have been the result of a sample spillover during the loading of lane A,
and is the most likely explanation for the less-than-expected amount of DNA in this lane.
Lane C, the phage lambda DNA sample, was used as a control to confirm that the
electrophoresis and staining procedures had worked as expected and provided a reference
for estimating the relative amount of plasmid DNA present.
To amplify a 247-bp portion of the GFPuv orf two oligonucleotide primers, GFPuvF
and GFPuvR, were synthesized. GFPuvF was designed to base pair (5’ to 3’) with the
template strand of the GFPuv orf beginning at nucleotide 85 and ending at nucleotide
104, whereas GFPuvR was designed to base pair (5’ to 3’) with the nontemplate strand of
the GFPuv orf beginning at nucleotide 332 and ending at nucleotide 313 (see Appendix
8
�2). In this experiment, three PCR mixtures were prepared. The first mixture (NT DNA
PCR) was a negative control that lacked template DNA but possessed all of the other
components required for PCR. The second mixture was identical to the first except that it
contained 50 pg of pHisGFPuv DNA as the template for PCR, while the third mixture
had 500 pg of template DNA.
To determine the outcome of these reactions, samples of all three were sizefractionated by agarose gel electrophoresis. Lane A of the gel (Fig. 2) was loaded with a
sample of the no-template (NT) DNA control, and showed no visible amplification
products following electrophoresis. This result confirmed that none of the components
used in the PCR had been contaminated with template DNA, and that amplification was
dependent on the presence of pHisGFPuv DNA.
Lanes C and D (see Fig. 2) were loaded with samples of PCR products from the
reaction mixtures containing 50 pg and 500 pg of template DNA, respectively. Both
reactions possessed a major amplification product (i; see Fig. 2) that migrated to a
position in the gel located between the 200-bp and 400-bp size markers in Lane B. In
fact, the position of the amplicon band indicated that it was only slightly larger than the
200-bp size marker; a result that was completely consistent with the expected 247-bp
amplification product predicted from the sequence of the GFPuv gene. Higher molecular
weight amplicons (ii, iii, and iv; see Fig. 2) were also present in the reaction products but
the low intensity of their fluorescence, relative to that of the major amplicon, indicated
that they most likely derived from nonspecific binding of the primers to other sites on the
pHisGFPuv plasmid. The presence of nonspecific amplification products in a PCR is
usually the result of using either too much template DNA or excessive levels of the
primers relative to the template DNA.
To verify the identity of the major amplicon, a portion of the PCR products was
digested with restriction enzyme NdeI. Sequence analysis of the GFPuv orf indicated that
the part of the gene amplified by primers GFPuvF and GFPuvR contained a single site for
NdeI. Digestion of the expected amplicon with NdeI should, therefore, generate two
restriction fragments of 101 bp and 146 bp, respectively.
Lane B (Fig. 3) shows the result of the NdeI digestion. The product of this
reaction was a thick band that migrated between the 100-bp and 200-bp size markers.
The faster migration of this band, relative to that of the major amplicon in the undigested
PCR products (lane C, see Fig.3), indicated that the PCR product had indeed been
digested. The thickness of the DNA band observed in lane B was consistent with the
presence of a doublet composed of two restriction fragments of 101 bp and 146 bp,
respectively, that had not been fully resolved during electrophoresis. To separate the two
restriction fragments, the digest should be fractionated through a gel with a higher
agarose concentration (e.g. 2% or 3%).
9
�In conclusion, the primers and PCR protocol developed in this study can be used
to specifically amplify a portion of the GFPuv gene using pHisGFPuv as a template.
These conditions can now be used to develop a procedure for detecting GFPuv
transcription by RT-PCR.
IV. Literature Cited
1. Garret, R. H. and Grisham, C. M. Principles of Biochemistry with a Human Focus,
1; Brooks Cole: Univ. of Virginia, Charlottesville, 2001; 79.
2.
Inouye, S. and Tsuji, F. I. “Evidence for Redox Forms of the Aequorea Green
Fluorescent Protein”, FEBS 1994, 14472, 211-214.
3.
Pikas, D. J., Kirkpatrick, S. M., Tewksbury, E., Brott, L. L., Naik, R. R., Stone,
Morley O. “Nonlinear Saturation and Lasing Characteristics of Green Fluorescent
Protein”, J. Phys. Chem. 2002, 106, 4831-4837.
4.
Ormö, M., Cubitt, A. B., Kallio, K., Gross, L. A., Tsien, R. Y., Remington, S. J.
“Crystal Structure of the Aequorea victoria Green Fluorescent Protein”, Science
1996, 273, 1392-1395.
5.
Mosher, R. H. “Using pGLO to Demonstrate the Effects of Catabolite Repression on
Gene Expression in Escherichiacoli”, Bioscene. 2002, 28(3), 17-23.
6.
Deng, L., Markova, S. V., Vysotyski, E. S., Liu, N.J., Lee, J., Rose, J., and Wang, B.
C. “Crystal Structure of a Ca2+ Discharged Photoprotein: Implications for the
Mechanism of the Calcium Trigger and Bioluminescence”, J. Biol. Chem. 2004,
279(32), 33647-33652.
7.
Fisher, H. E. and Mintz, C. “Use of the Green Fluorescent Protein as an Educational
Tool”, J. Ind. Microbiol. Biotech. 2000, 24(5): 323-326.
8.
Hastings, J. W. Bioluminescence. < http://mips.stanford.edu/public/abstracts/
hastings.pdf> Accessed February 6, 2005.
9.
Haseloff, J. GFP Background. <http://www.plantsci.cam.ac.uk/Haseloff/GFP/
GFPbackgrnd.html>. Accessed February 6, 2005.
10. Using Green Fluorescent Protein to teach Molecular Structure and Function and the
Central Dogma. Center for BioMolecular Modeling. <http://www.rpc.msoe.edu/
cbm/GFP_Exercise1.pdf>. Accessed February 6, 2005.
10
�A
B
C
oc
ccc
Figure 1: Electrophoresis of (a) 10µL of pHisGFPuv DNA extract, (b) 5µL of
pHisGFPuv DNA extract and (c) 0.25µg of undigested phage lambda DNA
through a 0.8% (w/v) agarose gel, at 80V for 1h in 1XTAE.
A
B
C
D
1000 bp
800 bp
iv
600 bp
iii
400 bp
ii
i
200 bp
Figure 2: Electrophoresis of (a) 5µL of NT control PCR products, (b) 2µL of 200bp
DNA ladder, (c) 5µL of 50pg DNA PCR products through a 1.5% (w/v) agarose gel,
at 80V for 1h in X TAE
11
�A
B
C
400 bp
300 bp
200 bp
100 bp
Figure 3: Electrophoresis of (a) 1µL of a 100bp DNA ladder, (b) 10µL of Nde Idigested PCR products and (c) 5µL of undigested PCR products through a 1.5%
(w/v) agarose gel, at 80V for 1h in 1X TAE.
Appendix A: Thermocycler Program for PCR
Step 1 95°C 5 minutes
Step 2 95°C 1 minute
Step 3 Increment 65°C 2 minutes -0.5°C/cycle
Step 4 72°C 45 seconds
Step 5 Go to step 2 9 more times
Step 6 95°C 1 minute
Step 7 Increment 60°C 2 minutes -0.5°C/cycle
Step 8 Extend 72°C 50 seconds 5 seconds/cycle
Step 9 Go to step 6 19 more times
Step 10 95°C 1 minute
Step 11 50°C 2 minutes
Step 12 Extend 72°C 2 minutes seconds 5 seconds/cycle
Step 13 Go to step 10 9 more times
Step 14 72°C 7 minutes
Step 15 4°C 0 hours 0 minutes 0 seconds (indefinitely)
12
�Appendix B: PRIMER PICKING RESULTS FOR GFPuv ORF
13
��Section II:
The Social Sciences
�The Implications of Priming on the Attitudes of College
Students Experiencing Theatrical AIDS Education
Therapy: How Therapeutic Is It?
Carolyn Tudisco 1 (Psychology)
While theatre has been promoted as an effective tool for AIDS education, few true
experiments have explored the topic, especially in the demographic of college-age
Americans. This study explores whether a simple priming exercise before a theatrical
performance relating to AIDS will affect AIDS awareness or empathy towards characters
inflicted with the disease. Scenes selected from an AIDS-related play were performed,
and participants were randomly assigned to complete one of two priming questionnaires
beforehand. One prime asked the participants to report their attitudes regarding their
susceptibility to AIDS as well as opinions about people with the disease. The control
prime asked participants about theatrical attitudes. While the hypothesis predicted that
participants who were primed with the AIDS questionnaire would report more empathy
towards the characters on a post performance survey, the theatre prime actually led to
more empathetic expressions. It is possible that the AIDS prime unintentionally alerted
the participants' knowledge function of attitudes, and since the show was very
emotionally based, they were less likely to absorb the messages of tolerance and
sympathy intended. A non-theatre control group who did not attend the performance
reported less empathy than either of the performance groups, compliant with the
hypothesis.
I. Introduction
Educators concerned with every field from unemployment to mental illness have
explored the use of theatrical productions to portray important issues and to enhance the
effectiveness, enduringness, and aesthetic appeal of their lessons (Dichter, 1992;
Bumham, 1988; Metcalfe, Abbott, Bray, & Exley, 1984). These studies have been
conducted with the hypothesis that theatre may help to reach a person on a more personal
and empathetic level, therefore increasing their memory of the situation and allowing the
information to be more meaningful in the future.
The theatrical experience has been compared to and even used as a form of therapy
(Drummond, 1984; Furman, 1988; McLeod, 1984; Kent & Carter, 1975; Sartre, 1976;
1
Research performed under the direction of Dr. Amy Eshleman (Psychology).
16
�Scheff, 1976; Scheff, 1981). This association implies that a deep emotional connection
occurs between the material and the audience. The distance between the audience and
experiences of the actor might aid the audience in encountering a balance between
everyday occurrence and extraordinary experiences without threatening their mental
health. In other words, a person can rehearse what they might do and feel if something
detrimental occurred in their lives without leaving the comfort of their auditorium seat
(Furman, 1988).
The power of an artistic performance has been further emphasized by Stein (2003),
who stated that "...art, in the broadest sense, provides analogies to personal experience
and in turn deepens that experience" (p. 84). He additionally noted that the arts are a
wonderful complement to the elements of science. This suggestion that the arts and
sciences can add to and enhance each other implies that theatre is an ideal teaching tool.
The difference between simply teaching science in traditional ways and using the arts to
enhance it is that the theatrical experience may be able to conjure emotions and reactions
that traditional lectures lack, therefore increasing a person's awareness, education, and
attitudes towards an important issue (Elliot, Gruer, Farrow, Henderson, & Cowan, 1996;
Metcalfe, Abbott, Bray, & Exley, 1984). Theatre's novelty, liveliness, stimulation, and
colloquial speech may aid it in being an effective educational tool. Although literature
has explored and encouraged the use of theatre for educational purposes, few controlled,
empirical studies have been conducted on the subject.
The AIDS epidemic is an issue that has become a significant concern for the United
States, and schools and public officials regularly concern themselves with educating
young people about this topic. Multiple studies have been conducted to examine the use
of theatre in AIDS education as a means for decreasing risky behavior and reshaping
attitudes of young people when it comes to this serious illness.
McEwan, Bhopal, and Patton (1991) structured a study by presenting a play and an
educational workshop, both regarding AIDS, to British high school students.
Approximately 3000 students viewed the performance and 800 took part in the workshop.
Evaluations were collected before and after each program. The researchers examined
knowledge, attitudes, intended sexual behavior, and multiple other factors. Significantly
more students from the performance group believed both sexes were responsible for
protecting themselves from AIDS, and 49% said they would change their behavior after
the play. The performance group also displayed an increase in intended communication
about AIDS and a higher concern they might contract AIDS. The researchers concluded
that theatre should be used to influence emotional aspects of attitudes related to
decreasing AIDS transmission.
Elliot, Gruer, Farrow, Henderson, and Cowan (1996) also tracked the success of
theatrical AIDS education programs in British adolescents. Students were randomly
17
�assigned to attend either a theatrical production or a health education seminar. The study
experienced some pivotal problems, such as a large degree of attrition between each
questionnaire and an unbalanced number between the seminar and the theatre group. The
authors used a pre-test post-test measure to explore variables of knowledge, attitudes, and
behavior regarding AIDS. The majority of the results were not significant, although a
significantly higher percentage of 68% of theatre participants found the production
interesting than the 46% who were interested in the seminar. Participants in the theatre
group also responded positively to the everyday language of the production as well as the
similar ages of the actors to themselves. The follow-up questionnaire given two months
following each program also reported a significant difference between condom purchases
in each group (34% of theatre participants reported an increase as opposed to 6% of
seminar participants). Although this data does not necessarily report that theatre has a
positive impact on AIDS education, problems with the study's organization may be to
blame for this. Additionally, the data that were significant should not be discarded.
A similar study, also in the United Kingdom, was performed by Denman et al.
(1995). The participants were all fourteen years of age and from various socioeconomic
areas. A pre- and post-test was administered before and after a theatrical AIDS program
with a workshop following the show. The majority of the children who participated
enjoyed it and found it interesting and educational. The findings supported that the
performance had at least a short-term impact on knowledge and attitudes relating to
AIDS. Interestingly enough, students reported afterwards that they believed to a lesser
extent than before that AIDS is universal and can affect anyone. This may be due to a
downward social comparison (Festinger, 1954) on the part of the participants, who may
believe that they would have behaved differently in the situation than the actors they are
watching and therefore would have avoided becoming infected. It is worth exploring,
however, whether comparing each of the multiple performances involved in this study is
reliable. Since each individual program incorporated an interactive workshop, no two
performances were exactly similar, making each performance a slightly different
stimulus. Therefore, it may be problematic to compare results of these different sessions.
As sensitive as the subject may be, puppets did not seem to deter AIDS education
and were reported to aid in public awareness of the disease. Skinner, Metcalf, Seager, de
Swardt, and Laubscher (1991) performed a quite interesting study in South Africa using a
street theatre puppetry show to educate the passing public about AIDS. There was a
significant increase in knowledge, intent to reduce risky sexual behavior, and concern
about getting AIDS.
Few of these studies, however, utilized random assignment between theatre and
non-theatre groups, so there were very few true experiments. Therefore there is much
conflicting research about the significance of theatre education of the AIDS issue. Also,
18
�few of the previously reported studies were conducted in an urban American culture with
college-level participants. McEwan et al. (1991) initially included college students in his
study however their data were disregarded because of a poor response rate. These
researchers' intention to include college-age participants further indicates that the age
group is important in this research. This study therefore begged to utilize and explore
this demographic. College students finding themselves in a dormitory and away from
home for the first time are often susceptible to peer pressure and experimentation with
risky behavior such as drug use and promiscuous sexual behavior. As past studies have
hypothesized, theatrical methods in educating students about their risks and behaviors
may be beneficial to their level of attitude change.
In addition to the awareness of this issue, this study also explores the stigma that
some may hold towards people with AIDS. As previously stated by Probart (1989),
tolerance towards people with AIDS is a part of and therefore directly related to AIDS
education. Herek (Herek & Glunt, 1988; Herek, Capitanio & Widaman, 2003) has done
extensive research on the subject, and his studies suggest that many people do indeed
hold a stigma against people with the disease. His 1988 study suggested that this stigma
is twofold, stemming from the idea that AIDS is a serious and sometimes misunderstood
illness, as well as adding to the prejudice already held against devalued groups, such as
homosexuals and drug users. His more recent study analyzed AIDS-related phone
interview results from 1991, 1997 and 1999. The results indicated that 41% of
participants in 1999 believed they could get AIDS from a public toilet, 12% supported
extreme policies, such as mass quarantine, and over one-third reported that concerns
about the public stigma against AIDS could affect their decision to be tested for the
disease. Herek has reported that educational programs about AIDS are crucial to fighting
these public stigmas.
Research has suggested some approaches to increasing empathy towards someone
with a disability or who is part of another group of devalued people. Donaldson (1980)
suggested that structured contact with affected people who have similar status to
unaffected persons (including similar age or social status) could influence attitudes in a
positive way. It is important that the individuals are credible and do not seem
stereotypical so they may provide a powerful message to unaffected people and lead to
positive attitude formations. She also proposed that several disabled people are more
effective in changing attitudes than one. This then becomes a social situation that has
been theorized by Allport (1954) to decrease prejudice. McKalip (1979) put forth that
giving others the opportunity to examine their own beliefs and feelings could increase
empathy. This can be done by presenting the similarities and differences between people
and allowing them to be accepted.
19
�Priming is another technique often used to influence participants' attitudes. The
method has been explored in many studies by experimenters who are interested in the
effects of presenting participants with a preliminary piece of information, such as
suggestive word or phrase (Higgins, Rholes, & Jones, 1975; Rapp & Samuel, 2002).
These studies have repeatedly shown that the mind will often develop a predisposition
toward an attitude based on seemingly insignificant stimuli shown before an experiment.
Wittenbrink, Judd, and Park (1997) related priming to prejudice when exploring
participants' implicit and explicit feelings of discrimination. They noted that while
participants did not display overt prejudice in a questionnaire, they did show signs of
subtle, more unconscious prejudice in their ability to recall stereotypical words more
easily for African Americans when primed with the word "black." This study therefore
leads one to propose that if a prime can enhance a stereotype, it could certainly reduce it.
Priming has been shown by literature to be a strong and controllable psychological
process, so, following this behavioralistic logic, it should be possible to prime a
participant for a multitude of measures, including the reduction of stigma against a group.
Based on this information and past research, the present study hypothesized that
priming will affect participants in the present experiment in terms of their attitudes
towards people with AIDS as well as their intended future protection from the disease.
Rather than simply presenting an educational theatrical production, one of two priming
questionnaires presented to participants beforehand were predicted to influence the way
students view and ultimately interpret the information presented. Students who were
primed with a survey consisting of AIDS-related information would therefore show more
interest and knowledge growth from the performance than students primed with an
unrelated questionnaire. Priming with an AIDS stimulus was expected be able to enhance
theatre's powerful emotional stimulation and ability to alter attitudes further and provide
the participant with an incredibly strong message of tolerance about people with AIDS.
The results, however, revealed that the control-primed group, consisting of theatrical
stimuli, was more profoundly affected by the performance.
II. Method
Participants
Participants in this study were undergraduate students at Wagner College, a
small liberal arts school in New York City. A total of 80 students volunteered from a
participant pool consisting of students in introductory psychology courses. Participants
received partial course credit for participating in the study. Fifty-eight of these students
viewed the performance and 22 students, in a control group, did not. The students were
mostly Caucasian and from middle-class to upper-class background.
20
�Materials
The two experimental groups attended a performance of scenes from the play
Elegies for Angels, Punks, and Raging Queens, by Bill Russell. The show was cast with
students and faculty from Wagner College. The play consists of monologues of AIDS
victims and permits a large cast of diverse characters in addition to allowing flexibility of
order and arrangement of the performance. To comply with McKalip (1979) and
Donaldson's (1980) suggestions on increasing empathy, the scenes were selected to
present characters of a balanced representation of age, sex, sexual preference, and method
of AIDS transmission to allow for each member of the audience to encounter a personally
relatable character. The scenes were also chosen to balance between comedic and
dramatic monologues. The monologues are written in poetic form, which Rapp and
Samuel (2002) suggest may aid listeners to anticipate dialogue and make the language
more meaningful.
Two versions of a pre-show priming survey were used. One survey (AIDS
prime) asked about the participant's view on AIDS and his/her susceptibility to the
disease (See Appendix A). The other survey (theatre prime) questioned the participant
about theatrical aspects of the performance (Appendix B). All theater going participants
completed the AIDS-related post-performance survey concerning AIDS information and
opinion questions. The questionnaire asked participants to report attitudes towards the
performance, their anticipated protection against AIDS after viewing the performance,
and included a social distance scale to measure the participant's level of stigma against
persons with AIDS. A non-theatre control group did not view the show and completed a
questionnaire identical to the post-performance survey, minus the questions directly
related to the show.
III. Procedure
The study was submitted to and approved by the Wagner College Human
Experimentation Review Board to ensure ethical treatment of all participants. Open
auditions were held on campus to cast the play. The actors who were chosen to
participate in the show viewed an educational AIDS video (Bassick, 1990) and
participated in a discussion to enhance their knowledge of the subject and aid them in the
preparation of their characters. The performance was held in a small studio space on the
campus. Before the performance, the priming surveys were randomly distributed onto the
audience's seats. The participants were held outside the staging area until shortly before
the performance was to begin before they entered the space and chose seats, randomly
assigning themselves to either one questionnaire or the other. The participants were
instructed not to discuss the survey, and the performance began immediately after the
participants completed their questionnaires in order to additionally reduce discussion.
21
�The performance was approximately 35 minutes long with no intermission so as to not
allow the participants to share information about their priming surveys. Immediately
following the performance, the participants were given the post-performance
questionnaire. Afterwards, a short debriefing was held.
Students who were not involved with and did not view the performance
completed the control group survey in a psychology lab.
IV. Results
To test the hypothesis that exposure to theatre affects attitudes and that the type of
prime affects theatre goers' attitudes, a series of Analyses of Variance (ANOVAs) were
performed on each variable of the post-experiment survey by condition. Planned
orthogonal contrasts compared the two theatre groups to the non-theatre control group
and compared the two theatre groups to each other. In the ANOVA examining whether
and to what degree participants viewed the issue of AIDS as a problem for them, there
was a significant main effect of condition, F(2, 77) = 4.23, p< .05. The two groups who
attended the theatre performance (AIDS prime: M=1.86, SD=1.08; theatre prime: M=
1.06, SD =1.00) were more likely to report that AIDS was a problem for them than were
the non-theatre control group (M=1.00, SD=0.68).
A social distance value was determined for each participant by finding the mean of
their responses to questions regarding their expected comfort around a friend, neighbor,
fellow employee, and roommate with AIDS, as well as their comfort regarding having
someone with AIDS marry into their family. Although the ANOVA did not reveal
significant results regarding the distance value as a whole, F(2, 77) = 1.57, p>.05, some
of the aspects of social distance did produce interesting results.
For their comfort level of having a friend with AIDS, the control prime (M=6.13,
SD=1.20) differed from the AIDS prime (M=5.18, SD=1.74) and the non-theatre group
(M =5.18, SD=1.77). The theatre group reported more tolerance toward having a friend
with AIDS than both the theatre prime and non-theatre groups. When asked to report
their feelings of comfort towards having someone with AIDS live in their neighborhood,
the AIDS prime group (M=5.75, SD=1.76) differed significantly from both the theatre
prime (M = 6.60, SD =0.77) and the non-theatre group AIDS prime group (M=6.32, SD
=1.21). The AIDS primed group therefore showed less tolerance for living in a
neighborhood with someone with AIDS than the theatre prime and non-theatre groups.
To test the hypothesis that the specific prime would affect how the theater-going
participants would protect themselves against AIDS transmission in the future as opposed
to protection before viewing the performance, I conducted a repeated measures ANOVA
on protection behaviors before and commitment to protection in the future. The two
prime groups did not differ in their behaviors before the performance, F(l, 55) = 4.04, p <
22
�.05. While there was a significantly greater commitment to improving protective
behaviors after the performance (AIDS prime before: M=3 .71, SD=0.66; AIDS prime
after: M=3 .71, SD =0.66; theatre prime before: M=3.62, SD=0.73; theatre prime after:
M=3.86, SD=0.35), this effect was driven by the increased commitment of the theatreprimed group (figure 1). There was a significant interaction between the prime completed
and reported protective behaviors before and after the performance.
Students reported that they presently protect themselves from AIDS (by avoiding
IV drug use, using safe sex...) the majority of the time (M=3.70 out of a possible 4.00),
and reported that they do not think AIDS is generally that much of a problem for them
(M=1.54 out of 4.00).
Theatre-going participants reported enjoying the show (M=3.22 of a possible 4.00).
They rated the quality of the acting (M=8.81 of a possible 10.00) and the performance as
a whole (M=8.76) relatively high.
V. Discussion
The participants reported enjoying the performance a great deal. This supports the
well-documented fact that students find theatre to be novel and enjoyable. Compliant
with the hypothesis, the participants who saw the AIDS performance were more likely to
report that AIDS is a problem for them than were the students who did not view the
performance. This substantiates previous literature, assuring that theatre can be an
effective teaching tool.
Although there were significant results that showed a difference between the two
primed groups and the non-theatre control group, the results of the prime were actually in
the opposite direction of the hypothesis. It appears that the theatre-primed group that was
more emotionally affected by the performance showed the most positive attitudes after
the show.
Although these results were initially surprising, they may be explainable through
Katz's (1954) theory of the functional approach to attitudes. In this study, it is possible
that the experiment caused participants to involve their value-expressive or their
knowledge function of attitudes. The value-expressive function involves the participant
trying to conceive that he or she has a positive self-concept. Knowledge function
describes the standards or frames of reference that people need to understand the world.
By presenting the AIDS prime, I may have inadvertently signaled to the participants that
they were about to view something educational, therefore flagging the knowledge
function and blocking the value-expressive function. The theatre-primed group was
therefore experiencing the performance at a more emotional level that the AIDS-prime
group.
Katz (1954) explained that the change of value-expressive attitudes can occur when
23
�the participant experiences dissatisfaction with one's self-concept or associated values.
This could have happened in this experiment. If participants previously held negative
attitudes towards people with AIDS and then were able to relate to and enjoy characters
they saw in the performance, they would need to change their values to reduce cognitive
dissonance (Festinger, 1954) and maintain a healthy and positive self-concept.
To change a knowledge attitude, the attitude would have to deal with a new or
ambiguous situation. This did not occur. The participants did not encounter any new or
ambiguous information about AIDS from this performance, which was mostly
emotionally based. The show was very successful and had 16 different characters giving
well-delivered and touching monologues. However, there was little factual information
about AIDS included in the play. Therefore, the participants did not have a reason to alter
their knowledge functioning attitudes.
McEwan et al. (1991) suggested that theatre could specifically influence affective
aspects of attitudes in his study. Probart (1989), on the other hand, hypothesized that
theatre has the potential to touch both affective and cognitive domains of the learning
process. It does not seem, however, that this path of research has been thoroughly
explored. As was deducted from this study, theatre can invoke emotional responses,
however when teamed with priming, a cognitive method of mental organization, the
emotional stimulus was not as strong and did not affect the participant as profoundly.
This aspect of theatrical education would be extremely interesting to pursue in future
research.
A risk in a study such as this is described in Crandall and Feldman's (2004) study of
prejudice, wherein people who are shown an example of negative behavior, such as
discrimination, may then believe that they have less to worry about because of downward
social comparison, in other words, they may think that they do not have to be aware of
themselves and their behaviors because they are "better than that guy." I believe using
relatable and diverse characters that were likeable and not stereotypical mostly avoided
the dangers of this phenomenon. The majority of the audience encountered a likeable
character of their own race, sex, age, and sexual preference. It is always possible that
some participants saw some of the characters as being at fault for their disease and
therefore concluded that they were not as at risk. It should be noted that AIDS affected all
of the characters in the performance; there was no real villain or person who could be
identified as having prejudice towards people with the disease. There was no one
character for the audience to use in a downward social comparison to protect their egos.
Students did, on the average, report protecting themselves the majority of the time from
AIDS. It is possible that risky behavior is not as prevalent as in the past, but it is also
possible that students were over-estimating their protective behaviors as to protect their
self-image (Katz, 1954). If AIDS protection has increased in this age group, then the
24
�participants could have viewed themselves as being more able to avoid AIDS than the
characters. More research into this issue would be greatly beneficial to the field.
A shortcoming of the present study included surveys that could have been longer
and more comprehensive in their content. Questions were only asked once and
occasionally in a vague way, and I would be interested to recreate the present study using
more examples of social distancing surveys and AIDS knowledge questions. It would be
interesting to append the questionnaires to include more diverse questions about social
distance, more specific questions about risky behaviors, and questions regarding
participants' beliefs of whether people with AIDS deserve to have it because of their
mistakes.
Future research might pursue any of multiple routes. It would be interesting to
conduct further research into the balance between cognitive and emotional attitudes. The
phenomena that took place here was interesting, and to master the balance between
teaching a student both emotionally and cognitively could have benefits on the
educational field. It would be interesting to continue studying priming in terms of
theatrical education. Perhaps using a subtler stimulus along with primes could pinpoint
whether a prime could enhance a less blunt theme. The play performed here was very
AIDS driven. All of the characters had AIDS and AIDS was discussed at length. A play
that perhaps had one character with AIDS and only hinted at stigma and AIDS
knowledge would be a wonderful start for a study involving an AIDS prime aimed at
getting participants to pay particular attention to the themes expressed by the individual
character.
It is actually quite extraordinary to conclude that theatre may be able to alter
attitudes well without the aid of primes or other psychological devices. Contrary to the
hypothesis, we can conclude that the use of a cognitive AIDS prime is counterproductive
to trying to reduce stigma and encourage positive behavior and attitudes regarding AIDS,
however attendance to the performance did influence attitudes towards AIDS issues.
More research on the issue will be required to fully conclude the effects of priming on
theatrical education of AIDS.
VI. References
Allport, G. W. (1954). The Nature of Prejudice Cambridge, MA: Addison-Wesley.
Bassick, J. (Producer). (1990). AIDS' Impact on the Family [The Doctor is In], Hanover,
NH: MHMH Productions.
Bumham, L. F. (1988, August). “Tracking a New Wave of Socially Committed Art”,
American Theatre, 38-40.
25
�Denman S. et al. (1995). “Theatre in Education on HIV and AIDS”, Health Education
Journal. 54.3-17.
Dichter, H. (1992). “Overcoming Stigma: The Mad Hatters in P., Fink & A., Tasman
(Eds.) Stigma and Mental Illness”, Washington, D.C.: American Psychiatric Press.
Donaldson, J. (1980). “Changing Attitudes Toward Handicapped Persons: A Review and
Analysis of Research”, Exceptional Children, 46(7). 504-514.
Donaldson, J. (1976). “Channel Variations and Effects on Attitudes Toward Physically
Disabled Individuals”, AV Communication Review, 24. 135-143.
Drummond, J. (1984). “The Theatregoer as Imager”, Journal of Mental Imagery, 8(1),
99-104.
Elliot, L., Gruer, L., Farrow, K., Henderson, A., & Cowan, L. (1996). “Theatre in AIDS
Education - A Controlled Study”, AIDS Care. 8(3), 321-340.
Festinger, L. (1954). “A Theory of Social Comparison Processes”, Human Relations, 7,
117 140.
Furman, L. (1988). “Theatre as Therapy: The Distancing Effect Applied to Audience”,
The Arts in Psychotherapy, 15, 245-249.
Herek, G. M. & Glunt, E. K. (1988). “An Epidemic of Stigma: Public Relations to
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Kent, D. & Carter, C. (1975). “Origin and Development of Psychodrama and Its
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26
�Mabala, R. & Allen, K. B. (2002). “Participatory Action Research on HIV/AIDS through a
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27
�VII. Acknowledgments
I would like to express my gratitude to Dr. Amy Eshleman for her extensive
assistance in this endeavor. I would also like to thank Dr. Laurence J. Nolan and Dr.
Richard Brower for reviewing the final product and for their helpful comments. I wish to
thank Dr. Felicia Ruff for her suggestions and help in choosing an appropriate play to use
for this study, as well as all the hard-working actors and crew who made the performance
a success: Christen Madrazo, Billy Potvin, Deana Capozziello, Christina LaRocca, Nick
Rada, Winnie Scogna, Joshua Key-Maginnis, Leanne Driscolle, Cassie Tortorici, Chris
Fretto, Keith Newhouse, Tauny Ventura, Logan Fowler, Emily Strunk, Mike Seidel,
Professor Harold Kozak, John Galvez, and Alan Pagano.
3.9
AIDS Prime
Control
3.85
3.8
3.75
3.7
3.65
3.6
3.55
3.5
0
0.5
1
1.5
2
2.5
Before
3
3.5
4
4.5
5
After
Figure 1: AIDS Protection Before and After Viewing Performance
28
�Appendix A: Experimental Priming Survey
• How confident are you about your knowledge of HIV/AIDS?
________________________________________________________________________
________________________________________________________________________
_____________________________________________________________________
• Have you ever encountered a person or fictional character affected by HIV or AIDS?
Did your experience with this person or character educate you about the disorders or
affect you in an emotional way?
________________________________________________________________________
________________________________________________________________________
_____________________________________________________________________
• Do you believe that there is a particular demographic (a certain sex, race, or sexual
orientation...) that is mostly at risk for AIDS? Is there a demographic that is barely at risk
at all?
________________________________________________________________________
________________________________________________________________________
_____________________________________________________________________
• How would you feel if a close friend of yours confided to you that he or she had AIDS?
________________________________________________________________________
________________________________________________________________________
_____________________________________________________________________
• How at risk do you believe yourself to be?
________________________________________________________________________
________________________________________________________________________
_____________________________________________________________________
• Do you think there is a stigma or prejudice towards people with AIDS?
________________________________________________________________________
________________________________________________________________________
_____________________________________________________________________
29
�Appendix B: Control Priming Survey
• How much experience do you have with the art of theatre, acting, and production of a
play?
________________________________________________________________________
________________________________________________________________________
_____________________________________________________________________
• Do you think that this space is beneficial or hurtful for putting on a production such as
this?
________________________________________________________________________
________________________________________________________________________
_____________________________________________________________________
• What makes an actor particularly convincing?
________________________________________________________________________
________________________________________________________________________
_____________________________________________________________________
• What could hinder an actor's performance or make it less effective?
________________________________________________________________________
________________________________________________________________________
_____________________________________________________________________
• What makes a piece of theatre memorable to you?
________________________________________________________________________
________________________________________________________________________
_____________________________________________________________________
• How high are your standards or expectations for today's performance?
________________________________________________________________________
________________________________________________________________________
_____________________________________________________________________
30
�Labor Market, Earnings and Black-White
Health Benefit Coverage
Lauren McMahon and Jonathan Ohn 1
This paper examines the relationship between labor market condition, annual
earnings, and the percent of workers with no health benefit (insurance) coverage for both
black and white workers for the period from 1985 to 2001. It tries to figure out which
factors explain the difference and the change in health insurance coverage across race and
gender over time.
Using the data from the Current Population Survey (CPS) and the Bureau of the
Census database, we estimate a simple regression equation that shows the effect of
unemployment rate, annual earnings, and education variable on the percent of workers
with no health insurance coverage. Lagged explanatory variables are included to allow
some time gap for these variables to start to show real impact, and the model captures the
effect of last year’s labor market condition, change in annual earnings, and change in
workers with higher education on the percent of workers with no health insurance
coverage of this year.
From the results, we find some interesting contrast between black and white
workers. For the white workers, both male and female workers show a strong year-toyear persistence on the percent of no health benefit coverage. For the black workers,
however, only female workers show such pattern. Controlling for the year-to-year
persistence, the percent of no health benefit coverage for white workers is largely
explained by the lagged unemployment rate (labor market tightness closely related to the
business cycle). It implies that a tight labor market appears to be associated with a low
percent of no health insurance coverage or a high percent of health coverage for a typical
white worker.
Interestingly, however, the significant effect of labor market condition on the
percent of no health insurance coverage is not found for the black workers. But instead,
we find a significant effect of the change in annual earnings on the percent of no health
insurance coverage for black workers, both male and female. Contrasting to white
workers, the health insurance coverage for black workers appears to be sensitive to the
change in their annual earnings (dominating the effect of labor market condition), or that
the effect of the change in annual earnings is so significant for the black workers that it
dominated the effect of the labor market condition (unemployment rate) and other
1
To be presented at the Eastern Economic Association, NYC, March 4-6, 2005.
31
�variables. Finally, although marginally significant, the higher educated black workers are
more likely to get (or choose) health insurance coverage.
We take a closer look at the pattern of black-white earnings disparity for both
genders in order to get some clue why only the black workers’ health non-coverage is
sensitive to earning change. We found that the black-white earnings ratio for female
workers has been persistently decreasing during the 1980s and 1990s, from 97% in 1980
down to 86% in 1998 (with some recovery up to 91% in 1999). The earnings ratio for
male workers, on the other hand, is well below 70% for most of the time except for the
1990s economic recovery. The ratio for male workers does not show a decreasing
pattern, but is way too low compared to that for female workers. The persistently
decreasing earnings ratio for females and a very low level of earnings ratio for male
workers appear to explain why only the health care non-coverage for black workers is
sensitive to earnings change, not to general labor market tightness.
32
�Psychiatric Hospitalization: Is it Treatment or Torture?
Melissa D. Travostino (Psychology)1
Many authors such as Thomas Szasz and Erving Goffman have agreed on the
harmfulness of both past and current psychiatric treatments. The problem is that not much
seems to have changed over the last fifty years, and only small reforms are being made.
Some of the crucial aspects of hospitalization that writers have focused on as needing to
be changed are the role of the mental patients themselves, the role of the therapist and/or
psychiatrist, and the role of the institution as a whole. The reason for why these roles may
be so important is because they all have an influence on the effectiveness of the patient’s
hospitalization, or how well it benefits the patient. This is important especially if a patient
is forced into the hospital because if they spend time there and get nothing useful from it,
it is only wasteful for everyone involved. This paper will discuss some of the faults of
psychiatric care that authors have agreed on over almost the last fifty years, and compare
them to what really goes on today as I have experienced it at my internship at South
Beach Psychiatric Hospital. Additionally, emphasis will be placed on some solutions that
can be used to improve the current situation.
I. Role of the Mental Patient
Those considered to be mentally ill were, and still are to some degree viewed
and stereotyped by society as violent, dangerous, and uncontrollable (Dain, 1994 & Szasz
1987, 1995, & 2003b). Although this belief is not as strong as it once was, it still exists
and is handled by forcing these threatening people into hospitalization. Although the unit
that I was on at South Beach, and most of the others there, are strictly voluntary, there are
some where involuntary patients can be sent. One in particular, is meant for those who
were released from jail, but society would not be comfortable with having them free.
Similarly along these lines, my supervisor and I discussed cases such as “the Son of Sam”
case where those who committed crimes in conjunction with having a mental illness may
never be released from a hospital.
Dain (1994) and Goffman (1961) discussed the stigmatization of mental patients
even after they are released from the hospital. Goffman (1961) states that it may even be
1
Research performed under the direction of Dr. Miles Groth (Psychology) in partial fulfillment of
the Senior Program requirements.
33
�difficult for former patients to get jobs. This sad fact was evident to me when one
patient’s employer called the unit to say she was “acting crazy” in front of customers.
Another time, a young man came to the unit after quitting his grocery store job for being
made fun of after telling his boss about his mental illness. One possibility to improve
these kinds of situations is for psychiatrists to work with the public to raise awareness
and alleviate stereotypes while at the same time working with patients on how to
overcome and disprove stereotypes by doing the opposite of what people expect in the
community.
What tends to be most frustrating about patients is their high level of
dependence on others. As described by Goffman (1961) and Szasz (1994), what makes it
worse is the fact that the level of restrictions in hospitals is so high. Therefore, patients
are not allowed to leave the grounds to go do things on their own. On the Crisis Unit at
South Beach, patients are allowed and encouraged to leave the grounds to run errands, get
food, go shopping, visit family, go to work, and even look for places to live. The
inpatient units however seem to be a different story where patients are only given
privileges for the hospital grounds if they are good. Groups of patients will be walked by
an aid outside to smoke, to eat, and to attend group sessions. When I asked what
inpatients do there on weekends, I was told they sleep later, their families may come to
visit, and groups of patients may sit and watch a movie or play a game. This sounds sadly
more like daycare than treatment, and it is easy to imagine the patients waiting and
hoping that their parents will come to pick them up soon. Once a patient has been in the
hospital for a long period of time, Peszke (1975) and Szasz (1994) say the more
dependent they become. This also seems to be true at South Beach where those patients
who were there for many months had a difficult time getting motivated to leave.
Despite the fact that the Crisis Unit strongly encourages independence, I still
saw a lot of what Szasz (1994) talks about. Patients frequently did not get out of bed on
time, sat and watched television for most of the day, and collected money from the
government that they use to buy whatever they want. One patient could be found
listening to his newly purchased i pod and talking about buying a big screen television
and a computer while he had no job or place to live. More evidence that patients are not
quite being helped as well as they could and do not become independent enough to make
good future choices is the fact that during rounds I heard about the same patients being
readmitted again and again to other inpatient units (or repeatedly to the Crisis Unit at
South Beach or even to other hospitals after living in the community). The institution as a
whole should be working in conjunction with each of the individual units to prevent this
pattern from occurring. Additionally, it should also be the duty of the outside clinics and
therapists that see these patients regularly to try to better help them handle their problems
rather than allowing them to run away from them by staying in the hospital.
34
�Szasz (1987) discusses the idea that patients receive services from the
psychiatrist and the hospital in general. This is also the belief at South Beach where
patients are called “customers” rather than patients or clients. There is also a hospital
administrator that sits in an office who is there to hear any complaints these “customers”
may have about the hospital’s services or those who provide them. Their complaints are
taken very seriously, and are often investigated if severe enough. Another way in which
patients have recently gained some control over their treatment is just knowing what is
going on in general. Goffman (1961) mentions that important pieces of information such
as diagnosis and treatment plans as well as hospital stay lengths were kept from patients.
For the most part this has changed and the patient can even have a say in it, but some
things are still kept a secret at times such as discharge plans so that patients do not get
angry and try to say they will kill themselves or do anything to jeopardize their release.
Additionally, patients were not allowed access to their own money and were very limited
on the personal belongings they were allowed to have on hospital units (Goffman, 1961).
Today, at least on the fairly lenient South Beach Crisis Unit, patients are allowed just
about anything except those items that can be used to injure themselves or someone else.
II. Roles of the Psychiatrist
It seems as though psychiatrists do more to people rather than with them. This is
because their duties today are more similar to those performed by a regular doctor.
Goffman (1961) and Szasz (1973) both agree that the psychiatrist has taken more
medically related duties. Although this is also the case at South Beach, the reason does
not seem to be related to understaffing as Goffman (1961) suggests. In this particular
case, the reason seems to be that the patients have other people who do therapy with
them, so the psychiatrist is just there to make sure their medication levels are as they
should be and to see to it that all other medically related issues are taken care of. The
psychiatrist does this by conducting at least weekly “interviews” with patients that can
sometimes last for only about ten minutes. The types of questions that are asked vary
greatly depending on what is currently happening with the patient. Then, when the
interview is over, the psychiatrist writes a note about the status of the patient, physically
and emotionally during the interview, and in their life in general at the time.
One aspect to the job of the psychiatrist that has become increasingly more and
more important is the prescription of various medications. Before the 1950s, this was not
even an option, and it is believed that since these medications started being used, the
length of stay in mental hospitals decreased (Brill, 1975). At South Beach, I asked about
the amount of people who were there that would remain there for life, and was told that
there were not many due to advancements in medications.
35
�Due to the fact that criminals who have completed their jail sentences are still
being kept in psychiatric facilities, psychiatrists are obviously under pressure from
society to be the ones to keep them safe. They are not only expected to do this, but they
are also under a large amount of pressure to please a number of greatly differing parties.
All at the same time, psychiatrists are supposed to be able to do what the patient, their
families, society, the courts, and the hospital they work for wants. In order to do this, the
psychiatrist is expected to find answers and explanations for problems, treatments that
will work for each patient, solve people’s problems (Szasz, 1973), be an expert on things
like child raising and fixing marriages (Szasz, 1959), and even save lives by preventing
people from committing suicide. Since the psychiatrist is only a human being and is not
perfect, all of these things cannot be done and at least one of the groups that count on him
or her will be let down. Unless we invent a flawless robot that can come up with solutions
to these problems, we as a society need to learn to accept not having others fit the norms
we would like to try to make them fit. Because we view psychiatrists as perfect people
who give help all the time rather than need it, Farber (1958) makes an interesting point
about psychiatrists needing support and validation from various sources since patients do
not provide this for them since they are there to receive validation from someone
themselves. This is why the team structure at a place like South Beach can be so
important. In an environment such as this, all of the staff members are able to talk to and
support each other as well as receive professional administrative advice from the director
of the unit. This can probably also come in handy when a staff member is having trouble
working well with a particular patient, and does not know how best to work with them.
III. Role of the Institution
Today, it is not only a mental hospital and the staff within it that contributes to
the progress of a patient. There are now many assisted living housing facilities and
outpatient clinics for the mentally ill to get help from staff members at their home when
they have problems, and see a therapist regularly without going to the hospital. Although
Szasz (1994) finds many faults with this newer development, much good has come of it.
From hearing patients and staff talk about the problems with these facilities, I do see that
there is a long way still to go in the way of improvements, however, it is definitely a step
in the right direction. This type of out of hospital housing is meant to serve as a way for
patients who are ready to leave the hospital but have only a little money for rent, and feel
they are not quite ready to be completely on their own to try it out and have the liberty
that Szasz stresses is so important. He talks about this housing as if patients do not want
to be there however, all patients wishing to apply for such housing must fill out an
extensive application as well as be interviewed by the staff at the facility. What becomes
problematic is the fact that some of these facilities are in bad neighborhoods. The people
36
�living there get their money taken from them and hence are not getting any assistance
whatsoever.
Brill (1975) says that some of the problems society has with patients being
released from mental hospitals are that the hospital does not prepare them properly to be
released, they do not find them adequate housing, and they do not follow up on them.
Some of the general improvements to the mental health care system that Brill (1975) lists
however are that there are more of these outpatient clinics that are associated with local
hospitals, and are located within the community where the mentally ill can go to meet
with a therapist regularly and get assistance when they feel they need it. He also mentions
that hospitals themselves are better staffed, which allows staff members to spend more
time with patients and give them the help they need. He says that these factors in addition
to the use of medication have all attributed to shorter hospital stays for patients. Also, at
South Beach for example, patients must agree to the housing facility that they will be
discharged from the hospital to live in. Then, as each patient is discharged, they are set up
with a local therapist wherever they are going who can follow up on them. Another
improvement that Brill (1975) mentions, is that patients are being taught more and more
how to care for themselves. He says that emphasis is placed on issues such as nutrition by
doctors (psychiatrists) and nurses so that patients will realize how important it is for them
to eat properly for example. Furthermore, weekly programs such as the Healthy Living
group I attended at South Beach work to teach patients how to maintain a healthy diet,
exercise routine, good hygiene, and general lifestyle once they leave the hospital.
There are a few additional improvements I would like to suggest that are based
on what I witnessed at South Beach. One of them is the practice of admitting people who
have no insurance to the Crisis Unit for purely medical reasons. Someone with no
insurance who needs to be seen by a doctor, dentist, or have tests done for example is
actually admitted to the Crisis Unit. This means that the staff has to write notes about
them, send them to their appointment, and discharge them once they are finished. All this
work is done to admit someone to a psychiatric hospital for maybe an hour or two for
medical purposes. This practice may have a tendency to get in the way of the staff on the
Crisis Unit’s ability to fully care for patients since they are sometimes busy taking care of
these “patients” and the paperwork for them. My supervisor mentioned that she has
previously tried to argue against this practice to the hospital administration, but it did no
good. Another improvement that I would suggest is for institutions to work harder in
teaching patients good alternative techniques in how to deal with their problems. It seems
that since patients never learn this, they get scared when they are on their own in the
community, so they end up coming back to the hospital as I saw at South Beach. There
was one patient for example who had attempted suicide once after things in his life got
too stressful. I suggested that if he did not learn some other ways to deal with the stress,
37
�he would leave the hospital only to try it again as soon as something bad happened. It
seems that the problem with a unit such as the Crisis Unit is that the psychiatrists and
other staff members feel as though it is the job of the patient’s assigned therapist only to
make these kinds of decisions. It seems that unless they feel particularly strongly about a
certain issue, they will not get involved.
IV. References
Brill, H. (1975). “Institutional Psychiatry” in S. Arieti & G. Chrizanowski (Eds.). New
Dimensions in Psychiatry: A World View. John Wiley & Sons, Oxford, England, pp.
221-236.
Dain, N. (1994). “Reflections on Antipsychiatry and Stigma in the History of American
Psychiatry”, Hospital & Community Psychiatry, 45, 1010-1014.
Farber, L. H. (1958). “The Therapeutic Despair”, Psychiatry, 21, 7-20.
Goffman, E. (1961). Asylums: Essays on the Social Situation of Mental Patients and
Other Inmates. Anchor Books, Garden City, NY.
Peszke, M. A. (1975). Involuntary Treatment of the Mentally Ill: The Problem of
Autonomy. Charles C. Thomas, Oxford England.
Szasz, T. S. (1959). “The Classification of Mental Illness: A Situational Analysis of
Psychiatric Operations”, Psychiatric Quarterly, 33, 77-101.
Szasz, T. S. (1973). “Ideology and Insanity”, International Social Science Journal, 25,
504-511.
Szasz, T. S. (1987). Insanity: The Idea and Its Consequences. John Wiley & Sons,
Oxford, England.
Szasz, T. S. (1994). Cruel Compassion: Psychiatric Control of Society’s Unwanted. John
Wiley & Sons, Oxford, England.
Szasz, T. S. (1995). “The Origin of Psychiatry: The Alienist as Nanny for Troublesome
Adults”, History of Psychiatry, 6, 1-19.
38
�Szasz, T. S. (2003). “Psychiatry and the Control of Dangerousness: On the Apotropaic
Function of the Term Mental Illness”, Journal of Social Work Education, 39, 375-381.
39
�How Name Discrimination Can
Occur in Resume Assessment
Kathariya Pungdumri (Psychology) 1
This study investigates the issue of name discrimination during resume assessment.
Twenty-eight Wagner College students participated in this study, a majority being white
females. Each individual was randomly assigned four resumes to evaluate. The first
condition included two qualified candidates: white female and African American female,
and two non-qualified candidates: African American male and white male. The second
condition was similar but included a qualified African American male and a nonqualified African American female. The qualified white female was marginally more
likely to be hired than the strong African American candidates. The African American
male candidate had significantly higher ratings when he was a stronger candidate as
opposed to a weaker candidate. Within the weak candidates, African American
candidates were rated more positively than the white male candidate. This study suggests
that a qualified white woman and qualified African Americans will not face
discrimination in the workplace based solely on the name on their resume.
I. Introduction
Racial discrimination against African Americans in the workplace is influenced
by three factors: the history the U.S. has had between African Americans and whites,
biases, and stereotypes. Stereotyping is a factor of racial discrimination in the workplace.
A person’s sex and race have been characteristics that society uses to judge or predict a
person’s worth, competence, or how a person will conduct himself or herself. With little
information about an applicant, an interviewer may rely on stereotypes, which can lead to
racial discrimination in the workplace (Kacmar, Wayne, and Ratcliff, 1994). When no
job-relevant information is available, such as work experience and education, decisions
can be made by stereotypes rather than on the individual’s abilities.
Kacmar et al. (1994) studied the effect of relevant information versus no
relevant information provided in assessments and hiring decisions. Participants were
given the same applicant’s job application and resume that were pre-tested to be viewed
as neutral according to gender or race. Next, participants were randomly assigned to view
1
Research performed under the direction of Dr. Amy Eshleman (Psychology).
40
�one of four tapes, all similar in interviews (questions remained the same, responses were
standardized, interviewees’ clothing was similar across interviewees). The only
differences in the four videos were the applicant’s race and gender. Lastly, participants
were asked to rate the applicants on how qualified they felt the applicant was, how
skillful he/she was in certain areas associated with the public relations representative
position, and whether or not they would hire the applicant for the position. The
researchers found that when provided with job-relevant information, African American
candidates were more highly evaluated than when no information was provided. With
job-relevant information, African American candidates received the highest evaluations
of all applicants, had the most confidence by the decision maker in the selection of the
candidate, and were seen as most qualified by the decision maker. However, these ratings
did not result in hiring decisions for African American candidates. Although having job
related information on an African American candidate improved their ratings, these
ratings did not turn into hiring decisions. The researchers observed that there were no
significant differences for gender or race in hiring decisions. This may mean that decision
makers are able to recognize a qualified African American candidate but will not follow
up with job opportunities.
Stereotypes are formed usually because of a lack of knowledge about a different
group, as seen in social psychology’s complexity-extremity theory. Jussim, Coleman, and
Lerch (1987) researched complexity-extremity theory on how stereotypes influence ingroups’ and out-groups’ views on individual members. Complexity-extremity theory
focuses on how people of the in-group evaluate themselves differently from those of the
out-group. Most people have more contact with those of their in-group and are able to
produce a wide range of dimensions to characterize individuals within the group. By
using many dimensions to evaluate a target, the target could be viewed as having
favorable or unfavorable characteristics. With fewer dimensions that a person is familiar
with of an out-group, extreme evaluations are more likely to occur, and targets of the outgroup are more likely to be seen as extremely positive or negative. For example, Jussim
et al. (1987) refer to a study by Linville and Jones (1980) where whites evaluated
individual blacks with fewer and more extreme dimensions than when evaluating
individual whites.
Jussim et al. (1987) found that an upper-class-appearing, Standard-Englishspeaking African American applicant was rated much more favorably than a similar
white applicant confirming complexity-extremity theory. Low social economic status and
nonstandard dialects were considered unfavorable traits. Jussim et al. (1987) believed that
complexity-extremity theory suggested that evaluations of African Americans made by
whites would be polarized when compared to their evaluations towards whites. This led
to their polarized-appraisal hypothesis that whites would evaluate the upper-class-
41
�appearing, Standard-English-speaking African American applicant extremely favorably
and even more so than similar whites while the lower-class-appearing, Non-StandardEnglish-speaking African American applicant would be evaluated less favorably than
similar whites. The latter part of the hypothesis, however, did not have ratings
significantly lower than that of the similar white applicant.
Also, the range between the least and most favorably rated African American
applicants was significantly larger than the differences between white applicants.
Complexity-extremity was found to apply only for targets that had positive or negative
extreme characteristics and not those who fell in between. In summary, complexityextremity theory is the use of stereotypes because the person is unfamiliar or does not
have enough information on another group, which at times may benefit the out-group if
they possess extremely positive qualities because they will be magnified in the in-group’s
view. As shown above with the lower-class-appearing, Non-Standard-English-speaking
African American applicant, those of the out-group with qualities that are perceived as
negative will continue to be viewed as unfavorable but also somewhat equally
unfavorable as similar whites. In relation to my study, participants are given a clue as to
the applicant’s race with the name provided. If the participant is able to associate an
applicant’s name to a certain group, complexity-extremity theory may occur depending
on the types of groups with which the participant has been familiar.
Expectancy violation suggests that when an individual characteristic is present
that does not fit the expected stereotype, the person is evaluated extremely in the way of
the expectancy violation. This means that those who have favorable characteristics that
were not expected would be evaluated more positively than those with the same
characteristics that we already expected them to have, and those with unfavorable
characteristics that were not expected would be evaluated more negatively than those
who had the same characteristics that we already expected them to have. The expectancy
violation theory may result in reverse discrimination. With a choice between a qualified
African American applicant and a qualified white applicant, the African American
applicant may receive better evaluations than the white applicant (Jussim et al., 1987).
The study by Jussim et al. (1987) concluded that stereotypes sometimes lead to
favorable evaluations of certain out-group. The results of the Jussim et al. (1987) study
provide insight into how African American applicants’ resumes are assessed. It is
possible that hirers who use stereotypes can sometimes lead to favorable review of
certain out-group members. For example, as seen in the Jussim et al. (1987) study, whites
have strong expectations of African Americans’ social class, if a white hirer finds that an
African American appears to be of low social class but unexpectedly spoke standard
English, expectancy violation may come to play leading to a favorable view of this outgroup individual.
42
�Stereotypes about a person’s sex or race affect the way others perceive a person.
In a study by Tomkiewicz, Brenner, and Adeyemi-Bello (1998), white male and female
managers responded to questionnaires about stereotypical characteristics of African
Americans and whites, and then characteristics of good managers. Tomkiewicz et al.
referred to a study by Terpstra and Larsen (1980) who suggested that numerous jobs are
stereotyped in accordance to race—African Americans are abundant in entry level
positions with far lower numbers of African Americans above middle management. What
Tomkiewicz et al. addressed whether African Americans are perceived as not having the
characteristics necessary to take managerial positions. The hypothesis was that whites
would perceive characteristics of a successful middle manager matched more with
stereotypical white than stereotypical African American characteristics. The researchers
confirmed their hypothesis finding that the surveys revealed that good managers had
more characteristics that matched stereotypical characteristics of whites.
Subtle discrimination is mentioned by Tomkiewicz et al. (1998), where they
referred to Ilgen and Youtz’s(1986) concept of subtle discrimination as a behavior seen
within organizations labeled as “treatment discrimination.” Ilgen and Youtz (1986)
further explained treatment discrimination saying that middle managers are the ones who
select those who move to upper levels of business. If middle managers see African
Americans as not having the correct management characterisitcs, their chances of
promotion are limited. Tomkiewicz et al. (1998) predicted that because white men are
usually the ones to make decisions about hiring or promotion, African Americans may
find it hard to overcome these stereotypical perceptions.
Racial discrimination in the workplace can also be due to biases by the
interviewer. According to Marshall, Stamps, and Moor (1998) cognitive response theory
is an automatic response that can explain how biases in pre-interview impressions impact
how the interviewer assesses the applicant. By meeting an applicant, most people
automatically recognize the person’s race and sex. People often automatically respond to
demographic information, physical appearance and non-verbal behavioral cues that
impact evaluation without the interviewer knowing. Interviewers often form preinterview biases or favor someone similar to themselves. Because of this, subtle
discrimination can occur such as African Americans may be seen as more acceptable for
job positions in which there is little face-to-face customer contact.
Marshall et al., (1998) have researched pre-interview biases and found that this
exists but that it also depended on the interviewer’s own race. Their study included
participants from evening and Executive MBA programs with a majority of them having
had work experience (mean number of nine years). Participants were given information
on two well-qualified job applicants differing only in physical attractiveness. Two job
types included either having to deal with extensive interaction or minimal interaction
43
�with clients. Overall, they found a lack of interaction with job type and race. This implied
that the job type was not a consideration when impressions were formed on the
applicants’ race or attractiveness. According to the researchers, they believe that because
whites are making the hiring decision in a majority of professional selling jobs, it is the
“supply side” rationale as to why there are low numbers of African American
salespeople, and that the sales sector is open to hiring African American applicants as
long as they are qualified (Marshall et al., 1998).
Also in this study, according to the researchers, it was revealed that there were
feelings of racial identity for some African Americans that explain biases towards an
interviewer’s own race. The researchers attempt to explain that the reason may be
because African Americans may want to help other African Americans to succeed,
therefore influencing their hiring decision. However, the experimenters emphasize that
they found no preinterview bias from white participants toward white applicants or
against African American applicants.
The studies mentioned above have explored whether or not there exists
employment discrimination against age, sex, appearance, or race. The present study
intends to look at how a person’s name may be linked to a certain race or ethnicity that
can hinder a person’s chance of obtaining a job as a result of racial discrimination. The
study will examine race discrimination in job applicant screenings not by an interview,
but discrimination by a name on a resume. With a number of the African American
population with unique “African American” names like “Shaquille” and “LaToya” it may
be easy to discriminate by looking at a name in a circumstance with limited additional
information about the individual (Kacmar et al., 1994).
Despite the movement of society toward the acceptance of integrating the
workforce, according to Marshall et al. (1998) who believes that the sales environment is
open to African Americans and the goals intended by affirmative action programs, there
still exists subtle racial discrimination. By meeting an interviewee, the interviewer
automatically forms opinions about the person and a person’s race and sex are visual
aspects that can be easily recognized. A person’s race can be linked to stereotypes as seen
in Terpstra and Larsen (1980), in which some interviewers were more likely to hire an
African American person for a low status job, and a white person for more high status
job. Eliminating the interview and basing hiring solely on resumes may not be a solution
to eliminating racial discrimination because many names provide hints as to a person’s
race. I predict that name discrimination does exist and can lead to subtle racial
discrimination in the workplace. Names can reveal a person’s race, which can
automatically lead to grouping the individual into a certain race. Stereotyping can lead to
subtle racial discriminations in which African American applicants are associated with a
44
�lower social class or having other traits not fitting with the job description and therefore
fewer hiring decisions in favor of African American candidates.
II. Method
Participants
Participants were selected through the Wagner College Introduction to
Psychology Participant Pool, where college students voluntarily participated in the study
for class credit. There were 7 males and 19 females, ages ranging from 18 to 20 with a
mean age of 19. The ethnicity of the participants included 71.43% Caucasians, 10.71%
African Americans, 10.71% Latinos, 3.54 % Middle Eastern/Arab (one participant
declined to state). After obtaining informed consent, participants were randomly assigned
to one of two conditions.
Materials
Two packets were compiled for this study. Both packets contained instructions,
demographic information to be completed by the participants, and a memo that instructed
the participant to evaluate resumes for a human resources position. Following the memo
in both packets, were a series of resumes and evaluation sheets. Lastly, in the packet was
a list for the participants to record the three top candidates to be considered for a hiring
decision in order from strongest to least strong candidate. The difference between the first
packet and the second packet was that in the first packet the resumes included a qualified
woman with a “white” name, a qualified woman with an “African American” name, a
less qualified man with an “African American” name, and a less qualified man with a
“white” name. The second packet contained resumes from a qualified woman with a
“white” name, a qualified man with an “African American” name, a less qualified woman
with an “African American” name, and a less qualified man with a “white” name. The
first packet can be found in Appendix A. The difference between the first packet and the
second packet is that Shaquille Jackson’s name appears on the third resume which
LaToya Honda’s name appears on the fourth resume.
Procedures
Provided in both packets were instructions that asked the participants to read
everything in the packet, to answer questions as honestly as possible, and when finished,
to submit the packet to the experimenter.
Participants were asked to read a memo that informed them about a company’s
open human resources position that needed to be filled and the qualities the company was
looking for in the candidates. Next, they were to read each resume and complete a rating
45
�questionnaire after reading each resume. Finally, they were asked to list the top three
candidates that should be hired in order, with the strongest candidate listed first.
When the participant completed the activities in the packet they returned the
packet to the experimenter. Each participant was individually debriefed verbally outside
of the room by the experimenter and given a debriefing script for their own reference.
III. Results
According to the results of the study, my hypothesis of racial discrimination
towards resumes with traditional “African American” names is refuted. When qualified,
the African American female rated slightly better than the qualified white female in the
first and second conditions. Within qualified candidates, the African American male
applicant followed behind the females in ratings. As for nonqualified candidates the
African American male rated better than the African American woman followed by the
nonqualified white male in both conditions. Table 1 presents the means and standard
deviations of ratings for all candidates in both conditions.
Comparing candidates across conditions, the only significant difference
occurred when the African American male was presented as more or less qualified. The
African American male was ranked more positively when he was presented as a stronger
candidate than when he was presented as a weaker candidate, t (26) = 2.06, p < .05.
The qualified white female was not rated significantly different than either of the
two strong African American candidates, F (1, 24) = 0.46, p >.5.
Interestingly, when comparing the two weak African American candidates to the
weak white male candidate, the African American candidates were rated more positively
than the weak white candidate, F (1, 26) = 12.77, p < .01.
When ranking the candidates according to first and second choice candidates, it
was found that across both conditions the qualified white female was chosen 31 times for
the first or second choice candidate while the African American female was chosen 14
times when she was a strong candidate and the African American male was chosen 13
times when he was a qualified candidate and once when he was not qualified. Participants
were marginally more likely to select the qualified white female candidate as one of the
top two candidates than they were to select either of the two African American
candidates, χ2 (1, N = 49) = 3.45, p < .10.
IV. Discussion
According to the findings of this study, my hypothesis, which stated that name
discrimination can lead to subtle racial discrimination, was not fully supported. When
rating both qualified male and female African American candidates with the white
qualified female candidate, there was no significant difference. This finding could be
46
�interpreted as hirers are not discriminatory towards females, race, or both, if they are
qualified. However, the qualified white female candidate was marginally more likely to
be chosen as one of the top two candidates to be hired than the two qualified African
American candidates of both genders. Hirers may see no reason why not to hire a
qualified white female, as long as her qualifications are not questionable.
The only significant difference that was found was that the African American
male received significantly higher ratings when he was a stronger candidate than when he
was a weaker one. These results confirm Kacmar, Wayne, and Ratcliff’s (1994) findings
that higher evaluations were given African American candidates when job-relevant
information was given than when it was not. However, unlike Kacmar, Wayne, and
Ratcliff’s (1994) hiring findings where ratings did not transform into hire decisions, there
was only a marginal difference between hiring either of the male or female African
American candidate and the white female candidate. A concern over these findings
however, is that the African American female was manipulated during the experiment
similarly with the African American male candidate (first condition: qualified African
American female, non-qualified African American male; second condition: qualified
African American male, non-qualified African American female) using the same
qualified and non-qualified resumes in both conditions, the African American female
should have had the same significant difference in ratings. This did not occur, and
perhaps gender plays a role in this finding. Future studies on this issue should employ
three conditions. The first condition being a qualified African American male with a
nonqualified African American female, the second condition being a qualified African
American female with a nonqualified African American male, and a third condition being
the qualified resume and nonqualified resume with names omitted. This will allow us to
average the differences between qualified and nonqualified African American male and
female applicants and compare it with the average difference between the qualified and
nonqualified resumes with omitted names.
Participants also tended to rate the weaker male or female African American
candidate higher than the weak white male applicant. Future research should explore why
the white males was judged more harshly than other less qualified candidates. What the
participant expects of certain groups, in particular what he or she expects of African
Americans and whites in this study, may influence how the participant rated the
candidate. With a more in depth study of this finding, we may find more support for
complexity-extremity theory. As Jussim, Coleman, and Lerch (1987) found that the
lower-class-appearing, Standard-English-speaking African American applicant was rated
much more favorably than the similar white candidate; participants may have expected
that a white male candidate should be most qualified. When he did not adhere to the
47
�participant’s view of what a white male candidate should be, he was judged extremely
unfavorably, which can be further support for expectancy violation.
A problem of the study was the resumes that were the center of the study. The
two good resumes and the two bad resumes were roughly equal in qualifications but also
had slight differences in each of them. The first nonqualified resume (the one assigned to
the African American candidate) contained misspellings, the use of “I”, and no dates
referring to employment. The second nonqualified resume (assigned to the white male
candidate) was written with a cursive font, did not fill an entire page, and listed less work
experience. These were six characteristics that were found in badly written resumes
according to the Wagner College Career Center and therefore were divided between the
two nonqualified resumes. However, participants may have been more likely to notice the
length and the cursive font that was used for the white male candidate than they were to
notice that the nonqualified resume of the African American candidate had misspellings
and the use of “I”. In the future, I would suggest four conditions. This would include the
two conditions in this study plus the third and fourth condition in which the first qualified
resume is assigned to a female or male African American candidate, respectively, instead
of the white female candidate as it has in this study. The second qualified resume is
assigned to the white female candidate, which was assigned to the qualified African
American in this study. The third nonqualified resume is assigned to the white male
candidate, which in this study was assigned to a nonqualified African American. Lastly,
the fourth nonqualified resume is assigned to a female or male African American
candidate, respectively, which in this study was assigned to the nonqualified white male.
These conditions compared with the result of this study will allow us to see if it is the
resume or the name placed on resume that makes the candidate effects ratings and hiring
of the candidates.
According to the debriefing, when asked by the participants about their thoughts
on the experiment many revealed that they did not notice or think about the name of the
candidate. One person in particular thought that the order of the candidates influenced her
hiring decisions. In a future study, random order of the resumes should be considered.
Because the number of the participants was so small, a majority being white
females, I was not able to find whether or not race or gender was correlated with hiring
decisions. For future studies, a wider range of participants of various genders and
ethnicities will be encouraged to participate. The use of participants that work in business
or even participants who are business majors would also be useful for future studies.
Business students or business employees may look for specifics in a candidate necessary
for the business world whereas undergraduate liberal arts students may not know what
businesses look for in their employees. Hirers should be aware of this study and the
others mentioned in order to hire qualified workers without being biased by stereotypes.
48
�V. References
Ilgen, D. R. and Youtz, M. (1986), “Factors Affecting the Evaluation and Development
of Minorities in Organizations”, in K. Rowland & G. Ferris (Eds.), Research in Personnel
and Human Resource Management (pp. 307-337), Greenwich, CT: JAI Press.
Jussim, L., Coleman, L.M., and Lerch, L. (1987), “The Nature of Stereotypes: A
Comparison and Integration of Three Theories”, Journal of Personality and Psychology,
52, 536-546.
Kacmar, K.M., Wayne, S.J., & Ratcliff, S.H. (1994), “An Examination of Automatic vs.
Controlled Information Processing in the Employment Interview: The Case of Minority
Applicants”, Sex Roles: A Journal of Research, 30, 809-829.
Linville, P. W. and Jones, E. E. (1980), “Polarized Appraisal of Out-Group Members”,
Journal of Personality and Social Psychology, 38, 689-703.
Marshall, G. W., Stamps, M. B. and Moore, J. N. (1998), “Preinterview Biases:
The Impact of Race, Physical Attractiveness, and Sales Job Type on Preinterview
Impressions of Sales Job Applicants”, Journal of Personal Selling & Sales Management,
18, 21-38.
Terpstra, D. E. and Larsen, J. M., Jr. (1980), “A Note on Job Type and Applicant Race as
Determinants of Hiring Decisions”, Journal of Occupational Psychology, 53, 117-119.
Tomkiewicz, J., Brenner, O.C. and Adeyemi-Bello, T. (1998), “The Impact of
Perceptions and Stereotypes on the Managerial Mobility of African Americans”, Journal
of Social Psychology, 138, 88-92.
49
�Appendix A: Sample Rating Form for Reviewing Candidates
Instructions: Please be as honest and open as possible in answering each of the questions
asked. We are interested in your true thoughts and feelings. Also, please do not skip any
of the questions asked. Please remember: (a) to read the memo and to read all resumes
very carefully, (b) not to skip any questions, (c) to turn in the completed materials to the
experimenter.
MEMORANDUM
TO:
FROM:
RE:
DATE:
Christina Mayer, CFO
Janet Camp, President
Search for V. P. of Human Resources
October 21, 2004
I understand that you will start screening applicants for the Human Resources
position in the very near future. In doing so, I want you to keep these things in mind:
(1) We must have someone with experience and involvement in community
service and programs.
(2) It is time to create a more professional human resources function. I want a
person heading it up who either has an advanced degree in business or other
related fields to human resources or any other advanced degree that would
enhance the skills the person would use working at Silliman’s Recreation
and Community Center.
(3) We need a person in the VP position that will be able to have a good
relationship with our staff. This will require experience in management and
supervisory skills with the staff.
(4) The applicant chosen must also be able to create program and activities for
everyone in the community, both children and adults.
(5) The applicant chosen will be expected to present proposals to staff and
executives for approval. The chosen candidate will also need to be
somewhat publicly known in the community, and will need public relations
skills to interact with the community.
I think that we should proceed as we typically do in these matters. Since you
oversee Human Resources, you should go ahead and choose three people to interview
from the Pre-Screened Candidate List. After the interviews, make the decision whom to
hire. Keep in mind; I want someone with experience and an advanced degree.
50
�KATE ROBERTS (applicant 1a)
1200 Michigan Drive
Courtland, NV 89014
(415) 616-5003
Objective: Position as program director/coordinator/advisor, human services setting
PROFESSIONAL EXPERIENCE
Management & Program Coordination
• Chaired organizing committee for a major retirement event for University Vice
President.
• Initiated highly successful Wellness Program at University:
• Completed needs analysis; researched potential programs
• Designed program to respond to expressed needs
• Conducted first annual Health Fair designed to increase stress-reduction techniques
• As Budget Assistant, interpreted policy and monitored $400,000 discretionary fund for
compliance with fund guidelines.
• Revitalized a Sierra Club outings program, doubling participation by recruiting,
training and motivating leaders, and initiating an effective advertising program.
• Followed through to assure that corrective action was taken on problems over the
planning or program coordinating process.
Staff Development & Supervision
• Coordinated and supervised major project of assembling information packets and
brochures to promote the specified programs, and distribution to students, faculty, staff,
and alumni:
• Assisted manager in determining content of packets
• Supervised two clerks assembling materials
• Arranged for printing, Xeroxing and distribution
• Trained, supervised & evaluated staff, enabling them to improve skills and achieve
work objectives.
• Directed alumni/community/students relations committee, which serves as the liaison
between students with available job opportunities and mentors in their interested field.
Written & Verbal Communication
• Conceptualized and wrote descriptive brochures on the Division of Agriculture and
Natural Resources.
51
�• Developed extensive, quality network of people resources for Division of Agriculture
and Natural Resources.
• Organized and conducted numerous meetings & retreats of association boards and
clubs.
• Delivered program status reports before 50-member national Sierra Club committee,
successfully persuading officials to continue support of a threatened program.
Public Relations
• Participated in development of an external relations and governmental relations
program for the Division of Agriculture and Natural Resources.
• As Information Specialist, educated general public on specific park regulations, policy
regarding wilderness use, and environmental quality.
• Spearheaded planning of conferences and educational tours for Cooperative Extension.
Fundraising
• For six years, organized volunteers and assisted in planning fund-raising events for the
University Art Museum.
• Assisted in the identification of corporate and family foundation prospects for a
$500,000 capital campaign for Cooperative Extension
• Reviewed direct-mail solicitation copy.
• Represented the Division of Agriculture & Natural Resources, filling in for supervisor
at UN Development Officers’ meeting; participated in University –wide Development
Study requested by the Office of the President.
WORK HISTORY
7/03-present Space Planning Assistant Budget & Space Planning, University of
Nevada
2002-2003 Special Projects Analyst External Relations, Div. Of Agric. & Natural
Resources Office of the President, University of Nevada
1999-2002 Budget Assistant Budget & Space Planning, University of Nevada
1994-2001 Administrative Assistant President’s Office, University of Nevada
1992-1994 Computer Coder/Editor Reilly Marketing Research Corp. – San
Francisco
1991-1992 Information Specialist US National Parks Service, Yosemite National
Park
52
�CURRENT COMMUNITY LEADERSHIP
Elected to Board, University Art Museum Council
Elected Sub-Committee Chair, Sierra Club National Outings
Leader for Sierra Club National Outings
EDUCATION
B.S., (Honors) Conservation of Natural Resources – University of Nevada, 1991
M.A., Human Relations – California State University San Francisco, 1994
53
�LaToya Honda (applicant 1b)
444 Luella Drive
Woodside, CA 94602
(415) 518-2929
Objective: Position in administration or human resources emphasizing analysis,
planning, writing, problem solving
RELAVANT EXPERIENCE
Research/Assessment/Evaluation
• Analyzed bills and directed advocacy efforts on state legislation pertaining to public
schools, housing, church-state, and religious issues.
• Participated in fact-finding missions to Israel, Romania and Poland to determine
fundraising and social planning needs and strategies.
• Developed policy for community action in response to Ethiopian famine and Soviet
human rights issues, involving on-site research and data gathering missions.
• Identified and catalogued credible African relief organizations in California for
contributor reference.
Program Design/Development
• Designed stress management programs for a variety of groups:
• new parents with high risk infants;
• pastoral counselors, in a burnout prevention program.
• Created a highly successful program for hospital chaplains which dramatically
decreased on-the-job stress (still in operation 5 years later)
• identified and interviewed the potential participants located at 39 hospitals;
• designed a program addressing 3 primary concerns uncovered in the survey, namely:
training and education, clarification of values, and burnout prevention;
• developed a grogram budget and submitted it for approval;
• designed evaluation tools to assure staffing and program effectiveness.
• Planned, developed and established three new human service projects for County
Board of Supervisors; all three still successfully operating.
• Redesigned format for annual meeting of a national organization; facilitated processes
during the meeting. Three-year outcome: greatly increased member participation.
54
�Program Coordination & Supervision
• Coordinated implementation of the above chaplains’ program:
• engaged guest speakers on grief and death, drugs and alcohol, etc.;
• scheduled and led 1-day retreats focused on clarifying values;
• coordinated and led counseling support groups; facilitated informal networking;
• provided opportunities for refresher courses;
• developed a referral system covering days off and vacation
• Served as consultant to Marin County public schools on curriculum development,
minority rights, and church-state separation.
• Designed and implemented educational workshops for Marin County on public affairs
issues, overseeing: invitations, site, speaker procurement, press releases, and follow up.
• Directed staff of 4-30, including counseling, support, security, and clerical personnel in
several work environments: school, counseling center, community treatment centers,
and business.
Writing/Speaking/PR
• Spoke before large audiences on a variety of domestic and international issues.
• Conducted successful public relations meetings on a controversial school subject,
greatly increasing parental support of the program.
• Published articles in Northern California Community Bulletin (20,000+ circulation).
• Appeared on numerous radio and TV programs, addressing human rights issues.
Presentation/Communication
• Developed highly effective presentation outlining results of a work productivity study,
contribution to the adoption of over 80% of my recommendations.
• Served consistently as study team’s preferred presenter, delivering all team briefings to
top management, using audio visual aids.
• Delivered informational talks on study results and newly adopted procedures, to:
employee groups, administrative units, office personnel, and managers.
WORK HISTORY
2000-present
1997-2000
1996-1997
Senior Associate CENTER for LOCAL & COMMUNITY
RESEARCH, Oakland
Executive Director THE CENTER, Pleasanton Counseling,
Education and Crisis Services
Grief Program Coordinator ST. ROSE HOSPITAL, Hayward
55
�1994-1996
1991-1994
Program Director COMMUNITY ACTON COMMISSION,
Santa Barbara Co.
Teacher PUBLIC SCHOOLS – Detroit, Oakland, Edwards AFB
EDUCATION
B.S., Education – BOSTON UNIVERSITY, 1991
Mortar Board Honor Society
M.A., Counseling Psychology, CALIFORNIA STATE UNIVERSITY at Hayward, 1993
COMMUNITY & PROFESSIONAL AFFLIATIONS
• Citizens Advisory Committee for the Woodside High School District 1999-present
• Education Advisory Committee of the Human Rights Resource Center, County Human
rights Commission 1998-present
• Beginning Experience – an East Bay peer counseling organization
56
�Shaquille Jackson (applicant 1c)
92873 Main Street • Minneapolis, MN 55404 • 612-555-5555 • sjackson@yahoo.com
OBJECTIVE
I would like a position in Human Resources to be a Development Manager for
an educational institution.
EXPERIENCE
University of Minnesota
Minneapolis, MN
Manager, Center for Human Resources Development
• I supervised a professional staff of 35 and my support staff included 15
• I designed and implemented a new online system of training opportunities
• I, also, impoved customer service approach of the department; customer
staisfication improved 30% in 2 years
• I created a formal Work-Life Initiate for employees
• Lastly, I provided professional consulation for acadmic departments
University of St. Thomas
St. Paul, MN
Manager, training and Development
• I implemented a new training program for my company’s staff
• I have conducted workshops and orientation programs for new employees
• I’ve marketed training services to department chairs and supervisors
• The University’s President awarded me with the Service Award
Coe College
Cedar Rapids, IA
• I researched, designed and implemented new employee orientation program
• I also revised and presented numerous workshops to empoloyees
EDUCATION
University of Iowa
Iowa City, IA
• B.A., Business Administration
57
�Nicholas Thomas (applicant 1d)
Objective: Administrative position in Personnel and Human Resources
PROFESSIONAL EXPERIENCE
COUNSELOR, Group Processes (counseling center), Oklahoma City. 1991-2001
• Counseled individuals to identify personal objectives & develop strategies for attainment.
• Counseled youths and adults in group and individual sessions, focusing on problem solving and
crisis resolution.
ADMINISTRATIVE ASST., Nomura Securities International, San Francisco. 2001-present
• Developed strong liaison network with staff in various SP departments, subsidiaries and banks, to
effectively resolve financial/operational problems.
EDUCATION
BA, SOCIOLOGY, MICHIGAN STATE UNIVERSITY, 1991
58
�Example Evaluation Form
Rating of Referral Please circle the one number below that best indicates the quality of the candidate as a
potential hire.
1
Excellent
Referral
2
Very Good
Referral
3
Good
Referral
4
Acceptable
Referral
5
Poor
Referral
6
Very Poor
Referral
7
Should not
have been
referred
Please circle the one number below that best indicates candidate as having experience or
involvement in a community type setting.
1
Excellent
Referral
2
Very Good
Referral
3
Good
Referral
4
Acceptable
Referral
5
Poor
Referral
6
Very Poor
Referral
7
Should not
have been
referred
Please circle the one number below that best indicates candidate as having the proper
education for this position.
1
Excellent
Referral
2
Very Good
Referral
3
Good
Referral
4
Acceptable
Referral
5
Poor
Referral
6
Very Poor
Referral
7
Should not
have been
referred
Please circle the one number below that best indicates candidate as having the proper
management and supervisory skills for this position.
1
Excellent
Management
Skills
2
Very Good
Management
Skills
3
Good
Management
Skills
4
Acceptable
Management
Skills
5
Poor
Management
Skills
6
Very Poor
Management
Skills
7
Has no
Management
Skills
Please circle the one number below that best indicates candidate as being able to create
and coordinate programs and activities for people in the community.
1
Excellent
Program
Directing
Skills
2
Very Good
Program
Directing
Skills
3
Good
Program
Directing
Skills
4
Acceptable
Program
Directing
Skills
59
5
Poor
Program
Directing
Skills
6
Very Poor
Program
Directing
Skills
7
Has no
Program
Directing
Skills
�Please circle the one number below that best indicates candidate as being able to make
presentations and speak in front of large audiences.
1
Excellent
Presentation
Skills
2
Very Good
Presentation
Skills
3
Good
Presentation
Skills
4
Acceptable
Presentation
Skills
5
Poor
Presentation
Skills
6
Very Poor
Presentation
Skills
7
Has no
Presentation
Skills
Table 1: Overall Rating For Each Candidate in Each Condition
White Woman
Black Woman
Black Man
White Man
Condition 1: Strong black
female candidate
2.04
1.94
3.65
4.42
Mean (Standard Deviation)
(0.64)
(0.71)
(0.82)
(1.06)
2.35
4.24
2.21
4.51
(0.52)
(0.77)
(0.99)
(1.32)
Condition 2: Strong black male
candidate
Mean (Standard Deviation)
60
�Section III: Critical Essays
�The Destruction of Hiroshima:
The Decision to Drop the Bomb
Alla Bronskaya 1
On August 6, 1945 at 2:45 a.m., a B-29 bomber nicknamed Enola Gay roared
off a landing strip on a tiny island named Tinian. On board it carried a 10,000 pound
secret nicknamed “Little Boy.” At 8:15 a.m. the bomb bay of the plane sprung open and
dropped its mystery cargo onto the city of Hiroshima, where families were enjoying
peaceful breakfasts and children were preparing for school. As the B-29 sped away, a
blinding flash filled the air as a ball of fire, 1800 feet across with the temperature of 100
million degrees at its center, replaced the waking city. Children who survived the attack
recall seeing people “so badly burned that the skin of their body was hanging from them
like rags” (Gardner 149-150). Today, there are approximately 350,000 survivors of the
two atomic bombs dropped on Japan, and their life has been a “living hell to this day,
filled with constant fear of radiation disease, death, and anxiety over passing genetic
problems on to their offspring” (Sodei 1120). The instant that the bomb bay of the Enola
Gay sprung open, a new age of warfare had begun. On the flight back to Tinian, one of
the crew-members of the bomber paused to compose a letter to his son. He wrote:
…the days of large bombing raids, with several hundred planes, are finished. A
single plane disguised as a friendly transport can now wipe out a city. That
means to me that nations will have to get along together in a friendly fashion, or
suffer the consequences of sudden sneak attacks which can ripple them
overnight. What regrets I have about being a party to killing and maiming
thousands of Japanese civilians this morning are tempered with the hope that
this terrible weapon we have created may bring the countries of the world
together and prevent further wars (Gardner 155).
The dominant reasons for the utilization of this product have been debated by
historians ever since the destruction of Hiroshima. On the individual level, critics blame
the overly zealous attitudes of President Truman. On the domestic level, the support for
the bombing comes from the American desire to end World War II, to assert their
military strength, and to avenge the destruction caused by the attack on Pearl Harbor. On
the international level, the rivalry between the United States and the Soviet Union was
1
Research performed under the direction of Dr. Shaohua Hu (Political Science).
62
�the culprit responsible for the deaths of hundreds of thousands of Japanese. Ironically, the
use of the atomic bomb helped to create the longest period of peace in modern history.
Eyes like a Hawk: Individual Level of Analysis
Though the decision to drop the bomb on Hiroshima rested upon the shoulders
of several decision-makers, the final say belonged to President Harry S. Truman. His
lifetime goals never exceeded the aim of becoming a senator, but when the Democratic
Convention opened in 1944, he was a favorite. Roosevelt reportedly called to ask if the
democrats had a “fellow lined up” for him, but Truman was said to have denied his claim
to the vice-presidency. Roosevelt asked others to “tell him that if he wants to break up the
Democratic Party in the middle of a war, that’s his responsibility” (Allen 117). Truman
accepted the nomination and served as vice-president and during his term he admitted in
his Memoirs that he was afraid that “something might happen to [Roosevelt].” When the
president died, Truman said he was “unprepared for it” (Allen 117).
He was described as a cheerful man “of simple tastes and limited cultural
background,” and was in no way associated with major political decisions prior to his
presidency. As a person, Truman was said to favor action as opposed to ideas. As a
veteran of World War I, he was firmly convinced of the universal infallibility of the
American civilization. He despised all totalitarian systems and resented yielding to them
in any way (Fontaine 238-239). When it came to choosing sides between Hitler and
Stalin, Truman did not see one as more favorable than the other. At one point, he stated
that if he saw that Germany was winning the war, he would support Russia, and if Russia
were winning, he would support Germany. Hopefully, the two would slaughter each other
as much as possible (Alperovitz 30). In other words, Truman saw the world through the
eyes of a hawk.
Truman’s belief in the unconditional surrender clause of Japanese negotiations
reflected this aspect of his views well. The nature of Japanese soldiers and leaders was
different from that of Americans. Japan’s soldiers lived by a “non-surrender code.” Baron
Kantaro Suzuki, the Premier, had declared that Japan’s only choice was to “fight to the
very end,” even if it meant the demise of “one hundred million” Japanese (Allen 195,
199). In other words, unconditional surrender was an impossible request to make. Several
of the president’s advisors tried to make him understand this point. In contrast, Truman
and other planners around him feared that a public peace proposal from Japan would
cause “war weariness in the United States,” and might persuade the public to accept the
peace proposal. This would prevent Americans from destroying “Japanese capacity to
start a new war” (Allen 199). Finally, a compromise was reached. Secretary of War
Stimson persuaded Truman to change “unconditional surrender” to “unconditional
surrender of the armed forces” in his VE-Day statement (Allen 200). The phrase
63
�“unconditional surrender of all Japanese armed forces” was later used in the Potsdam
Declaration in 1946, which also warned Japan of “prompt and utter destruction” if these
demands were not met.
Two days after this issuance, Suzuki dismissed the declaration as “unworthy of
public notice,” and Truman proceeded to make the decision that would demonstrate what
the ultimatum meant. However, Truman did not realize that Japan could hardly be
threatened by a weapon of mass destruction it did not know existed (Gardner 161-162).
Also, limiting the unconditional surrender to the armed forces did not guarantee the
Japanese the right to “choose their own form of government” and to retain their current
emperor, which was another reason for the rejection of the ultimatum (Allen 214).
Truman’s main concern in ending the Pacific War was the potential for U.S. casualties,
and the use of the atomic bomb was the only feasible way to avoid large quantities of
American deaths (Allen 209). Created by the Manhattan Engineer District project, the
bomb cost a total of 2 billion dollars to make. Truman had no doubt that this costly
military weapon should be used (“Manhattan” 1, Gardner 157). The Pacific War merely
provided the justification to unleash its power.
Some critics say that Truman should have demonstrated the bomb’s power to the
Japanese, but it was feared that the bomb would either fail to operate, or that Japan would
move the Allied prisoners of war to the location of the test (Allen 215). Others state that
since Roosevelt refused to open negotiations with the Soviet Union regarding
“international control of atomic energy,” and since he never openly objected to wartime
utilization of the bomb, “it would have required considerable political courage and
confidence for Truman to alter those policies” (Sherwin 962). However, nothing official
ever kept Truman from reversing the direction of Roosevelt’s actions. Therefore, the
ultimate decision to drop the atomic bomb was a result of Truman’s own hawkish views.
Justifiable Act of Belligerency: Domestic Level of Analysis
Americans perceived the atomic bombings of Japan as a “justifiable act of
belligerency” (Graybar 889). The majority supported Truman’s decision for three
reasons: the Japanese attack on Pearl Harbor, the rising death toll incurred by World War
II, and the need to assert American strength.
On Sunday, December 7, 1941, The Japanese air force attacked a major United
States naval base in Pearl Harbor, Hawaii without warning. In the end, 188 Army and
Navy aircrafts were destroyed or damaged; seven battleships were sunk; and 2,403
American soldiers were killed. This was the first attack on the American homeland since
the War of 1812. Before this event, President Roosevelt desired to enter the war in
support of Britain, but the country was so pro-isolationist that any attempt to “lead the
people into war would have resulted in certain failure” (Stiles 23). However, after Pearl
64
�Harbor—“a date which will live in infamy,” Americans became united in the desire to
see the complete surrender of Japan (Allen 39). This outrage and resentment is part of the
reason why the majority of the nation supported prophetic drop of the atomic bomb on
the city of Hiroshima.
Another reason for the nation’s support for the bombing of Hiroshima was the
rising death toll of World War II. From the invasion of Normandy on June 6, 1944, to the
German surrender in May 1945, America’s participation in the war in Europe had cost
the country 135,576 lives (Allen 201). This number pales in comparison to the sacrifices
made by other countries, but that was a competition the American people did not want to
win. Most Americans were very eager to end the war because the victory day in Europe
brought an anticipation of peace, but Japanese soldiers were still in combat with
Americans in the Philippines and Okinawa. Their Kamikaze aircrafts still crashed into
U.S. warships, and their submarines were still at sea. More importantly, an army of more
than four million Japanese men were preparing to fight to the last breath for their emperor
in defense of their homeland (Allen 193). Therefore, many feared that defeating Japan
was not going to be easy. The Pacific War was being carried out with little aid from the
Allies, and the supply lines from the U.S. to the Pacific were longer than the supply lines
to Europe, and lacked the large forward base Britain had provided earlier. In addition, the
Japanese Empire encompassed a territory larger than that of the entire continental United
States. Even if the home islands were invaded, American forces might face a lengthy and
arduous war because of the “Japanese holdouts in widely scattered outposts” (Allen 202).
For all these, military planners estimated that the war against Japan would be as enduring
as the American intervention in Europe, and even bloodier, regardless of which military
strategy was pursued (Allen 201). Even though no accurate estimates of U.S. casualties
were available, the death-toll of any invasion would have been much greater than the
American death-toll caused by dropping the atomic bomb. That was not what most
Americans wanted.
Not everyone agreed with the assertion that the Pacific War would have been
long and arduous. Admiral William Leahy, advisor to President Truman, wrote that the
“Japanese were already defeated and ready to surrender because of the effective sea
blockade and the successful bombing with conventional weapons.” Also, while the
British Prime Minister, Clement Attlee, thought that peace talks were useless because the
“military were in command in Japan,” making any agreement with the emperor useless,
Colonel Saburo Hayashi, Secretary to the Japanese War Minister, wrote that their army
was prepared to “beat the Americans on their first landing attempt. But if the Americans
launched a second or third attack our food supply would have run out” (Gardner
158,166). Even the Pacific Survey’s Summary Report on the issue stated that the
65
�Japanese “would have surrendered prior to November 1,” and that dropping the bomb
merely accelerated their submission (Gentile 1086).
A Weapon of Diplomacy: International Level of Analysis
The Yalta Conference was a meeting between, Franklin Roosevelt, Joseph
Stalin, and Winston Churchill, in February 1945. Among the topics of discussion were
the war with Japan and the reorganization of the Stalin-supported Polish Lubin
government into a more democratic system that would include members of the
government-in-exile, which was supported by the Western Allies. The USSR also
secretly agreed to enter the Pacific War within three months of German surrender. In
return it was promised South Sakhalin, the Kuril Islands, an occupation zone in Korea,
the restoration of Port Arthur to a Russian naval base, and the co-administration of the
Manchurian railroads by the Chinese and the Soviets (“Yalta” 1). The USSR was
guaranteed these concessions because its “entry into the war would mean the saving of
hundreds of thousands of American casualties” (Allen 200).
However, as the end of the war approached, the diplomatic relations between
America and the USSR deteriorated rapidly and the Yalta Conference was perceived in
an increasingly negative light by the U.S. The State Department worried about the Soviet
designs in Europe and the Pacific. The American Ambassador to Moscow, Averell
Harriman, warned Truman that the USSR was planning a “barbarian invasion of Europe,”
and Secretary of State Edward Stettinius was urging Truman to “get tough with the
Russians” (Allen 193, Sherwin 962). Stettinius felt that since the meeting of the Yalta
delegation, the USSR had “taken a firm and uncompromising position on nearly every
major question” that had arisen in their relations and this growing dominance of a
Communist government was a rising concern for the United States administration.
However, Stalin did make an effort to continue on friendly terms with America. His first
act upon hearing of Roosevelt’s death was to tell Harriman “that he wanted to give some
immediate assurance to the American people to indicate his…desire to continue on a
cooperative basis” (Fontaine 239).
Unfortunately, the relationship between the two superpowers changed from bad
to worse. Just forty-eight hours after Roosevelt’s death, Truman learned that the same
leaders of the non-Communist government-in-exile who were supposed to be integrated
into Poland’s governing body had disappeared into a Moscow prison. In retaliation,
Truman stated that the United States never objected to the Lubin Committee’s role in the
formation of a new government, but that the Yalta Conference did not give the “Warsaw
Government…the right to veto individual candidates for consultation”(Fontaine 240).
The development of the Polish government became the symbol for the future
international relations between America and the USSR. The Soviet Union wanted to
66
�adopt “the Yugoslav example as a pattern for Poland,” which was not at all attractive to
the West, because that would mean the creation of yet another government in support of
communism (Fontaine 239-242). Because of this, the relations between these two
countries became more and more hostile. Harriman and Truman agreed that Stalin had
every intention of breaking all of his agreements. Even though the Soviet Union made it
clear that it would keep its promise and enter the war against Japan, there was “no
guarantee that the Soviets would not pursue their own agenda independent of, or even in
conflict with, America’s plans for the invasion” (Allen 203).
Thus, a problem arose: what would be the nature of the bilateral relations after
the end of the Pacific War? Truman and Stimson began to think of the atomic bomb “as
something of a diplomatic panacea for their postwar problems” (Sherwin 965). Secretary
of State designate James Byrnes even told Truman that the bomb “might as well put us in
a position to dictate our own terms at the end of the war” (Sherwin 965). Allowing for a
test-explosion to be viewed remained impractical, and increasing importance was placed
on the need “to end the conflict before the Red Army had had a chance to make major
advances in Manchuria” (Graybar 888). Truman and his advisors agreed that dropping
the bomb on Japan would not only end the Pacific War, but also provide a “settlement of
the Polish, Rumanian, Yugoslavian, and Manchurian problems” (Sherwin 965).
Therefore, the decision to drop the bomb was made, and it served as the “first major
operation of the cold diplomatic war” with the Soviet Union (Graybar 888).
Conclusion: Dawn of a New Age
Some historians contend that the atomic bombing of Japan was merely an
attempt to put an end to World War II; others insist that it was a political ploy to gain
diplomatic leverage over the USSR; still others stand by the fact that both motives played
an important role in the decision. However, one thing is for certain: the resolve to deploy
this weapon of mass destruction began an age of warfare that is still unsurpassed in its
destructive capacity, because its remnants stay with the victims for generations in the
forms of genetic mutation and radiation disease. More importantly, it is a brand of
demolition that will either force all nations to find mutual respect, or bring forth
horrendous nuclear devastation. Regardless of any concrete causes as to the start of this
age, “we will be damned as barbarians without vision or heart if we do not feel the
deepest sadness at the necessity of authorizing such cruelty” (Winnacker 30).
Works Cited
Allen, Thomas B., and Polmar, Norman. Code-Name Downfall. Simon and
Schuster, New York, 1995.
67
�Alperovitz, Gar. Atomic Diplomacy: Hiroshima and Potsdam. Simon and Schuster, New
York, 1965.
Bernstein, Barton J. “The Quest for Security: American Foreign Policy and International
Control of Atomic Energy, 1942-1946.” The Journal of American History, 60, (1974):
1003-1044.
Fontaine, Andre. History of the Cold War. Vol. 1, Pantheon Books, New York 1968.
Gardner, William, et.al. Selected Case Studies in American History. Pearson Allyn and
Bacon, Boston, 1975.
Gentile, Gian P. “Shaping the Past Battlefield, ‘For the Future’: The United States
Strategic Bombing Survey’s Evaluation of the American Air War against Japan”, The
Journal of American History. 64.4 (2000): 1085-1112.
Graybar, Lloyd J. “The 1946 Atomic Bomb Tests: Atomic Diplomacy or Bureaucratic
Infighting?” The Journal of American History, 72.4 (1986): 888-907.
“Manhattan Project”, The Columbia Encyclopedia, 6th Ed. January 2004. Columbia
University Press, New York, 15 Nov. 2004. <www.Bartleby.com/65/ma/ManhattaP.html.>
Sherwin, Martin J. “The Atomic Bomb and the Origins of the Cold War: U.S. Atomic
Energy Policy and Diplomacy 1941-45”, The American Historical Review 78.4
(1973): 945-968.
Sodei, Rinjiro. “Hiroshima/Nagasaki as History and Politics”, The Journal of American
History 82.3 (1995): 1118-1123.
Stiles, Kendall W. Case Histories in International Politics. Pearson Education, New York,
2004.
Winnacker, Rudolph A. “The Debate about Hiroshima.” Military Affairs, 11.1 (1947):
25-30.
“Yalta Conference”, The Columbia Encyclopedia. 6th Ed. January 2004. Columbia
University Press, New York, 15 Nov. 2004. <www.Bartleby.com/65/ya/YaltaCon.html.>
68
�Stem Cell Research: Its Possibilities,
Potential Hazards and Obstacles
Lauren Maltese 1 (Biology)
Stem cells have been experimented with for the past 20 years, but are now
becoming more important as a means of healing. The medical field has proven its ability
to heal sickness and disease, but transplants and regeneration of organs have many
problems. Stem cells are now providing an alternative to this problem, but face many
obstacles before they can be administered on a large scale. Although stem cells will be
extremely beneficial, several issues have arisen over the years that have hindered stem
cell research. These issues include the risks involved with using stem cells, the
technological hurdles, and the politics of the matter.
What are stem cells? Stem cells are the original cells from which an entire
organism develops. They are at first unspecialized, but eventually can then develop into
specialized tissues or organs. The potential to develop into any type of cell and division
for a long period of time without limit makes stem cells so promising in treating
debilitating diseases (“ISSCR: Stem Cell Science”).
The two types of stem cells are embryonic stem cells and adult, or somatic, stem
cells. Embryonic stem cells are primitive cells that come from the embryo and have the
potential to become a wide variety of cells, making them pluripotent. Embryonic stem
cells have unlimited potential as far as growth and differentiation. Embryonic stem cells
are derived from a 3 to 5 day embryo, called a blastocyst. The cells in a blastocyst give
rise to multiple specialized cells that can develop into any type of tissue (“Stem Cell
Basics”).
Adult stem cells are undifferentiated cells found in adult tissues or organs.
These stem cells are plastic, meaning that they can differentiate into cells of an unrelated
tissue as well as into their original source. One of the problems with adult stem cells is
that they exist in small numbers and remain non-dividing until activated by a disease or
tissue injury (Turksen 1).
Stem cells come from many different sources. Research on adult stem cells goes
back 40 years when scientists found that bone marrow contains at least two kinds of stem
cells: hematopoietic stem cells and bone marrow stromal cells (or mesenchymal stem
1
Research performed under the direction of Dr. Gregory J. Falabella (Physics) in conjunction with
the freshman Learning Community LC7: Science in a Technological World.
69
�cells). Hematopoietic stem cells form all the types of blood cells in the body and have
been used in transplants for 30 years. Bone marrow stromal cells were discovered a few
years later and are a mixed cell population that generates bone, cartilage, fat, and fibrous
connective tissue. Scientists researching rats in the 1960’s discovered that two regions of
the brain contain dividing cells, which become nerve cells. It was not until the 1990s that
scientists agreed the adult brain does contain stem cells that are able to generate the
brain's three major cell types: astrocytes and oligodendrocytes, which are non-neuronal
cells, and neurons, or nerve cells. Other adult tissues that contain stem cells include
peripheral blood, blood vessels, skeletal muscle, skin and liver (“Stem Cell Basics”).
Embryonic stem cells can be derived from a variety of sources. The main
source is from an embryo. These embryos are extra embryos, those that were to be
discarded, from couples who have used in vitro fertilization (Lanza 92). Embryonic stem
cells can also be derived from aborted fetuses, umbilical cords, baby teeth and placentas.
Stem cells from both the umbilical cord blood and the pulp under baby teeth are able to
divide for longer times in cell cultures and may give rise to different tissues. Umbilical
cord blood stem cells are used for stem cell transplantation to reconstitute blood cell
formation in patients that have been irradiated or treated with specific drugs for cancer or
leukemia. Also, in some genetic diseases, where patients have a problem forming normal
blood cells, a transplantation of matched umbilical cord blood cells can give them a new
blood-forming system. The new cells are infused into the vein of the patient. In a process
called "stem cell homing” they are then able to find their way into the bone marrow
(“ISSCR: Stem Cell Science”). The use of umbilical cords for stem cells is
uncontroversial. The hindrance with using stem cells from umbilical cords is that the
supply is limited because of the lack of funding, even though every child is a potential
source. The umbilical cord blood has been proven effective in children who are small
and resilient. The potential in adults is less clear because a single umbilical cord contains
only about one-tenth as many blood stem cells as the typical bone marrow transplant
(Seppa 339).
There are several potential uses of stem cells. The most important use of stem
cells is to be used in cell-based therapies, which involves replacing diseased cells with
healthy cells. Because stem cells differentiate into different cell types, stem cells provide
the possibility of creating new tissues and cells to treat diseases such as Alzheimer’s and
Parkinson’s diseases, spinal cord injury, stroke, burns, heart disease, diabetes,
osteoarthritis, and rheumatoid arthritis (“Stem Cell Basics”).
Scientists have been conducting experiments to discover the possibilty of
transplanting healthy heart muscle cells into a patient with chronic heart disease. In
preliminary research with mice and other animals, it was found that bone marrow stem
cells, when transplanted into a damaged heart, can generate heart muscle cells and
70
�successfully repopulate the heart tissue. Human stem cells are currently being used to
treat leukemia, lymphoma and several inherited blood disorders (“Stem Cell Basics”).
Those with Parkinson’s Diseases lack dopamine producing neurons. This
disease may be the first disease to be treated with stem cells because scientists know that
the specific cell type, DA neurons, is needed to relieve the symptoms. Scientist may be
able to differentiate embryonic stem cells into cells that have the many functions of DA
neurons. Scientists have also been trying to produce dopamine neurons from human stem
cells in the laboratory (“Stem Cell Basics”).
Juvenile diabetes is another illness that may be treated using stem cells. Some
scientists have coaxed stem cells into insulin-producing cells. When transplanted into
diabetic mice the insulin-producing cells appeared to improve blood-sugar levels and
survival. Scientists have been trying to understand Alzheimer’s disease by using
embryonic stem cells to develop human brain cells with Alzheimer’s mutations. Another
use of stem cells is to treat those with spinal cord injuries by transforming the stem cells
into spinal cord tissue. Scientists’ goal is that the stem cells would restore movement
when implanted in paralysis victims (Ulick 46).
Another use of stem cell research is that scientists may be able to uncover new
information about human development. Scientists are trying to find out how
undifferentiated cells become differentiated and what signals turn the genes on and off to
influence this transformation. If scientists gain a better understanding of this process then
new strategies for therapy can be developed when abnormal cells division and
differentiation occurs, which is usually how cancer or birth defects develop. The third
way stem cells could be used is to test new medications for safety on differentiated cells.
Cell lines are already being used for this reason. For example, cancer cell lines are used
to screen anti-tumor drugs (“Stem Cell Basics”).
Stem cell research is an extrememly complicated area and there are many
obstactles and potential hazards of using stem cells. First, it is very difficult to identify
true stem cells, especially in adult stem cells where they exist in very few numbers.
Scientists have developed tests to identify stem cells, but there are arguments that these
tests are not very accurate. Stem cells can not be distinguished by appearance, only by
their behavior. One test used to mark the pluripotency of a human embryonic stem cell is
to inject embryonic stem cells into an animal’s body tissue. If they form a distinctive
tumor, called a teratoma, which contains all three embryonic layers, their pluripotency is
proved. Another test used is to mark embryonic cells and inject them into a developing
animal embryo. If the marked cells turn up in all tissues when the animal is born, the cell
line is deemed pluripotent. This test does not guarantee that the cell will differentiate in
the lab (Lanza 92).
71
�The next challenge is getting the cells to differentiate into a specific type of
tissue. Most of the time the cells develop spontaneously into different tissue types. With
timed administration of certain chemicals they can be directed into one cell type or
another, but still prefer to become certain tissues. Scientists still do not fully understand
the signals that cause the cells to develop into a certain tissue and are trying to profile the
gene expression patterns as the cells differentiate in order to find the genes that could be
turned on or off to direct the cells toward the desired tissue type (Lanza 92).
These obstacles are only part of the struggle. If and when the desired tissue type
is obtained they are only useful if they can be transplanted to the right place and make
connections with the other cells. The ideal situation would be to inject these cells into the
part of the body that needs repair and let the cells regenerate on their own. This approach
is far too dangerous because of embryonic stem cells’ pluripotency. The cells may divide
uncontrollably and form a teratoma and/or differentiate into the wrong tissue type. This
could also lead to cancer. Teratomas containing fully formed teeth have been reported in
experiments with animals. Therefore, instead of risking the harmful affects of simply
injecting cells into the body, scientists are trying to coax embryonic stem cells into a
more stable, but flexible progenitor-cell stage before administering them. By doing this,
uncontrolled differentiation is avoided and cells can still differentiate into desired cell
types by enviornmental signals (Lanza 92).
Once the cells adapt to their enviornment and regenerate new tissue there is still
a possiblility that the patient’s body will reject the new tissue. Embryonic stem cells
carry the same risk or rejection as transplanting organs because, like all cells, they carry
antigens. Therefore, the immune system recognizes them as invaders (Lanza 92). This
could cause the transplant to fail and possibly endanger the patient. Cell recipients would
have to take drugs to temporarily suppress their immune systems, which could also be
hazardous (“ISSCR: Stem Cell Science”). Some researchers see a solution in reducing
the antigenic properties of the cells. This solution thus far has not been produced.
Presently, the only way to solve this problem is to create an embryonic stem cell line
using the patient’s own genetic material through nuclear transfer or cloning (Lanza 92).
As mentioned earlier, a potential use of stem cells is to test new medications.
However, to test the drugs effectively, the conditions must be identical when comparing
different drugs. Scientists will have to be able to precisely control the differentiation of
stem cells into the specific cell type on which drugs will be tested. Current knowledge of
the signals controlling differentiation are not advanced enough to mimic these conditions
precisely to consistently have identical differentiated cells for each drug being tested
(“Stem Cell Basics”).
There are several arguments directed against stem cell research. Most of those
who are opposed to stem cell research are only opposed to using embryonic stem cells.
72
�These people find nothing wrong with using adult stem cells from a human adult because
no one is being harmed in the process. Pro-life advocates see embryonic stem cell
research as unecessary because adult stem cells can be used instead. Scientists feel that
the use of embryonic stem cells would be more beneficial than using adult stem cells
because they are more versatile and can develop into any type of cell. The most common
argument used against embryonic stem cell research is that the embryo which the cells
are being derived from is fully a person with all the rights any person has, the first right
being the right to life. This is usually a religious, most notably Catholic, point of view in
which the belief is that a person exists as early as conception. This argument is seen in
the Instruction Donum Vitae issued by the Vatican’s Congregation for the Doctrine of
faith in 1987. This doctrine states: “The human being is to be respected and treated as a
person from the moment of conception; and therefore from the same moment his rights as
a person must be recognized, among which in the first place is the inevitable right of
every innocent being to life.” This doctrine also goes on to state that “No objective, can
in any way justify experimentation on living human embryos or fetuses, whether viable
or not, either inside or outside the mother’s womb.” This suggests that all research on
embryos is murderous because they consider it the destruction of a living person
(Lauritzen 20). Some say that it is not a matter of where the cells are coming from but
where this research will lead us. Those who look to the future fear the real problem is
that these cells have the ability to develop into entire organs. What line will be crossed in
the future? Will scientists produce organs as spare parts? Those who support this
argument look to the experiments already being done in the lab. Among these
experiments was one conducted in 1998 in Massachusettes. Scientists injected a human
nucleus into a cow egg. The resulting embryo appeared to be producing human protein
and was destroyed early in fear of what it might grow into. In October of 2000 a monkey
with a jellyfish gene was born. Many fear these testings will lead to human-animal
species and other abominations (Krauthammer 60).
The arguments for embryonic stem cells reasearch are in defense to the
arguments against embryonic stem cell research. The most extreme argument to refute
the argument that an embryo is a person with rights is the argument that the early embryo
is little more than cellular material which demands little, if nothing, of us morally. This
view can be see in the work of the well-known legal scholar John Robertson. In his
book, Children of Choice, he states that the real question is this: “Does procreative liberty
entitle people to use their reproductive capacity to produce products or material to
produce nonreproductive ends?” With this question arises another question if the harm
outweighs the potential benefits of embryo research. This view is an extreme view and is
rarely openly admitted (Lauritzen 21). The most common argument in favor of
embryonic stem cell research is that most of the embryos come from in vitro fertilization
73
�clinics. Those embryos that were to be discarded would be used to do the research.
Instead of keeping the embryos locked in a freezer and then eventually discarded most
see more benefits in using the embryos to find a cure for the many baffling diseases that
are gripping our world today. This leads to the other argument that the reasearch could
benefit so many. With the ability to regenerate damaged cells and tissue many people
could be healed and so much could be learned by studying these cells (“ISSCR: Stem
Cell Science”).
The politics of stem cells is perhaps the most detrimental obstacle of all. As with
most great medical innovations comes controversy. The controversy surrounding
embryonic stem cell research has raised questions on the funding of such a project.
Without funding, the research is not possible. Funding such a project requires much
reflection on the matter and all of the issues and people involved. Three years ago a
partial ban was placed on federal funding of embryonic stem cell research. Scientists
were only allowed to work with embryonic stem cell lines created before the policy was
announced in August 2001. Scientists figured it might as well be a total ban because only
about 15 embryonic cell lines are available to researchers. Some of the lines are sickly
and difficult to cultivate; other display genetic abnormalities. Since President Bush’s reelection the ban on embryonic stem cell research has not yet been lifted (Soares 97).
The use of stem cells in today’s day and age has proved to be increasingly
imperative. The diseases that exist today are becoming more difficult both to understand
and to treat. A large portion of the population have illnesses with no hope of recovery.
The use of stem cells can potentially provide many cures to baffling diseases and
paralysis. It is impossible to expect that we can use the methods we already have forever.
As these diseases advance and become more difficult to treat, so must medical research.
If funding and support is not available to do this research the possibilities of treatment
will never be explored. Many people are against stem cell research, but the truth is that a
stand cannot be taken unless the possibilities are known. Without so much as the chance
to explore this area we will never know the potential cures that are greatly needed.
Work Cited
ISSCR: Stem Cell Science: Frequently Asked Questions. 2004. International Society for
Stem Cell Research. 30 November 2004 http://isscr.org/science/faq.htm
Krauthammer, Charles. “Why Pro-Lifers are Missing the Point.” Time. 12 February
2001: 60.
74
�Lanza, Robert and Rosenthal. Nadia, “The Stem Cell Challenge.” Scientific American.
290.6(2004): 92.
Lauritzen, Paul. “Nether Person Nor Property.” America. 26 March 2001: 20-23.
Seppa, Nathan. “Umbilical Bounty.” Science News 27 November 2004: 339.
Soares, Christine. “Politics: The Biggest Obstacle of All.” Scientific American. 290.6
.(2004) : 97
Stem Cell Basics. 2004. National Institutes of Health and Department of Health and
Human Services. 30 November, 2004 http://stemcells.nih.gov/info/basics/
Turksen, Kursad. Adult Stem Cells. Totowa: Humana Press, 2004.
Ulick, Josh. “How to Make a Stem Cell.” Newsweek. 25 October 2004: 46-47.
75
�Appendix A: Directed Differentiation of Mouse Embryonic Stem Cells
If cells are allowed to
clump together to form
embryoid bodies, they
begin to differentiate
spontaneously. They
can form muscle cells,
nerve cells, and many
other cell types. So, to
generate cultures of
specific types of
differentiated cells—
heart muscle cells,
blood cells, or nerve
cells, for example—
scientists try to control
the differentiation of
embryonic stem cells.
They change the
chemical composition
of the culture medium,
alter the surface of the
culture dish, or modify
the cells by inserting
specific genes. Through
years of
experimentation
scientists have
established some basic
protocols or "recipes"
for the directed
differentiation of
embryonic stem cells
into some specific cell
types(“Stem Cell
Basics”).
76
�Appendix B: Hematopoietic and Stromal Stem Cell Differentiation
Scientists have reported that adult stem cells occur in many tissues and that they enter
normal differentiation pathways to form the specialized cell types of the tissue in which
they reside (“Stem Cell Basics”).
77
�Appendix C: Plasticity of Adult Stem Cells
Hematopoietic stem cells give rise to all the types of blood cells: red blood cells, B
lymphocytes, T lymphocytes, natural killer cells, neutrophils, basophils, eosinophils,
monocytes, macrophages, and platelets.
Bone marrow stromal cells (mesenchymal stem cells) give rise to a variety of cell
types: bone cells (osteocytes), cartilage cells (chondrocytes), fat cells (adipocytes),
and other kinds of connective tissue cells such as those in tendons.
Neural stem cells in the brain give rise to its three major cell types: nerve cells
(neurons) and two categories of non-neuronal cells—astrocytes and
oligodendrocytes.
Epithelial stem cells in the lining of the digestive tract occur in deep crypts and give
rise to several cell types: absorptive cells, goblet cells, Paneth cells, and
enteroendocrine cells.
Skin stem cells occur in the basal layer of the epidermis and at the base of hair
follicles. The epidermal stem cells give rise to keratinocytes, which migrate to the
surface of the skin and form a protective layer. The follicular stem cells can give rise
to both the hair follicle and to the epidermis (“Stem Cell Basics”).
78
�Appendix D: Heart muscle repair with adult stem cells
79
�Hagar
Stephanie Williams 1
Hagar, the Egyptian handmaid of Sarai, is a key figure in the Bible. She is first
mentioned in Genesis 12. Sarai, as a barren wife, gives Hagar to Abraham so he can have
an heir. As Abram’s concubine, Hagar gives birth to Ishmael (IDB III 508). She is often
viewed as a “persecuted Madonna,” and is the first single mother mentioned in the Bible
(Dennis 62). Her son Ishmael is known as the father of Islam, and therefore Hagar plays
a truly pivotal role in biblical history.
The name Hagar means “wanderer,” and is most likely derived from the Arabic
word hajara, which means “to migrate” or hagger meaning “the alien” (Meyers 86).
The roots of Hagar’s name may be related to the part she plays in the Bible. She is truly
alone as a young slave girl. Hagar is an alien in Abram’s home (Meyers 87). She is
given to Abram to bear his child. Once Sarai gives birth, she is basically abandoned,
forced to live and raise her child Ishmael alone. In this sense, Hagar never has a stable
home or planted roots; she is a wanderer (Meyers 86).
In Genesis 16 Hagar makes her biblical entrance. She is introduced as Sarai’s
Egyptian slave-girl, a foreigner. She is treated exactly as a slave. Hagar is given no
privileges or power. In most biblical passages when a character is introduced for only
one or two stories they do not have names, yet such is not so for Hagar. She not only
possesses a name, but as the biblical story unfolds she is given the honor of naming God
in her speech (Dennis 63). Neither Abram nor Sarai ever use Hagar’s “name when
speaking to one another” (Dennis 65). Hagar is not human to them; she is merely a
possession. “She is given no words to say, no initiative to take” (Dennis 65). She
becomes aware she is bearing a child and flees. These are the only actions Hagar takes.
All other actions are done to her.
The reader is made aware that Sarai, Abram’s wife is unable to bear children.
Sarai says to Abram, “You see that the Lord has prevented me from bearing children; go
in to my slave-girl; it may be that I shall obtain children by her” (Gen 16:4). This line
proves that Hagar is given the rights of a slave (Dennis 63). This custom may seem
rather peculiar, but in some ways it is similar to modern day concept of surrogate
mothers. According to cuneiform texts of the first and second millennium BCE, this type
1
Research performed under the direction of Dr. Joedy Smith (Religious Studies) in conjunction
with the freshman Learning Community LC10 Biblical Drama: Music and Spirit.
80
�of situation was common. A marriage contract from Anatolia, an Old Assyrian colony,
which dates back to 1900 BCE, clearly states that if a wife does not bear a child within
the first two years of marriage she must purchase a slave for her husband. The Code of
Hammurabi contains a similar stipulation. This code of laws declares that if a wife is
unable to give birth to a child for any reason, the husband may take a second wife or the
wife may give her husband a slave girl (Meyers 86).
Abram obeys Sarai and impregnates Hagar. Both Sarai and Abram view Hagar
as a “womb with legs” (Meyers 86). Once Hagar has conceived, she gains a new air of
confidence and, “looks with contempt on her mistress” (Gen 16:4). Hagar views her
mistress with hatred. Sarai begins to loathe Hagar; perhaps she is jealous that she can
conceive. Abram gives Sarai permission to be in control of Hagar once again (IDB III
508). When Sarai regains control over Hagar she mistreats and abuses her in a manner
consistent with the treatment of a normal slave. According to the Code of Hammurabi, a
woman slave can be treated as an ordinary slave if she attempts to act as an equal to her
mistress (Meyers 86). Hagar does not stand for such degradation and flees from Sarai.
Hagar is found at a spring of water on her way to Shur by an angel of God. It is
here that she is told to go back to Sarai and to submit to her. According to Carol Meyers,
this command is somewhat odd in that God would want Hagar to be treated as a slave and
that he respects property right over freedom (Meyer 87). Until this point the God of
Israel always took the side of the oppressed. “That is the nature of the God of Exodus, of
the God of the Torah, and of the God of the prophets” (Dennis 66). According to ancient
Israelite law, runaway slaves cannot be returned to their masters (Deut 15:16). This is
perhaps one of the most unsettling sections in the Bible. God seems to be on the side of
the oppressor (Dennis 66).
When all faith in the goodness of God seems to have vanished, God’s angel then
informs Hagar that she will bear a son, Ishmael. He will be a “wild ass of a man with his
hand against everyone, and everyone’s hand against him; and he shall live at odds with
all his kin” (Gen 16:12). God will, “greatly multiply her offspring that they cannot be
counted for multitude” (Gen 16:10). The only other people in the Bible to hear such a
statement are Abram, Isaac, and Jacob. Hagar, the slave woman, is one of four people to
hear a promise from the lips of God. She is one of only three women in Genesis to
engage in a conversation with God, and the only woman to experience a theophany, a
direct revelation of God (Dennis 67). Both Eve and Sarai have very brief encounters with
God and their experiences with God pale in comparison with Hagar’s. The manner in
which God’s messenger announces the birth of Hagar’s son is similar to the
annunciations of Samuel to Hannah and Jesus to Mary. These women give birth to
children with special and very specific fates. All of the women are addressed
individually and notably “not through their husbands” (Meyers 87).
81
�One can draw many similarities between this passage and the dialogue in
Genesis 15:13. In Genesis 15:13, God speaks to Abram. He states that the children of
Israel must be enslaved before they are saved. Yahweh has heard Hagar’s pain in the
same way that he will hear the cries of the enslaved Israelites in Egypt and he will save
both. Hagar is assured that God will, “Greatly multiply her offspring so that they cannot
be counted for” and in this sense salvation will be hers (Gen 16:10). With “supreme
irony” Hagar is a slave from Egypt and she foreshadows the enslavement of the Jewish
people (Dennis 65). Hagar is to be treated harshly, just as Abram’s descendants will be
“aliens in a land that is not theirs, and shall be slaves there, and they shall be oppressed”
(Gen 15:13).
In many ways Hagar can be viewed as Abram’s analogue (Meyers 87). God
speaks directly to both Abram and Hagar. The relationship God creates with Hagar is
completely separate from the relationship forged with Abram, yet the terms are extremely
similar. Hagar, “named the Lord who spoke to her El-roi” (Gen 16:13). Her name for
God means “the one who sees me” (NIB I 453). Hagar’s name for God proves to be a
metaphor for her new found hope as opposed to the preexisting name for God. She has
now experienced a God who truly sees her rather than a God who merely speaks at her
(NIB I 453). She follows God’s commandment, returns to Abram and Sarai, and gives
birth to a baby boy whom Abram names Ishmael.
God soon tells Sarai that she too will bear a child. Both Abram and Sarai find
this notion inconceivable, for Sarai is well past her child bearing years. Yet, just as God
says, Sarai gives birth to a son named Isaac. Both Ishmael and Isaac grow up together.
One day Sarah sees both children playing with one another. Sarah says to Abraham,
“Cast out this slave woman with her son; for the son of this slave will not inherit along
with my son Isaac (Gen 21:10).” Hagar and Ishmael are then cast out. A parallel can be
drawn between the expulsion of Hagar and the struggling freed slaves of Egypt: Just as
Hagar will have to struggle in the wilds of Beer-sheba, so too will the freed Israelites as
they wander through the desert. Both Hagar and the Israelites will have to face thirst and
hunger as they wander through wilderness (Meyers 87). Abraham was extremely bereft
at the thought of the entire ordeal. God, however, promises Abraham that both his sons
will inherit a nation (Gen 21:12).
Hagar and Ishmael struggle facing the elements. Soon their water is gone, and
they begin to thirst. Hagar says to God, “Do not let me look on the death of the child”
(Gen 21:16). As Hagar says this, Ishmael begins to cry. God hears his cries, and saves
both Hagar and Ishmael. God forces Hagar’s eyes open and a well of water is now in
front of her. The two continue to live in the wilderness of Paran. Hagar’s death is not
mentioned in the Bible. Ishmael has twelve sons, and therefore Hagar is the ancestor of
the twelve tribes of Ishmael (ABD III 18).
82
�Hagar is mentioned in the New Testament. She is used as a metaphor in
Galatians 4:21-31. In this allegory Hagar is represented by the Sinai covenant and Sarah
the new covenant which comes to fruition through Christ (IDB III 509). This passage
contrasts free people and slaves. Hagar’s child is born out of the flesh and Sarah’s out of
a promise (Meyers 88). St. Paul recounts the story told in Genesis, but with an extremely
negative view of Hagar. There is no mention of God’s promises to Hagar, just God’s
pact with Sarah. St. Paul does not state that Hagar’s descendants will be numerous and
that God saved both Hagar and Ishmael from death. Hagar’s child is said to have
“persecuted the child who was born according to the spirit (Gal 4:19).” Perhaps St. Paul
slanted view of this situation is related to the fact that he clearly holds no respect for the
Jewish Law, and Hagar represents the Israelite law. Paul feels that Christians are
children of the free woman and born out of spirit (Meyers 88).
Through extensive research I have made many fascinating discoveries about
Hagar, “the persecuted madonna” (Dennis 62). She is truly an intriguing biblical
character. Although Hagar only appears in a few brief chapters in the Bible, she plays a
crucial part. Hagar may be viewed as an inspiration for strength. As the Biblical story
unfolds, she proves to be an incredibly strong woman with an indomitable spirit.
Works Cited
1.
Dennis, Trevor. Sarah Laughed. Abingdon Press., Nashville, 1994, 62-83.
2.
Fretheim, Terrence E., “Genesis Commentary.” Leander E. Keck, ed., New
Interpreter’s Bible, Vol. I. Abingdon Press, Nashville, 1994, 452-453.
3.
Khauf, Ernst A., “Hagar.” David Noel Freedman, ed., The Anchor Bible
Dictionary, Vol. III. Doubleday Dell Publishing Group, Inc., New York, 1992,
18-19.
4.
Meyers, Carol. “Hagar.” Women in Scripture. Houghton Mifflin Co., New
York, 2000, 86-88.
5.
Newman, M., “Hagar.” George Buttrick, ed., The Interpreter’s Dictionary of the
Bible, Vol. III. Abingdon Press., Nashville, 1962, 508-509.
6.
The Holy Bible, NRSV. Zondervan Bible Publishers, Grand Rapids, 1989.
83
�Esther
Rachel Dudley 1
Esther, the Persian Jewess Queen, is the heroine of the Book of Esther, which is
part of the Writings, or Ketuvim, section of the Old Testament (ABD II, 633). The Book
of Esther was probably written down between 180 and 100 B.C.E (IDB II, 151) and most
likely took place during the 5th Century B.C.E. (WIS, 75). In the Hebrew Scriptures, the
Book of Esther is the last of the five Megillot or scrolls, and is referred to as megillat
Esther, the Scroll of Esther (The Writings, 241 and ABD II, 633). In the Septuagint, the
Book of Esther is found before the prophetic books and after the historical or poetical
books, and in the English Bible, it is found between the historical books and the poetical
books (The Writings, 241).
The Book of Esther begins with a 180-day banquet held by Ahasuerus, King of
Persia. When, in the course of this banquet, Queen Vashti refuses to appear in front of the
King’s guests, Ahasuerus banishes her. He then holds a beauty contest of sorts to choose
a new queen. Esther, cousin and adopted daughter of Mordecai, becomes queen, all this
time keeping her Jewish identity a secret.
Haman, the King’s chief advisor, vows to annihilate the Jewish race when
Mordecai refuses to bow to him, and convinces the King to sign an edict. Mordecai sent
word to Esther of the situation, and although entering the throne room without being
summoned by the King could result in death, Esther promises to go to the King as she
utters the famous lines, “and if I am to perish, I shall perish!” (Esth. 4:16) Esther goes to
the King, who not only welcomes her but offers her anything, even half the kingdom.
Surprisingly, Esther merely invites the King and Haman to a banquet. At the banquet, the
King again offers to fulfill any request that Esther may have; and again, Esther merely
invites the King and Haman to another banquet.
At the second banquet, the King again offers Esther anything she wants. This
time, Esther makes a stirring plea, saying, “let my life be granted to me as my wish, and
my people as my request. For we have been sold, my people and I, to be destroyed,
massacred, and exterminated.” (Esth. 7:3-4) King Ahasuerus asks Esther who it was that
did this, and Esther proclaims the name of Haman, in his very presence. The King,
furious, orders Haman to be impaled on a stake that Haman had built for Mordecai.
1
Research performed under the direction of Dr. Joedy Smith (Religious Studies) in conjunction
with the freshman Learning Community LC10 Biblical Drama: Music and Spirit.
84
�Esther is given all of Haman’s land, Mordecai becomes the King’s chief advisor,
and the edict ordering the annihilation of the Jews is reversed. The Jews destroy their
enemies, and the holiday of Purim is instituted.
The Book of Esther is mainly known because of its relation to the Jewish
holiday Purim. Purim, named for the lots (pur) that Haman cast when deciding what day
to kill the Jews, is a joyous holiday. It is a day for celebrating the fact that the Jews were
not annihilated in Persia, and for much feasting and merrymaking. People dress up and
send each other bags of goodies. Most importantly, the Book of Esther is chanted in
synagogues everywhere.
One of the most surprising things about the Book of Esther is the lack of
religion. In fact, G-d is never mentioned in the Hebrew Book of Esther, and only one
religious practice – that of fasting – is mentioned (WIS, 76). Esther herself is also not
religious. “Jewish identity seems to be primarily ethnic, not religious. It is who Esther is
that makes her Jewish, rather than what she practices or believes.” (WIS, 76) Esther does
not explicitly take part in any religious rituals, including that of prayer. It is not G-d who
saves the people, instead it is Esther. (The Writings, 242). “Many commentators have
argued that religious beliefs, such as the belief in [G-d’s] protection of the chosen people,
are present. This argument may be valid; however, it remains true that the presence of
[G-d] is conspicuously absent.” (WIS, 76) Although some believe that “the omission of
reference to [G-d] is understandable in a book intended to be read at a festival of
merrymaking, noise, and conviviality,” (IDB II, 150) many feel that the omission of G-d
and religion is not appropriate for a part of the Bible.
This feeling led some scholars to write 6 extra passages comprised of 107 verses
which were later adopted by Christian scholars and can be found in the Apocrypha under
the title “Additions to Esther” (WIS, 77). “The additions, which probably were not
composed at the same time by the same person, can be dated to the second or first
centuries [sic] B.C.E. because of their literary style, theology, and anti-gentile spirit.”
(WIS, 77) These additions are not included in the Hebrew Bible. Although the Book of
Esther is left unchanged and only additions are made, Esther’s character differs greatly,
as does Mordecai’s (WIS, 77 and WBC, 126). Among other changes, Esther is portrayed
as a stereotypically weak woman who does what men tell her. Mordecai has a much more
central role in the story. The Additions to Esther include a lengthened telling of Esther’s
unsummoned approach to the King, where Esther becomes weak and even faints (WIS,
78). Religion is also made a part of the story. Esther and Mordecai pray, Esther follows
holiday and dietary customs as much as possible and regrets the times when she can not,
and G-d is mentioned over 50 times. (WBC, 126 and WIS, 77) This shows that in the
Apocrypha, G-d is the hero of the story, not Esther, a mere human. (WIS, 78)
85
�The lack of G-d and religion in the Book of Esther led Jews and Christians alike
to question Esther’s place in the canon. “Esther did not achieve undisputed canonical
status in Judaism until after the third century C.E. The Western church accepted the book
as canonical in the fourth century C.E., while the Eastern church did not accept it until
the eighth century.” (WBC, 125) The Book of Esther was almost not included in either
tradition’s canon because of the lack of the presence of G-d, and was eventually included
only because of its connection with Purim, and maybe then only because of popular
pressure (WIS, 76 and WBC, 126).2
Another problem that arises with the Book of Esther is its historical accuracy.
There are many parts of Esther that are grounded by other historical documents. The
literary form of Esther follows the general form for historical books in the Bible (IDB II,
151). “It is now generally accepted that Ahasuerus (‘Ahashwerosh) is the Hebrew
rendering of the Persian Khshayarsha, a name more familiar in its Greek form, Xerxes.”
(IDB II, 151) Xerxes did rule over Persia from 485-465 B.C.E. (WIS, 75) There is
archaeological evidence that “there was a Persian official named Marduka (Mordecai) in
Susa at the end of the reign of Darius I or the beginning of the reign of Xerxes.” (IDB II,
151) In addition, many customs referred to were real Persian customs (IDB II, 151).
Unfortunately, the historical accuracies stop there and the inaccuracies take
over. First of all, Xerxes married Amestris, not Vashti or Esther. At the time of Xerxes’
rule, the Persian empire had only 30 provinces, not the 127 provinces mentioned in
Esther 1:1. (The Writings, 243) Lastly, “if Mordecai was among those who went into
exile in 597 B.C. (2:6), he must have been at least 122 years old when he became prime
minister in the twelfth year of Xerxes.” (IDB II, 151) There are also many events in the
Book of Esther that, although they cannot be proven wrong, were very unlikely.
“Whether the author invented a wholly fictional account together with the festival of
Purim which it purports to explain, whether he was putting in Jewish form a Babylonian
festival which originated in mythical adventures of the divine cousins Marduk and Ishtar,
or whether he based his romance on some incident involving the historical Xerxes and
Mardua, …is difficult to tell. In any case, it seems probable that the book of Esther is
primarily romance, not history.” (IDB II, 151)
Every book in the Bible has a purpose, and the purpose of the Book of Esther is
seemingly obvious: it provides the historical basis for Purim (ABD II, 634 and IDB II,
150). Although this certainly seems to be the case, and may very well be, some scholars
believe that the Book of Esther was not originally written to explain the origins of Purim;
rather that after the story was written, a connection with the Hebrew word for lots, pur,
2
Please note that the rest of this paper will only discuss the Book of Esther as it is presented in the
Hebrew Bible.
86
�was made with the name for the holiday, purim. (WBC, 125) These scholars believe that
“the purpose of the Book of Esther is to demonstrate to Jews living in exile that it is
possible to achieve success in the country of one’s exile without giving up one’s identity
as a Jew.” (WIS, 76) The Book of Esther gives exiled Jews a role model and a code of
conduct “that will enable them to attain security and to lead happy and productive lives.”
(WBC, 129)
The Book of Esther also “gives encouragement to the exiled Jews that they,
although powerless in the Persian Empire, can, by their resourcefulness and talents, not
only survive but prosper, as does Esther.” (WIS, 75) “Esther, precisely because she was a
woman and therefore basically powerless within Persian society, was the paradigm of the
Diaspora Jew, who was also powerless in Persian society.” Because of Esther’s success,
she served as a role model for every Diaspora Jew. (WBC, 126)
There is much that is interesting about Esther’s name itself. First of all, as is
common with characters in postexilic literature, Esther has two names: Esther and
Hadassah (WIS, 86). The name Esther “is used when she is given her official Persian title
as queen; [whereas the name] Hadassah (Hebrew “Myrtle”)…seems to be regarded as her
Jewish name.” (IDB II, 149) Hadassah was also most likely her birth name (EJ VI, 906).
The interesting thing about the name “Esther” is that there are three possible meanings,
and it is almost impossible to discern which one to use. The two most common origins
for her name are the Akkadian Ishtar, the Babylonian goddess of Love, and the Persian
stara, meaning star. (ABD II, 633 also IDB II, 149 and WIS, 74) The third less common
but still possible origin for Esther’s name is that it comes from the Median astra, which
means myrtle – a name that much better fits the undisputed meaning of her Hebrew
name. (ABD II, 633)
If using the goddess Ishtar as the origin of Esther’s name, it is very interesting to
reexamine the Book of Esther in light of local mythology. Besides Esther’s name being
connected to Ishtar, Mordecai’s name is similar to the Babylonian god Marduk. Haman
represents the Elamite god Humman, and Vashti’s name is connected with the Elamite
goddess Mashti. In this context, the Book of Esther is not a Jewish story at all; rather it
“represents the triumph of the Babylonian god Marduk over the ancient deities of the
Elamites.” (The Writings, 243) Furthermore, some scholars connect Purim with the
Persian festival Farvadigan, which celebrates the dead. Even though the Book of Esther
may simply be a variation on a Pagan tale, that does not mean that it should not be a part
of the Jewish and Christian canons. The form, characters, and plot make the Book of
Esther a Jewish story. (The Writings, 243)
Esther’s personality is also very interesting. In the beginning of the book, we see
Esther as beautiful and obedient, a woman who simply does what others tell her to. (WIS,
75 and LGB, 337) Although youth and beauty make her queen, wits and courage help her
87
�save her people as Esther develops in many ways through the course of the story. (WIS,
75) At first, it seems that Mordecai is the one in control, but when Mordecai asks Esther
to go to the King, Esther makes a shift in character from obeying men to controlling the
events of her life and the lives of her people. She stops reacting and starts acting. (WBC,
128) However, it is not until Esther proclaims the words, “if I am to perish, I shall
perish!” (Esth. 4:16) that Esther makes the total transition from a pliant, obedient young
girl to a woman who is willing to take action to help others and accept whatever
consequences may follow. (WIS, 76)
Esther has become “a symbol of heroic resistance against persecution.” (IDB II,
149) She is a role model for Diaspora Jews and for anyone who is oppressed or
powerless. Esther’s actions encourage us to examine the potential purpose of our lives
(LGB, 341), and to take an active part in our lives and the lives of those close to us – two
principles we should all try to follow.
Works Cited
Crawford, Sidnie White, “Hadassah,” Carol Meyers, ed., Women in Scripture: A
Dictionary of Named and Unnamed Women in the Hebrew Bible, the
Apocryphal/Deuterocanonical Books, and the New Testament, Houghton Mifflin
Company, Boston, 2000, 86.
Editorial Staff of the Encyclopedia Judaica, “Esther (Biblical Figure),” Encyclopedia
Judaica, Volume VI, 906-907 Keter Publishing House, Jerusalem, 1971, 906-907.
Harvey, D. “The Book of Esther,” George Arthur Buttrick, ed., The Interpreter’s
Dictionary of the Bible, Volume II, Abingdon Press, Nashville,1962, 149-151.
Henshaw, T., “Esther,” The Writings, George Allen & Unwin LTD, London, 1963, 241254.
Moore, Carey A., “Additions to Esther” and “The Book of Esther,” David Noel
Freedman, ed., The Anchor Bible Dictionary, Volume II, Doubleday, New York, 1992,
626-643.
Moore, Carey A., “Esther,” Carol Meyers, ed., Women in Scripture: A Dictionary of
Named and Unnamed Women in the Hebrew Bible, the Apocryphal/Deuterocanonical
Books, and the New Testament, Houghton Mifflin Company, Boston, 2000, 74-78.
Sasson, Jack M., “Esther,” Robert Alter and Frank Kermode, eds., The Literary Guide to
the Bible, The Belknap Press of Harvard University Press, Cambridge, 1987, 335-342.
88
�Saunders, E. W., “Esther (Apocryphal).” George Arthur Buttrick, ed., The Interpreter’s
Dictionary of the Bible, Volume II, Abingdon Press, Nashville,1962, 151-152.
White, Sidnie Ann, “Esther,” Carol A. Newson and Sharon H. Ringe, eds., The Women’s
Bible Commentary, Westminster/John Knox Press, Louisville, 1992, 124-129.
89
�Same-Sex Domestic Violence
Shara Zaslow (Sociology) 1
Domestic violence is a problem that exists in modern society, and has been
increasing over the years. Traditionally, when one thinks of domestic violence, a man
beating a woman comes to mind. This isn’t necessarily just a false stereotype; in
heterosexual couples, 95% of the time, the man is the abuser and the woman is the
victim. A large group of people, however, is left out of the typical domestic violence
scenario. The gay/lesbian community is encountering the same problems with domestic
violence just as frequently as heterosexual couples do. In fact, according to the National
Coalition Against Domestic Violence, anywhere between 25% and 33% of same-sex
couples encounter abuse sometime during their relationship. Same-sex domestic violence
is an issue that is often completely ignored by society as a whole. The reasons for such
prevalent abuse in homosexual relationships vary on a case-by-case basis: internalized
homophobia and heterosexist beliefs are two widely acknowledged causes. Another
interesting cause is self-hatred in the gay community. It is this self-hatred and
internalized homophobia that is at the root of same-sex domestic violence. Often overlooked by the government as well as society, violence in same-sex relationships occurs
just as often as it does in heterosexual relationships. It is a problem that needs to be
addressed and stopped. (Peterman, Dixon 40)
Domestic violence occurs in a variety of different ways. It can be defined as “A
pattern of violent and coercive behaviors whereby one attempts to control the thoughts,
beliefs, or behaviors of an intimate partner or to punish the partner for resisting one’s
control.” (Ashcraft 2000; Jacobson & Gottman, 1998, Lobel, 1986. Qtd. In Peterman,
Dixon 40) Basically, domestic violence is any behavior that can hurt or harm another
person in any way. There are different types of abuse that can classify as domestic
violence. Physical abuse is the type of violence that is the most visible. This can be
considered any physical action committed by one person directed towards another;
examples include hitting, punching, kicking, throwing objects, or pushing another person,
although there are many more examples than just those listed. Emotional, or verbal
abuse, is another common form of violence. This consists of, but is not limited to, namecalling, criticism, humiliation, manipulation, and internalized homophobia, which will be
1
Research performed under the direction of Dr. Jean Halley (Sociology).
90
�explained in greater detail later on. Financial dependency is often over-looked as a form
of abuse, but controlling one’s partner financially classifies as abuse. Controlling
how/when a partner spends his/her money, keeping him/her from getting a job, and
expecting financial support are just a few ways that financial dependency could be
considered abusive. Sexual abuse is also fairly common, and consists of one forcing
his/her partner to perform unwanted sexual acts, withholding affection, criticizing sexual
performance, and having affairs or accusing one’s partner of having affairs.
Minimizing/denying is another form of abuse which is also often over-looked. Making
an abusive situation out to be something insignificant or claiming that it was mutual can
make an abusive situation even worse. Intimidation is a big factor in same-sex domestic
violence, and is also another form of abuse. Making one’s partner feel threatened and
fear for his/her life is a common tactic used by abusers to keep their partners quiet about
the abuse. It also forces the victim to stay with their abusive partner, out of fear of what
will happen if they do not. (Peterman, Dixon 41)
It seems that the main reasoning behind same-sex domestic violence is the
internalized homophobia and intense self-hatred that abuser feels. These feelings of
anger, bitterness, and loathing can spark many different secondary emotions and means
of coping in different people. The methods described above are some of the many
manifestations of this.
Many fail to distinguish between the severity of the different types of abuse, and
refuse to recognize that same-sex domestic violence incidents differ on a case-by-case
basis. However, same-sex domestic violence cases can usually be classified into one of
four major patterns. Common couple violence is abuse that is typically mutual. In cases
such as these, there is no designated victim or abuser; the couples are equal, but the
relationship is obviously not healthy. Common couple violence cases tend to remain
relatively stable over time, and rarely escalate into a more severe form of abuse. Intimate
terrorism occurs when one partner consistently tries to exert dominance over the other.
Violence like this can often escalate to something quite severe. Violent resistance can be
better-described as self-defense, and mutual violent control can be defined as a battle for
control in the relationship that results in both partners vying for dominance in ways that
resemble an intimate terrorism pattern. (Crosbie-Burnett, Mourot, D. Potoczniak, M.
Potoczniak 252-253)
An abusive partner is not always something that one can spot right away. In
fact, most victims fail to realize that they are being abused until a tragic, severe event
occurs. There are, however, warning signs for a potential victim and those around them
to look for if a partner is suspected of being an abuser. Many abusers have a past history
of being abusive, although they may claim that their previous partner provoked it.
Jealousy and hypersensitivity are common emotions in abusers; they react strongly to
91
�everything, even minor incidents. Abusers often have high and unrealistic expectations
of their partners. Often times, the phrase “if you love me, then…” is used, making the
victim feel guilty for not complying with whatever unreasonable request is asked of them.
Blaming a partner for problems in the relationship, or violent feelings that one has is
another sign of abuse. Often times, this can turn into a verbally or even physically
abusive situation very quickly. Using any type of physical force on a partner, threatening
violence, or breaking an object is also a signal that the relationship could, potentially,
turn abusive quickly. Sudden mood changes and controlling behavior can spark a lot of
arguments. Physical abuse can also result from controlling behavior, and often times, a
victim will constantly feel like they are being dominated. Sex is also used as a tool of
abuse. Violent partners will force their significant others to have sex, even when he/she
is sick or tired, and they use sex as a make-up tool; if they were abusive, they will
apologize with sex. Rigid gender roles go hand-in-hand with controlling behavior. The
victim is constantly put in the submissive, “female” position, where he/she is made to feel
inferior, irresponsible, and a lesser-quality person overall. Another sign that is not as
obvious as others is a fast-paced relationship. Relationships that get very involved in a
short period of time are especially prone to becoming violent, because the victim is made
to believe that there is an intense, passionate love, and if this is true, then their partner
would not be abusive. While these are only potential warning signs, there are many more
ways to tell that one is being abused. However, it usually takes an outsider to recognize
the abuse. (“Gay, Lesbian, Bisexual and Transgender Domestic Violence”)
Because same-sex domestic violence is severely ignored and over-looked in
modern society, certain false myths and beliefs exist surrounding it. One of the biggest
and most untrue statements is that only straight women are victims of domestic violence.
Obviously, this is not true. Generally, in heterosexual relationships, the woman is the
victim. In homosexual relationships however, “An annual study of over 2,000 gay men
reflects that 1 in 4 gay men have experienced domestic violence. These numbers are
consistent with research done around battering among opposite-sex couples, and lesbian
couples.” (“Gay Men’s Domestic Violence Project”) Another common and largely untrue
belief about same-sex domestic violence is that it’s “not as violent or serious because
both individuals are of the same gender.” (Crosbie-Burnett, Mourot, D. Potoczniak, M.
Potoczniak 253) Especially between men, abuse is seen as a “fair fight” simply because
both parties are men. An even more ridiculous myth is that the abuser is always the
partner who is physically bigger and stronger. Size is never an accurate indicator of who
the abuser is. Emotions such as anger and resentment can be much more powerful than
one’s physical stature. Some also believe that domestic violence is a form of S&M
(sadomasochism) and that the victims actually get pleasure out of it. This myth is much
more prevalent in gay male relationships. While there is a fine line between S&M and
92
�abuse, it is a line that is made very clear between partners. Nobody likes to be abused,
even if they do practice S&M. In domestic violence cases as a whole (both heterosexual
and homosexual), it is often believed that the victim was “asking” to abused, because of a
fight over something trivial, or a simple disagreement. Just as people don’t like to be
abused, they never ask for it either. (“Gay Men’s Domestic Violence Project”) Because
of strict societal gender roles, heterosexism, and internalized homophobia, these myths
exist and create false pretenses about same-sex domestic violence. Gender roles indicate
that there needs to be the “man” who is dominant, and the “woman”, who is submissive,
in every relationship. These strict societal gender roles make it incapable to believe that a
man could be the victim of abuse, or that another woman is capable of being the abuser.
Heterosexism is the belief that heterosexuality is superior to homosexuality; this ties in
directly with internalized homophobia. Many members of the gay community are
resentful towards the discrimination they receive for being gay. This anger and
frustration comes out in their personal lives, and they often take it out on their partner
who is a manifestation of everything that society looks down on. (Crosbie-Burnett,
Mourot, D. Potoczniak, M. Potoczniak 254-255)
“Because gay male relationships necessarily involve two men, there may
actually be a heightened level of dominance and control observed among these couples.”
(Landolt, Dutton 338) The traditional gender role for men is to be “dominant”. Men are
supposed to be virtually emotionless; the only feelings they can express are anger and
aggression. They are the ones in control, achieving success, and they are supposed to be
the strength and support system in any relationship. When two men are involved in an
intimate relationship, these basic male gender roles are put to the test. Naturally, one
would assume that men would “butt heads”; it would be safe to say that there would be a
constant battle for dominance in homosexual relationships between two men. (Landolt
Dutton, 335-340) Domestic violence is a lot more severe than a simple fight, as statistics
would indicate. In a study done on 2881 gay men living in 4 cities between the years of
1996 and 1998, anywhere between 12% and 36% reported some type of abuse in their
relationships. Of those that reported violence, 34% experienced verbal battering, 22%
were subjected to physical battering, and 5% reported sexual violence. Gay male abuse
takes place primarily with men under 40. The study concluded that the numbers of men
who were abused in some way, especially in urban cities, was higher than numbers of
heterosexual men and possibly even women. It is obvious that action must be taken to
stop this. (Greenwood, Reif, Huang, Pollack 1964) Physical abuse between men is quite
serious: “One study found 79% of gay victims had suffered some physical injury, with
60% reporting bruises, 23% reporting head injuries and concussions, 13% reporting
forced sex with the intention to infect the victim with HIV, 12% reporting broken bones,
and 10% reporting burns.” (“Domestic Violence in Gay Couples”)
93
�The issue of infecting a partner with HIV/AIDS is an interesting one, since the
only reported occurrences are in the gay male community. Mike Fewel, a director of a
Seattle AIDS support group reported a story about a client of his who was HIV-positive
and being verbally abused and forced to leave his partner’s apartment because his HIV
status had put a damper on their sexual relationship. HIV has been used as an excuse to
abuse one’s partner, and it simply is not one. Fewel explains that he thinks “These were
abusive relationships before HIV was a port of the relationship.” (American Health
Consultants 1) As explained by Patrick Letellier, a researcher with the Family Violence
Project in San Francisco, HIV can be used as a weapon of control. He explains that
abusive partners say such things as “If you don’t do what I say, I won’t let you go to the
doctor. If you get sick, I’m going to be really mad at you.” (“American Health
Consultants”) Letellier also explains that a partner with HIV is more prone to domestic
violence, because he is sick, and that, in turn, would make him more susceptible to
manipulation. A victim with HIV could also find it difficult to leave an abusive
relationship because of the dependency on one’s partner for care. (“American Health
Consultants”)
HIV/AIDS is often stereotyped as a disease that primarily affects homosexuals.
While that is obviously not true anymore, a lot of homophobia still exists surrounding the
issue of men with HIV/AIDS. A partner with a severe internalized homophobia problem
could see a partner with AIDS as a “disgrace” to the community, and could use that as an
excuse or outlet for abuse. Once again, the issue here is not that a partner is sick, it is that
the abuser has a strong sense of self-loathing that he takes out on his sick partner.
HIV/AIDS is merely used as an excuse for the abuser to justify his actions.
When examining abusive relationships, the question as to why the victims stay
often arises. There is no distinct, singular reason as to why a victim would stay, since the
circumstances vary greatly on a case-by-case basis; however, one can attribute such
things as hope for change, co-dependence, naiveté, loneliness, and depression as some of
the many reasons. In a study conducted by J. Michael Cruz, the highest reported reason
for remaining in an abusive relationship was financial dependence. It’s interesting that in
a society where men are the dominant money-makers, some men still feel financially
insecure. Many victims claimed that they were afraid that they wouldn’t be able to pay
the rent on their own. Some younger victims who were putting themselves through
school also depended on their partners for tuition money. The second most frequent
reason victims reported for staying with their partners was newness to the gay lifestyle.
Mark, age 40, reported, “I had just come out, that was primarily it… (and I was)
inexperienced with the gay lifestyle” (Cruz 8). John, age 25, claimed “Inexperience in
other relationships, period” as his main reason for staying. “Not having anything to
compare it to, and not knowing if that was normal.” (Cruz 7) Love was another reason
94
�used by many victims to justify staying in the relationship. Harry, age 32, explained that
“You make excuses for it, or yourself, or ‘It’ll only happen this time,’ and stuff like that.”
(Cruz 8) Many of the men agreed with Rob, age 30, who simply said, “I loved him.”
(Cruz 8) In addition to love, hope that the behavior of the abuser would change was
another frequent reason among victims. Victims convince themselves that the
relationship would get better, and oftentimes they’d blame themselves and think that if
they would change, their partner would change as well. In other cases as well, victims
would focus too heavily on the good parts, often brushing off the bad. Fear of being
alone is also a common reason for staying. Frank, age 41, claims “not wanting to be by
myself” (Cruz 9) As humans, we have a fear of being alone and of isolation. Many
people suffer from fear of abandonment, as James, age 34, says, “Because I had, you
know, deep-rooted issues about abandonment.” (Cruz 9) Obviously, these are just some
of the main reasons discussed by the participants in the study (25 gay/bisexual men
between the ages of 23 and 43). As previously stated, abusive relationships vary greatly
from person to person, so it’s impossible to tell every single reason why one would stay
with an abusive partner (Cruz 1-9).
While the majority of material presented was focused on gay men, battering and
abuse in lesbian relationships is just as common. “About half of the 3,327 domestic
violence cases reported by gays and lesbians in 12 U.S. cities last year involved lesbian
and bisexual women, according to a new report by the National Coalition of AntiViolence Programs” (Mantilla 6). Examining lesbian relationships is an interesting
study, because of the traditional gender-based theories that exist for women in abusive
relationships. Most traditional views of domestic violence see the woman as a victim of
misogyny and male-dominance. Obviously, in lesbian relationships, this is not the case.
These gender-based views “create a situation where lesbian abuse is either seen as
impossible or the lesbian perpetrator comes to be seen as male-like in order for the
analysis to fit” (Ristock 331). According to Mona J. E. Danger’s review of Lori B.
Girshick’s Woman-to-Woman Sexual Violence: Does She Call It Rape, “Violence is not
about gender but about power and control.” (Danger 1084)
Similarly to gay men, many abusive lesbian relationships analyzed in a study
done by Janice L. Ristock can be attributed to naiveté about gay relationships, as nearly
half the women were abused in their first lesbian relationship. Participant # 17, Robyn,
recounts her experience that is similar to many of the women studied.
“It was my first relationship. First long-term relationship. But you know I
was— I was head over heels madly in love and I thought this was the
relationship for life. And it started out really good. This woman was nine years
older than myself. It was verbally abusive to start off with and then became
95
�physically abusive. I quite often had black eyes and she tried—she almost killed
me once. Strangled me and then this went on for three years. I was too young
and insecure about the whole relationship—gay relationships, whatever.
Anybody could have walked all over me.” (Ristock 335)
Often times, an older partner who is more comfortable with being in a gay relationship,
and who is more involved with the community will take advantage of a less experienced,
newly-outed younger partner. This type of abuse does not come as a surprise to many,
considering the bravery required to come out, and the fear and vulnerability that result in
the aftermath of doing so. (Ristock 335)
Also revealed in studies done of gay male abuse is the occurrence of the “’cycle
of violence’… where violence occurs in a predictable cyclical fashion and intensifies
over time. Part of the cycle includes a period of calm which follows an acute battering
episode” (Ristock 335). It is explained that while the power dynamic between a man and
a woman is very clear and defined, due to a man’s social advantages, the control between
two women can fluctuate because they are both on an equal playing field, due to their
equal social status. In lesbian relationships, there is also a much higher chance that the
victim will fight back, whereas in heterosexual relationships, women rarely retaliate
against their husbands/boyfriends. In Ristock’s study, 9% of the women fought back
with the intention of harming their lover, 20% retaliated only as a form of self defense,
and 11% finally had reached a breaking point (a specific battering that pushed them over
the edge) that forced them to fight back. In Ristock’s study, she also mentions a study
done by Marrujo and Kreger in 1996 that explains that, instead of there being only two
defined roles in lesbian relationships, there can be a third which they call the participant.
“A ‘participant’ establishes a pattern of fighting back against her abusive partner with the
intent not just to protect herself (a motive with the assimilable into the pure victim
category) but to retaliate (a motive that should perhaps trouble that category)” (Ristock
336).
Going along with power dynamic previously mentioned, Focus Group #3
touches on the issue of social power in accordance with race, and previous victims of
abuse.
“I think racism is another thing we don’t talk about—the ways white women
might use power over their partner who is a woman of color—there is power and
control there…I’ve noticed in my practice in lesbian relationships where one is
the survivor (of childhood sexual abuse) and the other isn’t. Then often in the
part of her healing, she doesn’t want to be sexual any longer and we’ve got a
partner who wants to be and a survivor who is saying “no”—would that qualify
as sexual abuse? There is a power and control… it could get that way.” (Ristock
337)
96
�It is interesting to examine how race plays a part in domestic violence, because it is a
problem that’s often over-looked. Social power can be very controlling, and that is
evident in heterosexual relationships where the man holds the obvious social power,
which puts the woman at a disadvantage to begin with. With one group being seen as
“superior” by society, it would be easy for the “superior” partner to transfer the social
dominance into intimate relationships. Sexual abuse is another interesting issue to
examine, since the lines between someone being abusive and simply being forceful are
not at all clearly defined. A victim of sexual abuse often has trouble with intimate
situations, and this unwillingness to put forth sexually can result in abuse, due to their
partner’s frustration.
Heterosexism and internalized homophobia are also mentioned as possible
catalysts of domestic violence. As Focus Group #5 so eloquently states,
“Domestic violence assumes marriage, assumes spousal relationships, assumes a
lot things that do not apply to lesbians… so there is a problem with using that
paradigm of domestic violence. The whole issue of heterosexism and
homophobia in the relationship and sort of projecting maleness onto a partner or
projecting issues around an abusive mother onto a partner with same-sex abuse.
So I think those are issues—how those issues play out in the relationships—the
issue of race and class—the power dynamics in the relationships—I think they
are different than they are when I’m working with heterosexuals. But a fist is a
fist. So the other part is entirely the same. Violence is violence and trauma is
trauma.” (Ristock 337)
Another story from a victim facing severe internalized homophobia and self-hatred is
presented in Jenn Christiansen’s article about lesbian battering.
“I look at my lovers and see how our lies mask our hatred of who we are… The
lover of mine who turned all of our lesbian books with the titles facing the wall,
so that no one would know who she really was… The lover who displayed all
the right feminist and lesbian books to impress her more activist sisters… The
lovers who so hate themselves, their own identities, that they could not face the
truths about themselves that loving another woman revealed. And how does this
self-loathing project onto one’s women lovers, onto other lesbians? How much
does our own denial and self-abuse hurt the women we love?” (Christiansen 2)
Internalized homophobia is an issue that is quite prevalent in both gay and lesbian
abusive relationships. Homophobia is hatred or fear of gays and lesbians, and it is a
problem that members of the gay and lesbian community face on a daily basis from those
97
�outside the community. Having to deal with it from people within the community,
especially one’s domestic partner is not only ironic, but sad and frightening. For many
gay and lesbian people first coming out of the closet, there is a period of self-loathing,
and wishing that he/she was heterosexual instead. As with many other things, the time
period of self-loathing can last only a few months, or it is something that can plague an
individual his/her entire life long. When someone who feels this incredible self-hatred,
they are often angry at themselves, and, without even realizing it, they take it out on the
people around them, especially their partner.
Internalized homophobia is the root of the problem in gay and lesbian domestic
violence. It is this hatred that stems the violence and bitterness that an individual holds
against their partner. They take out their anger on their partners in various ways, whether
it is through physical, emotional, or sexual abuse. It seems that self-loathing individuals
will find a “weak” person—someone who’s been abused, someone naïve about gay
relationships, or someone who’s just as self-loathing—and use this weakness to their
advantage, as a means of manipulation and control. The victim, due to these
circumstances that make them inferior and weak in the eyes of their partner, stays for
various reasons that have been mentioned throughout. While this by no means justifies
abusive behavior, it offers an explanation as to why it happens. Once the root of a
problem is discovered, proper steps to end the problem can be taken.
Gay and lesbian domestic violence is a problem that is much more prevalent in
today’s society than anyone would like to admit. It is just as frequent, if not more so,
than heterosexual domestic violence. Through education and exposure to the problem,
the mindset of the abuser can be discovered and the proper steps can be taken to stop this
issue in society. Once we acknowledge that same-sex domestic violence is, in fact, a
huge problem in our society, we can address it and end it.
Works Cited
American Health Consultants Inc., “Domestic Violence Prevalent Among Gay and
Bisexual Men”, AIDS Alert 8. 10 (Oct. 1993): Pgs. 151.
Christiansen, Jenn, “Lesbian Battering”, Off Our Backs 24.1 Pg. 9
Cruz, Michael J., “’Why Doesn’t He Just Leave?’: Gay Male Domestic Violence and the
Reasons Victims Stay”, The Journal of Men’s Studies 11.3 (Spring 2003): Pgs. 309-324.
Danger, Mona J. E., “Woman-to-Woman Sexual Violence: Does She Call It Rape?”,
Journal of Marriage and Family 65.4 (Nov. 2003): Pgs. 1083-1084.
98
�“Domestic Violence in Gay Couples”, 14 November 2004.
<http://www.psychpage.com/gay/library/gay_lesbian_violence/index.html>
“Gay, Lesbian, Bisexual and Transgender Domestic Violence”, 14 November 2004.
<http://www.rainbowdomesticviolence.itgo.com>
“Gay Men’s Domestic Violence Project”, 14 November 2004. <http://www.gmdvp.org>
Greenwood, Gregory L., Reif, Michael V., Huang, Bu and Pollack, Lance M., “Battering
Victimization Among a Probability-Based Sample of Men Who Have Sex With Men”,
American Journal of Public Health 92.12 (Dec. 2002): Pgs. 1969.
Landlot, Monica A. and Dutton, Donald G., “Power and Personality: An Analysis of Gay
Male Intimate Abuse”, Sex Roles 37.5/6 (Sept. 1997): Pgs. 335-359.
Mantilla, Karla., “Lesbians Affected by Domestic Violence”, Off Our Backs 28.10 (Nov.
1998): Pg. 6.
Petermen, Linda M. and Dixon, Charlotte G., “Domestic Violence Between Same-Sex
Partners: Implications for Counseling”, Journal of Counseling and Development 81.1
(Winter 2003): Pgs. 40-47.
Potoczniak, Michael J., Jon Etienne Mourot, Margaret Crosbie-Burnett, Danile J
Potoczniak. “Legal and Psychological Perspectives on Same-Sex Domestic Violence: A
Multisystemic Approach”, Journal of Family Psychology 17.2 (2003): Pgs. 252-259.
99
�
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Volume 3, Number 2
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Section I: The Sciences -- 2 Design and optimization of an amplification protocol for detecting GFP gene expression in E. coli by RT-PCR / Megan Hogan -- Section II: The Social Sciences -- 16 The Implications of Priming on the Attitudes of College Students Experiencing Theatrical AIDS Education Therapy: How Therapeutic Is It? / Carolyn Tudisco -- 31 Labor Market, Earnings and Black-White Health Benefit Coverage / Lauren McMahon and Jonathan Ohn -- 33 Psychiatric Hospitalization: Is it Treatment or Torture? / Melissa D. Travostino -- 40 How Name Discrimination Can Occur in Resume Assessment / Kathariya Pungdumri -- Section III: Critical Essays -- 62 The Destruction of Hiroshima: The Decision to Drop the Bomb / Alla Bronskaya -- 69 Stem Cell Research: Its Possibilities, Potential Hazards and Obstacles / Lauren Maltese -- 80 Hagar / Stephanie Williams -- 84 Esther / Rachel Dudley -- 90 Same-Sex Domestic Violence / Shara Zaslow
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Wagner College Forum for
Undergraduate Research
Fall 2005
Volume IV, Number 1
Wagner College Press
Staten Island, New York City
��EDITOR’S INTRODUCTION
The diversity of scholarship at Wagner College is incredible. Young minds are exploring
topics ranging from MRI contrast agents to women in contemporary French cinema.
Interested in crystal growth, QT syndrome in athletes or female subversion of a
patriarchal society? A quick glance at the table of contents will reveal a plethora of
quality research. Be sure not to miss a first for the journal--a critical analysis of Oscar
Wilde’s The Complete Works of Oscar Wilde in the form of a dialogue between Rush
Limbaugh and Al Franken.
Read on and enjoy!
Gregory Falabella and Richard Brower, Editors
��Section I: Eastern Colleges Science Conference1
Abstracts
2 Synthesis and In Vitro Analysis of Iron(III)-Based MRI Contrast Agents
Janine Borgaro and Dr. Nicholas Richardson
2
A Statistical Analysis of Basketball Shooting
Joy Gallagher and Dr. Otto Raths
2 Hydrothermal Crystal Growth of ZnO Using Ethylenediamine-based
Ligands
Yuliana Toderika and Dr. Maria C. Gelabert
3 Geographic Distribution of Drosophila Melanogaster
Maura Melvin, Janette Lebron and Dr. A. Moorthy
3
Estimating Coliform Levels in Lake Water:A Comparison of Methods
Leann Matta and Dr. Roy Mosher
3 A Study of Capacitor Charge Storage
Brittany Corn and Dr. Otto Raths
4 The Social Impact of Beauty
Mark S. Reeves
4 Survival of Adult Zebrafish Brain Tissue in Organotypic Culture: A
Morphological Study
Frank Garittano, Christopher Corbo, Dr. Geoff Church, Prof. Linda Raths and Dr.
Zoltan Fulop
5 Linear and Non-Linear Oscillation Studies Using a Simple Pendulum
Kaitlin Buffington, Evan Webber-Junot and Dr. Otto Raths
5 Alcohol Induced Tissue Injury in Adult Zebrafish Brain with Special
Focus on Hormesis
Christopher Corbo, Christopher Cortes, Zoë Bandola, Dave Quiros, Prof. Linda
Raths and Dr. Zoltan Fulop
1
Papers and posters presented at the 59th Eastern Colleges Science Conference held in New
Britain, Ct. on April 8-9, 2005.
�6
The Influence of an Administrator Affecting Eyewitness Identification
Procedures
Nancy Andiloro
6 The Influence of Bias Lineup Instructions on Suspect Identification
Jennifer Wiech and Dr. Amy Eshleman
6 Assessment of Relational and Overt Aggression in Elementary School
Children
Gina Sportiello (Psychology) and Dr. Amy Eshleman
7 Morphological Study of the Periventricular Gray Zone of the Optic
Tectum in Adult Zebrafish Brain
Christopher Corbo, Christopher Cortes, Zoë Bandola, Prof. Linda Raths and
Zoltan Fulop
7
Dr.
The Effect of UVA and UVB Ultraviolet Radiation on UV Resistant
and Sensitive Strains of Yeast
Justin DiSanto, Megan Melvin, Maura Melvin and Dr. Ammini S. Moorthy
8 Effects of Various Concentrations of Alcohol on the Grooming
Behavior in Drosophila Elanogaster
Kim Farrell and Dr. Ammini S. Moorthy
8 Microscopic Imaging of the Adult Zebrafish Brain
Denise Wong, Christopher Corbo, Christopher Cortes, Zoë Bandola ,
Gary Greenfeder, Dr .Andrew Needle and Dr. Zoltan Fulop
9 Effects of Alcohol on Shoaling and Species Recognition in Zebrafish
(Danio Rerio)
Chris Powell, Kristin Risch and Dr. Brian Palestis
9 A Discussion of the Flaws and Ineffectiveness of State Mandatory
Minimum Sentencing Guidelines
Gerard Mangieri
�Section II: The Natural Sciences
Full Length Papers
12 Geographic Differences in Allelic Frequencies for ADH+ and ADHAllozymes in Drosophila melanogaster
Maura Melvin
26 Hydrothermal Crystal Growth of ZnO Using Ethylenediamine-based
Ligands
Yuliana Toderika
Section III: The Social Sciences
Full Length Papers
42 Prolonged QT Syndrome in College Athletes
Roxanne Febick
49 Relational Aggression: Finding Ways to Deal with This Negative
Female Behavior
Gina Sportiello
67 The Effect of Objective Self-Awareness on the Ability to Deceive
Gareth Shumack
Section IV: Critical Essays
Full Length Papers
82 Gender as Performance in Todo sobre mi madre
Lindsay Beren
87 Flâneuses et Vagabondes: Women on the Run in Contemporary
French Cinema
Jake Brown
�94 Growing Up Indian American
Naveena David
103 Female Subversion of a Patriarchal Society: Isabel Allende’s The
House of Spirits
Jessica Friswell
112 The Limbaugh and the Lily On Lies, Liars, and Oscar Wilde
Jacob Meranda
�Section I: Eastern Colleges
Science Conference
�Synthesis and In Vitro Analysis of
Iron(III)-Based MRI Contrast Agents
Janine Borgaro (Chemistry) and Dr. Nicholas Richardson (Chemistry)
The detection of tumors by traditional MRI contrast agents has been inefficient due to
rapid excretion of the contrast agents from the blood. By binding a contrast agent to a
macromolecule such as human serum albumin (HSA), it allows the contrast agent to stay
in the blood for a longer period of time. Also, binding contrast agents to a macromolecule
may decrease the spin-lattice relaxation times due to the Proton Relaxation Effect. This
allows for a distinction between vascularized and non-vascularized tissue and enhances
the detection of tumors. A series of ligands designed to bind to HSA were synthesized
and coordinated to iron(III). A 20-MHz minispec was used to measure the relaxation
rates of the complexes in water and HSA solutions.
A Statistical Analysis of Basketball Shooting
Joy Gallagher (Chemistry) and Dr. Otto Raths (Physics)
In recent times there has been great interest in the physics of sports. This paper presents a
statistical study of basketball shooting as a function of range (distance to the basket) and
angle (position on the court).
Hydrothermal Crystal Growth of ZnO
Using Ethylenediamine-based Ligands
Yuliana Toderika (Chemistry) and Dr. Maria C. Gelabert (Chemistry)
The chemistry of aqueous zinc solutions was explored to see the effect on size and
morphology of zinc oxide crystals. Multidentate ligands such as tetraethylenepentamine
pentahydrochloride (tetren), ethylenediamine-N, N’- diacetic acid and
pentaethylenehexamine were investigated separately in the growth of ZnO crystals. In
this study, complexing agents and pH were varied in the precipitation of ZnO from basic
aqueous solutions. Autoclaves were used for synthesis at 200°C and around 15 atm.
Optical microscopy on the resulting products revealed crystals with a needle habit for all
ligands and plates for specific ligands in specific pH. The overall variation in size and
morphology may be explained to some degree by considering the coordinating nature of
the ligands and their polarity.
2
�Geographic Distribution of Drosophila Melanogaster
Maura Melvin (Biology), Janette Lebron (Biology) and Dr. A. Moorthy (Biology)
Drosophila melanogaster has the ability to detoxify alcohol by an enzyme called alcohol
dehydrogenase (ADH). ADH+ flies have this gene. ADH- flies cannot produce an active
ADH enzyme and therefore experience the toxic effects of alcohol. An allozyme is one of
several forms of an enzyme coded for by different alleles at a particular locus.
Electrophoresis allows separation of proteins, the products of genes, based on charge and
other factors. The fast and slow alleles of ADH have a worldwide distribution in
Drosophila melanogaster. There is a high frequency of fast alleles in higher latitudes and
a high frequency of slow alleles in lower latitudes. Allelic frequencies of the ADH fast
and slow allele in different locations has been studied.
Estimating Coliform Levels in Lake Water:
A Comparison of Methods
Leann Matta (Microbiology) and Dr. Roy Mosher (Biology)
Levels of coliforms and fecal coliforms in Silver Lake Reservoir, Staten lsland, NY were
monitored over a five-month period. A ten-tube MPN (most probable number) procedure
was the primary method used to estimate bacterial numbers. The presence of coliforms
and fecal coliforms was also assessed using a chromogenic/fluorogenic assay and a PCR
(polymerase chain reaction)-based method. Preliminary results indicate that fecal
coliform levels are correlated with the ambient temperature and/or the relative numbers
of waterfowl present.
A Study of Capacitor Charge Storage
Brittany Corn (Physics) and Dr. Otto Raths (Physics)
This paper presents data on the charging, discharging, and leakage of a large (7000
microfarads) capacitor. Models of charge storage were formulated and will be presented.
Historically, fluctuations in charge storage of a capacitor were studied by Albert Einstein
in 1907.
3
�The Social Impact of Beauty1
Mark S. Reeves2 (Psychology)
In today's society, much importance is placed on being beautiful and many are willing to
spend the money to have cosmetic surgery. The current research sought to expand the
existing literature on physical attractiveness and the extent to which our judgments on
others are affected by an individual's beauty. In an attempt to empirically show this
phenomenon, participants were asked to rate the music of a female singer after being
presented with her photograph. Participants were randomly assigned to an "attractive"
condition or "unattractive" condition in which the photograph of the woman changed
respectively. Participants assigned to the control condition were asked to rate the music
without a photograph. Results are presented with a psycho-social approach to the
importance of "beautiful".
Survival of Adult Zebrafish Brain Tissue in
Organotypic Culture: A Morphological Study
Frank Garritano (Biopsychology), Christopher Corbo (Biology),
Dr. Geoff Church (Biology), Prof. Linda Raths (Biology) and Dr. Zoltan Fulop (Biology)
An organotypic culture technique was adapted to study whether adult zebrafish brain
slices could survive long enough to serve as an experimental model to investigate direct
cellular effects of alcohol. Although massive degeneration of the neuronal tissue begins
as soon as 48 hours in cultivation some neurons and glial cells are able to survive for a
longer period of time, up until at least 14 days. Morphological signs of demyelinization
and other inflammatory processes could be detected in all investigated stages with the
appearance of considerable number of mast cells, microphages (neutrophiles) and
macrophages (basophiles). It was found that macro and micro neurons have different
capacities to survive. It was concluded that such tissue model could serve to study the
effect of alcohol on different, specific cellular events of neuronal tissue degeneration.
Supported by an anonymous donor, this project is part of a larger study that investigates
the hormetic effect of ethyl alcohol on the zebrafish brain. There is a renewed interest in
the scientific community in studying hormesis, a phenomenon that deals with the
beneficial effects of toxins administered in extremely low concentrations.
1
2
Recipient of Outstanding Platform Presentation in Psychology or Education Award
Research performed under the direction of Dr. Amy Eshleman (Psychology)
4
�Linear and Non-Linear Oscillation
Studies Using a Simple Pendulum
Kaitlin Buffington (Physics), Evan Webber-Junot (Physics) and Dr. Otto Raths (Physics)
Statistical data for large and small oscillations of a simple pendulum were used in
formulating models of pendulum oscillation. Additionally measurement of the
acceleration due to gravity will be discussed.
Alcohol Induced Tissue Injury in Adult Zebrafish
Brain with Special Focus on Hormesis
Christopher Corbo (Biology), Christopher Cortes (Biology), Zoë Bandola (Biology), Dave
Quiros (Microbiology), Prof. Linda Raths (Biology) and Dr. Zoltan Fulop (Biology)
There is a renewed interest in the scientific community in studying hormesis, a
phenomenon of different effects of the same toxic agent depending on its concentration:
in a very low concentration, toxic agents actually may have some beneficial effects. Ethyl
alcohol (ETOH), a toxicant, has been known to affect cell functions such as cellular
metabolic activity, cell division, growth, and differentiation. In one hand, ETOH can
cause cell death while on the other hand it can increase cell proliferation depending on its
concentration. Cell death may occur by either of two mechanisms: apoptosis or necrosis.
Necrosis, the first type of cell death to be recognized, is an uncontrolled degenerative
phenomenon invariably caused by noxious stimuli and is the result of irreversible failure
of membrane function. Apoptosis, on the other hand, is a death process, which involves a
series of well-organized events that require active cell participation. Alcohol is known to
cause either form of cell death. This light and electronmicroscopic study of adult
zebrafish brain attempts to differentiate between apoptotic and necrotic cell death forms
after exposure to lethal and lethal-50 doses of ETOH. Supported by an anonymous donor,
this project is part of a larger study that investigates the hormetic effect of ethyl alcohol
on the zebrafish brain.
5
�The Influence of an Administrator Affecting
Eyewitness Identification Procedures
Nancy Andiloro3 (Psychology)
Human memory is incredibly malleable – memories can become distorted over time,
through retelling, or from the influence of external sources. Eyewitness memory may be
influenced by external sources such as the media and police questioning, making an
eyewitness’s identification of a perpetrator unreliable. After watching a video portraying
a crime, participants were randomly assigned to one of four conditions to make an
identification through a lineup: isolation, experimenter presence, experimenter presence +
influence, experimenter presence + influence + a demand to view the lineup for a second
time. Preliminary analyses suggest that isolation might produce the most accurate
responses. Changes in responses were also made in the wrong direction in the 3rd and 4th
conditions.
The Influence of Bias Lineup
Instructions on Suspect Identification
Jennifer Wiech (Psychology) and Dr. Amy Eshleman (Psychology)
Identifying the perpetrator in a lineup is a common way of charging a suspect. However,
eyewitness memory is often flawed and easily manipulated. This study explores how the
administration of lineup instructions can influence the witness' decision. A video clearly
depicting a theft was shown, and the participants were asked to identify the thief from a
lineup of photographs, presented sequentially. Participants in the biased instruction
condition were told that the thief was definitely present in the lineup, and those in the
control group were told that the thief might or might not be present. The perpetrator was
absent from the lineup in both conditions. The majority of participants in the biased
condition made a false accusation.
Assessment of Relational and Overt
Aggression in Elementary School Children
Gina Sportiello (Psychology) and Dr. Amy Eshleman (Psychology)
Relational aggression (covert aggression common among girls) has long been in
existence, yet empirical work has been conducted only fairly recently. The present study
3
Research performed under the direction of Dr. Amy Eshleman (Psychology)
6
�involves fifth-grade students. The children are interviewed individually by a researcher
regarding the prevalence and personal importance of instances of relational and overt
aggression. Aggression-related issues in the interview include physical and mental abuse
amongst classmates, gossip, social exclusion, and chronic bullying. The study's focus is
to assess aggression in a school setting. Results will inform the creation of interventions
and curriculum to address this behavior.
Morphological Study of the Periventricular Gray
Zone of the Optic Tectum in Adult Zebrafish Brain
Christopher Corbo (Biology), Christopher Cortes (Biology), Zoë Bandola (Biology),
Prof. Linda Raths (Biology) and Dr. Zoltan Fulop (Biology)
Liquor-contact neurons are believed to represent a specific, evolutionarily early form of
neurons of the vertebral brain whose function may depend on their close proximity to the
cerebrospinal fluid. These neuronal cells are often referred to as protoneurons and may
represent neuronal population known as neuronal stem cells. In this work, we present
light and electron microscopic morphological analysis of the periventricular gray zone of
the optic tectum in the adult zebrafish brain. A special focus is given to the liquor-contact
neurons and their surroundings. We pay particular attention to the ultra structure of the
ependymal cells, as the possible path of the CSF flow from the tectal ventricle, as well as
to glial satellites to these neurons. Supported by an anonymous donor, this project is part
of a larger study that investigates the hormetic effect of ethyl alcohol on the zebrafish
brain. There is a renewed interest in the scientific community in studying hormesis, a
phenomenon that deals with the beneficial effects of toxins administered in extremely
low concentrations. This work provides the needed background information about
specific regions of the zebrafish brain that may be the targets to the effects of ethyl
alcohol.
The Effect of UVA and UVB Ultraviolet Radiation
on UV Resistant and Sensitive Strains of Yeast
Justin DiSanto (Biology), Megan Melvin (Biology), Maura Melvin (Biology)
and Dr. Ammini S. Moorthy (Biology)
Different types of UV light have different damaging effects on cells and their DNA, some
cells have mechanisms in place to repair DNA damaged by UV light. Two strains of
yeast one with repair mechanisms and one without where tested to compare the effects of
two types of UV light and the effectiveness of the repair mechanisms for DNA. Two
7
�sunscreens were also tested to investigate the effectiveness of sunscreens at protecting
cells from UV light. We hypothesized that UVA UV light was less damaging than UVB
UV light, we also hypothesized that the mechanisms for DNA repair in resistant yeast
strains were highly effective in maintaining cell life and that increased SPF sunscreens do
assist in offering additional protection for cells from Ultra Violet radiation. Our results
found that increased SPF does offer additional UV protection, Sensitive yeast strains are
less able to survive UV radiation and UVB generally is more harmful to cells.
Effects of Various Concentrations of Alcohol on the
Grooming Behavior in Drosophila Elanogaster
Kim Farrell (Chemistry) and Dr. Ammini S. Moorthy (Biology)
The objective of this experiment was to determine behavioral differences in the grooming
pattern in Drosophila flies that are alcohol dehydrogenase positive and alcohol
dehydrogenase negative. Flies of both kinds were exposed to various concentrations of
alcohol and their grooming behavior was observed over a period of 24 hours. Alcohol
dehydrogenase is an enzyme that allows ethanol to be metabolized into aldoses and
ketones. Alcohol dehydrogenase is essential for preventing inebriation in flies. Grooming
behavior are easy to observe and score and different concentrations of alcohol produces
dramatic differences in grooming behavior in the fly population in ADH + flies and
ADH-minus subgroups. The ADH + flies tolerate alcohol consumption much more
efficiently than the ones that lack the enzyme. We also observed male female differences
in response to alcohol and also different concentrations produced changes in the behavior
response. This study is very interesting from the human perspective in that humans also
show ADH+ and ADH- subgroups and they also respond differently (in behavior) to
different concentrations of alcohol.
Microscopic Imaging of the Adult Zebrafish Brain4
Denise Wong (Art), Christopher Corbo (Biology), Christopher Cortes (Biology),
Zoë Bandola (Biology) , Gary Greenfeder (Nursing) ,
Dr .Andrew Needle (Art) and Dr. Zoltan Fulop (Biology)
During the last two decades, zebrafish has become a widely used laboratory animal for
brain research because it provides a simple yet valuable model to study the vertebral
central nervous system (CNS). As such, it contributes to our understanding of medical
problems related to the human CNS. However, surprisingly little general anatomical
4
Recipient of Outstanding Poster Presentation in Physiology or Microbiology Award
8
�information is available about the adult zebrafish brain. Here we present a set of
microscopic images of the adult zebrafish brain, which later will be used to create a
digital, interactive display that could benefit both students and professionals in zebrafish
neuroscience. The 3D structure is viewed through successive serial 2D sections in three
different planes. The project is ongoing and the display will allow for expansion.
Supported by an anonymous donor, this project is part of a larger study that investigates
the hormetic effect of ethyl alcohol on the zebrafish brain. There is a renewed interest in
the scientific community in studying hormesis, a phenomenon that deals with the
beneficial effects of toxins administered in extremely low concentrations.
Effects of Alcohol on Shoaling and Species
Recognition in Zebrafish (Danio Rerio)
Chris Powell (Biology), Kristin Risch (Biology) and Dr. Brian Palestis (Biology)
Hormesis is the study of how low level toxins can be beneficial. Using zebrafish (Danio
rerio), we studied the effects of alcohol on shoaling and species recognition. At the
highest concentration of ethanol, 1%, zebrafish show little preference for their own
species or for a related species (D. albolineatus). Shoals were loose with sluggish activity.
At intermediate concentrations, 0.5% and 0.25%, zebrafish showed no preference for
their own species. When examining shoaling, with decreasing alcohol concentration
overall activity increased and shoals were still more spread out than in controls. At the
low concentration, 0.125%, zebrafish surprisingly preferred the alternate species over
their own. Shoals were the most cohesive out of all trials, including control, which may
be evidence for hormesis. The trends reported here will be subjected to statistical
analysis.
A Discussion of the Flaws and Ineffectiveness of State
Mandatory Minimum Sentencing Guidelines5
Gerard Mangieri6 (Sociology)
In 1984, Congress passed legislation that drastically altered the criminal justice system.
In their vote to enact the Federal Sentencing Reform Act, Congressional leaders took it
upon themselves to determine the appropriate forms of punishment for all crimes listed in
the Model Penal Code, thereby violating the separation of powers. The nature of Federal
5
6
Recipient of Best Paper in Sociology Award
Research performed under the direction of Dr. John Esser (Sociology)
9
�and State mandatory sentencing guidelines are discussed. Additionally, an overview of
the flaws inherent in State guidelines will be provided, with a particular examination of
the public’s opinion of sentencing, and the gender and racial bias these statutes have
created.
10
�Section II:
The Natural Sciences
�Geographic Differences in Allelic Frequencies for ADH+
and ADH- Allozymes in Drosophila melanogaster
Maura Melvin (Biology) 1
Drosophila melanogaster has the ability to detoxify alcohol by an enzyme called alcohol
dehydrogenase (ADH). ADH+ flies have this gene, allowing for the production of this
enzyme. ADH- flies cannot produce an active ADH enzyme and therefore experience the
toxic effects of alcohol. An allozyme is one of several forms of an enzyme coded for by
different alleles at a particular locus. Electrophoresis allows separation of proteins, the
products of genes, based on charge and other factors. The fast and slow alleles of ADH
have a worldwide distribution in Drosophila melanogaster. There is a high frequency of
fast alleles in higher latitudes and a high frequency of slow alleles in lower latitudes.
Allelic frequencies of the ADH fast and slow allele in different locations has been
studied.
I. Introduction
Model Systems
Biological research tends to focus on organisms that can be easily studied,
termed “model systems”. Researchers have studied the fruit fly Drosophila melanogaster
as a model system for studying the effects of alcohol on behavior and how flies can
counteract its toxic effects. Drosophila appear resistant to alcohol’s toxic effects and
display many behaviors resembling intoxication, including impaired motor control when
they are exposed to alcohol vapors.
Fruit flies live on rotting fruit. When a piece of fruit falls, a population of
bacteria, yeast, and flies invade. Yeast and bacteria produce ethyl alcohol (ethanol) as a
product of cellular respiration (fermentation). In order to counteract its effect on the flies,
the fly has developed the ability to metabolize the alcohol with an enzyme called alcohol
dehydrogenase (ADH). The ability of the fly to produce this enzyme is controlled by the
genetic makeup of the fly. ADH+ flies have the ADH gene that produces ADH. ADHflies cannot produce an active ADH enzyme and therefore experience the toxic effects of
the alcohol (Sidelsky and Martin 2004).
1
Research performed under the direction of Dr. Ammini Moorthy (Biology) leading to the
completion of an Honor’s Project.
12
�Investigators have begun measuring alcohol sensitivity in Drosophila and have
sought to identify genetic mutations associated with increased or decreased sensitivity
(Heberlein 2001).
“Drosophila melanogaster”
“Drosophila” is a Greek word for “dew lover”. These flies are attracted to moist
fruits and vegetation. “Melanogaster” means “black belly”. A black belly can be seen on
the tips of the males’ abdomens. The most commonly used name for Drosophila is “fruit
fly”. These flies typically don’t attack fresh fruit but rather feed on rotting fruit. Other
common names for Drosophila include: “vinegar fly”, “pomace fly”, and “wine fly”.
These names refer to the fly’s attraction to these fruits that harbor fermentation products
(Powell 1997).
Genetics
Molecular techniques are beneficial to use in studying genetic variation in
populations. Estimates on the number of genes vary, but more than 5,000 genes have
been found to exist in Drosophila (Powell 1997).
A set of genetic instructions for any organism is its genome. Genomes are
encoded in nucleic acids, either DNA or RNA. Genes within the genome are stretches of
DNA that code for proteins or polypeptides (Pierce 2003). There are few genes that have
been studied as extensively in Drosophila as the alcohol dehydrogenase locus. A locus is
a specific place on a chromosome occupied by an allele (Pierce 2003).
In 1983, Kreitman published the first view of genetic variation in Drosophila
populations. The alcohol dehydrogenase locus (ADH) was studied. Kreitman sequenced
2,721 bases in and around this gene for 11 alleles from 5 different populations. A total of
43 polymorphisms were detected at these 11 alleles. No two alleles were identical
(Powell 1997). An allele, by definition, is one of two or more alternate forms of a gene
(Pierce 2003).
Allozymes
An allozyme is one of several forms of an enzyme coded for by different alleles
at a particular locus. Allozymes are a type of single-gene polymorphism. Allozymes
alleles are in high frequencies in natural populations (Powell 1997).
Electrophoresis developed in the late 1950s and early 1960s allowed separation
of proteins, the products of genes, based on charge and other factors which affect rates of
migration through a gel medium. In 1959, Market and Moller demonstrated that proteins
coded for by different loci that produce the same enzyme activity can be separated on
these gels. These enzymes were called “isozymes” (Powell 1997). Isozymes are multiple
13
�forms of enzymes that arise for any reason, such as being encoded for by different loci
(Powell 1997).
Biochemistry of Fast/Slow Alleles of ADH
Phenotypic effects of allozymes can be detected by biochemical analysis. The
fast and slow allozymes of ADH have been studied. The kinetic properties of the
allozymes differ between the two (Heinstra et al., 1987; Chambers, 1988) as well as the
thermostabilities (Vigue and Johnson, 1973). The amount of protein produced by the fast
alleles is roughly double that of the slow alleles. Therefore, the ADH activity differs
among genotypes (Laurie-Ahlberg, 1985).
The genotypes of Drosophila melanogaster ADH produce proteins that affect
metabolism differently. Carriers of the fast alleles have three to five time the ADH
enzyme activity when compared to the slow alleles. Differences in ADH activity in
carriers of fast and slow alleles are due to catalytic differences among the allozymes and
different amounts of the allozymes being present (Laurie-Ahlberg and Stam, 1987; Laurie
and Stam, 1988; Laurie et al., 1990, 1991; Choudhary and Laurie, 1991).
Eleven alleles of the ADH gene (five fast and six slow alleles) from different
populations were cloned and sequenced to look for hidden variations at the ADH locus
(Kreitman 1983). The results can be seen in the diagram below (Genetic Analysis of
Populations 2004):
As seen in the data, in the 11 ADH genes sequenced, the only amino acid change was the
change causing the slow (Lys AAG) to become fast (Thr ACG). All other changes were
due to either silent substitutions in the exons or introns (untranslated regions). There is
14
�more DNA variation than protein variation, including no hidden protein variation
(Genetic Analysis of Populations 2004).
DNA sequencing studies have shown that the two allozymes generally differ by
the single amino acid at residue 192, the difference causing a change in catalytic
efficiency (Choudhary and Laurie 1991).
The Theory and Background to Electrophoresis and the
Use of Titan III Cellulose Acetate Plates
Electrophoresis is a powerful tool that studies life’s processes. It can be used to
analyze proteins and since proteins are the building blocks of life itself, their detection
and analysis is important in studying processes of an organism (The Theory of
Electrophoresis).
Electrophoresis is the movement of charged particles in an electric field. There
are three criteria necessary for electrophoresis: an electric field, a charged particle, and a
medium in which movement can occur (The Theory of Electrophoresis).
Tiselius gave the name “zone electrophoresis” to describe all forms of
electrophoresis on a solid support media. Paper was used first. Agar gel, starch,
acrylamide gel, and cellulose acetate are commonly used today. One advantage of zone
electrophoresis is that there is a stabilization of the migrated particle (The Theory of
Electrophoresis).
Movement through cellulose acetate is similar to other porous materials. It
depends on the nature of the charged particle, the buffer, and the intensity of the electric
field. For a sample to undergo electrophoresis, it must carry a charge. Proteins are
amphoteric and may be positively or negatively charged based on the pH of the solution.
The pH at which positive and negative charges are equal is called the isoelectric point. If
it is subjected to more positive or more negative ions according to the pH of the solution,
the net charge will accordingly become either positive or negative. Positively charged
protein molecules exhibit more absorption than negatively charged proteins so negative
charges are usually used when proteins are electrophoresed (The Theory of
Electrophoresis).
On cellulose acetate, the net charge of the protein is responsible for its proximity
to other proteins. The molecular weight and shape of the protein are unnecessary to
consider. Factors affecting mobility include: electro-osmosis, evaporation with resulting
capillary movement, temperature, voltage, current, and ionic strength (The Theory of
Electrophoresis).
Because of the nature of the matrix, gel media, porosity, pore size, pore
distribution, acetyllation, residual movements, and wetting agents in cellulose acetate, it
is almost impossible to predict movement (The Theory of Electrophoresis). However,
15
�some influences can be predicted. Movement increases if ion strength is lowered. If ion
strength is increased, movement decreases because bands are held much tighter (The
Theory of Electrophoresis).
Voltage is the driving force of electrophoresis. As it is increased, the velocity of
movement is increased proportionately. Heat is the limiting factor. Voltages don’t exceed
500 Volts and current doesn’t exceed 1mA/sq.in. because dissipation of heat is not used
in a sophisticated manner with cellulose acetate. Proteins easily denature at high
temperatures. Temperature is kept at low or room temperature so that evaporation surface
area and buffer movement into vacated pores, which can result in unwanted artifacts, are
kept to a minimum. In addition, long running times increase the opportunity for artifacts.
Running times are therefore kept to a minimum as well (The Theory of Electrophoresis).
Cellulose acetate matrix consists of a sponge-like matrix with uniform pores
arranged in random order. These pores are filled with buffer. Water molecules attach to
the cellulose structure to lubricate pore openings and decrease buffer movement (The
Theory of Electrophoresis).
Titan III cellulose acetate plates are useful and efficient to use in this type of
electrophoresis. There are two main differences between these plates and other cellulose
acetate media. First, the degree of gellation (water molecules) for Titan III plates is
different than other plates. Approximately 6% of the cellulose acetate is water. Other
acetates are only one third as great. Greater gellation makes it easier for charged particles
to move because it is more lubricated. Gellation also allows for better resolution which is
decreased by diffusion and buffer movement. Cellulose acetate gellation attaches to solid
cellulose chains and acts as a buffer to reduce diffusion. The result is tighter bands and
resolution (The Theory of Electrophoresis).
The second difference between Titan III plates and other cellulose acetate plates
is that the Titan III plates have two layers. The first is the cellulose acetate. The second is
a polyester plastic sheet named Mylar. This sheet makes it easier to handle. It also
restricts evaporation during electrophoresis to only one surface instead of two. In this
way, it reduces the evaporation rate to half that of ordinary cellulose acetate plates. This
factor reduces buffer movement and diffusion. The cellulose acetate layer consists of a
dull white surface with a thickness of approximately 130u. The Mylar layer has a glossy
gray surface with a thickness of 260u.
Allozyme Electrophoresis
More than 90% of the alcohol ingested by Drosophila melanogaster is degraded
by a biochemical pathway involving ADH. ADH activity occurs in the body fat, midgut,
and Malpighian tubules (or kidneys) of larvae and adults as well as in the reproductive
organs of adults. ADH converts ethanol to acetylaldehyde and higher alcohols to higher
16
�aldehydes, which are converted to acetate and enters the central metabolism. As in
mammals, the toxic effects of ethanol in flies alter the activity of the membrane-bound
ion channels important in neurotransmission and neuromodulation (Allozyme
Electrophoresis 2004).
As previously mentioned, natural populations of Drosophila melanogaster are
polymorphic for two alleles: fast ADH and slow ADH which differ only by a single
amino acid. The amino acid is either threonine, which is neutrally charged, or lysine
which is positively charged. This variation occurs at position 192 of the 225 amino acids
in the ADH protein. Because of this amino acid substitution, the proteins can be separated
by electrophoresis, separating the fast and slow alleles (Allozyme Electrophoresis 2004).
A general overview of the electrophoresis procedure includes tissue samples
being homogenized to release enzymes from the cells. The homogenates are placed into
wells of the gel. The proteins are separated by electrophoresis in a cellulose acetate
matrix. Separation can be achieved in about 20 minutes in this medium, compared to the
2 hours which is required for starch gels (Bader 2004). Another general problem with
starch and polyacrylamide gel electrophoresis is that they both require a large amount of
tissue homogenate relative to the size of many small arthropods (Easteal and Boussy
1987).
After electrophoresis, the gel is treated with a substrate that is specific for the
enzyme that is being studied. A positive reaction is indicated by a dark spot at the
location to which the protein has migrated to. This procedure takes advantage of the fact
that Drosophila melanogaster produces allozymes that are multiple forms of an enzyme
(Bader 2004). The staining reaction mentioned couples chemical reactions to make
biochemical changes. In this case, the enzymatic activity of ADH is coupled in two stages
by the reduction of its co-factor nicotinic acid dinucleotide (NAD) to the reduction of the
colorless precursor methyltetrazolium (MTT) to form an insoluble blue dye using the
electron carrier phenazine methosulphate (PMS) (Allozyme Electrophoresis 2004). After
the allozymes are stained, the results can finally be analyzed and conclusions can be
drawn.
Variation in Latitudinal Clines
The fast and slow alleles of ADH have a worldwide distribution in Drosophila
melanogaster. Studies have shown that northwards in North America and southwards in
Australia have high frequencies of the fast allele whereas the slow allele becomes less
frequent. It has been shown that the fast allele is seen more frequently in populations
found near the equator. The ADH allozymes can be separated using cellulose acetate
electrophoresis. The allozymes are separated by charge: the slow allozyme will run
17
�further than the fast allozyme. The bands for the fast and slow allozymes can be
visualized using a histochemical stain for ADH activity (Oakeshott et al. 1982).
Strong evidence exists for selection in natural populations due to the latitudinal
clines existing in Northern and Southern hemispheres, illustrated in the fast and slow
polymorphism of Drosophila melanogaster ADH. There is a high frequency of fast
alleles in higher latitudes and a high frequency of slow alleles in lower latitudes
(Oakeshott et al., 1982) unlike other DNA polymorphisms which are typically
geographically uniform (Powell 1997).
The alcohol dehydrogenase enzyme presents two electromorphs that differ in
biological properties. The fast enzyme is broadly described as being more active, and the
slow is more thermostable (Chambers 1988). ADH frequencies have a distinct
geographical distribution pattern. The ADH slow allele frequency decreases with
increasing latitude (Van Delden and Kamping 1997). Multicontinental regularity of this
pattern suggests that there is selection on this locus or other loci linked to it. The most
likely explanation is that different habitats might provide an alcohol related selection on
ADH (Deniz 2003). The distribution pattern could possibly occur in a single continent by
chance, but the fact that it occurs in many continents suggest that it is a product of natural
selection (Johnson 2000).
This lab is interested in the ADH allozyme frequencies in Drosophila
melanogaster populations originating from Mexico and Australia. After reviewing
previous studies, our hypothesis is that there should be a higher frequency of the fast
allele in the population from Australia in comparison to the Mexican population. Samples
from the different populations will undergo cellulose acetate electrophoresis and then
stained using a histochemical staining procedure in order to visualize the separated bands
of the fast and slow alleles. We will use the results from these experiments and analyze
genotype and allelic frequencies.
A genotype frequency is the fraction out of the total number of individuals in a
population which has the genotype in question. An allelic frequency is the fraction, out of
the total number of alleles in a population, which have the allele in question. These
statistics will be performed under the Hardy-Weinberg Principle. This important principle
of population genetics states that in a large, randomly mating population not affected by
mutation, migration, or natural selection, allelic frequencies will not change and
genotypic frequencies stabilize after one generation in the proportions p2 (the frequency
of the homozygous dominant), 2pq (the frequency of the heterozygous), and q2 (the
frequency of the homozygous recessive), where p equals the frequency of allele A and q
equals the frequency of allele a (Pierce 2003).
18
�II. Materials
Equipment
Gel tanks
Helena Super Z-12 applicator kit including 2 well plates, an applicator, and
aligning base.
76mm x 76mm Titan III cellulose acetate plates
Items for Preparation and Storage:
Refrigerator
D.C. power supply
Microwave
Drying oven set at 60degrees Celsius
Light box
Square plastic trays
Micropipettes
Microcentrifuge tubes
Whatman filter paper
Blotting paper
Chemicals for Electrophoresis and Stain Recipe
Tris Glycine (TG) pH 8.5
Stain Buffer: 0.09M Tris HCl pH 7.0
NAD
MTT
PMS
Ethanol
Agar overlay
These solutions should be re-made every 2-3 weeks due to bacterial degradation.
III. Procedure
Gel Soaking
Cellulose acetate plates should be soaked in TG buffer in a plastic tray for at least 20
minutes prior to usage. In addition, the plates should be submerged slowly in order to
prevent the formation of bubbles.
19
�1.
2.
1.
2.
Tank Setup
Both sides of the electrophoresis tank are filled with TG buffer until the
platinum electrodes are fully submerged.
A piece of Whatman filter paper is cut in half and placed on either side of the
partition to draw buffer from the reservoir.
Sample Preparation
Samples of adult flies are homogenized in microcentrifuge tubes in 20ul of TG
buffer using the end of a metal spatula or brush. The end of the spatula/brush
should be washed with distilled water after each fly is homogenized in order to
prevent contamination of each sample.
Tubes are centrifuged for 5 minutes at 14,000g.
Sample Application
1. 10ul of each homogenate is transferred to a depression on a sample well plate
which is supplied by the Super Z-12 Applicator Kit.
2. If the sample is not to be used within two minutes, a glass slide should be placed
over the wells in order to prevent evaporation.
3. Using the Super Z-12 Applicator, the samples should be placed into the brackets
on the Well Plate.
4. The Super Z-12 Applicator should be primed by gently pressing the tips into the
sample wells for 3 or 4 times on a piece of blotting paper. Priming the applicator
makes the second loading more uniform.
5. Remove the wetted Titan III Plate from the soaking buffer and blot between
filter paper firmly.
6. Cut the corner of the plate where Lane 1 will be.
7. Place the Titan III Plate in the Aligning Base, cellulose acetate side up, aligning
the top of the plate with the black line marked “Cathode Application” or “Center
Application”.
8. Apply the sample to the Titan III Plate by gently pressing the Super Z-12
Applicator tips into the sample wells 3 or 4 times and then transferring the
applicator to the Aligning Base.
9. Press the button down and hold for 10 seconds.
10. Repeat steps 8 and 9 for a second application on the Titan III Plate.
Gel Running
1. The Titan III Plates are placed acetate side down on the wicks in the
electrophoresis chamber. If the gel was loaded at the top, make sure not to place
the load zone in contact with the wicks. The load zone should be positioned at
the cathodal end considering that the proteins run from positive to negative.
20
�2. Run a finger along the length of the edges to ensure complete contact and
displacement of air. Glass slides should be used as weights to ensure complete
contact.
3. Electrophoresis is carried out at room temperature at 200V for 75 minutes.
1.
2.
3.
4.
1.
2.
3.
1.
2.
3.
4.
Stain Preparation (3 minutes before the gel is finished running)
Mix 600ul Tris HCl, 1500ul NAD, 5 drops of MTT, 3 drops of ethanol just
before gel running is complete. After completion, add 5 drops of PMS, and 2 ml
of agar.
Remove the plate from the tank and place mylar side down on a plastic tray.
Pour stain mixture over the plate and allow the agar to set for 30 seconds.
Incubate the plate in a dark grey incubator at 25degrees Celsius for 75 minutes.
Gel Scoring
After the plate has been stained, the agar stain overlay can be removed by
holding the plate under gently running water.
Plates must be soaked in distilled water.
Score on a lightbox.
Storage
Remove the plate from soaking and blot dry with filter paper.
Place in a drying oven set at 60degrees Celsius for 10-15 minutes, or until dry.
You can write on the mylar (shiny) side with a water insoluble marker to label
the plate.
Place in a Ziploc bag until further use.
IV. Results
Our data was taken from Drosophila melanogaster from four different locations:
Ear Pod Chiapas, Mexico, Tepanantepac, Mexico, Coffs Harbor, Australia, and
Gordonvale, Australia. From the visualization of bands on the cellulose acetate plates, we
could analyze the results using Hardy Weinberg calculations. For each population, 60
flies were used (120 alleles). The results obtained are shown in figure 1. As can be seen
the frequency of the fast/fast genotype is more prevalent in the Australian populations. In
addition, we see that there is a stronger occurrence of the slow/slow genotype in the
Mexican populations. There are also a higher percentage of heterozygotes in the
population in Australia.
21
�Coffs Harbor,
Australia
Gordonvale,
Australia
Ear Pod Chiapas,
Mexico
Tepanantepac,
Mexico
Genotype
Frequencies
Genotype
Frequencies
Genotype
Frequencies
Genotype
Frequencies
F/F
24.2%
25%
3%
1.5%
F/S
50%
50%
28.9%
21.9%
S/S
25.8%
25%
68.1%
76.6%
Figure 1: Genotype Frequencies
In comparing the two populations in Australia, their results are similar. We can see
similar results comparing the Mexican populations to each other as well. An additional
chart representing this data can be seen below:
Comparison of Genotypic Frequencies
90
80
Coffs Harbor, AUS S/S
Coffs Harbor, AUS F/S
Coffs Harbor, AUS F/F
Frequency
70
60
Gordonvale, AUS S/S
Gordonvale, AUS F/S
50
Gordonvale, AUS F/F
Ear Pod Chiapas, MX S/S
Ear Pod Chiapas, MX F/S
Ear Pod Chiapas, MX F/F
40
30
Tepanantepac, MX S/S
Tepanantepac, MX F/S
20
Tepanantepac, MX F/F
10
0
Locations
22
�Figure 2 shows a comparison of allelic frequencies among the four populations:
Coffs Harbor,
Australia
Gordonvale,
Australia
Ear Pod Chiapas,
Mexico
Tepanantepac,
Mexico
Allelic
Frequencies
Allelic
Frequencies
Allelic
Frequencies
Allelic
Frequencies
Fast Allele
49.2%
50%
17.5%
12.5%
Slow Allele
50.8%
50%
82.5%
87.5%
Figure 2: Allelic Frequencies
As we can see in Figure 2, the allelic frequency of the fast allozyme increases in the
Australian populations in comparison to the Mexican populations, which have a much
higher frequency of the slow allele. Comparing the two populations in Australia, we
again see similarity in results. This is also true when comparing the two Mexican
populations to one another. These results can be represented in a different manner in the
following graph:
Comparison of Fast/Slow Alleles
100
Allelic Frequency%
90
80
Coffs Harbor, AUS Slow
70
Coffs Harbor, AUS Fast
Gordonvale, AUS Slow
60
Gordonvale, AUS Fast
50
Ear Pod Chiapas, MX Slow
40
Ear Pod Chiapas, MX Fast
Tepanantepac, MX Slow
30
Tepanantepac, MX Fast
20
10
0
23
�V. Discussion
Evidence of enzymatic polymorphisms in natural populations can be seen in the
selection on the ADH locus based on the global geographic cline. The ADH fast allele
increased in frequency in higher altitudes, such as in the Australian population as
expected in the lab. The slow allele was more prevalent in the Mexican populations. This
lab was also effective in showing the similarities in populations that are geographically
close to one another. The two populations of Mexican populations and the two
populations from Australia yielded similar results when comparing allelic frequencies
within the same country.
ADH fast flies show an increase in the amount of the enzyme with respect to
ADH slow flies. The ADH slow allozyme is more thermostable. This high
thermostability is used to understand why it is prevalent in hot-climate latitudes (Benach
et al. 2000). At low temperatures, the ADH fast allozyme is the more efficient enzyme.
Efficient alcohol metabolization is important in fruit flies because they often feed on
rotting, alcoholic fruit (Johnson 2000).
VI. Future Research
Research will be performed in the near future using the same cellulose acetate
electrophoresis to further study geographic distribution of allozymes.
VII. Acknowledgements
The lab would like to thank an anonymous donor for their financial support of
this experiment.
VIII. References
1. “Allozyme Electrophoresis”, Anderson College and University of Glasgow. April 5,
2004. http://www.molgen.gla.ac.uk/level2/2b/adhlab99.htm
2. Bader, James M. “Measuring Genetic Variability in Natural Populations by Allozyme
Electrophoresis”, 1998. Case Western Reserve University. April 21, 2004.
http://www.zoo.utoronto.ca/able/volumes/vol-19/02-bader.htm
3. Benach, J., Gonzalez-Duarte, R., Fibla, J., and Ladenstein, R. “Structure-function
Relationships in Drosophila melanogaster Alcohol Dehydrogenase Allozymes
ADHS, ADHF, and ADHUF, and Distantly Related Forms”, Eur. J. Biochem.
Vol. 267 (2000): 3613-3622.
24
�4. Choudhary, M. and Laurie, C.C. “Use of in Vitro Mutagenesis to Analyze the
Molecular Basis of the Difference in ADH Expression Associated with the Allozyme
Polymorphism in Drosophila melanogaster”, Genetics Vol. 129 (1991): 481-488.
5. Denis, Ergi. “Implications of Locus Specific Microevolution Inferred by Genetic
Distances between Two Local Populations of Drosophila melanogaster from
Turkey”, Turk J Zool Vol. 28 (2004): 273-277.
6. Easteal, S., and Boussy, I. A. “A Sensitive and Efficient Isoenzyme Technique for
Small Arthropods and Other Invertebrates”, Bulletin of Entomological Research
Vol. 77 (1987): 407-415.
7. “Genetic Analysis of Populations”. January 5, 2004. University of Alberta. October 19,
2004. http://www.biology.ualberta.ca/courses/biol380/uploads/winter04/lectures
8. Heberlein, Ulrike. “Genetics of Alcohol-Induced Behaviors in Drosophila”, Alcohol
Research & Health Vol. 24 (2001): 185-188.
9. Johnson, T. “Variation in Populations.” November 2000.
http://www.ed.ac.uk/~tobyj/eia
10. Kreitman, M. “Nucleotide Polymorphism at the Alcohol Dehydrogenase Locus of
Drosophila melanogaster”, Nature (1983): 412-417.
11. Pierce, Benjamin A. Genetics: A Conceptual Approach. New York: W.H. Freeman
and Company, 2003.
12. Powell, Jeffrey R. Progress and Prospects in Evolutionary Biology. New York:
Oxford University Press, 1997.
13. Sidelsky, Patricia and Martin, Andrea. ADH and Alcohol Tolerance. Rutgers
University. April 5, 2004. http://www.chsweb.lr.k12.nj.us/psidelsky/ADH1.htm
14. The Theory of Electrophoresis. Beaumont, Texas: Helena Laboratories.
15. Veuille, M., Benassi, V., Aulard, S., and Depaulis, F. “Allele-Specific Population
Structure of Drosophila melanogaster Alcohol Dehydrogenase at the Molecular
Level.” Genetics Vol. 149 (1998): 971-981.
25
�Hydrothermal Crystal Growth of ZnO Using
Ethylenediamine-based Ligands
Yuliana Toderika (Chemistry) 1
The chemistry of aqueous zinc solutions was explored to see the effect on size and
morphology of zinc oxide crystals. Multidentate ligands such as tetraethylene-pentamine
pentahydrochloride (tetren’s salt), ethylenediamine-N, N’-diacetic acid and pentaethylenehexamine were investigated separately in the growth of ZnO crystals. In this
study, complexing agents and pH were varied in the precipitation of ZnO from basic
aqueous solutions. Autoclaves were used for synthesis at 200°C and approximately
15 atm. Optical microscopy on the resulting products revealed crystals with a needle
habit at all pH and plates for specific ligands at low pH. The overall variation in size and
morphology may be explained to some degree by considering the coordinating nature and
polarity of the ligands and KOH molality.
I. Introduction
ZnO crystals have unique optical and electrical characteristics. They are widely
used in transparent conducting films, waveguides, ultraviolet lasers and varistorelectronic devices among other applications.6,9 All of these optical and electronic
applications are possible because of their properties, some of which vary with crystal
orientation.
The hydrothermal method is one of the methods used for preparation of metal
oxide crystals of high quality. In this method, low supersaturation of the solution
promotes the formation of distinct regular polyhedral crystals.8 The most common way
to produce large crystals under the hydrothermal method is in supercritical conditions:
greater than 375˚C and 200 atm.3 At high temperature the viscosity of water decreases by
two orders of magnitude, increasing the diffusion rate. Another way to increase the
growth rate of crystals is to increase its solubility. For this purpose, complexing agents
are used as ligands and mineralizers. They promote solubilization and recrystalization of
the solution. Some of them are OH-, NH4+, H+, Cl-.7 The large industrial materials that
1
Research performed under the direction of Dr. Maria Gelabert (Chemistry) leading to the
completion of an Honors Thesis and a presentation at the 2005 Eastern Colleges Science
Conference.
26
�are grown at supercritical conditions are α-quartz (SiO2), α-corundum (Al2O3), KTP
(KTiOPO4) and zincite (ZnO).3
At low temperature (100-200˚C) with a higher viscosity of water, lower
diffusion rates lead crystals to form protuberances that may produce dendritic powder.
But under hydrothermal conditions the viscosity of water decreases, leading to higher
growth rate at lower temperatures. Numerous studies were done on the growth of
nanostructures, microcrystals and films of zinc oxide because of their useful optical and
electrical applications, like light-emitting diodes (LEDs), single-electron transistors and
photodetectors.1 However, the surface density, orientation and size of those structures
are still the main challenge for researchers.6
The growth habit of crystals depends on the internal and external conditions.
Internal conditions include structurally-related factors like intermolecular bonding and
dislocations. External factors include variation of supersaturation, temperature, solvent,
pH and pressure.1 Under subcritical hydrothermal conditions, solutions are especially
sensitive to external factors. By varying one of those conditions and keeping all the rest
the same, the experimental data can contribute to the understanding of crystal growth.
This will be described in this paper.
ZnO is a good material for studying crystal growth. As with most materials,
under hydrothermal conditions its solubility increases, promoting better crystallinity and
regular polyhedral faces. In addition, it has been analyzed by the growth unit model
hypothesizing that cations exist in complexes with ligands of OH- ions, the coordination
numbers of which are the same as in the crystal formed.8
Some characteristics of zinc as an element may support this point. Zn in the
periodic table is located in group IIB (12). There is no place for ligand stabilization by
electrons because the d shells are already full. Zn2+ stereochemistry, then, only depends
on the size, electrostatic forces and covalent bonding of the ligand. Zn2+ can form
different coordination numbers from 2 to 8. The most common ones are 2, 4,6 and 5.2 If
the growth unit model were correct, then the best crystals of zinc oxide would be those
obtained with a ligand of the same coordination number as that of zinc in the solid. In the
present work, ligands with coordination numbers of 4, 5 and 6 were used and the
resulting crystals are discussed.
Another interesting fact about Zn2+ is that it has similar characteristics to Mg2+
but higher polarizability. This is explained by the easier tendency of distortion for the
filled d shell element than p shell of Mg2+.2 From this, it can be suggested that
polarizable Zn2+ might be highly influenced by polar ligands. Moreover, polar and
nonpolar complex agents could be added to explore the influence of polarity on the
formation of crystals. In this paper the influence of the polarity of ligands on crystals is
also discussed.
27
�Recent studies were done on exploration of the morphology of crystals with
changes in their chemical environment. EDTA and DTPA were used as ligands in
different chemical environments at 200˚C and 15 atm. The variables were pH, molality
of Zn2+ and time. It was found that the crystals grow best at Zn2+ and a ligand molality
between 0.030 and 0.060m. At higher molality the product was powder while at lower
molality it was not visible. Therefore, for this experiment 0.050m solution was used. In
addition, there was not significant difference in crystal product for reaction times of less
than 20 days.4 Thus, the solutions were held in the oven for 7-10 days to pursue
production on needles and plates in the samples. As the pH of the solution was changed
with addition of KOH, crystal morphology was changed too. For EDTA at low pH (6.0)
very long (5 x 1000 µm) needles and small plates (10 µm) were produced. At higher pH
the ZnO gave powder, which then changed to needles again at pH 13.5. In contrast, Zn2+
with DTPA produced mostly plates from pH 6 to pH 11.4 (40-100 µm) and mostly
needles (5 x 100 µm) above this pH.3 These results can be explained by the different
coordination numbers of the ligands (6 and 8), differences in polarities, the increasing
molarity of KOH and corresponding changes in the zinc hydroxide species. At lower pH,
with a smaller amount of KOH, Zn(OH)+ was the dominant product that possibly led to
the creation of plates. At higher pH, Zn(OH)3- and Zn(OH)42- were dominant and perhaps
led to the formation of needles.3
Gao et al. believed similarly about needle formation. The growth mechanism of
zinc oxide can be divided into two stages. One is nucleation, original formation of
precipitate, and the other is the epitaxial growth of rods along six main crystallographic
directions. Epitaxial growth occurs from substrate nuclei toward the direction favored by
the chemical environment. It was thought that the concentration of NaOH is the key
factor because it controls the concentration of Zn(OH)42-, which is believed to decompose
directly into ZnO rods. Hence, at low pH (low NaOH concentration), ZnO produced
single uniform rods. At higher pH, where the Zn(OH)42- concentration was high, petal or
star shaped rods were produced perpendicular to the substrate. Their experiment was
done at 100˚C but they found that elevation of temperature had no significant effect on
the morphology. In addition, they stated that the extension of hydrothermal time gives
better crystallinity and structure to the crystals.5 Their view is similar to DiLeo et al. who
maintained that hydroxide ion concentration is the key factor in morphology of crystals.
Based on these previous works, needles and plates were expected at low pH and star-like
needles were expected at higher pH.
Rosa performed another experiment (at 200˚C and 15 atm) with ethylenediamine
, a ligand of coordination number 2. Even though the range of pH was limited from
around 11 to 13, the products varied significantly. At lower pH there was a habit of
needles but at higher pH dendrites were the product.10
28
�Recently, chemical deposition methods were used to synthesize large amounts
of ZnO films with thicknesses of approximately 10-3µm (nanostructures). In contrast to
previous methods, the films were synthesized at lower temperatures (up to 100˚C).
During nucleation the growth of ZnO plate-like crystals were spread over the template
film. Then the temperature was gradually increased from 40˚C to around 80˚C to get the
growth of plate-oriented crystals. Lattice planes of crystal were parallel to the plane of
the template, suggesting that the growth is epitaxial. In other words, the growth of
crystalline material of one composition (plates) occurs on the surface of the crystal.
Another detail is that plates are formed when the crystal grows along the a-axis direction;
rods are formed from the growth along the c-axis. This research also confirmed the
previous notion that needlelike crystals grow gradually from discrete nuclei. By contrast,
plates grew epitaxially on the large grains of template. Furthermore, it was stated that
because of the low temperature of the experiment the crystal growth was slower. This, in
turn promoted the nucleation in two-dimensions (c and b-directions) forming plates.6
Li et al. and Zhang et al. stated that the more rapid crystal growth of a certain
face would lead to its faster disappearance.8,11 Thus, crystal faces that would grow the
slowest would be best seen. Zinc oxide is a polar crystal tending to grow along the c-axis
to form needles. So, to get plate-like morphology the growth should be slower along the
c-axis and faster along the a-axis. Li et al. received plates (nanostructures) by reacting
zinc in hydroxide solution. They also stated that zinc oxide crystals in hydroxide solution
would preferably grow in the a-direction as compared to the c-direction in pure water.
This is because NaO- ions first bind to Zn2+ and hinder the process of formation of zinc
hydroxide compounds. This in turn slows down the growth rate and leads to the
prismatic form of nanorods.8
In this research, potassium hydroxide was used to control the pH of the solutions
and promote the formation of plates. The results were analyzed and chemical conditions
that produced the biggest plates and needles were examined.
II. Experimental Approach
In this experiment only one external factor was varied to get a better
understanding of the empirical data. A temperature of 200˚C and a pressure of 15 atm
was always maintained. The zinc source was zinc acetate dihydrate (98%, Aldrich).
Three different ligands or ligand salts were used: tetraethylenepentamine
pentahydrochloride (tetren, 98%, Aldrich), pentaethylenehexamine (penten, liquid,
Aldrich) and ethylenediamine N, N’-diacetic acid (EDDA, 98%, Aldrich). The ligands
were chosen by their high capacity to bind to zinc ion at different places. By doing so,
they slow down the process of reaction of zinc ions with hydroxide ions, producing larger
crystals. In addition, they have different coordination numbers and polarities. As a
29
�result, all these factors could be used to analyze the morphology and length of the
product. With each sample, the pH was changed from 9 to 13 (for tetren the pH was
changed from 10-13) using potassium hydroxide (85+%, Aldrich). All reagents were
used as received.
For each sample, amounts of zinc and ligands were calculated for 0.05 molal
solutions. Approximately 0.1317 g of zinc acetate dihydrate solution was diluted in 12 g
of deionized boiled water. Different masses of each ligand were added to the sample to
get 1:1 molal ratios with zinc acetate (0.05 m). In the case of tetren, 0.2232 g of its HCl
salt was needed to add to the sample, in other cases 0.1057 g of EDDA and 0.1394 g of
penten were needed. The exact amounts of the added solution were recorded to calculate
the resulting molalities. In the first experiment, the volume of tetren solution was much
larger (50 g) because a bigger autoclave was used; however, the molality of 0.05 was
maintained throughout the experiment.
The pH was varied by the addition of KOH pellets. To get a more precise pH,
KOH pellets were dissolved volumetrically into a 1.00 M solution of deionized boiled
water. Specifically, 14.027 g of KOH was dissolved in 0.25 L of water. The drops of
this solution were used to control pH. Later, the exact amount of added solid potassium
hydroxide was found by measuring the density and used to calculate total KOH molality.
As expected, when the molality of KOH increased, the pH of the solution increased.
Solutions at the desired pH were put into Teflon-lined autoclaves and sealed.
Samples were placed into a mechanical convection oven (BlueM,+/- 1˚C) set at 200˚C.
At this temperature and volume, internal pressures are estimated to be approximately 15
atmospheres. The autoclaves were kept in the oven for 7 to 10 days.
When the autoclaves were taken out, the solutions with precipitate were
observed. The solutions were clear and contained white precipitate underneath, similar to
powder. The precipitate was washed with deionized boiled water twice and then with
isopropanol twice to dissolve any remaining aqueous impurities. The crystals were
stored in isopropanol. The sample was observed with a Nikon ME600D compound
microscope, with magnifications up to 1000x. Pictures were taken by a digital camera
(Spot). The size of the crystal formations was estimated optically. The results for each
ligand were compared and discussed.
III. Results and Discussion
All samples produced crystals. The amount of product varied, but in all cases
crystalline powder products were apparent. The smallest amount of crystals was
produced from the tetren sample at pH 10-11. From all other samples, the product was
seen as the white powder.
30
�All of the sample ligands had a 1:1 molar ratio with zinc acetate. The potassium
hydroxide ratio to zinc was increased proportionally with pH. The highest pH molality of
hydroxide was 15 times higher than molality of zinc for the tetren sample (Table 1). For
EDDA it was around 5 times higher and for penten it was around 4 (Tables 2 and 3).
All samples of tetren produced plates and needles (Table 1). At low pH (10)
plates up to 0.14mm and needles up to 0.2 mm were produced, but the amount of product
was very small. The samples at pH 10 and 11 had more plates. As the pH increased,
plates grew in size but diminished in quantity. Needle lengths, on the other hand, were
gradually reduced. An example of a tetren plate can be seen in Figure 1. At pH 13, the
plates were 0.66mm but the needles were approximately 0.12 mm. Needles were
dominant in the product and went from singles to bunches of flower-like forms, and their
abundance in the product was much greater.
Table 1: Reaction conditions and results for tetren (all zinc and ligand molalities ≈ 0.05 m).
Name
pH
m (KOH)
Size
Plates up to 0.14mm
Needles up to 0.2mm
TN10
10.27
0.2188
TN11
10.59
0.3250
Plates up to 0.18mm
Needles up to 0.16-0.16mm
TN12a,b
12.50
12.03
0.3676
0.3108
Plates up to 0.42mm
Needles, star-like shape up to 0.1mm
TN13a,b
13.26
13.37
0.7939
0.6939
Plates up to 0.66mm
Needles up to 0.12mm
For EDDA, the results were somewhat different (Table 2). EDDA samples also produced
needles and plates, and at low pH needles were dominant over plates. However, plates
and needles were of equal sizes (around 0.18 mm). As the pH got higher, needles were
still dominant but at the highest levels of pH, powder took over the product. Overall,
needles had similar lengths from pH 9 to 12 with the highest (0.35mm) at a pH of 10. At
pH 13 their sizes suddenly diminished to around 0.04 mm and they became powder.
Plates had similar sizes at pH 9 through 11with a maximum size of 0.23mm at a pH of
11. But at pH 12-13 their sizes diminished, for the most part, to 0.08 mm. The plates in
all samples were singular but the behavior of the needles differed from the previous
sample. At the low pH of 9 needles formed bunches of stars (petal-like shapes), while as
the pH increased more single longer rods appeared among the star-like crystals. Finally
at a pH of 13, the star-like formations of agglomerate small needles returned.
31
�Table 2: Reaction conditions and results for ethylenediamine N,N’-diacetic acid (all zinc
and ligand molalities ≈ 0.05 m).
Name
pH
m (KOH)
NAc9
9.38
0.1115
NAc10
9.98
0.1223
NAc11
11.03
0.1509
NAc12
11.99
0.1736
NAc13
12.78
0.2857
Size
Plates up to 0.18mm
Needles up to 0.18mm
Plates up to 0.16mm
Needles(long) up to 0.35mm
Plates up to 0.23mm
Needles (long) up to 0.3mm
Plates up to 0.08mm
Needles up to 0.27mm
Plates around 0.07-0.12mm
Powder:
(needles around 0.04mm)
The last ligand, penten (Table 3) produced mostly powder products. As the pH
increased the quantitative amount of product diminished. At pH 9, powder and plates
were the main results and needles were very rare. Plates ranged in sizes up to 0.4 mm
and needles up to 0.12 mm. The size of needles in powder was around 0.03 mm. With
an increase in pH the amount of powder product increased. The size of plates slowly
decreased to 0.08-0.11mm at a pH of 13. The needles appeared more at pH 10 and then
disappeared for the rest of samples. Needles at low pH were single but at higher pH all
powder-like needles (of size around 0.04 mm) were star-like shapes and found in
bundles. Overall, the powder was dominant in all products.
Table 3: Reaction conditions and results for pentaethylene hexamine (all zinc and ligand
molalities 0.05 m).
Name
pH
m (KOH)
PT9
9.28
0
PT10
9.95
0.0080
PT11
10.97
0.0226
PT12
11.98
0.0274
PT13
13.01
0.2049
Size
Plates up to 0.4mm
Powder (needles around 0.03mm)
Needles rare up to 0.12mm
Plates up to 0.13mm
Needles up to 0.11mm
Plates up to 0.19mm
Needles up to 0.05mm (similar to powder)
Plates 0.105mm
Powder (needles around 0.03mm)
Plates up to 0.08-011mm
Powder (needles up to 0.04mm)
32
�Since the Zn ion and the ligand had the same molality of 0.05, the molality of
KOH increased with pH. This was expected since the molality of KOH at one pH for
different ligands should vary because of their different structures and acid-base
equilibrium constants. But it should not vary significantly. For example, for pH 13
penten and EDDA had similar molalities of KOH: 0.2049 and 0.2857, respectively
(Tables 2 and 3). On the other hand, for tetren the molality of KOH at pH 13 was 0.6939
(Table 1), which is three times higher than the molalities of former ligands. The results
are explained by the fact that tetren was used in salt form with additional HCl. The
charges complement each other and do not produce an overall increase in polarity.
However, the overall increase in the amount of ions affects ionic strength, which can in
turn influence crystal growth.
The ligands that were used in the experiment were chosen because of their high
capacity to attach by lone pairs to Zn2+. The coordination number reflects the number of
attachment points. They were also chosen so that they could be compared to work
previously published by Dileo et al. Those ligands had coordination numbers of 4 (for
EDDA), 5 (for tetren) and 6 (for penten). Later, the results could be compared to the
results of previously mentioned work,3 where EDTA with a coordination number of 6 and
DTPA with a coordination number of 8 were used (Table 4).
Zinc can form complexes with water and with hydroxide. Zinc oxide complexes
in water tend to have a needle-like morphology but in an alkali medium the crystals have
prismatic plate-like morphology. In the interest of contrasting the morphology of plates
and needles an alkali environment was used. 2,8
Table 4: Structures of ligands.
EDDA
Tetren
Penten
EDTA
DTPA
(CH2COOH)HN
H2N
H2N
NH(CH2COOH)
NH
NH
NH
(CH 2COOH)2 N
(CH2COOH)2 N
NH
N(CH2 COOH)2
N
CH2COOH
33
NH2
NH
NH
NH
N(CH2COOH)2
NH2
�By the growth unit theory it is believed that the primary unit for formation of
ZnO crystals is the complex Zn(OH)42-,8 partly because the coordination number of 4 is
equal to the zinc coordination in crystalline ZnO. The formation of it goes as follows:
Zn disassociates from the complex of zinc acetate, forming a zinc ion. Then it reacts with
two hydroxide ions to form Zn(OH)2. After that it reacts with two moles of water,
producing the needed ion Zn(OH)42- and acid. Precipitation occurs when this ion
combines with others like it.8
Crystal morphology depends on the growth rates of its faces. Crystal faces with
faster growth rates disappear more quickly, forming edges or points. In contrast, the slow
face growth enables faces to form. For example, ZnO is a polar substance that has a
tendency to grow along the c-axis to create needles. This means that the highest growth
is found along the c-axis and the slowest along the b and a-axes perpendicular to the caxis. From this, it follows that to make a product consisting of plates the crystal should
grow slower along the c-axis and faster along the b and a-axes.8 So, if the growth rate is
somehow diminished, especially at the nucleation stage, crystals would diminish the
growth along the c-axis, allowing faster growth along the a-axis.
The growth of crystals can be divided in two phases: nucleation and growth. To
create bigger plates, diminishing nucleation process and increasing crystal growth would
be required.3,7 A slow growth rate at the beginning would produce slower nucleation that
would possibly lead to the formation of bigger crystals. The other way to create bigger
plates is to increase the temperature after nucleation as it was done by Hirano et al. This
could be done in future experiments.
One of the hypotheses that has been explored is the influence of different zinc
hydroxide components on the formation of plates and needles. In the work of DiLeo et
al. the molalities of all zinc species were calculated, such as Zn2+, Zn(OH)+, Zn(OH)3-,
Zn(OH)42-, Zn(EDTA)2-, Zn(DTPA)3-, protonated Zn(HEDTA)- and Zn(HDTPA)2- and
Zn2DTPA-. It was found that the zinc-ligand concentration is independent of pH but zinc
hydroxides vary with different pH levels. Monohydroxide species (Zn(OH)+) dominate
at lower pH, whereas trihydroxide (Zn(OH)3-) and tetrahydroxide ( Zn(OH)42-) dominate
at higher pH. This behavior could be explained by concentration of KOH at different pH.
The molality of KOH at higher pH would be much larger than at lower because more
KOH solution would be needed to achieve higher pH. Because of that, fewer units of
Zn(OH)42- and Zn(OH)3- would be observed and more Zn(OH)+ would be formed.
Additionally the results showed a crossover at the middle pH at around 9 with mostly
dendritic powder product. Plates were formed at lower pH but needles at higher. So, it
was concluded that the monohydroxide species is possibly more favorable for the
formation of plates and trihydroxide and tetrahydroxide are favorable for the formation of
needles.3
34
�The results reported here could be compared with the previous work of DiLeo et
al. for EDTA and DTPA. Because for EDDA, tetren and penten there are only results for
pH 9-13.5, the results for EDTA and DTPA would be used from the same range. The
results would be compared between species with similar polarity to see for the trend
between them. One group would be aminocarboxy ligands EDDA, EDTA and DTPA;
the other would be tetren and penten amines. Then those groups would be compared
between each other to see which one produced the biggest needles and plates. The
ligands would also be discussed by their coordination numbers: EDTA has 4, tetren has 5,
penten has 6, EDTA has 6, and DTPA has 8 (Table 3).3
EDDA, EDTA and DTPA have amine bases with different numbers of acetate
groups, both of which bind to Zn2+ with lone electron pairs. More acetate increases the
total coordination number of the ligand. In addition, ligands with acetate groups are more
polar compared to the purely-amine penten and tetren. The resulting crystals could be
analyzed by these qualitative polarity differences as well.
The biggest needles for EDDA were found from pH 9 to 11 with lengths around
0.2 mm. For EDTA the biggest needles were found at pH 13-14 with a size of 0.1 mm.
DTPA got similar results, with the biggest needles at the same region pH 13-14 at 0.1
mm. It seems like the region with the biggest needles was shifted down in pH for EDDA
compared to EDTA and DTPA. This could be explained by the higher polarity of EDTA
and DTPA compared to EDDA with fewer acetate groups. However, overall the sizes of
the biggest needles for all ligands are similar, EDDA producing the largest ones.
Furthermore, all three ligands support the hypothesis of forming needles at high pH.
EDTA and DTPA had their needles at their highest pH of 13-14. EDDA’s shifted region
of needles from pH 10 to 12 showed that at those points zinc solution is already saturated
enough with tetrahydroxide and trihydroxide ions. High supersaturation of the solution
caused ZnO to precipitate quickly, forming dendrites.
The plates for this group were clearly produced for EDDA and DTPA. EDTA
gave only needles. The biggest plates for DTPA were seen at pH region 9-11 with the
largest plate of around 0.04 mm. For EDDA the regions of high plates were the same
from pH 9 to 11, but the sizes were bigger, with the highest plate at around 0.23 mm.
Those results could be explained by the coordination numbers of the ligands: EDDA and
DTPA have coordination numbers of 4 and 8, as compared to 6 for EDTA. So, similarity
could be expected for two former ligands, especially if the primary growth unit of ZnO is
presumed to be the tetrahydroxide complex. Moreover, the tetrahydroxide complex
could explain why bigger plates were obtained for a ligand of 4 coordination, as they
might bind together more strongly than with the ligand of 8 coordination number. The
results also support the hypothesis that at a lower pH, where zinc monohydroxide species
predominate, ZnO would form plate-like crystals. In an overall comparison of plates and
35
�needles, EDDA produced the biggest crystals in both cases comparatively to EDTA and
DTPA.
Next, tetren and penten results are compared in production of needles and plates.
For tetren the longest needles were produced at pH 10-12 with the longest of 0.37 mm.
For penten the region with biggest needles was seen at pH 9-10 with the longest ones of
0.12 mm. The regions of longest crystals are different in both compounds. Tetren
partially supports the zinc tetrahydroxide hypothesis discussed previously, with needles
forming at high pH. Penten has highest needles at lower pH (9-10), and then powder is
formed at higher pH. It is possible that the region of saturation for penten is shifted down
along pH. According to the previous hypothesis, at the lowest pH (i.e. 7-8) plates should
be formed at lower pH. To test this, two more samples at pH 7 and 8 were done. Even
though the needles got longer with the biggest ones at pH 7 of 0.24 mm, there was a
formation of plates of 0.16 mm. Moreover, pH 7 and pH 8 were obtained by addition of
acetic acid, not KOH. Obviously, there are additional aspects to KOH that lead to growth
of zinc oxide crystals.
The growth of plates of both ligands produced different results also. Tetren’s
highest region for plates was at pH 12-13 with the longest of 0.66 mm at pH 13. Crystals
of penten got the biggest plates at the regions of pH 9-11 with the longest of 0.4 mm at
pH 9. As with needles, the regions of the biggest growth of plates are different, even
opposite. Here penten supports the hypothesis of zinc monohydroxide since at low pH
the largest plates appear. However, tetren does not. It is unlikely for plates to be formed
at such a high pH. However, two samples of tetren at pH 13 were made and both of them
had very big plates. In addition, the result is consistent with the results of lower pH.
Two samples at pH 12 produced plates of around 0.42 mm. Thus, the products are
logical. The results are not readily explainable considering only the zinc-hydroxide
species. Perhaps the coordination number of 5 (tetren) is more suitable for zinc ions than
6 (penten). Based on their sizes, both ligands produced pretty big plates but tetren
formed the biggest ones up to 0.66 mm. Overall, tetren produced the biggest crystals –
needles and plates.
Of the two main groups, one with carboxy/amine groups and the other with only
amine groups, tetren and penten produced bigger crystals overall. Thus, polarity does
play a role in the formation of crystals, especially for plates. It seems that the less polar
ligands produce bigger plates. Of the polar ligands, EDDA gave the longest crystals. Of
the less polar ones, tetren produced the largest crystals. Although tetren formed the
longest plates, the needles of tetren and EDDA were similar sizes of around 0.35 mm. It
seems that ligands with the lowest coordination numbers produce larger plates and
needles.
36
�Of both non-polar ligands, penten is longer than tetren, so more favorable results
might be expected from a stability standpoint. Another factor that could influence results
is that tetren was used as a salt of hydrochloride acid. As mentioned earlier in the paper,
for this reason more KOH was used for tetren to get needed pH than for any other ligand.
Increasing the total number of ions in solution increases the ionic strength, which might
affect crystal growth. Possibly, ionic strength effects are responsible for longer crystals
grown in the tetren samples at high pH. Another factor of tetren is that for the penten
samples, a white precipitate formed prior to the addition of hydroxide, indicating some
kind of precipitation reaction, possibly forming ZnO. With all other ligands the solution
was always clear. These two factors could lead penten to produce smaller crystals than
tetren.
The change in the morphology of the crystals with an increase in pH supports
the results of Gao et al. and DiLeo et al., that at low pH single needles5 and plates3 would
be expected and at high pH needles of star-like5 shape form. It was explained by the
lower and higher concentration of hydroxide ions that led to corresponding amount of
Zn(OH)42-. Tetren illustrated this: at pH 10 plates were dominant, all present needles
were single, long, thick or thin. As pH increased needles slowly became the dominant
product. Some of them decreased in size, coupled together, then formed a petal-like form
at high pH. Some, however, still kept their size throughout.3,5
Penten, on the other hand, produced a lot of powder with the expected product.
Powder was predominant in all products, as seen in DiLeo et al. work with EDTA. It
means that there was high degree of nucleation as compared to crystal growth. Similarity
between two complexes could be explained by the equal coordination number of 6.
However, their results do show some differences. EDTA, for example, produced only
powder from pH 9 to pH 11. Penten, in addition to the powder, had formed plates at
lower pH 9 with singles needles at pH 10, diminishing to powder totally at pH 13.
Penten product morphology is similar to the expected, except in the formation of powder.
For all samples, only penten and EDTA produced high amounts of powder, coordination
number does have some influence on morphology. In this case, it increases nucleation of
complexes that lead to the production of dendrites.3
EDDA, on the other hand, had formation of plates but needles were predominant
in all samples. However, needles still followed the expected morphology. At pH 9 they
were singles, and then were formed into petal-like shapes. These samples support the
influence of the amount of hydroxide ions in the solution.3,5
Thermodynamic factors could also be considered here, namely the formation
constants of three ligands with zinc ion. Penten has the largest one of 1016.24, then tetren
is 1015 and EDDA 1010.99. The formation constant would show how energetically
favorable the complex is. The disadvantage of this analysis is that the values correspond
37
�to 25˚C, but at 200˚C they are unknown. Our results, then, do not show any correlation
with the constants, as did the work of DiLeo et al.3 From three ligands, tetren produced
the best results in terms of crystal size and desired shape.
IV. Conclusions
Zinc oxide crystals were grown under hydrothermal conditions in different
chemical environments by varying ligands (EDDA, tetren and penten) and pH. The
results were consistent with other studies and confirmed the morphological habit of
crystals to produce larger amounts of plates and single needles at low pH (9-10), and starlike bunches of needles at high pH. The dendritic formation at high pH was also found to
be possible.
The key factor is the concentration of hydroxide ions. All of the results support
the hypothesis that at low pH Zn(OH)+ would promote plate growth and that at high pH
(13-14) predominant Zn(OH)3- and Zn(OH)42- would tend to form needles. Tetren
results did not support the hypothesis because it had the biggest plates at around 12-13.
These inconsistent results could only be explained by increased ionic strength due to the
presence of hydrochloride ions in its salt. In other samples, through variation of pH, the
largest plates were found at lowest pH, the longest needles – at the highest pH.
In addition, the longest needles and the largest crystals were produced in the samples
with lowest coordination numbers: tetren (5) and EDDA (4). It seems that those ligands
are better fitted with zinc ions than the others. The polarity of ligand played a specific
role. The less polar ligands, like tetren and penten, produced larger crystals than did the
polar ligands (e.g. EDDA). The thermodynamic formation constants seemed not to be
correlated to the product.
V. Acknowledgments
I would like to thank the professors in the Department of Chemistry and Physics
at Wagner College, especially Dr. Gelabert, who guided my research and repeatedly
reviewed my work. This work was financially supported by the Faculty Research Fund,
and initial lab startup funding was provided by the Megerle Foundation and the
Petroleum Research Fund.
VI. References
1. Cheng, B.; Samulski, E. T. “Hydrothermal Synthesis of One-Dimensional ZnO
Nanostructures with Different Aspect Ratios”, Chem.Commun. 2004, 8, 986-987.
2. Cotton, F.A.; Wilkinson, G. The Group IIB(12) Elements: Zn, Cd, Hg. Advanced
Inorganic Chemistry, 5th edition; John Wiley & Sons, Inc.: New York, 1988, 597-623.
38
�3. DiLeo, L.; Romano, D.; Schaeffer, D.; et al. “Effect of Complexing Agent on
Hydrothermal Growth of ZnO Crystals” J. Cryst. Growth 2004, 271, 65-73.
4. DiLeo,L. “Hydrothermal Growth of Zinc Oxide Crystals”, B.S Thesis, Wagner
College, Staten Island, NY, 2001.
5. Gao, X.P.; Zheng, Z.F.; Zhu, H.Y.; et al. “Rotor-like ZnO by Epitaxial Growth under
Hydrothermal Conditions”, Chem. Commun. 2004,12,1428-1429.
6. Hirano, S.; Kyosuke, M.; Kuwabara, M. “Multy-Nucleation-Based Fromation of
Oriented Zinc Oxide Microcrystals and Films in Aqueous Solutions”, J. Phys. Chem. B
2004, 108, 4576-4578.
7. Laudise, R.A. “Hydrothermal Synthesis of Crystals”, Chem. Eng. News 1987, 65, 3043.
8. Li,W.; Shi,E.; Zhong,W.; et al. “Growth Mechanism and Growth Habit of Oxide
Crystals”, J. Cryst. Growth 1999, 203, 186-196.
9. McBride, R.A.; Kelly, J.M.; McCormack, D.E. “Growth of Well-defined ZnO
Microparticles by Hydroxide Ion Hydrolysis of Zinc Salts”, J. Mater. Chem. 2003, 13,
1196-1201.
10. Rosa, D. “Crystal Growth of Zinc Oxide using EDTA and Ethylenediamine as
Ligands”, B.S. Thesis, Wagner College, Staten Island, NY, 2004.
11. Zhang, H.; Yang, D.; Ji, Y.; et al. “Low Temperature Synthesis of Flowerlike ZnO
Nanostructures by Cetyltrimethylammonium Bromide-Assisted Hydrothermal Process”,
J. Phys. Chem. B 2004, 108, 3955-3958.
39
��Section III:
The Social Sciences
�Prolonged QT Syndrome in College Athletes
Roxanne Febick (Nursing) 1
College athletes, and athletes at any level, are required to undergo a routine physical
examination before competing in their sport. Often, underlying cardiac anomalies are
undetected, which could result in deadly consequences. There is a lack of consistency in
the pre-participation screening (PPE) used on athletes nationwide, and is often not
thorough enough to detect serious cardiac conditions. If athletes are given information
through discussions and question/answer sessions, they will have an increased knowledge
of the signs and symptoms of cardiac problems. They can then relate any of these
possible signs and symptoms they may have been experiencing to a possible cardiac
condition and seek treatment with a physician appropriately. Discontinuation of
participation in a sport could be recommended. This study’s goal was to increase athletes’
knowledge and awareness of Prolonged QT Syndrome to reduce the number of sudden
cardiac deaths through early interventions. The use of EKG’s and echocardiograms
(which are not used during a regular physical exam) can be requested by the athlete
themselves if the symptoms are recognized. Prolonged QT Syndrome is one of the
conditions that can be easily diagnosed with the use of an EKG, and if detected early, can
save lives. If an athlete is aware he/she has this condition, withdrawing from the sport
would be highly recommended to reduce the incidence of sudden death.
I. Introduction
A seemingly healthy young college basketball player drops to the floor in
cardiac arrest during a game. A football player collapses and is found unconscious during
his team practice. Both of these scenarios, although rare, occur throughout the country in
athletes of all kinds. “Research found that nontraumatic sports-related deaths occurred in
126 high school athletes and 34 college athletes (about 16 deaths per year); 100 of these
deaths were cardiovascular in origin.” (Lyznicki, Nielson, and Schneider, pg 765, 2000)
If athletes are screened before they engage in strenuous activity for cardiovascular
anomalies, the incidence of sudden death cases may be lowered. Annual physicals are
mandatory for all students participating in any sport, but are these students even aware of
1
Research performed under the direction of Dr. Lauren O’Hare (Nursing) in partial fulfillment of
the Senior Program requirements.
42
�the risks associated with participating in a sport with an underlying heart condition and
do they even know if they have one?
College athletes, as well as athletes at any level are always at risk for injury and
possible death when engaged in demanding, strenuous activity such as football, but with
an underlying heart anomaly these risks are even higher. This research study focused on
assessment of the athletes’ own knowledge related to sudden death during strenuous
activity and its signs and symptoms. Syncope is a common occurrence among many
young people, but for a person with prolonged QT syndrome, it may cause sudden death.
“Long QT syndrome is a congenital abnormality of the heart’s conduction system which
prolongs ventricular repolarization. Intense physical activity and emotional stress can
trigger rapid, aberrant contractions originating in multiple ventricular sites that ultimately
lead to diminished cardiac output and sudden cardiac death.” (Lopez, pg 5, 2003)
Athletes with a family history of cardiovascular disease were also assessed, along with
their knowledge and awareness of any possible cardiovascular disease that may have
been inherited. If the athlete had a family member who died a sudden death before the
age of 35, this person would be an ideal candidate for cardiovascular testing using a
baseline EKG to rule out prolonged QT syndrome. “Sudden cardiac death (SCD) has
been operationally defined as a nontruamatic, nonviolent, unexpected event that leads to
cardiac arrest within 6 hours of witnessed, usual state of normal health.” (Lopez, pg 2,
2003) Finally, if the athlete showed symptoms of a possible cardiovascular problem, such
as dizziness, lightheadedness, or palpitations, would the athlete actively seek treatment or
if not why wouldn’t they? If these symptoms were present in the athlete would they also
actively continue playing their sport, and if so why and are they aware of the risks?
This research study aimed to answer these questions. For the purpose of this
study, the dependent variable was the increased knowledge and awareness of prolonged
QT syndrome, and the independent variables throughout this study included any
symptoms the athlete might have such as syncope, dizziness, lightheadedness, or
palpitations. Other variables that were identified included a family history of cardiac
anomalies, baseline EKG readings, and the type of sport the athlete played. The purpose
of this research study was to increase college athletes’ awareness of possible causes of
sudden death by increasing their knowledge through information and answering
questions, especially on prolonged QT syndrome. The athlete can then become actively
aware of any symptoms he/she had, which they may have previously thought were
innocent, such as syncope and pursue treatment as needed.
II. Research Question and Hypothesis
The research question that this study will propose is if college athletes have an
increased knowledge and awareness of prolonged QT syndrome and its risks, will they
43
�seek treatment promptly and discontinue the sport or physical activity in which they are
currently engaged? “Decisions to remove high-profile athletes with cardiovascular
disease from competition may be confounded by the complex social ramifications and
can prove difficult to implement, particularly when collegiate or professional careers are
at stake. Many elite athletes with heart disease may not fully appreciate the implications
of the medical information presented and are too often willing to accept risks and resist
recommendations to stop competing in order to remain in the athletic arena.”(Maron, pg
1072, 2003) The athletes’ acceptance of any possible cardiovascular disease may be
difficult to accept for a multitude of reasons, but when risks are explained, and any
possible diseases are fully understood, the athlete will hopefully choose not to participate.
The research hypothesis for this study: Knowledge of prolonged QT syndrome will cause
college athletes to seek medical treatment promptly and become compliant with
recommended treatment.
III. Review of Related Literature
Current knowledge of sudden death by prolonged QT syndrome states that athletes
have a minimal chance of dying of sudden death, but it does occur. If diagnosed early, a
person’s life can be prolonged by avoiding strenuous physical activity. Also, physicians
need to assess athletes’ cardiovascular status more closely, and do annual EKG’s for
students in rigorous sports such as football who present with symptoms. However, the
preparticpation screening exam (PPE) used to assess an athletes health status is not as
thorough as it needs to be. “According to the American Heart Association (AHA), the
focus of the PPE screening is to provide medical clearance for participation in
competitive sports through routine and systematic evaluations intended to identify
clinically relevant and preexisting cardiovascular abnormalities and thereby reduce the
risks associated with organized sports.”(Lyznicki, Nielson, and Schneider, pg 766, 2000)
However, there are screening problems with the preparticipation exam performed on
athletes because some potentially fatal abnormalities which are uncommon, are in some
cases undetectable without sophisticated tests that are not done. Many athletes may also
not report a family history of sudden cardiac death do to the fear that they may no longer
be able to participate. There is also a wide variation between states on pre-participation
examinations and a more uniform screening process should be implemented. “They
(AHA) found that in eight states there were no approved history and physical
examination questionnaires to guide examiners, including one state which had no formal
screening requirement. Of the remaining states, 12 had questionnaires judged to be
inadequate because they contained four or less of the AHA recommendations and only 17
states had questionnaires judged to be most adequate because they contained 9 or more of
the recommendations.” (Lopez, pg 8, 2003) Cardiac anomalies need to be detected in the
44
�most effective and practical manner and tests such as EKG’s and echocardiography may
not be used initially since the incidence of sudden death is rare and these methods are not
cost effective.
There is a clear need for a study to be implemented targeting college athletes because
the annual physical exam they are receiving each year before participating in sports may
not be in depth enough. Finding such a serious underlying heart condition, such as
prolonged QT syndrome may be rare, but if the person is aware that they have it,
measures, such as reduction in strenuous activity and medication, can be considered to
prolong their life. “We can also educate athletes about the need to seek medical advice
and refrain from training when any new exertional symptoms develop. Athletes should be
made aware that any exertional symptoms severe enough to interfere with performance
should be extensively investigated and a cardiac cause must be presumed until
disproven.” (Lopez, pg 9, 2003) If an athlete is currently participating in a sport and has
several episodes of syncope this study may raise questions that before they did not think
of and seek further treatment.
IV. Methods
The researcher utilized a population sample of thirty college athletes from
various athletic sports. The sports were chosen based on their competitive nature and the
amount of time and practice needed within the sport for participation. “The association of
unsuspected cardiovascular disease and sudden death in young athletes is not
coincidental, since participation in competitive sports itself substantially increases the
likelihood of sudden death” (Maron, pg 1067, 2003). A sample of ten football players, ten
basketball players, and ten swimmers of both genders were used to assess baseline
knowledge related to cardiovascular anomalies. This study was of a qualitative research
design to gather and review data. This study aimed to get the participants to become
aware of any possible cardiac symptoms, understand them, and then correlate these
symptoms to see if there is any relationship between prolonged QT syndrome and the
necessity of seeking treatment. The researcher did not aim to manipulate or control the
data collected, but rather connect and correlate the findings and use results to assist future
athletes and healthcare professionals. The data was collected in the format of a
questionnaire given to the athletes to answer. Questionnaires provided the researcher with
subjective data, which was then reviewed and analyzed to assess the incidence of risk
factors related to possible cardiac anomalies. Research questions asked on the
questionnaire were as follows:
1.
Have you ever experienced dizziness or lightheadedness during physical
exertion?
45
�2.
Have you ever experienced palpitations (conscious awareness of a forceful or
rapid beat) or the feeling of a “skipped beat”?
3. Have you ever experienced chest pain or a crushing sensation during physical
exertion?
4. Have you ever passed out during physical exertion? If yes, how many times?
5. Have you ever had a family member die a sudden death (non-traumatic,
nonviolent, unexpected event that leads to cardiac arrest within 6 hours of
witnessed usually state of normal health)? If yes, was it at an age of 35 or
younger?
6. Do you have any cardiovascular disease in your family?
7. Has your doctor done an EKG on you? If yes, is it done annually?
8. Are you currently diagnosed with any cardiac problem?
9. If you have any of the above symptoms are you under a doctors’ care? If not
why?
10. Would you continue to play the sport you are currently involved in if you have
had any of the above? If yes why?
The questionnaires were handed out to each of the specified team members prior to
engaging in physical activity such as a game or team practice, along with a consent form.
Each participant was asked to fill out each questionnaire to the best of their knowledge,
and was collected after they are completed. They were each told that all information is
kept confidential and that their names are not required. After all of the questionnaires
were collected the results were analyzed and any significant findings were documented.
V. Results
The results of this study were compiled after the completion of thirty surveys
filled out by ten football players, ten basketball players, and ten swimmers. There were
several striking answers found on the questionnaire that show that cardiac anomalies in
athletes are not being treated as vigorously as they should be. When asked if they have
ever experienced dizziness or lightheadedness during physical exertion an alarming 21
athletes (70%) reported that they have and only 9 athletes (30%) reported that they have
not. However, when further questioned if they have ever experienced palpitations
(conscious awareness of a forceful or rapid beat) or the feeling of a “skipped beat” only 6
athletes (20%) reported that they have, while the remaining 24 athletes (80%) reported
that they have not. When questioned if they have ever experienced chest pain or a
crushing sensation during physical exertion, 8 athletes (26.7%) reported that they have,
with the other 22 athletes (73.3%) claiming that they have not. The next question asked
was have you ever passed out during physical exertion and only 3 athletes (10%) reported
46
�that they have and when asked how many times each individual response was once,
twice, and three times. The next question asked the athletes if they ever had a family
member die a sudden death (nontruamatic, nonviolent, unexpected event that leads to
cardiac arrest within 6 hours of witnessed usually state of normal health) and if yes, was
it at an age of 35 or younger. Only two athletes (6.7%) reported that they have, but this is
significant because if the cause was a cardiac anomaly these athletes are at a much higher
risk for sudden death while engaged in physical activity. When asked if they have
cardiovascular disease in their family, 10 athletes reported yes (33.3%) and other 20
athletes (66.7%) reported that they do not. The next question was very important, and
uncovered astonishing results. When the athletes were asked if their doctor has ever done
an EKG of them and, if so is it done annually only 10 athletes (33.3%) answered yes, and
of those ten only 1 person (3.3%) answered that it was done annually. This means that 20
athletes out of 30 (66.7%) reported that their doctor has not done an EKG on them. When
they were next asked if they are currently diagnosed with a cardiac problem 5 athletes
(16.7%) reported that they are and 25 athletes (83.3%) reported that they are not. When
further asked if they have had any of the above symptoms and are they under a doctor’s
care only one athlete (3.3%) said they were. This means that 29 athletes (96.7%) reported
that they are not, and some wrote down that they are referred to an athletic trainer on
campus rather than a physician. The final question asked to the athletes, and the most
important, proposed that if they had any of the above signs or symptoms would they still
continue to play and an overwhelming 24 athletes (80%) answered yes, while only 4
athletes (13.3%) answered no, and 2 athletes (6.7%) answered that they were undecided.
The question also asked why they would still continue to play even if they had symptoms,
and several answers given were that they loved the game, dedication, scholarship and
financial needs, and that they don’t think anything serious would happen to them. Since
80% of the athletes surveyed said that they would still continue to play even with these
signs and symptoms, the researcher would like to increase the athletes’ understanding of
the seriousness of cardiac anomalies through continued teaching by providing
information and answering any further questions. However, the researcher believes that
the awareness level was increased in the athletes who participated in the survey because
several reported back to the researcher that they would ask their primary care physician
about the need for an EKG, and would question their physician about the seriousness of
their own individual signs and symptoms. The researcher found that many of the athletes
surveyed were curious about the study and the need for more thorough physicals and
testing procedures performed by their own primary care physician before participating in
their sport.
47
�VI. Limitations
As within any study there are limitations that may have affected the possible
outcome and skewed the results. The limitations that may have skewed the results within
this study could have possibly been within the athletes themselves. The athlete may not
have answered as honestly to the questions due to the fear that they would be pulled from
the sport for an underlying heart condition, or any other medical condition. The athlete
may have also not answered the questions accurately due to the fact that the
questionnaires may have been given out at an inappropriate time for them. Also the
participants’ own perceptions of the actual seriousness of cardiac anomalies, and if they
have an underlying heart condition as well may have distorted the results. Another
limitation the researcher found while conducting the survey, was that some of the
wording used in survey may have been unclear and confusing. Many of the athletes
questioned the researcher on what EKG meant and many of them did not even know what
it was. Some athletes also reported to the researcher that some of the wording was
confusing for them. However, the major limitation to this study was the size of the
population used. This study was only conducted on a small number of college athletes at
one school, and to get more substantial results a larger population should be used with
athletes from several schools. The results from this study did show significant enough
results to prompt future researchers to investigate college athletes and their awareness for
cardiac anomalies and their seriousness, as well as the thoroughness of the
preparticipation exams college athletes, and athletes at every level are receiving
nationwide.
VII References
1. Lyznicki, J.M., Nielsen, N.H., & Schneider, J.F. (2000). “Cardiovascular Screening of
Student Athletes”, American Family Physician, Aug.15, 62(4), 765-774.
2. Maron, B.J. (2003). “Sudden Death in Young Athletes”, New England Journal of
Medicine, 349, 1064-1075.
48
�Relational Aggression: Finding Ways to Deal
with This Negative Female Behavior
Gina Sportiello (Psychology) 1
Past research and experimentation conducted on aggression focused only on physical
forms. By the late 1970's, researchers began to notice how detrimental a female form of
aggression was in society. Relational aggression is now a widely researched form of
aggression and the many studies conducted have allowed people to better understand
female behavior. An in-depth literature review was carried out in order to familiarize the
general public with the research done on aggression. The present study focuses on
assessment of levels of relational aggression in an all-female high school and
interventions which were formed in order to help female adolescents deal with this
behavior.
I. Introduction
As human beings, we are subjected to feeling a wide range of emotions.
Sometimes we are able to control them; yet, there are times when they seem almost
impossible to suppress. Aggression is usually defined as hostile or violent behavior or
attitudes. When looking back at the history of Psychology, one can see the developmental
evolution that the theory of aggression has experienced. Throughout the earlier years of
aggression studies, the only form of aggression that was primarily focused on was those
acts which were physical (Frodi, Macaulay, & Thome, 1977). The majority of these
studies only used men as participants which made it impossible to know whether or not
women were also aggressive. For quite a long time, physical aggression was the only well
known form of aggression and this was quite problematic since it ruled out other forms of
aggression and excluded women as aggressive beings. When studies began to include
women as participants, researchers did not observe women engaging in physical
aggression as often as men were. It was close to the 1980's in America that a form of
female aggression was even considered to exist and research finally began to slowly take
place. It was not until about a decade ago that another form of aggression has become the
focus of these studies. This alternate form of aggression always existed but was never
1
Research performed under the direction of Dr. Amy Eshleman (Psychology) in partial fulfillment
of the Senior Program requirements and presented at the 2005 Eastern Colleges Science
Conference.
49
�studied because of its covert nature. Researchers tended to overlook it as though it was
not detrimental to a human being’s psychological well-being.
When more recent studies began to expose the evil side of this covert
aggression, it was made known that it is a behavior that can cause great psychological
distress and has the power and ability to begin in childhood and last throughout
adulthood. This new relational aggression, which is the name it has been given, is a part
of everyday life for many of us. It is behavior that is meant to cause damage to
relationships and affect an individual’s emotions and feelings (Simmons, 2002). Both
men and women can be observed engaging in this negative behavior; however, studies
have shown that females use this aggression far more than men do. In order to truly
understand how this form of aggression has evolved and how social scientists began
studying it, we need to have a better understanding of the study of aggression as a whole.
The history of aggression goes far back in time, but this paper will cover about five
decades of the experimental research available on the topic. As noted earlier, females
were not given the least bit of consideration in aggression studies earlier than this time.
This paper will then discuss present studies I am conducting in order to get a clearer
understanding of this behavior and find ways of dealing with it.
1950s-1970s—Studies of Aggression Focus on
Physical Aggression as Primary Aggressive Behavior
Research and experimentation done during these years focused mainly on
physical aggression. Several pointed out that there might be other forms of aggression
and even that there may be existing gender differences in the way that the sexes express
aggression; however, little was done to further explore this idea.
A review of much of the available experimental literature was conducted by
Frodi, Macaulay, and Thome (1977). In this article, the authors wished to understand
whether or not women were truly less aggressive than men. Their focus was still on
direct, physical aggression and how often both sexes exhibited this behavior. All articles
included studied only males and females; no children or animals were used as subjects. A
review of studies done in the 1950s, 1960s, and 1970s was performed in order to compare
and contrast the claims made by those researching the subject. The majority agreed that
women were much less likely to engage in physically aggressive behavior unless
thoroughly provoked, whereas men would resort to a violent approach more quickly.
Many of the experiments done in these studies had to be conducted in the controlled
environment of a laboratory which makes it harder to truly simulate a situation in which
an individual might have to decide whether to act aggressively or not. It is rather difficult
to conduct experimental manipulations of aggression outside of the laboratory that are
50
�controlled, and most ideas are quite unethical. Is it possible to ethically simulate a riot or
hijack a means of public transportation? Certainly not.
After thorough research and review of these many articles, Frodi and colleagues
concluded that any sex differences that may have appeared could largely be explained by
the concept of sex (gender) roles. They explain that perhaps the different upbringing that
many boys and girls experience can have an effect on what they think is appropriate
behavior in certain situations. Females may refrain a bit more or shy away from physical
aggression since girls are often told to behave in a certain reserved manner. This idea of
gender differences was quickly abandoned after this study and following studies during
this time period continued to focus on physical aggression.
A study conducted by Kraft and Vraa (1975) did not focus on aggression in any
way, but looked closely at the different interaction styles of males and females. Through
observation, they saw that when playing in all female groups, girls tend to keep to
themselves and congregate in private places. They chose to develop and focus on intimate
relationships with one or two other girls in most cases. Quite different from this kind of
interaction was that observed of the boys. The boys studied all chose to play games in
open spaces and were much rougher when coming in contact with another boy. They did
not focus on forming close-knit relationships as much as the females had and were more
comfortable playing with several boys. These findings can give us a better idea of how
boys and girls tend to act and help to understand why they aggress in certain ways. Girls
are more involved in developing relationships with other girls, which allows us to make
sense out of why they might want to aggress they way they often do. They tend to aggress
against the other girls in their group in a passive, “nonchalant” sort of way while boys
aggress in a more violent, outright way. This will be looked at more closely later in the
paper.
1980s—Research on Aggression Begins to Consider
Alternate Forms of Expression Other Than Physical
The research done in the 1980s on aggression often sought to disprove any
studies conducted in prior decades. This is quite normal practice in the field of
psychology (and many other academic fields, as well) for researchers to conduct
experiments and literature reviews in order to find different results which might hold
more legitimacy than those done in previous years. Even so, most of the articles written
in this decade still focused on physical aggression as the most important form of
aggressive behavior. The researchers often restated many hypotheses that had already
been set forth, but usually they added a bit of their own findings and ideas as well.
Eagly and Steffen (1986) conducted a literature review which they compared to
the work of Frodi et al. (1977). A meta-analytical review of the social psychological
51
�literature allowed the authors to conclude that men, indeed, are more aggressive than
females. The studies which were researched predominantly dealt with physical rather
than psychological aggression and the majority had results showing that males are likely
to act in a direct, aggressive manner more quickly than women and do not show as much
guilt afterwards. Women, as a whole, reported higher levels of anxiety and guilt as a
consequence of aggression and were much more concerned that this kind of negative
behavior could be harmful to even themselves. In Frodi et al.’s review, the conclusion
was made that women usually were less aggressive than men, but not in all cases. They
also focused more on the amount of provocation which was needed in order for an
individual to behave aggressively. However, Eagly and Steffen stated that only six out of
the fifty-six cases studied showed women who came close to equaling the aggression
levels of the men studied; none of these studies observed women being the more
aggressive sex.
Eagly and Steffen (1986) focused predominantly on the physical and
psychological impacts that aggression has on victims. What would appear to many as a
new piece of information this article provides is that it raises the idea of how much of a
role biology plays in the exhibition of aggressive behavior. Many scientists wish to
demonstrate that these behaviors can be attributed to biological reasons, but Eagly and
Steffen state that they find it difficult to attribute the development to purely biological
reasons. They offer the concept of social roles as a predictor that the two sexes will
behave differently given the differences expected of them. The idea they wish to express
as logical reasoning for this type of physical behavior and how there are sex differences
present is that these differences can be considered a function of perceived consequences
of aggression learned as aspects of gender roles and other social roles. In other words,
females and males are raised in two very different ways and these socially learned roles
progressively become more ingrained as time passes. This idea was introduced by Frodi
at al. as a reason for why girls might not be as aggressive as boys usually are. Girls are
taught to get along with others and develop long lasting relationships, whereas boys often
learn that the male sex is supposed to be dominant. Therefore, males place more
importance on dominance and intimidation in order to “guarantee survival”. This very
important point was not discussed in great detail, but studies which would take place in
the following years would build upon this theory.
A study which supports the nurture argument as reasoning to explain sex
differences in aggression was conducted by Tomada and Schneider (1997) on Italian
children. The researchers followed similar formats to those used in earlier relational
aggression studies, however, their results differed. They found that boys reported higher
occurrences of both overt and covert aggression. No follow up studies were conducted,
however, if this research were to be duplicated and found the same patterns, it would be
52
�likely that nurture plays a large role in the way the sexes aggress. Further research needs
to be conducted in order to further our knowledge on the subject.
Cairns, Cairns, Neckerman, Ferguson, and Gariepy (1989) wished to study the
growth patterns of children as they progress into adolescence. Through doing so, their
goal was to find out if aggressive behaviors changed as these children grew older.
Another aim was to find whether or not there were differences in the aggressive natures
of boys and girls and how these differences were exhibited. Readers can observe that at
this point in time, studies were beginning to seek out sex differences in aggression in
order to try and find if females really were not aggressive beings by nature. The
researchers conducted a six-year study in 1981 of 220 fourth graders. The final
assessment was made on the adolescents as they finished their ninth grade school year
(only a very small percentage was not present by the end of the study). A few methods
were used in order to properly measure the aggressive natures of these children.
First, they were given peer nominations in order to see how often each child
was nominated as an aggressor or as a target. Next, each child sat down with an
interviewer during a social cognition interview. During these, the child was asked
questions dealing with both physical aggression (hitting and shoving) and indirect
aggression (slander/gossip, clique exclusion). They told the interviewers about bullies,
any conflicts they were presently involved in, and how included they felt in social groups.
Finally, teachers and administrators were given Interpersonal Competence Scale-Ts (ICST) in order to assess the children’s aggression levels from an adult point of view. These
adults were also given the chance to comment on each child and how well they interact
with others (Cairns et al., 1989).
What was found in this study was that fourth grade boys reported more physical
conflict with other boys (45%) than with girls; whereas girls reported a very low level of
physical conflict with both boys and girls. By the seventh grade, boys were reporting an
increase in physical conflict while girls reported a dramatic decrease (the percentage of
female physical conflict reported and observed dropped from 25% to 11%). These results
show that there are definite sex differences when dealing with the issue of aggression,
however, this study also explored on the levels of indirect aggression reported. When
reporting the event of social alienation, boys rarely expressed any occurrences of this in
their social interaction. On the other hand, the majority of the young girls involved in the
study reported high levels of this kind of aggression. By the time this group reached
adolescence, the occurrence of alienation was at its all time high among girls. This study
shed some light on the idea that there is more than one form of aggression, and that this
alternate form is popular among young girls. It also laid down the foundation which was
going to be built upon in the coming years by researchers highly interested in this form of
female aggression (Cairns et al., 1989).
53
�1990s—Relational Aggression Emerges as a Leading
Form of Aggression Among Females
The 1990s were the decade in which the most research was done on female
forms of aggression. Interest in the subject was at its peak and psychologists were ready
to make breakthroughs in the field. It wasn’t until a group of Scandinavian social
scientists began doing in-depth research on female aggression that behavioral scientists
stopped ignoring this covert form of aggression. An American psychologist by the name
of Nicki Crick has, to date, done the most extensive work on the subject and has
contributed to the overall knowledge we have today on relational aggression. From the
literature review below, it is easy to see just how influential this woman has been in
raising awareness of relational aggression and helping to change accepted aggressive
behaviors.
Crick and Grotpeter (1995) developed a study that focused on relational
aggression and its detrimental effects. Previous childhood aggression studies had
demonstrated that boys were the more aggressive sex in almost all situations. The authors
of the present article hypothesized that this conclusion was a reflection of a lack of
research on alternate forms of aggression which could be relevant to young girls. They
discussed a study done several years before by Feshbach (1969) which postulated that
gender differences existed in forms of aggression. In a study by Feshbach, girls were
more likely to alienate unfamiliar students and try to exclude them from groups.
However, not much relevant research was done after this in order to find out more. Most
of the studies done in the past had simply chosen to study one form of aggression and
then make a generalization of the results as they pertained to both sexes. Crick designated
the term relational aggression to this phenomenon in order to describe the covert
aggression in which females often partake.
Relational aggression is defined as behavior that is intended to damage
relationships or acts that have the results of threatening damage to relationships. Crick
and Grotpeter’s (1995) hypothesis focused on how girls would express aggression toward
peers. They felt that the female participants would engage in behavior which would be
directed towards harming others in terms of relationships and feelings. Girls are likely to
place more interest on forming friendships and spend much of their time developing
close-knit groups. Therefore, if they wanted to aggress against someone, their aim would
be to damage that person’s relationships in one way or another. This reasoning could be
attributed to the study done by Eagly and Steffen (1986) in which social and sex roles
were discussed as contributing factors to how the sexes express aggression. Since boys
are more likely to place emphasis on “being on top”, the best way to dominate other boys
at a young age is to be physically aggressive.
54
�Most of the past research had focused on aggression forms that were salient for
boys, which would be the act of physical violence. Crick and Grotpeter (1995) saw that
this was not as important to girls as the maintaining of relationships is; therefore, girls
began expressing their aggression in a different way. Crick and Grotpeter conducted a
study using 491 third- through sixth-graders as participants and assessed three aspects of
interaction: relational aggression (social ostracism, gossiping), overt aggression (physical
and verbal abuse), and social- psychological adjustment. Peer nominations were used as
well as scales that could help measure social adjustment levels of the children. The
results confirmed the hypothesis and showed that girls are significantly more relationally
aggressive than are their male peers. It also showed that relationally aggressive children
are more likely to experience social maladjustment than their non-aggressive
counterparts. The adjustment scales revealed that these aggressors experienced greater
levels of depression, loneliness, and peer rejection. When physical and relational forms of
aggression were assessed, both sexes exhibited equal amounts of aggressive behavior.
Crick (1996) later studied in depth the roles that relational and overt aggression
play in the way that children adjust socially and how these behaviors could affect them in
the future. After much observation and several studies on relational aggression, Crick
found evidence that supported how this form of aggression remains relatively stable over
time. Girls who exhibit this behavior are likely to continue engaging in it even as they get
older. The teacher and peer assessments that were used in this particular study to get a
better understanding of relational aggressors were significantly correlated. What this
means is that there was a significant correlation between which students were perceived
as relationally aggressive and socially accepted by these assessments. Many of the
aggressors were seen as having problems adjusting socially and would aggress when their
social position was threatened. She also found that maladjustment was experienced by
victims of this behavior who were socially shunned by certain groups. Crick points out
that this kind of aggression can be extremely detrimental to a child’s development and
action needs to be taken in order to make changes in how females behave. In order to do
this, researchers needed to get a better understanding of when this behavior begins to
show up in interaction.
Crick, Casas, and Mosher (1997) extended the previous study’s idea of
relational aggression being hazardous to a young child’s mental health. Longitudinal
studies have shown that childhood aggression is one of the best-known social predictors
we can use to assess any future maladjustment that an individual might incur. Victims
are likely to experience immense emotional distress as targets of this negative social
behavior; similarly even the aggressors are exposed to harmful effects of this even though
they are the perpetrators. The authors wanted to find the origins of this behavior by
finding out when it first begins to show itself.
55
�Their idea was to study preschool children in order to see if they exhibited any
signs of aggressive behavior, and if so, which types. There were a few benefits to
studying preschool classes, such as how children this young are often less inhibited when
it comes to interacting while adults are present. This allows for more natural behaviors to
be observed since preschool teachers are given greater access to peer interactions than
elementary school teachers. However, it would be nearly impossible to rely solely on
peer reports of aggressive behavior since children this young are likely to remember
aggressive behavior that is physical, but not as likely to remember more subtle behavior
such as social exclusion or withdrawal (Ladd & Mars, 1986). Due to this last factor, the
social scientists used a multi-informant approach in order to get a reliable gauge of
aggression; this means that both the young children and the preschool teachers were
involved. What was discovered as a result of this study was that relational aggression is,
in fact, observable in preschool-aged children. Physical and relational forms of
aggression were exhibited behaviors of these young children and, once again, females
tended to engage in the latter a bit more than the males.
Since most of the studies conducted on relational aggression focused exclusively
on young children, many began to wonder if children are the only age group to exhibit
this type of behavior. A study conducted in the late nineties measured relational
aggression and psychosocial adjustment among a sample of college students (Werner &
Crick, 1999). Interestingly enough, yet perhaps not surprising, this type of behavior was
quite relevant to even an older group of students. The researchers found that relational
aggression is positively correlated to psychosocial adjustment, and that it might be
possible for those experiencing relational aggression to have some problems adjusting
socially. The study indicated that further research should be done on samplings of this
age group in order to find out more and analyze any patterns found.
2000: Relational Aggression is Closely Examined and Prevention Methods are Created
The most recent studies on aggression have been focusing on different aspects
such as relational, physical, and the many correlates of both; the majority of these studies
focus on children as subjects. Much of the literature is aimed at finding ways to end the
cycle of relational aggression that has been in existence for more time than we could even
know. Since it took so long for studies to begin to focus on this form of aggression, this
kind of aggressive behavior has become almost normal and accepted in our society.
We now see widespread awareness of this issue not only in our society, but in
other societies as well. In a recent study, American and Indonesian children were
interviewed and observed in order to assess relational and overt aggression. Although
there are many differences between these two social and ethnic groups, a common thread
was found through this study. Girls from both cultures reported high levels of social
56
�exclusion and other forms of relational aggression on a daily basis while boys reported
few occurrences related to relational aggression. Cross cultural psychologists are now
attempting to assess levels of relational aggression within a variety of cultures in order to
see if this pattern exists in other countries that may have different rules and standards
(French, Jansen & Pidada, 2002).
As widespread awareness occurs, so has the rise in interest of the subject in more
mainstream publications. An eye-opening book written by Rachel Simmons quickly
became a best seller. Odd Girl Out: The Hidden Culture of Female Aggression in Girls is
an insightful book that shed light on female bullying. Filled with personal stories of
victims, victimizers, educators, parents, and mental health professional, Simmons
managed to address this issue and help many to understand what a significant problem it
is in our schools and our society. In the early 1990s, a woman named Susan Wellman
also helped educators and parents learn more about relational aggression. Wellman began
a program in Pennsylvania called the Ophelia Project. This program was aimed at
assessing levels of relational aggression in schools and then conducting interventions that
help raise awareness about this form of predominantly female choice of aggression.
Teachers, counselors, and administrators work to provide these young girls with an outlet
for releasing any distress they have experienced due to relational aggression and help
them think of ways in which they can change their behavior in a positive way. This
program is now a part of school curriculum in schools across the country (McKay, 2003).
Research done by Crick and Nelson (2002) allows us to see that friend victimization
occurs among both boys and girls. Both boys and girls exhibit behavior which is not only
directed toward “enemies” but oftentimes at friends as well. However, girls are more
relationally aggressive than boys, and boys are more physically aggressive toward their
friends than are girls.
Crick and Nelson are quite discouraged by the fact that so much research has
been focused on physical forms of aggression and hope that more research will be
conducted on relational aggression in order to better assess the present day situation and
how we can tackle this widespread problem. Presently, interventions are held in certain
schools in order to raise awareness of this issue and hopefully help put an end to it.
New Endeavors Studying Relational Aggression
Interventions are an excellent way of addressing relational aggression and to get young
females involved with the issue. I worked alongside Dr. Amy Eshleman and Dr. Laura
Martocci for several months in order to start a new branch of the Ophelia Project at
aggression for 21 years but could never see that it was a true form of aggression; I had
always just thought it was girls being nasty and that it was normal. We are given lectures
in school on how fighting and physical violence would not be tolerated and anyone who
57
�engaged in any violent acts would be punished, but rarely is mental abuse ever discussed.
Studies have even been published that show evidence that preschoolers (usually
males) engage in overtly aggressive behavior (Ladd & Price, 1987). Yet no one ever
yelled at the girl who whispered to her friend that they shouldn't let Susie sit with them
that day at lunch, and no teachers ever yelled at the girls who ostracized Kim after she got
glasses. Yet, weren't these girls all victims of harmful behaviors? Teachers and parents
are often observed saying things such “words can never hurt you so you will get over it”
when situations like these occurred. We were never warned against gossiping or
castigated for the glaring looks exchanged during Math class. I couldn't believe that
someone had finally named this awful behavior and was doing something to raise
awareness of this deplorable attack on the mind. Now I was being given the chance to do
something to help change the way girls acted and shape what they think is acceptable
behavior. Over the course of the fall semester, much of my time was dedicated to
researching relational aggression and programs which have been created to try to bring
awareness to females and males alike. One thing that needs to be made clear is that men
are not excluded from this form of aggression, but the present research and interventions
focused on young girls because they are the ones who engage in this kind of behavior
most often.
My field placement was a bit different from those of my Reflective Tutorial
peers in terms of structure and how much hands on work I would be getting. I helped
begin a mentorship program at Notre Dame Academy which would involve having
meetings with faculty and students to try and understand the level of relational aggression
in existence at the school. High school mentors trained by the Ophelia Project would be
going into guidance sessions in order to talk about relational aggression and the many
problems which stem from it. Wagner College female students would be aiding in these
interventions that would take place during ninth-grade guidance groups. By being
observers in these guidance groups we would be able to get a real understanding of how
much of this behavior is prevalent in high school aged girls and hopefully offer ways to
overcome it.
I met several times with Notre Dame girls to talk about their personal
experiences and how they wished to be helped by these interventions (none of these girls
were freshmen since the freshmen were the class that would be receiving the
interventions). What I found was that almost every girl is not only a victim of this
harmful behavior, but has also been the victimizer. It took a while for some to admit that
they, too, had been in the bully role at least once in their lives. Psychologically, it is very
easy to assume the role of victim. In fact, there are many perks that come along with
being the victim such as sympathy. As human beings we often find it hard to accept full
blame and responsibility for something if we can just pass the blame on to a scapegoat.
58
�But one of the first lessons that women need to learn is that before we can try to rid the
world of relational aggression, we need to take ownership of our own wrongdoings; once
we reshape our own negative behaviors then half of the problem will be fixed.
Leading up to the interventions, I met often with a sophomore mentor who was
very excited about the Portia Project (this new branch of the Ophelia Project which was
started with the help of Wagner College). I learned that this negative behavior takes place
on a daily basis and that she herself currently knew of several girls who felt like outsiders
even though they had no idea why. When asked if she ever tried to make these girls feel
accepted and befriend them, she expressed her fears of being ostracized herself. She
knew that it was wrong to allow this exclusion to continue, but did not want to become
the odd girl out as these young girls were. This made me think of the many articles I had
read on the topic, in particular the work by Nikki Crick. Crick, Casas, and Mosher (1997)
found that relational aggression could lead to problematic social adjustment in children.
Relationally aggressive children were found to be vulnerable to the likelihood of
depression since many nonrelationally aggressive children did not want to associate with
these individuals. Loneliness of the victim is also a major issue since social ostracism can
be quite emotionally debilitating. The sophomore's stories of lonely girls wandering
around the hallways of the school accompanied only by their sadness made me think that
our society has waited far too long to take action against this harmful behavior. It is
disheartening to think of how many girls there are across the country who are being
vicitmized at this very moment but feel utterly helpless. To whom can they turn? Parents
and teachers are likely to tell them that it is just a phase that passes and to just be nice to
the bullies, but it is much easier said than done. These adults are not being exposed to
emotional and mental torture on a daily basis.
Monday, November 15th was the day of our first interventions. I was going to be
running four of them along with one other Wagner College mentor (different mentor each
session) and 2 Notre Dame mentors. Researchers were quite nervous about how receptive
the girls were going to be towards the mentors and the intervention. Our topic of the
month was going to be gossip and reputations since this is one way women retaliate when
seeking to hurt another woman (and sometimes another man). My first group consisted of
about 15 rather rambunctious young ladies who were eager to be talking about “real life”.
Once I began the meeting and introduced the topic of the month “Female aggression:
Reputations, giving and getting them”, girls were practically jumping out of their seats in
order to have their thoughts and voices be heard. It was quite incredible to see these girls
speaking so candidly about what they have to endure as women in our society; they were
all very aware of relational aggression's presence in everyday interactions and very much
affected by it.
59
�Some girls were tired of being given labels that they didn't deserve such as nerd,
slut, or lazy. They felt that other girls were quick to give labels with the intentions of
hurting people, and they were tired of trying to constantly defend themselves. One girl
said that as a girl one has to constantly defend her own honor and good reputation
because in one moment it can be wrongfully destroyed by a relationally aggressive girl.
Some girls seemed genuinely affected by what we were discussing and it was easy to see
the pain that they have endured. Two of the groups were rather reserved when first
getting started, and some of the girls seemed somewhat confused by the intervention.
That disappeared quickly after about 15 minutes of conversation.
Each session lasted 45 minutes and needless to say it was quite a feat to try and
accomplish so much in such a short time; but it was definitely worth it. It was uplifting to
see the relief on these young girls' faces as they relieved themselves of burdens which
had been weighing on their minds. It seemed almost therapeutic for them to be telling
their stories to people who were willing to listen and help. The freshmen were extremely
receptive to the college mentors which leads me to believe that it might be beneficial to
conduct interventions with only the college mentors and “mentorees”. Some of these
young women left the room with big smiles on their faces as though they had just
divulged a secret they had been keeping for a long time. I’m not sure if this is what it
feels like to be a practicing psychologist, but I certainly hope that every once in a while
this sense of accomplishment and happiness is part of the job (even when there are some
bad days in between).
One Friday afternoon, I sat down once again with the sophomore mentor I had
been meeting with to discuss a meeting that the high school mentors attended the
previous day. She expressed extreme interest in the program and a solid comprehension
of relational aggression and how harmful it is to female mental health and social
interaction. After a few hours of talking, I was interested in how she would feel talking
about romantic relationships between boys and girls if older high school girls were
present during these intervention sessions. I was curious about this since one of our
interventions would focus on how girls are often competing for male attention and in the
process might hurt or betray a good friend. It can be rightfully assumed that many ninth
graders may not want to divulge their secrets if there were older students in the room who
might know who they were talking about. The young lady said to me, “I guess I wouldn't
want to talk about boys if, like, cool older girls were in the room. But if they were loser
girls who didn't have many friends to tell anyway then I would definitely talk about it.
Because then I would know that they had no friends to tell and girls like that don't really
care about boy stuff, anyway”.
My heart sank as she finished speaking and asked me why I was looking at her
in such a strange way. Perhaps it was the month of research on relational aggression that
60
�led me to believe that we, as a society, would be successful in changing our behaviors
and educating the young girls of our community. Or maybe it was the fact that this one
young female had shown so much progression in her thoughts and ideas on how we need
to address this problem in order to abolish it. Yet, after a month or so of talking with her
in one moment my hopes were destroyed. To be quite honest, although it may have
seemed like a silly comment to someone else, to me they were words I was shocked and
saddened to hear.
After my meeting with this young student, I went home and began pondering the
reasons why females engage in this kind of harmful behavior. One theory which I
strongly believe is a major factor in relational aggression’s formation are the concepts of
gender and gender roles. Even though I am extremely interested in the study of gender, I
tried to look at this behavior in an objective manner. Yet, time after time my thoughts
kept wandering back to gender roles. It is quite obvious for anyone to see, whether
through observation or research, that boys and girls are often brought up in different
ways. Little girls, from an extremely early age, are told to be sweet and ladylike.
Feminine qualities include sensitivity, kindness, gentleness, and reservation. After all,
there is that saying which goes “Sugar and spice and everything nice”; this is a model for
how young girls are taught to behave in order to be able to develop into refined women
(Crick et. al., 1997).
On the other hand, young boys are encouraged to get dirty and be a bit
rambunctious. When boys run wild and wrestle or get into fights, the reason is usually
that “boys will be boys”. So why this double standard and what could be some of the
problems it could cause? Biology might affect our treatment of the sexes since body
structure often differs. Males are usually stronger and their bodies seem more “sturdy”,
whereas females usually have smaller bone structure and might seem more fragile. So
this dichotomy of strong versus fragile might affect our views of the two sexes. Our
treatment of girls can make females believe that they are inferior to men and that they
constantly need to please people (Vail,2002). By saying that girls don’t feel anger and
don’t behave aggressively, we are forcing them to find ways to release their aggression.
What can be better than forming an aggression in which one’s actions are covert so that
they often go undetected, yet, the victim always feels the wrath?
Relational aggression is the logical answer to women’s feelings of vengeance
and anger. They are able to release tension building up inside, whether it is from anger,
jealousy, or hurt feelings, without going against their feminine expectations. A “sweet
and innocent” young girl can use this psychological weapon without harming her
reputation (Simmons, 2004). Since boys are not always discouraged when it comes to
expressing their anger and to be a bit “rough around the edges”, then they are far more
likely to lash out overtly. We can also consider the work done by Crick and Grotpeter
61
�which took into account the emphasis that girls place on relationships. By damaging a
relationship, the pain the victim feels might be worse than any physical pain (Crick
&Grotpeter, 1995). Of course, this may not be the correct conclusion to come to when
trying to find reasoning for relational aggression, but this is what I have put together
logically through my field placement, research, and experience.
By sitting down with these girls it has occurred to me that they are quite set in
their ways, as many of us become by a certain age. Most can understand that their
behavior isn't very positive or beneficial to our well being, yet they don't think that they
can change; even worse, some have accepted it as normal. Too many of them seemed to
have been positively affected by the interventions offered to them all across the country
and even if the sessions were to help only one female, then that would be a success. The
emotional and psychological lives of young girls are precious and easily breakable. We
all need to join together to help make the transition into adulthood for these adolescents a
bit easier. Perhaps psychologists would not see as many patients with social adjustment
problems if relational aggression was greatly reduced.
Interventions and informational sessions are wonderful methods of making girls
aware of their hateful behavior, but they need to start at a much earlier age. Pre-school is
actually a wonderful place and time to begin teaching children about physical and
relational aggression. By high school, girls have been engaging in this kind of behavior
for so long that they believe it is acceptable. We, as a society, need to help our young
girls and shield them from the trauma that relational aggression can bring. Educators,
parents, scholars, scientists, students—we all need to take ownership of our own actions
and change the way we interact. Only then can we help those young girls wandering
aimlessly in the hallways by themselves wondering why no one wants to be their friend.
The Present Study: Assessment of Levels of Relational Aggression in the Fifth Grade
Presently, Amy Eshleman, Laura Martocci, and I have been developing a new
study which involves fifth graders. After having worked with high school aged females, it
was obvious that a younger age group would be ideal to work with in order to assess
these negative behaviors before they have been blown out of proportion. After about a
year of establishing ties with New York City Public School #16, school officials gave us
permission to enter their fifth grade classrooms in order to measure relational aggression
and work with teachers to try and reduce levels present in the school. Our hope was to
have gone into the school at the beginning of the Spring semester, however, receiving
permission from the school and our own internal review board took longer than expected.
As of the present time, we have received permission from all parties involved and will be
beginning our study this month.
After using a few measures of relational aggression, interacting with the fifth
62
�grade children, and analyzing data, we hope to develop a concise assessment of the
current levels of relational aggression amongst PS 16's fifth graders. In the future, we will
use this analysis to develop future interventions and curriculum pertaining to relational
aggression for use with younger children.
II. Method
Projected Participants
Fifth grade students from Public School 16 will form our participant pool. We
are unsure as of yet how many will participate in the study. Both male and female
students will participate. Parental consent forms will be distributed to two fifth grade
classes and the children who are given permission and a signed consent form will be
asked to participate. Since PS 16 is an ethnically diverse school, it is likely that the
sample of children used will be diverse as well.
Materials
An interview script will be used by each researcher so that every child is asked
the exact same questions. A tape recorder will be used during the interview to record the
children’s responses. The audiotapes used to record information will be destroyed as soon
as they are transcribed in order to protect the children’s identities. Each researcher will be
given a form on which notes can be taken for later use.
Procedure
In order to better assess the level of aggression at PS 16, we felt it would be
ideal to interact with the children in a comfortable environment in order to encourage
participation and allow them to feel comfortable speaking freely about their own
experiences. One-on-one interviews will be conducted by a researcher outside of the
classroom during class time in a quiet room. Each interview will be recorded and the
audiocassettes will later be transcribed. A script has been written and will be followed by
the researcher during each session. The script contains questions pertaining to aggression
and school environment. They cover topics such as physical and verbal bullying, social
exclusion, the frequency of such behavior and other scenarios relevant to this type of
behavior. The questions are very clear and straightforward, and a few examples are: Have
you ever been left out of a group at school? How did this make you feel? How many
times has it happened? How did you react in this situation? All of the questions follow
the same format in that a main question is asked and then follow-up questions are asked
pertaining to the main question. The interview was carefully designed in order to promote
comfort in answering freely and honestly.
63
�After conducting these interviews with the participants in the sample, tapes will
be transcribed and notes will be reviewed. After all data are gathered and analyzed,
information will be used to create a clear-cut, descriptive breakdown of aggressionrelated issues that need to be addressed at the school. The information gathered will allow
researchers to develop interventions with the help of school officials that will address the
behaviors students reported as being most problematic and help them to find ways of
coping with it.
III. Discussion
The Future of Aggression
Our idea of aggression has certainly changed over the years. From the 1950s
when only physical forms of aggression were studied and women were thought to be nonaggressive beings by nature, to the present day when we now see that women are
relationally aggressive individuals. The concept of what aggression is, who is aggressive,
and when they are aggressive has developed into complex ideas that have helped us
understand human nature and how we express our anger. Although it is not completely
clear why women tend to engage in relational aggression and men tend to engage in
physical, there are two arguments which usually arise. There is the biological view which
states that these differences are inborn and therefore males and females cannot help but
act in such ways. The opposing view states that these are socially learned behaviors that
are taken in through the environment (Galen & Underwood, 1997). Gender and sex roles
often mitigate what behaviors are acceptable of each sex and behavior follows
accordingly. Perhaps in the coming years we will be able to find evidence that supports
one of these views or can cohesively blend the two, which is what most research today
does. It seems likely that a combination of the two is the most successful way of truly
understanding aggression and its origins.
It would be interesting to see if in the future we can create more ways of
measuring relational aggression other than peer nominations and interviews. However,
since these methods seem to be quite effective, it is likely that they will be used for
several years to come. Also, it would be beneficial to study groups of adults and measure
their levels of relational aggression. Many of these studies seem to have focused on
children and adolescents; granted, this is probably due to the fact that relational
aggression is at its highest during these phases of life. However, it would be interesting to
see just how prevalent this form of aggression is among adults in the workplace and even
in leisurely situations.
Social scientists now see how detrimental relational aggression is to females and
how much emotional distress it can cause. Due to this, we as a society can attempt to find
64
�ways to help girls channel their aggression in a more positive way than gossiping and
social exclusion. For many years, female aggression was ignored since its covert nature
made it easy to overlook. Even when people noticed the negative behavior, it was often
dismissed as a normal phase in life that would end. It wasn’t considered important
enough to address as overt forms of aggression were, such as black eyes and bloody lips.
But the vicious cycle of relational aggression hasn’t ended and an observer can easily see
that even adult women exhibit this kind of behavior. Hopefully, progress in the field will
continue to be made in order to ensure that the young girls of tomorrow will be able to
enjoy a life free of the psychological distress that can be caused by this newly studied
form of aggression.
IV. References
1. Bjorkqvist, K., Osterman, K., & Lagerspetz, K. (1994). Sex differences in covert
aggression among adults. Aggressive Behavior, 20, 27-33.
2. Cairns, R., Cairns, B., Neckerman, H., Ferguson, L., & Gariepy, J. (1989). Growth
and aggression: Childhood to early adolescence. Developmental Psychology, 25, (2),
320-330.
3. Casas, J. & Crick, N. (1998). Social information processing and relational aggression
in preschool. Journal of Abnormal Psychology.
4. Crick, N. (1995). Relational aggression: The role of intent attributions and
provocation type. Development and Psychopathology, 7, 313-322.
5. Crick, N., & Grotpeter, J. (1995). Relational aggression, gender, and socialpsychological adjustment. Child Development, 66, 710-722.
6. Crick, N. (1996). The role of overt aggression, relational aggression, and prosocial
behavior in the prediction of children’s future social adjustment. Child Development,
67, 2317-2327.
7. Crick, N., Casas, J., & Mosher, M. (1997). Relational and overt aggression in
preschool. Developmental Psychology, 33, (4), 579- 588.
8. Crick, N., & Nelson, D. (2002). Relational and physical victimization within
friendships: Nobody told me there would be friends like these. Journal of Abnormal
Child Psychology, 30, (6), 599-608.
65
�9. Eagly, A., & Steffen, V. (1986). Gender and aggressive behavior: A meta-analytical
review of the social psychological literature. Psychological Bulletin, 100, (3), 309330.
10. French, D., Jansen, E., & Pidada, S. (2002). United States and Indonesian children’s
and adolescents’ reports of relational aggression by disliked peers. Child
Development,73, 1143-1148.
11. Frodi, A., Macaulay, J., & Thome, P. (1977). Are women always less aggressive than
men? A review of the experimental literature. Psychological Bulletin, 84, (4), 634660.
12. Galen, B. & Underwood, M. (1997). A developmental investigation of social
aggression among children. Developemental Psychology, 33, 589-600.
13. Kraft, L., & Vraa, C. (1975). Sex composition of groups and pattern of self-disclosure
by high school females. Psychological Reports, 37, 733-734.
14. Ladd,G. & Mars,K. (1986). Reliability and validity of preschoolers’ perceptions of
peer behavior. Journal of Clinical Psychology, 15, 16-25.
15. Maccoby, E. (1990). Gender and Relationships: A developmental account. American
Psychologist, 45, 513-520.
16. McKay, C. (2003). Relational aggression in children: The Ophelia Project makes a
difference. Camping Magazine,76, 24-26.
17. Simmons, R. Odd Girl Out. Harcourt Books, Inc. (2002).
18. Tomada, G. & Schneider, B. (1997). Relational aggression, gender, and peer
acceptance: Invariance across culture, stability over time, and concordance among
informants. Developmental Psychology, 33, 601-609.
19. Vail, K. (2002). Relational aggression in girls. The Education Digest, 68, 7-8.
20. Werner, N. & Crick, N. (1999). Relational aggression and social-psychological
adjustment in a college sample. Journal of Abnormal Psychology, 108, 615-623.
66
�The Effect of Objective Self-Awareness
on the Ability to Deceive
Gareth Shumack (Psychology) 1
This study attempts to ascertain whether objective self-awareness has an effect on
complex social interactions. My proposition is that objectively self-aware participants
would be less able to deceive than control participants. A total of 23 undergraduates
from an Introductory Psychology class were assigned to either a self-focus condition or
control condition. Participants in both conditions were asked to drink an aversive drink
and then to deceive the interviewer that they actually enjoyed the drink. The self-focus
condition was confronted with a live feed of themselves on a 27-inch (0.69m) television
screen; the interviewer’s jacket covered the same television for the control group. The
results did not support the hypothesis. A new natural performer hypothesis was offered
to explain the results.
I. Introduction
The question and notion of the self and self-awareness may be best left for
philosophers to debate. Psychology by its nature assumes that the self exists (James,
1918). Over the last three decades much research has been conducted within this specific
field within the social psychology branch of psychology.
Self-awareness theory proposes that individuals take stock of, and evaluate their
behavior by comparing this behavior to their internal expectations of themselves. The
early pioneers of this field were Duval and Wicklund (1972), with a theory of objective
self-awareness. The theory dictates that when we are conscious our awareness can be
directed either externally or internally, but not both simultaneously, in other words our
focus is bi-directional. Early on Duval and Wicklund separate the notion of subjective
and objective self-awareness where “Subjective self-awareness is characterized by a
feeling of control over the environment… [and] Objective self awareness is associated
with entirely different effects, for the individual views himself as another object in the
universe” (Duval & Wicklund, 1972, p. 6). When in the state of objective self-awareness
the individuals will begin to evaluate themselves as an object. They shall compare their
current or actual state against an ideal state, self-image and self-concept. This self1
Research performed under the direction of Dr. Amy Eshleman (Pyschology).
67
�concept is a schema of the self that is built throughout the individual’s life. However as
Silvia (2001) demonstrates there are many different origins, organizations, and affective
consequences of these standards.
People become objectively self-aware frequently under a variety of situations,
for example many studies, like Duval and Wicklund (1972) and Carver and Scheifer
(1978), have used mirrors or video cameras to activate this process. Mirrors and cameras
activate this process because it makes the participants aware of themselves, to the point
where they view themselves as another object in the universe that they can be both
objective towards and judgmental (Aronson, Wilson & Akert, 2005, p. 139). When
people’s objective self-awareness conflicts with their self-schema of their internalized
standards, some interesting psychological workings begin to take place. According to
Duval and Wicklund (1972), the individual will begin to feel cognitive dissonance, which
occurs because of the conflict between actual behavior and the ideal standard of behavior.
This cognitive dissonance is not uncommon as reaching the perfect ideal self and
multiple standards is by no means easy to achieve.
Cognitive dissonance was first explored by Leon Festinger (1957), the
Cognitive Dissonance Theory ascertains when a person has two contrasting cognitions it
causes a feeling of uneasiness that the person would like to ease and alleviate. According
to Duval and Wicklund (1972) the method of alleviating this discomfort can be obtained
by two routes of action. 1). Avoid the stimulus that induces these feelings, therefore
preventing or eliminating the comparison process. 2). Modify behavior to match
standards.
One model that spawned from the objective self-awareness theory is the selfdiscrepancy theory (Higgins, 1987). This model is a form of cognitive dissonance but is
more specific than cognitive dissonance in the examination of differences in the
individual’s affective reaction to self-awareness. According to this theory, the
inconsistency of actual self to the standard of ideal self will have effects similar to that of
cognitive dissonance, such as motivation to alleviate the feelings of discomfort.
Congruently the individual will feel psychological distress as dejection, when the existing
self is discrepant with the ideal or ought self, unless the self is discrepant from others’
ideals and standards in which case shame and embarrassment will be the outcome (Silvia
& Duval, 2001).
People generally have a strong desire to maintain a positive self-image, and if
possible to match their actual self and behavior to their ideal standard. However research
by Giesler, Josephs and Swann (1996) suggests that not all people have to have a strong
positive self-image. People with depression have a negative self-image, and they will
seek to verify that negative self-image (Giesler, Josephs and Swann, 1996). Anyone who
would challenge, for example by giving positive feedback, could face rejection by the
68
�depressed person. As mentioned previously, cognitive dissonance can occur in a variety
of ways. In the realm of self-verification it could arise if a conflict between the feedback
and behavior toward a person was discrepant with his/her self-image. If a person was
exposed to a mirror this would make him/her objectively self-aware. If this individual
were in the process of an act that conflicts or is discrepant with his/her internalized
standards, he/she would feel cognitive dissonance. For example shoplifters may think
twice if they see themselves on Closed Circuit Television (CCTV) as this would objectify
them and force them to compare stealing with their schema of the positive self and their
internalized standards, which actually become more salient because they are being made
objectively self-aware. The shoplifters may continue to steal and avoid looking at the
CCTV screen (route 1) or choose not to steal (route 2) to maintain their positive selfimage and prevent or reduce cognitive dissonance.
One challenge that has been prominent in early research was the issue of
measurement, how can research effectively measure self-awareness? Nisbet and Wilson
(1977) found that people report inaccurately on the basis of introspection because they do
not interrogate their memory correctly and instead fabricate causal explanations between
the stimulus and their response. Despite these challenges, a host of research has
developed a means of measuring objective self-awareness and introspection.
A common means to accomplish this is to use a questionnaire to measure the
level of objective self-awareness. This was the method of choice for Insko, Worchel and
Songer (1973) who used a questionnaire to measure attitudes about the legalization of
LSD and asked subjects questions like, “Describe your feelings during the initial phase of
the experiment” (p. 264) which was measured on a scale ranging from not self-conscious
to self-conscious. The study used 96 introductory psychology students from a North
Carolina university. All of whom were opposed to the legalization of LSD. The study
manipulated awareness with a video camera and also had an effort variable where
participants anticipated cycling a distance of either four miles or a quarter of a mile. The
camera condition successfully increased the participants’ awareness. The level of
anticipated effort also affected the amount of dissonance felt; higher effort resulted in
higher dissonance. If the participant chooses to exert greater effort than write a pro
legalization essay then, logically LSD must not be that bad because he/she does not mind
exerting the effort given the choice. High effort and a negative view of LSD are two
inconsistent cognitions, so in order to reduce the dissonance the participant changes a
cognition, in this case his/her opinions of LSD.
Carver and Scheifer (1978) wanted to test the hypothesis that mirrors would
make their participants more objectively self-aware. The procedure was quite
straightforward; the participants were randomly assigned to a cubical with either a large
mirror or no mirror. In the cubicle they completed the Self Focus Sentence Completion
69
�(SFSC), created by Exner (1973), in privacy and then when finished returned the SFSC to
the experimenter. Two judges who were blind to the assignment of the participants
scored the SFSC independently. Only items agreed upon by the judges were used for
analysis. The results demonstrated that participants in the mirror condition made
“proportionally more self-focus responses than did those in the no-mirror condition”
(Carver & Scheifer, 1978, p. 327). They also ran a second experiment with the same
procedure except that a confederate was used as the “object” to increase the participant’s
objective self-awareness. Just as the presence of a mirror can increase an individual’s
objective self-awareness so can a confederate. For the participant being watched by
someone else has much the same effect as watching his/her reflection in a mirror, it
makes him/her self-aware. Having someone sit and watch over the participant can easily
make him/her feel more self-aware. Similar to the eerie experience of believing someone
is watching one during a walk down an empty street, this may cause a state of arousal or
hyperawareness of the surroundings and the self, for example an individual’s self
dialogue where he/she might evaluate his/her options may become more salient. The
results using a confederate mirrored those of the first experiment.
One variation that can be used for measurement is the Stroop color-word
technique as utilized by Geller and Shaver (1975). Participants were asked to name the
color of the text and not the word. The text was actually a color name, e.g., red, and the
ink was a color other than red. According to the research those who are made objectively
self-aware had greater latency whilst naming the word’s color. The procedure for the
first experiment was for the participant to complete three tasks as follows. Firstly to
name the color of a row X’s. Secondly to read a list of words in black ink which were
either self-relevant or self-evaluative. Finally they were asked to name colors as in the
Stroop procedure with either a camera and mirror or nothing. Geller and Shaver found
that the objectively self-aware condition had a greater latency than the control, but
thought that the second stage of the above procedure diluted the effect. They therefore
ran a second experiment, which eliminated the second part of the procedure; the results
indicated a main effect, which was similar but stronger than the first experiment, of the
camera and mirror condition on the participants’ color naming latency. This was
attributed to the increase of self-awareness caused by the stimulus. Those who read the
self-relevant or self-evaluative lists would have an interaction effect with the mirror
creating a state of objective self-awareness, which would lead to an increase in color
naming latency. The reason for the increased latency is that the state of objective selfawareness acts as a form of interference on the color-naming task, an individual can only
think of so many things simultaneously; in this case either about the self or about the
task.
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�Another interesting measure of objective self-awareness was used in the
research conducted by Fenigstein (1979) that examined social interaction and objective
self-awareness. Fenigstein stated that the level of self-consciousness experienced by the
individual affects attribution-making in group settings. The experiment hypothesized that
people in a high self-awareness group would be more sensitive to group rejection and
also attribute the rejection to personal attributes more than a person in a low selfawareness group. In this experiment the candidates were pre-screened for a disposition
for either high or low self-awareness.
The procedure used was a waiting room guise, where participants supposedly
waited for the real experiment. In the waiting room a number of confederates entered
separately and then began a conversation, the real participant was either encouraged or
totally rejected by the group. After a little time the experimenter returned and said the
final participant was a no show and they had to be reassigned, in order to do this they had
to fill out a questionnaire.
The results indicated that the group’s behavior was adequate as the rejection
manipulation, because “group favorability” measured by the participant on a seven-point
scale was significantly lower in the rejection condition. The dependent variable of
affiliation showed that participants in both the heightened self-consciousness condition
and rejection by the group condition were less likely to want to join that group and liked
the group less on average than that of other conditions. Within the rejection groups, high
self-consciousness had a clear effect in lowering attractiveness of the group. Participants
were asked to attribute the behavior of the group, for example “my anxiousness” 75%
and “the group being rude” 25%, totaling to 100%. Those in the higher selfconsciousness condition made higher internal attributions in contrast to casual
attributions about the group.
Previous research essentially looks at how objective self-awareness is activated
and how it is measured. This current research endeavor attempts to establish how an
increase in objective self-awareness will affect a complex social interaction. It is
therefore necessary to examine some of the studies that involve the chosen interaction,
deception.
Research by Baston, Thompson, Seuferling, Whitney and Strongman (1999), on
moral hypocrisy touched on this issue. Moral hypocrisy can be simply defined as when
moral people fail to act morally. There are some horrific examples of this, that have been
a recurring theme throughout the last century such as the Holocaust, My Lai; such types
of atrocities continue around the world today, for example in Rwanda. Whilst ethical
research would never wish to replicate such atrocities it can replicate a portion of the
psychological realism despite having very low mundane realism. Baston et al. found that
an increase in objective self-awareness led to an increased and heightened awareness of
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�disparities among people’s salient standards and their actual behaviors, which leads to an
increased pressure to meet their salient standards and match the two. Also important to
the various studies in moral hypocrisy is the salience of standards. Studies where
standards were salient led participants to follow those standards, whilst in a state of high
self-awareness, conversely those in conditions where the standard was unclear resulted in
a change in the standard. In other terms, when the individual knew what the correct
manner to act was, for example to tell the truth, they were more likely to do so if he/she
were in a state of high self-awareness. However when the standard is ambiguous, for
example the individual is not sure whether telling a lie is wrong, a change in standard was
more likely. The individual was able to essentially pick whether they would lie or tell the
truth.
The present study proposes that people who are made objectively aware through
a television picture of themselves will have greater difficulty in deceiving another person.
The awareness group will be more detectable as being deceptive by blind judges. This is
because people can make the distinction that deceiving someone is an immoral act or
discrepant with their salient personal standards. Those in the control group will have less
difficulty because they will not have the obstacle of induced objective self-awareness by
an image of themselves on a large television. They will not have to contend with the
cognitive dissonance or self-discrepancy caused by deceiving someone and their
perception of ideal self, which includes the ideals of right and wrong, i.e., their salient
personal standards.
II. Method
Participants and Design
A total of 23 undergraduates (5 men, 18 female) from Introductory Psychology
classes at Wagner College, a small liberal arts college, participated as part of a research
participation option for course credit. They were assigned to one of two conditions, a
self-focus condition or control condition.
Procedure
Upon arrival to the psychology lab participants were welcomed, they then read
and signed the informed consent form. They were given an opportunity to ask questions
about the form and about the experimental procedure, which was described in the consent
form.
Participants were asked to sit behind a table. On the table was a 0.25L
transparent cup containing 67.5ml of a concoction of Flavor-Aid mixed as per
instructions except with two tablespoons of white vinegar and no sugar, to make the drink
taste unpleasant, replicated from a study by Harmon-Jones, Brehm, Greenberg, Simon
72
�and Nelson (1996). Participants were instructed to “convince” me, the interviewer, that
the contents of the cup tasted good throughout a variety of questions (see Appendix).
Feelings were ascertained at the end of the interview by asking the participants to
honestly rate the drink on a verbal 10-point Likert-type scale (1=dislike extremely,
10=like extremely). The interviewer then gave instructions to the participant to complete
the post-experimental questionnaire, and left the room.
Self-Focus Manipulation
In the self-focus condition participants were confronted by a 27-inch (0.69m)
television that was placed adjacently with the interviewer, approximately two meters and
a 30° angle from the participant. The television displayed a live feed of them during the
interview. The video camera was out of sight, as it remained in the same location for
both groups.
The control condition also had the same television in the same location except
the interviewer’s coat covered it, to prevent a reflection from the glass of the television
inadvertently inducing self-focus. The television was not powered. Participants in the
control group were asked permission to use the video footage during the debriefing.
It should be noted that a variety of items were placed on the table next to the
television with the video camera concealed from the participants within an open box.
Dependent Measures
Participants were asked to complete a self-reflection and insight scale after the
interview at the table; the questionnaire was a replication from a study conducted by
Grant, Franklin and Langford (2002). The questionnaire was scored according to scoring
instructions set forth by Grant et al. This was used as a manipulation check for the selffocus versus control condition.
The deception measure was compiled by two independent blind judges on a
scale of 1 to 10, where 1 is not deceptive at all and 10 is very deceptive. Differences
between judges’ scores were averaged to obtain a single score for each participant.
Judges did not see the participants’ verbal score of the drink’s quality, the last interview
question, until the deception score for that participant was derived. As another measure,
two different independent blind judges were asked to simply state if the participant was
being truthful or deceptive. In the instance of disagreement judges were asked to discuss
the participant and obtain a consensus. Both groups of judges consisted of one male and
one female judge to counter gender bias effects.
73
�III. Results
To test the hypothesis that an increase in objective self-awareness would create
greater cognitive dissonance and reduce the participants’ ability to lie, I ran a series of ttests. Predicting that the dependent variables (judges’ deception score and self-reflection
scale) by condition (self-focus and control).
The t-test to test the experimental manipulation, which predicted that those in
the self-focus condition would have higher self-reflection scores than those in the control
condition, was not supported by the results, t (21)= 1.07, p> 0.05. Those in the self-focus
condition (M = 81.83, SD = 5.67) did not have a significantly higher self-reflection and
insight score than those in the control group (M = 77.27, SD = 13.60).
The hypothesis that those in the self-focus condition would have lower
deception scores than those in the control condition was not supported by the results, t
(21)= 1.73, p> 0.05. Those in the self-focus condition (M = 4.48, SD = 1.73) did not have
a significantly lower deception score than those in the control group (M = 3.36, SD =
1.31).
The Chi-square analysis to test whether the participant’s self-awareness had an
effect on their ability to deceive also proved to be insignificant, χ2 (1df, N=23)=1.11,
p>0.05. However it did show a trend that was concurrent with the results of the t-tests.
Within the self-awareness condition judges were incorrect 63.6%, the participants
successfully deceived the judges, in comparison to the control group where judges were
incorrect only 33.6%, the participants did not deceive the judges.
IV. Discussion
The results show that the hypothesis that objective self-awareness would
decrease participants’ ability to deceive in this case was not supported. There could be
many reasons why the hypothesis was not supported. One very important factor is that
the manipulation may not have been strong enough to cause a significant effect, as
indicated by the first t-test. This was a surprise as I thought that the manipulation was
very strong, if not almost exaggerated. Despite the results of the t-test many participants
reported that the television indeed made them “feel weird” and were very aware of its
presence.
It is possible that it was not a case of a weak manipulation but rather an
ineffective measure of their objective self-awareness; perhaps an alternative method or
questionnaire would have supported a significant difference between groups. However it
is entirely plausible that the measure was effective but the experience of being in the
laboratory heightened the control group’s self-awareness. One interesting difference
between the groups was the standard deviation within each group; the control group had
greater deviation in its scores about the mean. It is conceivable that the manipulation had
74
�a focusing effect on the range in which participants answered and therefore how they
were scored by the judges. Perhaps the manipulation somehow had a restrictive effect on
the participants.
Assuming that it was just the measure of the manipulation that failed the
hypothesis could still not be supported. The t-test for the hypothesis that was
insignificant, and in fact began to show results contradictory of the original hypothesis.
Examining the means of the two conditions it is possible to see that self-focus condition
had deception scores above that of the control condition, which supports the trend that
both the t-test and chi square exhibit.
The results pose a problem, as they are contrary to previous literature (Insko,
Worchel & Songer, 1973; Baston et al., 1999). One possible explanation that this was the
case was that the first set of judges expressed difficulty differentiating between the
participants’ levels of deception. Judges felt as if all the participants were ineffective in
their deception. The inter-reliability of the judges was correlated to show a mere r = 0.48
between the two. Previous research has also found that people have problems detecting
deception and in fact are no better at detection than that of chance (Ekman, O’Sulliva &
Frank, 1999). Some cases proved to be problematic as they evaluated the aversive drink
in a positive way with scores as high as seven, whilst some others obviously seemed
unclear on the instructions they received.
One pertinent issue was that some participants who scored particularly well on
the deception scale by the judges, expressed during debriefing no problems in committing
the act of deception because of the context of the situation. I would like to propose a
natural performer hypothesis to explain this phenomenon. Perhaps the context of the
situation for some participants acts as a catalyst to enhance their performance. Certain
people, who I shall call natural performers, have a disposition to act. These are people
who are extroverted by nature and socially gifted. Examples of these types of people
could be musicians, actors and athletes, all of whom regularly find themselves in front of
audiences and their performance under assessment. That being said vocation may not be
an indicator as these personality types could excel in many fields. For the natural
performer the chance to role-play would be considered a game. The television and the
presence of the interviewer facilitate performance for the natural performer, who enjoys
both the attention and evaluation.
Natural performers differ from other people who may feel uneasy in a similar
situation; they are able to release and relax which would allow the experimental situation
to become fun. This in essence would help facilitate performance, as from my
observations of people they will exert more effort toward tasks that they believe to be
fun.
75
�There is some evidence to support this hypothesis. Deception is a social skill
that is necessary to manage our day-to-day interactions. The motion picture Liar Liar
staring Jim Carey made light of a lawyer’s inability to lie for just one day, which
emphasizes our need for this vital social skill. I would suggest that the natural performers
have mastered this as well as other vital social skills, which is why they are capable of
performing well, regardless of the condition to which they were randomly assigned. Of
course at this point this is merely conjecture but could prove to be an interesting avenue
of pursuit.
An alternative explanation for some of the results may be explained by the
research by Giesler, Josephs and Swann (1996). Perhaps those who performed well had a
negative self image. The implications of having a negative self-image are that the
deception would still be considered a salient standard, but in contrast with a person with a
positive self-image, they would expect to break this standard as a part of who they are to
match their self-image. It is also conceivable that some individuals would deem an
acceptable act. One would hope that the experimental control and random assignment
should reduce the chances of this affecting the results.
Further studies should address why the manipulation was ineffective in this case.
I believe that changing the methodology of this study could yield more significant results.
Perhaps by having four conditions based on good drink versus bad drink and deception
verses honesty condition would solve some problems. We could then ask judges whether
the participant is either being honest or deceptive, as was the case with the second set of
judges in this study. A Chi-square analysis could then be used to analyze the results.
This experimental design would require more participants as the Chi-square has less
power than the t-test. I also believe that further research should also be conducted to test
the natural performer’s hypothesis, as this would alter the way in which objective selfawareness would be perceived.
The implications of this research could be quite important for real-world
application. If future studies find that objective self-awareness does indeed aid certain
people’s ability to deceive then locations such as police interrogation rooms would have
to avoid the use of a one-way mirror during interrogation. Objective self-awareness as a
phenomenon deserves further attention as it intersects with many areas of life, however as
this study demonstrates the examination of these complex processes cause significant
methodological issues that need to be rectified in future studies.
76
�V. References
1. Aronson, E., Wilson, T.D., & Akert, R.M. (2005). Social Psychology. New Jersey:
Prentice Hall.
2. Baston, D. C., Thompson, E. R., Seuferling, G., Whitney, H., & Strongman, J. A.
(1999). “Moral Hypocrisy: Appearing Moral to Oneself Without Being So”, Journal
of Personality and Social Psychology, 77 (3), 525-537.
3. Carver, C. S., & Scheifer, M. F. (1978). “Self-Focusing Effects of Dispositional SelfConsciousness, Mirror Presence, and Audience Presence”, Journal of Personality and
Social Psychology, 36, 324-332.
4. Duval, T. S., & Wicklund, R. A. (1972). A Theory of Objective Self-Awareness.
New York: Academic.
5. Ekman, P., O’Sulliva, M., & Frank, M.G. (1999). “A Few Can Catch a Liar”,
Psychological Science, 10, 263-266.
6. Fenigstein, A. (1979). “Self-Consciousness, Self-Attention, and Social Interaction”,
Journal of Personality and Social Psychology, 37, 75-86.
7. Festinger, L. (1957). A Theory of Cognitive Dissonance. Stanford, CA: Stanford
University Press.
8. Geller, V., & Shaver, P. (1975). “Cognitive Consequences of Self-Awareness”,
Journal of Experimental Social Psychology, 12, 99-108.
9. Giesler, B. R., Josephs, R. A., & Swann, W. B. (1996). “Self-Verification in Clinical
Depression: The Desire for Negative Evaluation”, Journal of Abnormal Psychology,
105(3), 358-368.
10. Grant, A. M., Franklin, J., & Langford, P. (2002). “The Self-Reflection and Insight
Scale: A New Measure of Private Self-Consciousness”, Social Behavior and
Personality, 30, 821-836.
11. Harmon-Jones, E., Brehm, J. W., Greenberg, J., Simon, L., & Nelson, D. E. (1996).
“Evidence that the Production of Aversive Consequences is Not Necessary to Create
Cognitive Dissonance”, Journal of Personality and Social Psychology, 70(1), 5-16.
77
�12. Higgins, T. E. (1987). “Self-discrepancy: A Theory Relating Self and Affect”,
Psychological Review, 94(3), 319-340.
13. Insko, C. A., Worchel, S., & Songer, E. (1973). “Effort, Objective Self–Awareness,
Choice and Dissonance”, Journal of Personality and Social Psychology, 28, 262-269.
14. James, W. (1918). The Principles of Psychology. New York: Dover Publications.
15. Nisbett, R. E., & Wilson, T. D. (1977). “Telling More Than We Can Know: Verbal
Reports on Mental Processes”, Psychological Review, 84(3), 231-259.
16. Shadyac, T. (Director), & Grazer, B. (Producer). (1997). Liar Liar [Motion Picture].
United States: Universal Studios.
17. Silvia, P. J., & Duval, T. S. (2001). “Objective Self-Awareness Theory: Recent
Progress and Enduring Problems”, Personality and Social Psychology Review, 5(3),
230-241.
78
�Appendix A: Experimental Interview Script
Instructions: To be read by the interviewer in sequence. Questions that appear to be a
closed question should be supplemented by a follow up question of why? This will also
be a means of prompting participants who give short answers to some of the more open
questions.
As you can see in front of you there is a cup with a drink in it. I would like to ask you
some questions about the drink. But regardless of how you feel I want you to convince
me through your answers that you like the drink. Please sample the drink and I’ll begin.
1. How would you describe it?
2. Did you like it?
3. What specifically about the drink did you like?
4. Is there anything about the drink you disliked?
5. Would you buy this in shops?
6. What type of people do you think would enjoy drinking this drink?
7. What type of drinks do you drink everyday?
8. Is this something you would be able to drink everyday like [response to question 7]?
9. Would you recommend this to your friends?
10. If I were one of your friends, what would you say so that I would taste this new
drink?
11. To conclude how do you feel overall about the drink?
After response to question 11.
Now on a scale of 1 to 10, where 1 is means dislike strongly and 10 means like extremely
I want you to give me your honest opinion. How did the drink taste?
79
��Section IV: Critical Essays
�Gender as Performance in Todo sobre mi madre
Lindsay Beren (English)1
At the moment of our birth we are sexually identified as either a girl or a boy.
Consequently, we enter this world with a fixed gender identity. Most of us would not
think twice about this idea. But… what if I were to challenge this notion and say that we
are not born into our gender, but rather we create this identity through the course of our
conscious actions? Judith Butler, a feminist critic, claims that “identity is not something
planted in us to be discovered, but something that is performatively produced by acts that
effectively constitute the identity they are said to express or reveal” (2487). Ultimately,
our lives consist of a series of performances, and it is through these performances that we
create our gender identity.
In the extraordinary award-winning Spanish film, Todo sobre mi madre, Pedro
Almodóvar explores this issue of gender identity. His work exemplifies Judith Butler’s
critical theory and in the process, makes a captivating argument of gender as
performance. Almodóvar uses the art of cinematography in order to show how, as
capable human beings, we create our identity through the act of performance. He portrays
female characters who are full of depth and insight; in doing so, he shows the inevitable
role of performance in creating their identity. For Almodóvar, “life is a divine form of
acting.” Thus, we are all actors playing a part, and that role becomes the powerful source
that we use to construct our gender identity.
First, we have the intriguing character of Agrado, played by actress Antonia San
Juan. The interesting aspect of San Juan and her character is the fact that she is a woman
playing the role of a man who in turn is playing the role of a woman. Immediately,
Almodóvar shows us the unique layering of Agrado’s character and invites us into the
complex world of gender performance. Butler, in her article, gives power to
Almodóvar’s portrayal of Agrado. She says, “Being female constitutes a cultural
performance rather than a natural fact” (2489). For Butler, gender is a kind of continuous
impersonation that becomes reality. Agrado, in her poignant monologue, reveals the way
in which her identity is the result of a continuous sense of conscious attitude and
behavior. In a particular scene, Almodóvar begins by using imaginative cinematography
and illumination in order to create an effective double force. The camera focuses on the
1
Research performed under the direction of Dr. Marilyn Kiss (Languages) for a Faculty Masters
Presentation (April 26, 2005).
82
�side of Agrado’s face. Suddenly, a bright white light takes over the screen for a second
and then this light transforms into a spotlight on Agrado. This becomes an illumination
in both a literal and a figurative sense. Almodóvar is about to give us insight into the true
nature of gender identity. The white light significantly becomes the spotlight in order to
imply the connection between gender and performance. Agrado appears in the center of
the stage, and her monologue becomes the focus of the camera and in parallel, the focus
of the scene. The structure of this scene is so significant because it is a direct reflection of
the idea of gender as performance. Agrado announces that she is here to entertain the
audience due to the fact that the show, a staging of A Streetcar Named Desire, has been
cancelled. Almodóvar creates a performance within a performance, within even another
performance. San Juan plays the part of Agrado, who in turn is performing for this
audience. Further, Agrado reveals that she is really a male who has shaped her female
identity through a series of performances. It is important to see that Almodóvar uses a
medium plane in order to focus on Agrado, and more importantly on the image of her
body. The actress’s appearance is extremely significant here because she appears to have
all the features of a woman. Further, she is dressed in a pink sweater and red leather
pants, which are colors that have become associated with and tend to emphasize
femininity. She has created a physical appearance for herself that has helped her build
her identity as a woman.
Almodóvar then shifts the focus of the camera closer in on Agrado so that we
can see her genuine facial expressions and link them to her interesting dialogue. She says
that she is “authentic,” but then ironically she goes on to list all of the physical changes
that she has made to her body in order to create a female identity. Her authenticity lies in
the fact that Agrado is aware that she performs her role as a woman each day and in this
particular moment, she reveals the truth behind this identity. Yet, at the same time, she
says that she had to undergo all of this surgery in order to fully perform her identity
because gender is a created element. Butler’s theory support’s Agrado’s discourse in that
she believes that “the inner truth of gender is a fabrication; thus genders can’t be true or
false, but are only produced as the truth effects of a discourse of primary and stable
identity” (2497). It is obvious that Agrado’s speech is the result of a stable, created selfidentity that she has produced and validated with strength and confidence.
Almodóvar switches gears and shifts the focus of the camera to a general plane
of the audience in order to show the overall reaction to her speech. They laugh and clap
enthusiastically, seeming content with Agrado’s speech. Her sense of self-assurance in
her created gender is obviously very strong because the audience praises her authenticity.
It is vital that we look under the surface of this scene. We notice the large
quantity of males in the audience and it is inevitable that we associate these figures with
the powerful idea of the gaze. According to the feminist critic, Laura Mulvay, we are
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�overwhelmed with images of the male gaze, which generally is directed from males to
females. Although directors sometimes subvert this gaze, here, Almodóvar clearly
presents the males as strongly gazing upon Agrado. In doing so, he reaffirms Agrado’s
ultimate success. The males gaze upon her and accept her as an object of femininity; thus
she has built her desired identity and achieved her goal of acquiring a female identity.
This entire scene is an incredible depiction of Almodóvar’s view of gender as
performance. Agrado’s identity in itself is the result of a lifestyle of acting. Her
monologue is a performance that serves to reinforce the idea of acting one’s gender.
Agrado is who she is because she has shaped her identity as a woman. As Butler claims,
“That the gendered body is performative suggests that it has no ontological status apart
from the various acts that constitute its reality” (2497). Through her actions, Agrado has
made her female identity a reality not only for herself, but for everyone around her.
Another particularly interesting character is Lola, the transvestite. Lola, played
by Toni Canto, also creates her identity as a woman by performing her role as a
nurturing, sincere female figure. In one of the final scenes of the film, Almodóvar shows
the way in which Lola completely indulges in the qualities of femininity and builds her
gender identity. First, the camera shows a distant focus on Lola in order to give us a
general idea of her appearance. She is an attractive woman with a pretty face and an
appealing figure. Next Almodóvar makes the careful decision to change the focus of the
camera onto Manuela (Cecilia Roth) and Lola together. He uses the first plane in order to
emphasize the intimate interaction between both women. We are able to see the details
of their faces, as well as the expressive actions of their shoulders and their arms. In using
this technique Almodóvar shows the tender and loving nature in which Lola takes the
child, which is “her” son with Penelope Cruz, from Manuela’s arms. This emphasizes
the way in which she performs her role as a female. She shows her great sensitivity,
along with her motherly instincts in handling the infant “she” engendered.
It is important that we notice that after Manuela gives Lola the photograph of
Estéban, who is Lola’s son with Manuela, Almodóvar chooses to shift the focus of the
camera to a close-up of Lola. Now, we can see Lola’s deep emotion in response to the
picture of “her” dead child. Lola begins to tear, which becomes another way in which she
plays out the role of the woman. In support of this idea, Butler proposes “we understand
sex and gender as citational repetitions. We understand the meaning of woman or man as
a result of cultural definitions. Individual actions then cite these meanings and play off
them in various ways” (2486). This is precisely what Lola is doing. She engages in the
warm, tender nature that has become associated with women; thus, she performs her role
as a female and gives credibility to her identity. Lola’s character endorses Butler’s
theory that “if reality is fabricated as an interior essence, that very interiority is an effect
and function of a decidedly public and social discourse, the public regulation of fantasy
84
�through the surface politics of the body, the gender border control that differentiates inner
from outer, and so institutes the ‘integrity’ of the body” (2497). In her performance as a
woman, which ultimately becomes the essence of her identity, Lola demonstrates the way
in which her appearance and her actions are so genuine and passionate that the public
fully accepts her female identity without any sense of doubt or uncertainty, even knowing
that “she” has fathered at least two sons.
Almodóvar further promotes his theory through the use of the key image of the
baby. The camera quickly focuses on a close-up of the child and then returns
immediately to the image of Lola. This creates a connection between the preciousness
and gentleness of the baby and the beauty, sensitivity and the delicate nature of Lola.
Lola handles this entire situation in a feminized manner. She acts the role of a nurturing,
motherly type of figure, and so, this becomes her identity. Through his extraordinary film
techniques, Almodóvar invokes a great sense of irony. On one hand, we are aware that
consciously, Lola has created her identity as a female; however, at the same time, it is
evident that her behavior is genuine and sincere. This is just one of the many ways that
Almodóvar demonstrates the art and power of film. By creating this juxtaposition
between theory and image, he empowers the theme of gender as performance. Butler
suggests “that drag fully subverts the distinction between inner and outer psychic space
and effectively mocks both the expressive model of gender and the notion of a true
gender identity” (2487). As the audience, we cannot help but see this theory put into
action with the character of Lola. As a transvestite who shifts her identity with such
incredible skill, she challenges the powerful notion of fixed gender identity, forcing us to
see its complex, yet intriguing nature.
Almodóvar clearly demonstrates the way in which his female characters perform
their gender identity. At the end of the film, in his credits, he makes a powerful
dedication that becomes the ultimate reinforcer of his argument. He dedicates the film to
all of the actresses that have been mothers and mothers who have been actresses. In
doing so, Almodóvar makes a strong and final implication here. In the end, life is a series
of performances and everyone is an actor. A mother is no different from an actress, but
rather, her identity is built through the act of performance. In a film review in the New
York Times, it states, “In All about my mother, the world of acting becomes a source of
inspiration to women as they improvise their way through their own lives with the kind of
strength, passion and humor this filmmaker has always celebrated.” In a sense, acting
allows an individual, whether a man, woman, transvestite, etc., confidently to build his or
her identity and to find the strength and power of self-definition. After forming such a
profound connection between Almodóvar’s film and Butler’s theory, it is inevitable that
we acknowledge the power of gender as performance. As we have clearly seen, we are
85
�not born with a fixed gender. Ultimately, we are responsible for our identities; we enter
this world with a blank script, and it is up to us as to how we decide to play it out.
Works Cited
Butler, Judith. “Subversive Bodily Acts.” The Norton Anthology of Theory and
Criticism. Ed. Vincent B. Leitch. New York: W.W. Norton & Company.
2001, 2491-2501.
Leitch, Vincent B., William E. Cain, Laurie Finke, Barbara Johnson, John McGowan,
and Jeffrey J. Williams, Eds. “Judith Butler.” The Norton Anthology of Theory and
Criticism. New York: W.W. Norton & Company, 2001: 2491-2501.
Todo sobre mi madre. Dir. Pedro Almodóvar. Perf. Cecilia Roth, Marisa Paredes,
Penélope Cruz, Antonia San Juan, and Candela Peña. Sony Classics, 1999.
86
�Flâneuses et Vagabondes:
Women on the Run in Contemporary French Cinema
Jake Brown (History)1
“The cinema is an invention without a future” stated Louis Lumière, who, with
his brother Auguste, have been credited with having the world’s first public film
screening in 1895, where thirty five people paid one franc to see the Frères Lumières’ ten
films of less than one minute each in the basement of the Grand Café. Louis suspected
that people would bore of the everyday images shown in film; after all, one could just as
easily watch people going about their daily lives in the streets of Paris (Singerman 1012).
It is a well known fact today that the images in film transcend borders, cultural
differences and time. At the same time, though, a country’s cinema reveals to an
audience characteristics of that nation’s culture. French films, though becoming more
introduced into mainstream American media with the “film du look” genre as seen in
Jean-Pierre Jeunet’s Le Fabuleux Destin d’Amélie Poulain, have characteristics unique
to their origins. These films tend to be made on a lower budget (though there are some
higher budget studio-made films). Most unsettling to an American audience is the openended ambiguous conclusion and longer, sometimes dialogue-lacking scenes. French
films, true to life, do not have complete resolutions. The audience is asked to think,
discuss and theorize what happens to the characters they have been watching. Also,
whereas American film producers are less eager to spend money on scenes that do not
directly add to plot, French films often immerse their audience in everyday scenes of
human actions and interactions.
Just as films differ due to the cultural background of the director, gender makes
a difference as well. The style of a film directed by a woman is not insofar different due
to the inherent differences between the sexes, but because of the relative social
differences and hardships women encounter. Even with significant changes in society’s
outlook and perception of women in the past half-century, women in the film industry are
still perceived, as Simone de Beauvoir explained, as the “Second Sex” (Tarr 8). Agnès
1
Research performed under the direction of Dr. Katica Urbanc (Languages) for FR351 Women
Writers and presented at the Faculty Masters on April 26, 2005.
87
�Varda, seminal director of the French New Wave cinema states the following about her
approach to filming women:
A woman must not be defined by the man who looks at her, by the gaze of men,
by those men who have oppressed her: her father, her husband, her lover, her
brother all looking at her, and she herself, who has become accustomed to
existing by this gaze. The first feminist gesture is to say, well, okay, they may
be looking at me, but I’m looking too. The act of deciding to look and deciding
that the world is not defined by how they look at me but how I look at them.
(Gillain 205)
The film genre I will be discussing is termed the “road movie”, a genre that
French female directors frequently lean towards (Tarr 14). Generally considered an
American male genre, most often associated with Jack Kerouac’s On the Road in 1957
and Denis Hopper’s Easy Rider in 1967, the road movie provides “a ready space for the
exploration of the tensions and crises of the historical moment during which it is
produced.” (Tarr 228) The road movie, though, also has a place for feminist discourse
just as Ridley Scott’s Thelma and Louise (1991) demonstrated a “refusal of the male
world and its law.” (Tarr 228) In France the road movie is a relatively new genre.
Furthermore, it would appear that French female directors use the road differently than
their American counterparts. Unlike the solidarity between Thelma and Louise who are
on the road together, French female directors use this genre to explore the liberation of
women who find themselves alone. This is clearly portrayed through the main female
character in Agnès Varda’s Sans toit ni loi (1985), Mona, who escapes the patriarchal
constraints of French society by wandering and traveling through the French countryside
by herself. This experience, fails, however, at empowering and uplifting the protagonist
from patriarchal societal norms.
The character Mona in Sans toit ni loi personifies the ideal of the “flâneuse”.
The notion and definition of the flâneur (flâneur is the masculine noun and flâneuse is
feminine) is unique to the French language. Loosely defined, flâner is to stroll, especially
in urban areas; for fin-de-siècle Parisians, flâner had become a way of life. The
contemporary flâneur would sanctify the words of Balzac --- “To walk is to vegetate, to
stroll is to live”.
To the modern individual, there seems to be a romantic attitude and reverence
towards the flâneur. A current New York based magazine, Flâneur, states its mission as
“dedicated to the celebration of urban life, the sanctification of the stroll.” Edmund
White’s recent book The Flâneur (2001), presents the typical flâneur in the following
way: “Endowed with enormous leisure, someone who can take off a morning or
afternoon for undirected ambling, since a specific goal or a close rationing of time is
antithetical to the true spirit of the flâneur. An excess of work ethic (…) inhibits the
88
�browsing, cruising ambition to ‘wed the crowd’. Americans are particularly ill-suited to
be flâneurs” (40). Americans, according to White (who was born in Cincinnati), rely too
frequently on tour books and are more focused on self-improvement and goals --- not
strong attributes of the flâneur.
In Sans toit ni loi Mona relies on flanerie as a form of escapism from the
pressures of society. The character does not keep her travels to the cities, however, as
she travels through the unforgiving barren snow-covered fields and small villages of the
French countryside. In English, the closest word to describe the lifestyle of this character
would be a vagabond. This term also happens to be the title that the American
distributors chose for Varda’s Sans toit ni loi, which translates as “Without Roof or
Law”. The French title also offers a clever double entendre. The word “toit”, is “roof”,
yet when spoken, “toi” can also mean “you” --- “Without You or Law” --- since the final
“t” is silent. The American distributors, however, decided to give the film a one-word,
perhaps more catchy title: Vagabond.
Agnès Varda has been making films for more than fifty years, alternating
between works of fiction and documentary pieces. Trained as an art historian at the
Ecole du Louvre, she was unsatisfied with theoretical studies and wanted to explore other
creative avenues. She became a photographer and worked as the official photographer at
the Théâtre National Populaire (Smith 3). Varda began working on Sans toit ni loi by
traveling through the countryside of Nîmes, being a flâneuse herself, meeting marginal
people in the shelters and train stations at night. When she returned to Paris and met with
the producers of the film, she had no written script and claimed that writing “is fixed in
the imagination and needlessly diverts energy”. (Singerman 352) She presented the
producers with a two-page synopsis based on the following subject matter: “a young
rebellious and lone girl walks the road until she freezes to death”. (Singerman 352)
During the shooting of the film, her cast and crew stayed in hostels in Nîmes while she
wrote the dialogue for the day in the car on the way to the set. The filming lasted two
months (Singerman 352-353).
Shot in winter in the Southwest of France, Sans toit ni loi has been coined
Varda’s Ulysses (Flitterman-Lewis Vagabond 1) Her sixth feature film and to date, her
most successful one, the film garnered awards such as the Golden Lion from the Venice
Film Festival in 1986 and the César for best actress, Sandrine Bonnaire, who plays Mona.
The film, which investigates the death of Mona, was made without a finished or detailed
script and with a mix of professional and non-professional actors. Varda’s original
intention was to make a documentary about the rural poor; hints of this are presented
throughout the film, especially through the people Mona meets on her journey, such as a
goat farmer and North African vineyard workers, from which Mona receives a bright red
scarf, juxtaposed against her tattered black leather jacket. (Tarr 235)
89
�Varda has modeled her film on, and given us the inversion of, Welles’ Citizen
Kane, a classic film for modernist American cinema. In her own words:
If you tell the story of Citizen Kane it’s not much of a story. An old rich mogul
man is dead. He said a word we don’t understand. We don’t discover so much,
just some pieces of his life and finally it is just a sled. Is that a story? It is not
much. So what makes Citizen Kane so interesting is the way [Welles] told us
about the man --- intriguing us about what people think about him (FlittermanLewis 1)
Varda has done just the same. The audience doesn’t learn much about the main character
of this film; portions of her life are presented through brief vignette, mostly through the
perception of others (peasant farmers, migrant workers, female professionals, male truck
drivers, other vagrants) and their subjective reactions to her journey.
Sans toit ni loi begins with the discovery of Mona’s frozen corpse in a ditch and
ends with her falling to her death. Interspersed throughout the film are testimonies (made
to look like interviews) from the people who had come into contact with Mona during the
last few weeks of her life along with single tracking shots vaguely documenting Mona’s
movement (Tarr 235) from “triumphant wanderer with leather jacket and pack to frozen,
crying vagrant in tattered boots and wine-soaked blanket” (Flitterman-Lewis 288)
The film begins with the audience thinking that perhaps this is a mystery. A
woman has fallen and died; police find red stains in a phone booth. The cinematography
is similar to news footage. However, the police rule out foul play and the audience soon
realizes that this is not a mystery and their expectations change. The odd stains are a
clue, yet perhaps a misleading one; they are the Rosebud of Sans toit ni loi. In a sense,
Varda forces the audience to keep readjusting their expectations of the film: “the
spectator has to continually change the preconceived ideas which spring up in the face of
incomplete evidence, and we also watch as a series of different people form their
expectations of Mona and cope with their destruction.” (Smith 116)
After the discovery of Mona’s corpse, the film reverts to a series of flashbacks
until it ends abruptly on the same shot as the opening scene with her dead body. We hear
the voice of the narrator, which is Varda’s, as the image of Mona in a body bag is being
zipped cuts, to a scene of the beach with a very distant naked Mona coming out of the
sea:
No-one claimed the body: it went from the ditch to a potter’s field. This
woman, dead of natural causes, left no traces. I wonder who still thought about
her among those who had known her as a child. But the people she had met
recently remembered her. These witnesses have allowed me to tell the story of
the last weeks of her last winter. She had made an impression on them. They
talked about her without knowing that she was dead. I thought it best not to tell
90
�them, or that she was called Mona Bergeron. I know little about her myself, but
it seems to me that she came from the sea (Sans toit ni loi).
This voice is Varda’s, but is Varda truly the narrator? Some have claimed that
the narrator is one of the other female characters in the film, possibly the professor Mme
Landier, who meets Mona halfway through the film. This would make sense since
Landier is one of the few characters with an education and the means to make a film on
Mona’s life. It is also a possibility because the tone of the narration is similar to Landier’s
curiosities about Mona and her own reactions to the character as a mother figure. Also,
Landier’s appearance introduces a shift in the nature of the flashbacks, with dramatic
shifts in time and space, whereas up until her appearance, the flashbacks were following
strict chronological order. Finally, the character has a physical resemblance to Varda,
much as Mona is based on Settina, a homeless woman Varda met while in Nîmes (Smith
126-8).
Contrary to what the narrator claims, Mona has indeed left traces --- strong
memories --- found in the testimonies of her witnesses. In fact Varda makes it clear that
this is not Mona’s story, but one that has been reconstructed through the impressions of
the people Mona has come into contact with during the last weeks of her life (Smith 118).
The witnesses can be seen as the collective authors of Mona’s life, and Mona is part of
who they are; she represents their fears, their need to be free, their passions, their desire
to escape patriarchal norms.
Of the eighteen testimonies in the film, three subdivisions can be made:
“indirect address, direct address, and modified direct address” (Flitterman-Lewis 1990
304). In the indirect address, the easiest to point out, the characters speak among
themselves as the audience is a cinematic voyeur overhearing their conversation about
Mona. In direct address, the character speaks directly to the camera, reinforcing the idea
that this is a “true story”. The modified direct address, however, is the most prevalent
and consists of the witnesses giving an address to the audience in close-up shots, yet they
are speaking to someone on the screen who is masked, usually in the right-hand corner.
This gives the impression that although the characters are submerged in the fiction of the
story, they are giving direct recollections to the audience, tempting the audience to
further immerse themselves and make judgments on Mona’s life (Flitterman-Lewis 1990
304-5).
The series of shots tracking Mona’s journey also leave the audience jarred.
Varda redefines the way in which Mona is looked at by using an unconventional method
of filming her travels by panning the camera from right to left -- in the wrong direction,
against culture, against mainstream society. Mona also escapes the audience’s view as
she is constantly walking into or out of the frame, eluding us, never letting herself get
caught in the male gaze (Tarr 235).
91
�As the audience understands from the beginning of the film, Mona’s vagabond
lifestyle leads to her death; Mona cannot totally escape the clutches of societal norms. In
2001, several years after Sans toit ni loi, Varda shot the documentary film entitled Les
Glaneurs et la Glaneuse. Here the story line features the lives of the homeless and rural
poor. It is interesting to note that this was her original intent for Sans toit ni loi. Les
Glaneurs et la Glaneuse (translated as the (male) gleaners and the (female) gleaner,
where the female gleaner would be Varda herself) is a strong social commentary on the
wastefulness of society and the art of gleaning, a term dating back to peasantry where one
would follow the farmers harvesting, picking up the unused fruits and vegetables. Varda
links this to homelessness in the city and the art of gleaning wasted, discarded food. This
project had been originally intended for Sans toit no loi, but perhaps Varda was so caught
up with the story of Mona that she could not resist making a film on a woman’s story of
rebellion and escape from the patriarchal world.
Works Consulted
Boorman, John and Walter Donohue, eds. Projections 4 ½: Film-makers on Film
making. Boston: Faber and Farber, 1995.
Flitterman-Lewis, Sandy. To Desire Differently: Feminism and the French Cinema.
Chicago: University of Illinois Press, 1990.
Forbes, Jill. The Cinema in France: After the New Wave. Indianapolis: Indiana UP,
1992.
Gillain, Anne. “Profile of a Filmmaker: Catherine Breillat.” Beyond French Feminisms:
Debated on Women, Politics and Culture in France, 1981-2001. Roger Célastin, Eliane
DalMolin, and Isabelle de Courtivon, eds. New York: Palgrave Macmillan, 2003.
Hayward, Susan. “Beyond the Gaze and into Femme-Filmécriture: Agnès Varda’s Sans
toit ni loi (1985).” French Film: Texts and Contexts. Susan Hayward and Ginette
Vincendeau, eds. New York: Routledge, 1990.
Humm, Maggie. Feminism and Film. Bloomington, IN: Indiana UP, 1997.
Mayne, Judith. “The Female Audience and the Feminist Critic.” Women and Film.
Janet Todd, ed. New York: Holmes and Meier, 1988.
Sans toit ni loi/Vagabond. Dir. Agnès Varda. Perf. Sandrine Bonnaire. The Criterion
Collection. 1985.
92
�Singerman, Alan. Apprentissage du cinéma français. Newburyport, MA : Focus
Publishing, 2004.
Smith, Alison. Agnès Varda. New York: Manchester UP, 1998.
Tarr, Carrie and Brigitte Rollet. Cinema and the Second Sex: Women’s Filmmaking in
France in the 1980s and 1990s. New York: Continuum, 2001.
White, Edmund. The Flâneur: A Stroll through the Paradoxes of Paris. New York:
Bloomsbury, 2001.
93
�Growing Up Indian American
Naveena David1
Have you wondered what it would be like to grow up being part of a completely
different culture other than your own? By this I mean to speak another language or to
have different values, beliefs, and norms? Born as a first generation Indian American, my
family and I have faced and still face many challenges that can be considered both
positive and negative. After much research and interviews within my family, it is clear
that being an Indian in America has its pro’s and con’s. The event of my parents moving
to America played an important role in how our family has been shaped and how it has
personally affected me. There were various conflicts that my family had to deal with
including the historical events and the cultural change of that time both in America and in
India. Along with the conflicts of the two cultures came different expectations on my
family and on myself. Looking back into my childhood, there has been a variety of
personal experiences in my family that have shaped my own sense of identity.
An influential event that occurred in my family was the decision of my parents
to move from their home in India to the westernized country of the United States of
America. This event has shaped our family’s beliefs, customs, habits, way of thinking,
education, social life, and much more. In an interview with my mother Joby David and
father Abraham David, I was able to understand their main reasons for moving to
America. Their reasons were to live the American Dream in a land full of opportunities
and to financially live a more comfortable life. In an interview with my father he stated
that “At that time the economic opportunity in America was better than in India. If you
were qualified and if you had the requirements you could find a job and you can, you
know, fulfill your dream.” My mother stated that she moved to America to “support my
family and to further my education.” In order for my mother to further her education, she
had to fit the qualifications of the Immigration and Nationality Act in order to come to
America.
On October 3, 1965 the Immigration and Nationality Act also known as the
Hart-Cellar Act, was passed to allow Asian-Indians with professional degrees to
immigrate to the USA (Khairullah 1999: para. 5). Under this Act, 170,000 immigrants
from the Eastern Hemisphere and 120,000 immigrants from the Western Hemisphere
1
An authoethnography research paper written under the direction of Dr. Jean Halley (Sociology)
for SOC301 The Family.
94
�were granted residency in America. The Immigration and Nationality Act abolished the
national origins quota system (the Immigration Act of 1924 and the Immigration and
Nationality Act of 1952), which eliminated the national origin, race, or ancestry as a basis
for immigration to the United States. According to the U.S. Citizenship and Immigration
Services (2003), the significance of the bill was to “establish allocation of immigrant
visas on a first come, first serve basis, subject to a seven-category preference system for
relatives of U.S. citizens and permanent resident aliens (for the reunification of families)
and for persons with special occupational skills, abilities, or training (needed in the
United States)” (para. 2). With the influence of the Immigration and Nationality Act my
mother was able to obtain a visa with her educational background as a licensed nurse. In
1979, my parents had an arranged marriage and came to America in hopes of starting a
new life as the first generation to actually live in America.
The decision of my parents moving to America created many cultural,
racial/ethnical, and adaptive conflicts for my family. A major conflict my parents faced
was the language barrier. Coming straight from India, my parents’ main language was
Malayalam and they only knew a certain amount of English. Their thick Indian accent
caused conflict at times in searching for jobs and everyday communication in society,
because it was hard for others to understand them and it was difficult for my parents to
understand such fluent English. My oldest sister Nisha also had a problem with language
at a younger age. She was placed in remedial classes because she would confuse English
words with Malayalam words.
Along with the confusion my sister dealt with, my family and I also had to deal
with different conflicts based on ignorance from others around us. Every member of my
family has had different racial experiences that have influenced the way they live and
how they look at themselves. After a person experiences racism and ignorance on a daily
basis, many ideas about how one perceives his/her life are imbedded in a person and
affects them significantly. There has been many times where I find myself in a situation
where I feel uncomfortable because I am a person of color. For example, many times
when I go shopping and enter a store where the customers and employees are
predominantly white, I always feel that people are looking at me differently and that the
employees are keeping an eye out on me, fearful that I may steal a product from their
store. Dealing with these experiences almost everyday has personally made me more
aware of the fact that the color of my skin is different from others.
In addition to the ignorance that my family and I dealt with, we also found
ourselves struggling between two cultures with different values, beliefs, and norms. We
are part of a collectivist society in India where decisions are made as a group. We are also
part of an individualistic society in America, where there is more freedom given to the
individual (www.dictionary.com). This idea of collectivism and individualism was
95
�mentioned significantly in the interview with my parents and also in my research. In the
interview with my parents, I asked them what they faced raising three girls in America.
My mother stated that “Unlike most of the Americans, I had no family support.” My
fathers’ initial response to my question was “We had to raise our family without the help
of other members of our family involvement, like grandparents. They used to be part of
our life. So it is a big impact, you know, without the close family’s involvement.” Later
on in the interview he stated that in India “The community was more involved, especially
in the religion. It had more power over the family. Here it is more independent, so we
didn’t get that much community support in raising children.” My parents’ statements
correlates with the information found in Gregory L. Pettys and Pallassana R. Balgopals’
(1998) article called “Multigenerational conflicts and new immigrants: An IndoAmerican experience.” In their research, they focused mainly on the conflicts that
different generations face being Indo-American. An important topic they discuss is the
difference in beliefs, traditions, values, and world views between Indians and Americans.
Indians tend to come from a more collectivist culture, while the American
western culture is based on autonomy and individuation. By this, it is meant that an
American identity is based on individual characteristics. In contrast, an Indian’s behavior
and source of identity is defined by group membership and internalization of group
values rather than individual independence (para. 13). Examples of group membership
include the family, the caste, the religious group, or the country. The idea of collectivism
and individualism greatly influences the reasons as to why an Indo-American may be
confused and have conflicting issues as to where he/she may stand in society and as an
individual.
An example of collectivism is the joint effort by families and friends to raise
children. In India, my parents were not only raised by their parents, rather they were
raised by their grandparents and other family members. When they came to America,
they did not have the advantage of having their parents or family members with them, so
it was hard for them to raise their own children they way they knew how to. They grew
up a certain way and they had to use whatever support they had from friends to help raise
my siblings and I. Personally, I feel that this made a huge impact as to how I grew up and
how I look at myself. Growing up, I did not have the advantage of knowing my
grandparents very well and I remember many of my classmates being very close with
their grandparents. I never had the opportunity to have such a close relationship as my
American friends had with their grandparents. My relationship with my grandparents was
unique and was understood in a certain way. My sisters and I have the utmost respect for
our grandparents regardless, because we know how much effort and work they put into
our parents to give us the lives that we have today. In a way it cannot be explained
96
�because the issue of respect is just known and understood within our culture, which
creates more conflict with my family living in America.
Pettys and Balgopal (1998) state that “Respect is often cited by parents as a
primary Indian family value, and they believe children in the United States are not
generally taught to respect their elders” (para. 41). The issue of respect has always been a
hot topic within my family and relatives. I always remember hearing my parents say
something to the effect of “If you were in India you would not act like this,” or “You
American children do not know the meaning of respect for your elders.” In the case of
my family, it is true that my sisters and I did not have the same amount of respect that my
parents had for their parents. My parents were very strict compared to other American
families and liberal compared to other Indian families. They make sure that we respect
our elders and present ourselves in a well-mannered fashion. My siblings and I learned
the concept of talking back to our parents in America because it was what we saw and
learned in our surrounding environment, whether it was on television or observing other
American homes. When I talk to my parents now, they always tell me how talking back
to one’s parents was never thought of or discussed in India. They did exactly what their
parents told them to do and never disagreed. In India, talking back to elders is
disrespectful and looked down upon because a large portion of the Indian culture is based
upon the wisdom of the elders and the respect that is held for them. In a way, you are
mocking an elder’s intelligence and knowledge when you act as if you are talking down
to them.
In Pettys and Balgopals’ (1998) research it was also mentioned that along with
giving parents unconditional respect, it is also one’s duty to take care of them when they
are aged (para. 16). An example of this is shown with my parents and my grandparents
today. My grandfather has been staying in my home and the homes of my aunts and uncle
for as long as I can remember. Ever since he started getting sick, my mother and her
siblings would take him in and do everything in their will to take care of him. Today he is
living with my family and is constantly taken care of by my mother, my sister, or a home
nurse. In contrast, I notice that Americans usually tend to bring their parents to nursing
homes and visit them once in a while. This concept has never crossed my parents mind
and has yet to cross my mind.
An important topic that I discovered while researching and looking at past
experiences is the issue of acculturation. In Durriya and Zahid Khairullah’s (1999) article
titled: “Behavioral acculturation and demographic characteristics of Asian Indian
immigrants in the United States of America,” they defined acculturation as a learning
process whereby at least some of the cultural patterns such as behavioral norms, values,
characteristics, and language of the host country are adopted (para. 2). Their study
“measured behavioral acculturation of the first generation Asian-Indian immigrants in the
97
�US; explored the extent of behavioral acculturation amongst them; and examined the
relationship between the degree of behavioral acculturation and selected demographic
characteristics of these immigrants” (para.1). In order to measure the acculturation, the
Szapocznik et al. scale was used and the results of the study confirmed that the scale is a
good measure of behavioral acculturation for the study of Asian-Indian immigrants (para.
2). The study helped researchers to determine ways to assist groups of immigrants to
adjust in the new environment they are placed in. They believe that “An improved
understanding of Asian-Indian immigrant patterns of acculturation in the USA would
enable more effective communication with immigrants and also allow the agencies to
develop social program’s that will help immigrants to cope with the host environment,
and to reduce problems of economic, cultural, and social adjustments in the USA” (para.
40).
When my parents moved to America, the idea of acculturation was forced upon
them because in order to survive they had to learn the behavioral norms, values,
language, and characteristics of America. As stated before, the language barrier for my
parents was difficult when looking for jobs, and it still is a problem to this day. It was
very easy for my sisters and I to become acculturated because we grew up in America
and were taught to speak English in school and at home. This created a lot of conflict for
us because we had to understand and live like an American, yet also maintain our culture
at home. Adding to this idea is the fact that my sisters and I cannot fluently speak our
native language, yet we can understand it perfectly. The reason for this is because my
parents never forced us to speak back to them in our language. They always talked to us
in Malayalam and we understood. Now, I regret my parents never asking me to speak
back in my language because I yearn to speak my language fluently. It is very important
for me to maintain my culture and pass it on to my children.
Being both Indian and American, I found that there were many cases in school
where I would not understand what my friends were talking about because I grew up
differently. I felt like I missed out on a lot of “American” things because my parents
raised me as an Indian at home. This also caused conflict between my generation and my
parents’ generation. They only knew so much about the American culture, while we
understood a lot more because we grew up in America and our social life was revolved
around American social norms. I can recall many times where my sisters and I had to
explain common sense ideas to my parents because they were never taught certain ideas
and concepts that we were taught. Similarly, my parents have to explain common sense
ideas about India to us because we never experienced a life in India. In Pettys and
Balgopals (1998) article it was stated that “Indo-American youth are particularly
vulnerable to feeling lost in both Indian and American cultures and need support as they
struggle with their identity” (para. 3).
98
�In some ways, I feel like it is a constant battle to be who I am everyday because
of my culture. However, I know I would not change my background for anything because
it makes me the unique individual I am today. I believe this has to do with the fact that I
am maturing and living away from my family and I find myself appreciating my culture
and wanting to know more to educate myself about the Indian culture and its history. This
also has to do with the fact that I never grew up around a lot of Indians and most of my
friends were Caucasian. I sometimes felt alone and yearned to know more Indians and
understand my culture. In Pettys and Balgopals (1998) article it stated that “Gradually, as
they mature, the children begin to accept more of the Indian customs and an Indian
identity becomes more important, often as a result of leaving home” (para. 47). In
association with the idea of keeping my culture, my parents found it very important for
my sisters and me to maintain our culture in America. In an interview with my father he
stated “We like to maintain our culture, including the language and church membership.
We maintain some of those connections through associations and get-togethers.”
Throughout my childhood, my parents stayed in close contact with other Indian families
who lived close by. They were the closest thing to a family that we had growing up and
we continue to have get-togethers on special occasions.
Another important idea in the topic of acculturation that I came upon in
researching, was the study done by Anju Jain and Belsky (1997) called “Fathering and
acculturation: Immigrant Indian families with young children.” Their study was focused
around the patterns of father involvement and the influence of acculturation. Their
analysis revealed three types of fathers: engaged, caretaker, and disengaged. As a result
of their study, they found the relation between fathering and acculturation. It revealed
that men who belonged to least acculturated families were the least involved (disengaged)
and the fathers who where most acculturated were more involved in almost all
dimensions of fathering (engaged) (para. 1). This may be the case because those fathers
who were more acculturated were influenced by the American culture and its ideas and
philosophies that are held concerning family life and what it means to be a parent. Those
fathers who belonged to least acculturated families were never taught those American
ideologies and therefore they practice what they were taught. A vital idea that was
mentioned in this study is that some characteristics in acculturation are acquired easily
and at a fast rate, such as language and dress customs. However, others traits such as
sentiments or stereotypic socialization practices, take longer and are harder to fully
understand and grasp (para. 7). This relates to the idea of parenting and the emotional and
mental process that parents learn in a host country.
Growing up I always observed and compared different families with my own
family. In other Indian homes I saw that many of the fathers were strict and never
interacted too much with their children. My experience at home was completely different
99
�compared to theirs. My father played a significant role as a caretaker in my home. Since
my mother was the main breadwinner in our family, my father had to drive us to school,
come to school events, and do small tasks such as grocery shopping. My father was and is
significantly sensitive to his children compared to other fathers. I believe that since he
spent so much time with us, he knew our needs and wants, which gives him an
understanding of his children. He stated in the interview that “We learn through
experience that we have to dedicate more time and energy to raise children here. We
spent more time with our children. Usually grandparents used to take care of the children.
Here we are directly involved in raising children, even in their every step.” My mother,
on the other hand, was perceived as the parent who “wore the pants in the family” and
would be strict and enforce rules on my sisters and I. I agree and can identify with the
results of Jain and Belskys’ study because I see that my father has adapted (acculturated)
to many of the customs and behaviors of America, in comparison to other fathers.
As an Indian American, I grew up knowing the stereotypes of Indians in
America and the expectations from our parents, friends, and relatives. In Durriya and
Zahid Khairullah’s (1999) they stated that “Among the immigrant professionals in the
USA, foreign-born Indians are the highest paid group with an average annual income of
$40,625. More than 67 percent of them hold an advanced degree and are concentrated in
the metropolitan areas of the USA” (para. 5). It is well known throughout the Indian
community and even the American community that Indians are very well educated and
most of the jobs they acquire are as doctors, lawyers, engineers, and other well paid and
advanced degreed jobs.
The idea of the stereotyped view of Indians working in particular fields goes
along with the expectations that our family has for us. It is expected from our relatives
and family members that you obtain a good education, acquire an advanced degree in a
field of study, and become well off financially. In my personal experience, my parents
always pushed me to get good grades and always told me that I could do better. This has
greatly affected the person I am today because I still strive to get the best grades,
however instead of getting good grades for them, I do it for myself. My parents have
taught me to challenge myself and to always strive for the best in life. When I was
younger, my parents expectations on my grades started to affect me and I started to
become stressed. As I grew older I understood that they only want the best for me so that
I can survive in a competitive society.
An additional expectation of my parents is for my sisters and me to get an
arranged marriage to whomever they chose. I never fully understood the concept of
arranged marriage when I was younger and was fearful of the concept. Growing up, my
parents laid out the rule that my sisters and I were not allowed to date. As a result, my
sisters and I would obey my parents; however we would be left feeling confused about
100
�dating and understanding what “love” means. The confusion has to do with witnessing
my parents’ relationship as a product of an arranged marriage and observing the
American culture and how parents married because they fell in love. The concept of
falling in love was and is still very hard for me to understand. I’ve always thought like a
hopeless romantic and wanted to find the perfect man and fall in love with him. That state
of mind is an example of acculturation and fitting into the American behavioral norms.
On the other hand, I know that my parents want me to marry an Indian, who is a
Malayalee (which is the type of Indian I am), Christian, and has a good family
background. To Indians, marriage is not just the joining of two people; it is the joining of
two families. I find that arranged marriage is still more common in India than it is in the
diasporas outside of India. This can be believed because of the influence of other cultures
in a person’s life compared to being in traditional India with its long lasting values and
beliefs. In Pettys and Balgopals’ (1998) article it states that “In the example of arranged
marriages, a family may choose a modified arrangement in which several possible
spouses are selected from which the young adult may choose” (para. 63). Now that my
sisters and I have matured and have a better understanding of our culture, we are willing
to compromise with our parents, in letting them choose several possible spouses, in
which we would later choose from as the end result. We believe that our parents know us
more than anyone else and that they would choose the best candidates for us because of
the trust we have in them.
As much as being an Indian American brings various conflicts in my life, I
remain grateful for my culture. I believe that my culture as an Indian and as an American
has shaped my sisters and I to be well cultured individuals. My parents’ expectation for
us is to reach our goals and our dreams. In an interview with my father I asked him what
he expected from his children. He stated “My expectation is to develop their potential to
the maximum. Whatever sources they have they should utilize. This is a country where
you can pursue your dream based on your capabilities and talents. So you can achieve
things so that you can enjoy your life.” When I asked my mother the same question she
responded with: “I want my children to be happy, to be successful, and more than that, to
do God’s work. I don’t even care about their success as long as they’re peaceful and
happy. That’s all that matters.” The event of my parents coming to America has shaped
my family in various ways and has helped me personally to acknowledge my own sense
of identity.
101
�Works Cited
David, Abraham. Personal interview. 26 Mar. 2005.
David, Joby. Personal interview. 26 Mar. 2005.
Jain, Anju and Belsky, Jay. 1997. “Fathering and Acculturation: Immigrant Indian
Families with Young Children”, Journal of Marriage and the Family 59: 873.
Khairullah, Durriya Z. and Khairullah, Zahid Y. 1999. “Behavioral Acculturation and
Demographic Characteristics of Asian-Indian Immigrants in the United States of
America”, The International Journal of Sociology and Social Policy 19:57.
Pettys, Gregory L., and Balgopal, Pallassana R. 1998. “Multigenerational Conflicts and
New Immigrants: An Indo-American experience”, Family in Society 79: 410.
U.S. Citizenship and Immigration Services. “91. Immigration and Nationality Act
Amendments of October 3, 1965 (79 Statutes-at-Large 911),” June 09, 2003.
http://uscis.gov/graphics/shared/aboutus/statistics/legishist/526.htm.
WordNet. “Dictionary: Individualistic/ Collectivist.”
http://dictionary.reference.com/search (accessed March 30, 2005)
102
�Female Subversion of a Patriarchal Society:
Isabel Allende’s The House of Spirits
Jessica Friswell (English)1
In The House of the Spirits, Isabel Allende paints a picture of Chile during the
twentieth century, using, in particular, stories from her own family. Especially influential
are the roles the women of the Allende family played. Inspired greatly by her
grandmother, Allende creates female characters who are strong-minded, strong-willed,
and strong at heart. The House of the Spirits is a compilation of these women’s stories,
told by the youngest member of the Trueba family, Alba, with assistance and
contributions from her grandfather, Esteban. It is Esteban Trueba “who had the idea that
[they] should write this story” which tells not only of his life, but also and more
importantly of the lives of the remarkable women who surrounded him until his death
(Allende 430). Each generation of “independent-minded women” found a way to
“challenge traditional male authority” in a unique way as a means of subverting the
patriarchy common during this time (Griego par. 3).
Nívea del Valle is the first woman who, in her own manner, fights for women’s
rights in a society where “man is always privileged” (Cruz par. 2). Through her actions,
it is clear that Nívea means well; however, in the text, Clara points out “the absurdity of
the situation” and “the contrast of her mother and her friends, in their fur coats and suede
boots, speaking of oppression, equality, and rights to a sad, resigned group of hardworking women in denim aprons” (Allende 81). It is apparent that “Nívea [symbolizes]
the early suffragist movement” and does what she feels she can in order to help others
(García-Johnson 184). “Through her social involvement, her activism,” Nívea steps off
the page society has earmarked for her and becomes her own person in a society that in
most other cases would recognize her only because of her husband’s accomplishments
(qtd. in Engelbert and Levine 43).
A more overt example of Nívea’s subversion of the traditionally patriarchal
family comes when she orders the tree in the backyard to be cut down. For many
generations, the del Valle men had climbed the tree to prove that they were men;
however, after a fatal fall, Nívea ordered the tree cut down so that none of her sons would
1
Research performed under the direction of Dr. Marilyn Kiss (Languages) and associated with the
course SP213/EN213 Hispanic Literature in English Translation.
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�suffer the same fate (Allende 80-81). In cutting down the tree, Nívea puts an end to an
age-old tradition of patriarchy.
As Susan R. Frick explains, “the novel explores the human experience from the
perspectives of four generations of women who approach political and social realities
with defiant strength and creativity” and Nívea serves as the pioneer (27). Between
Nívea and the three generations she precedes, many elements tie the women together,
most obvious of which is the similarity of the significance of their names. Each woman’s
name reflects the color white, light, purity, and clarity. According to Peter F. Earle,
“light is freedom and hope, and the luminous names of the three women are clearly
symbolic” of this attitude (550). By continuing the tradition of giving each child a name
with a similar meaning, the author creates a matrilineal line that links the characters not
by last name, as is common in patrilineal tradition, but by first name as a “subversion of
the laws of the patriarchy” (Parham 196). Among the three most prominent female
characters, “the fact that all [their] names…mean the same thing—Clara, Blanca, Alba—
is like saying that Clara is the great spiritual mother of us all…On the other hand, Blanca
is the great earthly mother [and]…Alba is the great intellectual mother.” (qtd. in Gautier
133-134)
In addition to the common ties found in their names, according to Allende, “all
the women in [the] book are feminists in their fashion; that is, they ask to be free and
complete human beings, to be able to fulfill themselves, not to be dependent on men.
Each one battles according to her own character and within the possibilities of the epoch
in which she happens to be living” (qtd. in Agosín 41). The Trueba women are
seemingly reborn each generation with a stronger sense of their own identity apart from
the overbearing Esteban Trueba. Clara, Blanca, and Alba are so much alike that it is
almost as if “they are all the same woman transferred from era to era” sharing “a chain of
love that goes from mother to daughter…which conveys some special qualities that are
not transmitted to men” (qtd. in Engelbert and Levine 44).
This close bond between the women and their strength as a seemingly single
spiritual entity enables them to control their own actions without being dominated by
Trueba (Frenk 68). Each woman finds strength within herself to subvert patriarchy and
go against Esteban Trueba and in some instances, the government as well, in order to be
satisfied in her own life. The women share “this sense of the community of female
experience across the boundaries of time and space [that] conveys a message of female
empowerment [and] subverts historical stereotypes of submissive women” (Meyer 361).
Clara is the youngest daughter of Nívea del Valle and the first major character in
a line of strong women. Clara is married to Esteban Trueba, the man who represents an
unyielding traditional patriarchy. Even in her youth, Clara began to act out against the
patriarchal society most notably when she is in church, a traditional patriarchal
104
�institution. After Father Restrepo gives his sermon, young Clara blurts out, “If that story
about hell is a lie, we’re all fucked, aren’t we…” enraging the Father and causing an
uproar among the parishioners (Allende 7). Here, Clara already demonstrates that she
will speak her mind even if it does go against time-honored traditions.
During her married life, Clara continues to subvert patriarchy and go against
Esteban Trueba. While Trueba is content with his servants continuing life as they always
had, living in little brick houses and shopping at his general store, all the while laboring
for him, Clara thought differently. She “divided her time between the sewing workshop,
the general store, and the school, where she established her headquarters,” passing her
time treating illnesses and educating women, helping them with little tasks to make their
lives easier (Allende 105). Philip Swanson says that “education is a selective form of
control;” by keeping his servants uneducated, Trueba was able to control them; however,
when Clara helped them move forward, Trueba slowly lost control (223).
When Esteban and Clara were not at Tres Marías, they spent their time living in
the big house on the corner which appeared regal from the outside but gave a completely
misleading image. Clara used the space to create a labyrinth full of people in need of
help, furniture, chests of books, and spirits. As Frick describes,
The house itself becomes a subversive space as Clara and her magic overtake
the mansion Esteban builds according to the European aristocratic model. Since
she invades from the back of the house and the architectural changes are thus
hidden from the outside world, Clara’s triumph is invisible. She, and not
Esteban, fills the niches and crevices of the house, haunting his space with
spirits from her world. (31)
Clara is triumphant again in a patriarchal realm by making the big house on the corner
that Trueba built “both female and [her] own” (Frick 31).
In one room of the house, Clara and the Mora sisters hold sessions with spirits
who Clara eagerly invites into the house. This act invoking the supernatural is again a
subversion of patriarchy because “the supernatural is closely linked to female voice; in
both, ghosts and spirits provide authority for articulation and identity. Significantly, such
authority…proves a genuine challenge to patriarchal authority” (Jenkins 69).
Clara’s silence, too, is a way for her to gain control over her husband. After
Esteban beat Blanca, “Clara never spoke to her husband again. She stopped using her
married name and removed the fine gold wedding ring that he had placed on her finger
twenty years before” (Allende 201). In this manner, Clara retreats into her own world,
the world of the spirits and the world of her stories. Isabel Allende states that Clara
“deliberately chose silence not out of passivity or fear but rather because that was the
only way for her to create her own space” (Agosín 36). Spending the rest of her life not
speaking with her husband, Clara is devoted to her stories. In her many notebooks,
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�“divided according to events and not in chronological order,” Clara records history
(Allende 432-433). Typically, history reflects a male perspective, and in a twist of fate,
Clara’s notebooks are saved from “the mass burning of books that accompanied the early
days of the military takeover” which leaves a historical record written from a woman’s
perspective for future generations (Levine 167).
Blanca is Clara and Esteban Trueba’s only daughter who, like her mother and
grandmother before, finds her own way to go against the patriarchal system into which
she was born. As Frick explains,
Esteban’s daughter contrasts with him in both politics and personality. But
unlike Clara, who remained faithful to him despite her strong friendship and
identification with his tenant farmer Pedro Segundo, Blanca rebels against her
father by choosing the peasant singer and communist Pedro Tercero for her
lover, completely rejecting Esteban’s values and the patriarchal order he
represents. (35) Upon her first visit to Tres Marías, Blanca begins to rebel
against the established patriarchal order and pulled off her clothes and ran out
naked to play with Pedro Tercero. They played among the packages, hid
beneath the furniture, exchanged wet kisses, chewed the same bread, ate the
same snot, and smeared themselves with the same filth until, wrapped in each
other’s arms, they finally fell asleep under the dining-room table…When they
found them, the little boy was on his back on the floor and Blanca was curled up
with her head on the round belly of her new friend. (Allende 104-105)
From this young age, Blanca rebels against class differences by showing no regard for
clothing, acting like a member of a lower class, and spending all of her time with Pedro
Tercero, a boy whose future is explicitly tied to the encomienda where he is expected to
remain as a servant until his death. Blanca “causes her father’s despair when she falls in
love with [Pedro Tercero]” and sneaks around just to be with him without her father’s
consent (Schiminovich 109).
During their teenage years, Blanca and Pedro Tercero consummate their
relationship. Blanca is sent away to school but feigns illness in order to return to Tres
Marías to spend her time with Pedro Tercero (Allende 172-173). Crossing class lines,
“Blanca…espouses [the patriarchal order] in her strategy of battle” against her father
(Cruz 5). As a result of her relations with Pedro Tercero, Blanca becomes pregnant and
upon discovery of this, Blanca consents to a marriage with Jean de Satigny; however, she
is miserable with this “effete and dandified suitor” (Earle 548). The idea of Blanca as an
unwed mother is in contrast to the views of patriarchal society because she is a woman
alone, without a man to support her. Even in her marriage, Blanca mocks this order by
marrying a man of questionable sexual orientation but escapes it in her effort for freedom
and happiness that she finds only with Pedro Tercero. This relationship lasts for the rest
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�of her life after she takes the “guerilla revolutionary for a lover in defiance of her father’s
commands” (Cox 21).
The final character in the Trueba line who acts out against the patriarchal order
is Alba, Esteban Trueba’s granddaughter by Blanca and Pedro Tercero. According to
Allende’s description, “Alba belongs to the younger generation and is turned more
toward the outside world, toward work, politics, the preoccupations of our present-day
society” (qtd. in Agosín 40). Alba comes of age, falls in love, and fights for her beliefs
during a time when many social and political changes are rapidly occurring within her
country. More reserved when she was younger, Alba meets Miguel, a revolutionary, and
becomes much more vociferous in the city, fighting and demonstrating for the rights of
the people. In this regard, “Alba…[is a] naïve [woman] who slowly [wakes] up to
reality” in her country; in particular she opens her eyes to see the turmoil of the political
situation (qtd. in Alvarez-Rubio 376). After wishing to spend her time with Miguel
talking only of love (Allende 319), Alba “finally…joins the student political movement,
has a relationship with a guerrilla leader and ends up a victim of torture. She becomes
the most fully integrated with the interlinked class, political and women’s struggles”
(Swanson 229-230).
Alba’s relationship with Miguel is an act that goes directly against her
grandfather Esteban Trueba, a formerly prominent individual in the government. She
defies him and does not truly believe that she will get involved too deeply. This is
untrue, however, when Alba finds herself locked in a school building that the
revolutionaries seized, frightened by the tanks that surround the building (Allende 321).
Alba and Miguel create a sort of haven for themselves and their love making in the
basement of Trueba’s house, thereby defying patriarchy yet again by bringing sheer bliss
into a house that is oppressed by an imperious owner.
In one final way, Alba works against patriarchy and that is through her writing
by “giving voice to the women characters” (Cox 20). Telling her story along with those
of her mother and grandmother utilizing the texts they left behind, Alba also incorporates
stories from her grandfather’s point of view. This “blending of the two narrative voices
not only clearly situates the female voice within the context of a machista culture but it
also displaces and subverts the power of that culture” by allowing women’s voices to
play the most prominent role in the text (Meyer 361).
In The House of the Spirits, patriarchy in the family and patriarchy in the state
mirror one another. Esteban Trueba is an unyielding patriarchal figure involved in the
government and serving as head of the Trueba family. His actions clearly perpetuate the
idea that “female subordination is evident in every Latin American social institution”
(White par 2). At Tres Marías, Trueba tries to keep his workers uneducated, a state
historically associated with females while males were frequently educated. According to
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�Isabel Allende, “a man who does not consider a woman as an equal cannot live life fully.
His life will always be incomplete” (qtd. in Gautier 137). This statement is especially
true of Trueba since he wanted his wife to be “completely dependent” on him (Allende
127), a difficult feat when all “the women of his family directly oppose nearly everything
for which he stands” (Frick 31). Esteban could not even communicate with Clara, his
wife, especially once she began her period of silence as a result of his cruelty, an obstacle
he was never able to overcome.
Alba upsets the patriarchy within her family by going directly against all the
things her grandfather supports. Also, defying patriarchy through her writing, Alba tells
the history and stories of her family through the women who experienced them.
However,
history, for Trueba, was paternity and—whenever the situation called for it—
aggression. One of his first rituals in organizing Tres Marías as a community
was to start populating it, ranging through the wheatfields on horseback in
pursuit of the peasant girls, raping and impregnating more than a few…History
was procreation, and the father’s subsequent attempts to deal with the results of
procreation. The most troublesome outcome of his sexual escapades in the
environs of Tres Marías was Esteban García, his natural grandson born of an
offspring of Pancha García, his first wheatfield victim. (Earle 547)
As a result of Trueba’s forays, the family is left with an “unforgettable progeny, both
legitimate and bastard” (Agosín 36). Esteban García represents the illegitimate half and
is the only one of his grandfather’s relations to share his name. In this regard, Esteban
Trueba and Esteban García are intimately tied and both represent the patriarchal attitude
of the time; Trueba is perhaps more human while García is downright cruel and bitter
because of his past. These similarities and differences provide the reader with “a picture
of two types of machismo in the characters of Esteban Trueba and his illegitimate
grandson Esteban García” (Cox 21). As the state loses power, Trueba begins shrinking as
a metaphor for the loss of power, control, and influence he has over the government
while García continues to gain more power.
García harbors a deep hatred toward Trueba and “instead of retaliating in a
direct, physical way against the aged patriarch, Trueba’s bastard grandson chooses to
punish him through his ‘legitimate’ counter part,” Alba (Earle 548). He not only abused
her as a young child at the big house on the corner, but also was responsible for Alba’s
kidnapping and abuse. García, “having risen to the rank of lieutenant colonel in the
political police….presides over the interrogation, confinement, and prolonged torture of
his privileged cousin Alba…who has been active in the socialist underground and
Esteban Trueba’s only recognized grandchild. Alba undergoes…torture…[and] in the
process she’s raped an undisclosed number of times [by] Colonel García” (Earle 547).
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�By putting Alba in the “doghouse,” one of the cells for solitary confinement,
García hopes Alba will break down. Instead, after several days of torture, with
inspiration from the spirit of her grandmother Clara, Alba turns against García’s
patriarchy and survives by remembering all her stories (Allende 414). Alba is eventually
released from prison alive and returned to her family.
“Allende’s novel invites readers to wander into one room that might be called
‘feminist,’ occupied by the women of the del Valle lineage; discover another door labeled
‘patriarchy,’ inhabited by Esteban Trueba” and discover between them an area combining
both extremes; however, in contrast to this idea and the Trueba women, Esteban Trueba’s
sister, Férula does not find her role apart from patriarchy or marked by feminism (Levine
165). Férula dutifully cares for Clara and her children and it “may be read as one-way
lesbian desire [but] is hardly a positive representation” (Frenk 77). These possible
lesbian feelings, however, are never acted upon. This is perhaps the only way through
which Ferula could possibly have stood up against patriarchy. By having a relationship
with another woman, she would have stood against the ideals of patriarchy. Beyond this,
however, Férula represents the ideals of the state. After being kicked out by her brother
because of her feelings toward her sister-in-law, Férula moves to the barrio where she
lives a poor life. She is miserable in this position, oppressed along with her neighbors by
the powerful state. “The novel itself can be read as a victory for the Trueba women as it
allows them, for the first time, a public voice with which to speak aloud the pain that
male aggression has wrought” while in contrast to that, Férula dies alone in the end after
a miserable existence which resulted from supporting the state instead of trying to work
against it for her own personal freedom (Cox 47).
The House of the Spirits “[challenges] a Latin culture that reveres maleness and
circumscribes its women into narrow, non-threatening roles” by placing women in
prominent positions consistently throughout the text (Cox 20). Nívea, Clara, Blanca, and
Alba “exhibiting different strengths in each generation, bring peace and clarity to the
turbulent family saga” (Cox 35). In their subversion of patriarchy across three
generations, these women create a space for themselves in society and in the end, Alba
realizes that women from many different lifestyles who are trying to accomplish these
same goals surround her everyday. When she is released from the prison and left in a
dump, Alba is rescued by a woman who she says
was one of those stoical, practical women of our country, the kind of woman
who has a child with every man who passes through her life and, on top of that,
takes in other people’s abandoned children, her own poor relatives, and anybody
else who needs a mother, a sister, or an aunt; the kind of woman who’s the pillar
of many other lives, who raises her children to grow up and leave her and lets
her men leave too, without a word of reproach, because she has more pressing
109
�things to worry about. She looked like so many others I had met in the soup
kitchens, in my Uncle Jaime’s clinic, at the church office where they would go
for information on their disappeared, and in the morgue where they would go to
find their dead. I told her she had run an enormous risk rescuing me, and she
smiled. It was then I understood that the days of Colonel García and all those
like him are numbered, because they have not been able to destroy the spirit of
these women. (Allende 429)
The Trueba women serve a precursors in the female movement to subvert patriarchy;
however, they are only examples of the many women who are standing in the shadows
trying, in their own ways, to accomplish the exact same things as Clara, Blanca, and Alba
did in their lives.
Works Cited
Agosín, Marjorie. “Pirate, Conjurer, Feminist.” Trans. Cola Franzen. Conversations
with Isabel.
Allende. Ed. John Rodden. Austin: University of Texas Press, 1999. 35-42.
Allende, Isabel. The House of the Spirits. New York: Alfred A Knopf, Inc., 1982.
Alvarez-Rubio, Pilar. “‘An Orgy of the Senses.’” Trans. Virginia Invernizzi.
Conversations with Isabel Allende. Ed. John Rodden. Austin: University of Texas Press,
1999. 365-378.
Cox, Karen Castellucci. Isabel Allende: A Critical Companion. Westport, CT:
Greenwood Press, 2003.
Cruz, Jhoanna. “‘Living On’ and the Women of Isabel Allende’s House of the Spirits.”
Likhâ 12.2 (1990-1991): 1-9.
Earle, Peter G. “Literature as Survival: Allende’s ‘The House of the Spirits.’”
Contemporary Literature 28 (1987): 543-554.
Engelbert, Jo Anne, and Linda Levine. “The World is Full of Stories.” Conversations
with Isabel Allende. Ed. John Rodden. Austin: University of Texas Press, 1999. 43-47.
Frenk, Susan. “The Wandering Text.” Latin American Women’s Writing: Feminist
Readings in Theory and Crisis. Ed. Anny Brooksbank Jones and Catherine Davies.
Oxford: Oxford UP, 1996. 66-83.
110
�Frick, Susan R. “Memory and Retelling: The Role of Women in La casa de los
espíritus.” Journal of Iberian and Latin American Studies 7.1 (2001) 27-41.
García-Johnson, Ronie-Richele. “ The Struggle for Space: Feminism and Freedom in
The House of the Spirits.” Revista Hispanica Moderna 67.1 (1994): 184-193.
Gautier, Marie-Lise Gazarian. “If I Didn’t Write, I Would Die.” Conversations with
Isabel Allende. Ed. John Rodden. Austin: University of Texas Press, 1999. 125-140.
Griego, Adán. The Wandering Spirits of Isabel Allende. 2004. Stanford University
Libraries. 16 Apr. 2005. <http://prelectur.stanford.edu/leturers/allende>.
Jenkins, Ruth Y. “Authorizing Female Voice and Experience: Ghosts and Spirits in
Kingston’s The Woman Warrior and Allende’s The House of the Spirits.” MELUS 19.3
(1994): 61-73.
Levine, Linda Gould. “A Passage to Androgyny: Isabel Allende’s La casa de los
espíritus.” In The Feminine Mode: Essays on Hispanic Women Writers. Ed. Noël Valis
and Carol Maier. Cranbury, NJ: Associated University Presses, Inc., 1990. 164-172.
Meyer, Doris. “‘Parenting the Text’: Female Creativity and Dialogic Relationships in
Isabel Allende’s La casa de los espiritus.” Hispania 73 (1990): 360-365.
Parham, Mary Gómez. “Isabel Allende’s La casa de los espíritus and the Literature of
Matrilineage.” Discurso Literario 6.1 (1988): 193-201.
Rodden, John, ed. Conversations with Isabel Allende. Austin: University of Texas Press,
1999.
Schiminovich, Flora H. “Two Modes of Writing the Female Self: Isabel Allende’s The
House of the Spirits and Clarice Lispector’s The Stream of Life.” Redefining
Autobiography in Twentieth-Century Women’s Fiction: An Essay Collection. Ed. Janice
Morgan and Colette T. Hall. New York: Garland, 1991. 103-113.
Swanson, Philip. “Tyrants and Trash: Sex, Class and Culture in La casa de los
espíritus.” Bulletin of Hispanic Studies 71.2 (1994): 217-237.
White, Helaena. Isabel Allende. 1997. Emory. 16 Apr. 2005.
<http://www.english.emory.edu/Bahri/Allende.html>.
111
�The Limbaugh and the Lily
On Lies, Liars, and Oscar Wilde
Jacob Meranda (Political Science/Economics)1
A Dialogue
PERSONS: Rush Limbaugh and Al Franken.
SCENE: The greenroom of a Fox News station.
RUSH: (walks into the room, sees Al sitting): There’s no need for snippy looks, Al. Come
here and sit, let us smoke cigarettes and enjoy the end of Hannity.
AL: Gee Rush, I didn’t know you smoked.
RUSH: It is such a shame society won’t accept the vices one chooses for himself.
Actually, I’m writing an essay for my club on a similar subject, since you’re here let us
put that liberal-elitist education to some use for something other than Bush-bashing. Have
a listen.
AL: Club? I think you’re taking this “Rush Limbaugh Institute for Advanced
Conservative Thought” too far.
RUSH: The Cato Institute? No, my club is a far more exclusive group--we call ourselves
“the Haves.” I’m afraid you’re not eligible to join. Now, since we’re at a Fox News
station it is only fitting that you not interrupt me too often, if at all, so I can present as fair
and balanced argument as possible. (He clears his throat loudly, shuffles some papers)
The title of my essay is “Conservatives in the Closet: Oscar Wilde.”
AL: You mean to tell me you read Oscar Wilde?
RUSH: Someone snuck it into the Stack of Stuff--I thought it was a Tom Clancy novel.
But, how delighted I was to find that Mr. Wilde’s degenerate filth is really a veiled
conservative tract; there are some quite interesting parallels between his work and other
conservative thinkers. Ayn Rand for instance, who is the foil against which I compare
Wilde in my essay. She uses similar rhetoric to Wilde regarding her theme of personal
liberty.
AL: Why did you pick Ayn Rand as a foil?
1
Written under the direction of Dr. Felicia Ruff (Theatre) and Dr. Susan Bernardo (English)
112
�RUSH: In the “Limbaugh Library” on my website it was this or Ted Nugent’s Kill it &
Grill It.2 Don’t get me wrong, I love the Nuge, but Rand seemed like a more
representative conservative. Howard Roark’s climactic speech is a good summation of
her novel and is quite comparable to Wilde. Now, since I was born to talk and you were
born to listen would you please let me continue with my essay (clears his throat again,
reshuffles paper, begins reading).
My friends, for too long we have merely banned the books of those with whom
we disagree. I ask you, why ban degenerate art when one can simply repaint it as their
own? What I will argue (in this paper) is that despite our misconceptions, Oscar Wilde is
really a Rand disciple at heart. It’s time we forced his work out and revealed that even a
liberal like Mr. Wilde could not long deny the power and logic behind Ayn Rand’s
conservative manifest, The Fountainhead.
To begin, both Mr. Wilde and Ms. Rand are ardent Individualists. They both
hold with the same contempt altruism in any form. In The Fountainhead the reader finds
Howard Roark proclaiming altruism “the device by which dependence and suffering were
perpetuated as fundamentals of life.”3 There is no grey area, the reader is either with Mr.
Roark or against him. Any other relation “is a relation of slave to master, or victim to
executioner.”4 Mr. Wilde sees the world in a similar light. Altruism is “part of the
disease”5 of man’s wretched condition. Any efforts to alleviate poverty or pain only make
the situation temporarily better, thereby prolonging whatever affliction man may suffer.
Do not try to keep the poor alive!—he warns. Instead, look past your emotions, which are
“stirred more quickly”6 than your intelligence, and you will see that a bleeding heart
cannot feed man. Man must feed himself!
Wilde writes “Art is our spirited protest, our gallant attempt to teach nature her
place.”7 Surely this is the same “man, unsubmissive and first”8 Roark exemplifies.
They’re celebrating the same man, the same dominance over nature, the same contempt
for altruism, and the same yearning for Individuality. “Individualism” for Wilde is “far
freer, far finer”9 than man under the yoke of obligation to society. Howard Roark is The
Individual, the “man who does not exist for others.” Only the individual can escape what
2
www.rushlimbaugh.com
Rand 95
4
Rand 96
5
Wilde 1079
6
Wilde 1079
7
Wilde 970
8
Rand 89
9
Wilde 1083
3
113
�Rand describes as the “orgy of self-sacrificing” from which “the world is perishing.”10
For both Rand and Wilde, escaping the snares of society and asserting their
individualism is the only road to self-realization. Man’s mind is the defining
characteristic of his humanity. His “own truth,” writes Rand, is “his only motive. His own
truth, and his own work to achieve it his own way.”11 Roark despises the man who is
“forced” to accept altruism, nothing more than “masochism as his ideal.” Living for
himself, Rand idealizes in Howard Roark “the creator… the egoist in the absolute
sense.”12
Oscar Wilde too sees egoism as “so necessary to a proper sense of human
dignity.”13 Human nature, for Wilde, is so homogenized and universal it must be escaped
by the mind as well--through creativity. Individualism is that creation. Like Roark
building his skyscrapers, Wilde builds his life. His tools are not steel and brick but the
“conversion of fact into effect, and assigning to each detail its proper relative value.”14
Both are creators in the truest sense, rebelling against a society of altruists, dependents,
and exploiters.
We see now a clear delineation between Roark and society, and for Wilde
between the artist and society. They are essentially anti-democratic--a position I know
this club is fairly comfortable with. For Rand, society and the artist are essentially
antithetical, “The creator is the man who disagrees… The creator is the man who goes
against the current… the creator is the man who stands alone.”15 Wilde holds similar
contempt for the public’s taste. Realism, art recording the masses and their lives are
without “distinction, charm, beauty and imaginative power.”16 Should the public even
embrace a work, the artist will immediately begin to question if “it was not quite
unworthy of him… of thoroughly second-rate order, or of no artistic value…”17 To create
art that resembles society is not art, is not creation, and does not satisfy the individuals
quest for self-realization. To be embraced by the public is to fail; such is the disdain for
the public that Wilde and Rand suggest the superiority of the artist over the masses.”
AL: Are you sure about all this?
10
Rand 100
Rand 90
12
Wilde 94
13
Wilde 975
14
Wilde 1073
15
Rand 94
16
Wilde 974
17
Wilde 1092
11
114
�RUSH: As sure as my talent’s on loan from God. But here is my conclusion: “even Oscar
Wilde’s art cannot escape Ms. Rand’s infallible truth, man can only be free alone. And
while certainly his dangerous work has no place on the shelves of our public libraries and
schools, make no mistake, Mr. Wilde is a conservative in sheep’s clothing; the Zel Miller
of liberal literature--we have exposed the truth, we have discarded his mask!”
AL: I wish I could say I was surprised that you do not understand Wilde at all. However,
you get to read a prepared text while I must respond extemporaneously, that is hardly
fair.
RUSH: Don’t look at me, I’m not the one writing this dialogue.
AL: (sighs) At any rate, there are similarities between Howard Roark’s speech and
Wilde’s desire for individualism, but these parallels are in rhetoric only. In their means,
their ends, and the consequences for the artist and their art, Wilde would be extremely
critical of Roark, and would consider Rand a bad artist, if an artist at all.
Look at the means towards which each author attains their individualism, they
lead to different concepts of the word entirely. For Rand, “All that which proceeds from
man’s independent ego is good. All that which proceeds from man’s dependence upon
men is evil.”18 So the aim of all should be to free humanity from dependence. Good
society seeks to fashion a better world and it is ironic that this quest should lead, for
Rand, to its dissolution. Roark could not sum this better when he states “Civilization is
the process of setting man free from man.”19 Howard Roark is only free when society
ceases to exist and men interact as isolated, atomized individuals.
Wilde’s quest for individualism takes the totally opposite route. He appeals to
society to create the conditions necessary to free men from drudgery. Altruism prolongs
problems, but love and compassion are not evil. Wilde seeks not so much the end of
exploitation of men from other men, but the individual from labor. The assembly-line
worker is relieved of the “sordid necessity of living for others”20 when Socialism
mechanizes his work. Wilde must walk a careful path, squaring his Socialism and
individualism. Authoritarian Socialism, he clarifies, is not the answer. Rather a social
construction where everyone benefits when released from drudgery.21 Where Rand
destroys society to free the individual, Oscar empowers society to provide for the
individual so he can freely pursue self-realization.
18
Rand 95
Rand 98
20
Wilde 1079
21
Wilde 1080
19
115
�These differing means hold very different consequences for the individuality
they produce. In the end, Rand’s individuality is focused on work. Man must be able to
labor unrestricted. That which he produces must not be taken. As society steals that
production it also steals the incentive to create, and slowly Rand argues, strangles itself to
stagnation. Who will produce for themselves when it can be taken from others just as
easily? This ideal leads to a view of the artist and art that is bound-up in their labor. It is
the labor of the artist which gives value to the art, it is that labor which is to be
appreciated.
Rush, let me move briefly to Atlas Shrugged. Richard Halley--an artist--states
the bad artist is the artist who is “not restrained by such crude concepts as ‘being’ or
‘meaning’ … he doesn’t know how he created his work or why… he did not think… he
just felt it.”22 The labor is the art’s value. The knowledge of the artist, the conscious
desire of that which he seeks to communicate is his justification and meaning.
Wilde’s individualism is also a liberation in a sense--but a liberation from
manual labors which he considers without dignity.23 In fact, here would be one of his
largest criticisms against Rand, “private property has really harmed Individualism, and
obscured it, by confusing a man with what he possesses… It has made gain, not growth,
its aim.”24 Society ought to produce life’s necessities. Then one is free to color-in the rest
of the world, guided by aesthetics, living for beauty.
Wilde, freed from the practical, sees the duty of art to express the beautiful and
to expand upon the numbing sameness of the world. Unlike Rand, art never tells the truth
about the world, it creates the truth of the world. Art is the “abstract decoration, with
purely imaginative and pleasurable work dealing with what is unreal and non-existent.”25
The truth it creates is a product of the artist’s imagination. “What is true about Art” then,
becomes “true about life.”26 In this work the focus is not on the intellectual message-there is none for Wilde, art justifies itself. The focus is on the pleasure, the beauty, the
aesthetic. The artist exaggerates, elaborates, creates a life more beautiful and in doing so,
individualizes it. Here now is the greatest gulf between Rand and Wilde: what does
individualism make art?
Because Rand demands that her art be appreciated for its labor, for what the
artist puts into it, art becomes a sort of commodity. Howard Roark begins this idea
admitting that every architect needs a customer. This is expanded in Atlas Shrugged when
Richard Halley demands payment for his art: “the payment I demand… I don’t mean
22
Rand 140
Wilde 1088
24
Wilde 1083
25
Wilde 978
26
Wilde 1101
23
116
�your enjoyment, I don’t mean your emotions--emotions be damned!--I mean your
understanding.”27 To be sure, Rand doesn’t advocate dependence. The artist sacrifices
nothing, the consumer nothing. They exchange without compulsion of altruism.
However, they do need each other. Art has no value without someone to appreciate it,
without someone to set its price.
That price is set, like a side of beef or a gallon of milk, by the market. The
currency is the appreciation of the consumer. The artist asks that you “Judge my work by
the standard of the same values that went to write it…” payment comes “not from the fact
that you felt, but that you felt what I wished you to feel… [that which] I wished to be
admired”28 for. Art finds its final value, its justification, in transferring to the customer
the idea the artist wishes to convey and the labor which went into the piece. “When I find
a customer with that invaluable capacity” says Halley, “then my performance is a mutual
trade to mutual profit.”29
For Wilde, art exists for its own sake. Its value is its own. Howard Roark and
Richard Halley are dependant upon others to consume their art to give it value. For
Wilde, the artist who creates for others is no longer an artist because art is its own
justification, it can be “judged by no external standard.”30 Unlike Rand, art doesn’t
project a message and the artist’s labor isn’t a standard of excellence. Art exists to make
the world, and make the world beautiful. It is not of the practical. Unlike Rand, art
dominates the spectator’s feelings31 without purpose--“the artistic temperament is always
fascinated by beauty.”32 It is not fascinated with political and philosophical statements. In
an almost direct retort to Rand, “the highest art rejects the burden of the human spirit”
and “gains more from aesthetic beauty than appreciation.”33 In the end, art reveals its own
perfection, it creates its own value.
Finally, we see Wilde somewhat less scornful of society than Ayn Rand.
Because Wilde’s art creates one’s vision of the world, the general mass of society is by
default an appreciator of art. The appreciation may not be conscious, but to look at a
sunset and see that sunset is to understand, on some level, the great authors who have
written of a sunset and the painters who have painted them. He is, by comparison, a man
of the people.
27
Rand 139
Rand 139
29
Rand 140
30
Wilde 982
31
Wilde 1096
32
Wilde 1060
33
Wilde 987
28
117
�RUSH: This is nothing more than the politics of personal destruction! You’re just part of
that reality-based community, we create truth here! If anyone is true to Oscar Wilde’s
ideals it’s us!
AL: How far we have come, you began by arguing Oscar was true to your ideal. Rush,
what do you think Oscar would have to say about Howard Roark or Richard Halley?
What would he think of Ayn Rand? I don’t think he’d be pleased. At first glance, Ms.
Rand seems to accomplish exactly what Wilde wants from art: a fanciful story, an
incredible lie. Oh what creativity must have gone into a world view as base and simplistic
as Roark’s! How utterly fantastic is his world and how unworkable it would be. Surely
she presents this character in jest, a fairytale. A testament to the power of what
unbelievable ideas humanity can produce.
Look closer. Howard Roark’s speech doesn’t exist for any aesthetic purpose, the
prose is blunt and simple, Rand’s purpose too evident. The man who created fire was
burned at his own stake--she’s trying to make a point. Roark’s speech is at its core about
expressing an idea, not beauty. In so far as that is the goal, Wilde wouldn’t consider Rand
a good artist. Moreover, the art exists for others. It’s meaningless without an audience.
After all, one doesn’t stand-up on a soap-box to preach to the wind. Because she creates
this for others Rand ceases to be an artist herself. Philosopher, pulp-writer, lunatic, call
her what you will (lunatic); but she is not, by Oscar’s criteria, a very good artist.
The truest test, I believe, is whether or not life imitates art. Do we see the world
Howard Roark sees? Do we desire his brand of isolated individuality? Has Ayn Rand
shaped through her art our vision of the world? No. To be sure, her books are well
remembered; given his views on social popularity Mr. Wilde would certainly condemn
her for ranking 2,087 on the Barnes and Noble best seller list--until he saw he was 871.
Increasingly we see a world where truth is malleable, where people are obsessed with
pop-cultural aesthetics, where a social conscious and outlook shape our self-conceptions,
societies and ideologies. If we owe our world to art, more credit must be given to Wilde
than to Rand.
Wilde is not in your closet Rush. You are in his. You disdain objectivism,
building No Spin Zones from nothing but spin. Your leaders are Kennebunkport bluebloods recasting themselves as ranching red-staters. Shock-and-Awe is the special-effects
for primetime-warfare. The world is a stage! And what a representation for Wilde’s
advocacy of a reality created from whim, from rearranged facts, living for the aesthetic.
His ideal has so influenced your thinking that you’ve actually convinced yourself to be a
disciple of Ayn Rand--you must be a masterful liar to have accomplished that. You are
Oscar’s biggest success. We live in Oscar’s world, not Ayn’s, and that I think would be
118
�his best judgment for her work. Ah, but I see your cigarette has gone out and Hannity has
ended. Come let us leave, we have talked long enough--God knows Hannity has.
Works Cited
Rand, Ayn. For the New Intellectual. New York: Random House, 1961.
Wilde, Oscar. The Complete Works of Oscar Wilde. New York: Harper Collins, 1960.
119
�
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Volume 4, Number 1
Table Of Contents
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Section I: Eastern Colleges Science Conference -- Abstracts -- 2 Synthesis and In Vitro Analysis of Iron(III)-Based MRI Contrast Agents / Janine Borgaro and Dr. Nicholas Richardson -- 2 A Statistical Analysis of Basketball Shooting / Joy Gallagher and Dr. Otto Raths -- 2 Hydrothermal Crystal Growth of ZnO Using Ethylenediamine-based Ligands / Yuliana Toderika and Dr. Maria C. Gelabert -- 3 Geographic Distribution of Drosophila Melanogaster / Maura Melvin, Janette Lebron and Dr. A. Moorthy -- 3 Estimating Coliform Levels in Lake Water:A Comparison of Methods / Leann Matta and Dr. Roy Mosher -- 3 A Study of Capacitor Charge Storage / Brittany Corn and Dr. Otto Raths -- 4 The Social Impact of Beauty / Mark S. Reeves -- 4 Survival of Adult Zebrafish Brain Tissue in Organotypic Culture: A Morphological Study / Frank Garittano, Christopher Corbo, Dr. Geoff Church, Prof. Linda Raths and Dr. Zoltan Fulop -- 5 Linear and Non-Linear Oscillation Studies Using a Simple Pendulum / Kaitlin Buffington, Evan Webber-Junot and Dr. Otto Raths -- 5 Alcohol Induced Tissue Injury in Adult Zebrafish Brain with Special Focus on Hormesis / Christopher Corbo, Christopher Cortes, Zoë Bandola, Dave Quiros, Prof. Linda Raths and Dr. Zoltan Fulop -- 6 The Influence of an Administrator Affecting Eyewitness Identification Procedures / Nancy Andiloro -- 6 The Influence of Bias Lineup Instructions on Suspect Identification / Jennifer Wiech and Dr. Amy Eshleman -- 6 Assessment of Relational and Overt Aggression in Elementary School Children / Gina Sportiello (Psychology) and Dr. Amy Eshleman -- 7 Morphological Study of the Periventricular Gray Zone of the Optic Tectum in Adult Zebrafish Brain / Christopher Corbo, Christopher Cortes, Zoë Bandola, Prof. Linda Raths and Dr. Zoltan Fulop -- 7 The Effect of UVA and UVB Ultraviolet Radiation on UV Resistant and Sensitive Strains of Yeast / Justin DiSanto, Megan Melvin, Maura Melvin and Dr. Ammini S. Moorthy -- 8 Effects of Various Concentrations of Alcohol on the Grooming Behavior in Drosophila Elanogaster / Kim Farrell and Dr. Ammini S. Moorthy -- 8 Microscopic Imaging of the Adult Zebrafish Brain / Denise Wong, Christopher Corbo, Christopher Cortes, Zoë Bandola, Gary Greenfeder, Dr .Andrew Needle and Dr. Zoltan Fulop -- 9 Effects of Alcohol on Shoaling and Species Recognition in Zebrafish (Danio Rerio) / Chris Powell, Kristin Risch and Dr. Brian Palestis -- 9 A Discussion of the Flaws and Ineffectiveness of State Mandatory Minimum Sentencing Guidelines / Gerard Mangieri -- Section II: The Natural Sciences -- Full Length Papers -- 12 Geographic Differences in Allelic Frequencies for ADH+ and ADHAllozymes in Drosophila melanogaster / Maura Melvin -- 26 Hydrothermal Crystal Growth of ZnO Using Ethylenediamine-based Ligands / Yuliana Toderika -- Section III: The Social Sciences -- Full Length Papers -- 42 Prolonged QT Syndrome in College Athletes / Roxanne Febick -- 49 Relational Aggression: Finding Ways to Deal with This Negative Female Behavior / Gina Sportiello -- 67 The Effect of Objective Self-Awareness on the Ability to Deceive / Gareth Shumack -- Section IV: Critical Essays -- Full Length Papers -- 82 Gender as Performance in Todo sobre mi madre / Lindsay Beren -- 87 Flâneuses et Vagabondes: Women on the Run in Contemporary French Cinema / Jake Brown -- 94 Growing Up Indian American / Naveena David -- 103 Female Subversion of a Patriarchal Society: Isabel Allende’s The House of Spirits / Jessica Friswell -- 112 The Limbaugh and the Lily On Lies, Liars, and Oscar Wilde / Jacob Meranda
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Wagner College Forum for
Undergraduate Research
Spring 2006
Volume IV, Number 2
Wagner College Press
Staten Island, New York City
��EDITOR’S INTRODUCTION
The spring 2006 edition of the Wagner Forum for Undergraduate Research is a special
issue devoted entirely to the First Year Program. Unlike previous issues it is separated
into five sections corresponding to each of the major divisions. All papers are
representative of work performed in the 2005 Learning Communities. They show the
enthusiasm of our students and the effectiveness of connecting courses around a central
theme. This interdisciplinary approach combined with fieldwork allows students to
address real-world issues and greatly enhances their educational experience.
Special thanks to Dr. Brian G. Palestis whose assistance with the final manuscripts
proved to be invaluable.
Read on and enjoy!
Gregory Falabella and Richard Brower, Editors
��Section I: The Sciences
2 The Cerebral Hemispheres – A New Age of Learning
Erin Davis
Section II: The Social Sciences
12 The Evolution of Society’s Recognition of Child Neglect
Victoria Brown
20 Ethnic Differences and Eating Disorders among Women
Nicole Rossini
Section III: The Humanities
28 When Langston was in Vogue
Stephanie Loffredo
33 Learning to Live with Race, Social Class and Ethnicity in Down These
Mean Streets by Piri Thomas
Megan Benson
38 Rebekah: The Most Powerful Matriarch of Israel
Abby Albair
44 Savory Sentiments: Feelings Expressed through Food in Abu Jaber’s
Crescent
Emily Morrison
�
Section IV: Performing and Visual Arts
52 Bach and the Art of Fugue
Christopher Fourman
Section V: Professional Programs
60 The Boys Scouts of America and the Battle to Keep out Gays
Allen Koehler
��Section I: The Sciences
�The Cerebral Hemispheres – A New Age of Learning
Erin Davis 1
As the scientific world advances, new innovations have been made in the field
of education. Studies of split-brain patients, students, children, dyslexics, and the brain
itself have shown that in order to enhance a student’s ability to understand inside the
classroom, teachers need to appeal to both hemispheres of the brain. By using techniques
such as visual strategies, fantasy, and metaphor, educators can encourage students to
approach different problems with appropriate strategies, instead of using the same
method for all.
In order to understand the relevance of the cerebral hemispheres to education,
one must first have an understanding of their basic function. Each hemisphere of the
cerebral cortex of the brain is broken up into four lobes, or sections, by deep grooves
called sulci. The four lobes are the occipital lobe (vision), the temporal lobe (hearing,
and in humans, speech), the parietal lobe (sensory responses), and the frontal lobe (motor
control and the function of other areas of the cortex) (Bloom and Lazerson 1988). The
two hemispheres are connected in several places by cables of neurons called
commissures. The largest and most important is the corpus callosum (Bloom and
Lazerson 1988). The left hemisphere controls sensing and movement on the right side of
the body, and the reverse is true of the right side. Each eye has a left and right visual
field, and those images seen in the right visual fields go to the left side of the brain, and
those seen in the left go to the right side of the brain. In order to communicate, the
hemispheres share information through the corpus callosum (Bloom and Lazerson 1988).
Scientists have discovered that the hemispheres are not symmetrical as was once
believed, but are actually asymmetrical, each with its own functions. On a purely
physical level, there are several differences between the left and right hemispheres. On
the right, the Sylvian fissure is higher, and the frontal lobe is wider and protrudes. On the
left, the occipital horn of the lateral ventricle is longer, and the occipital lobe is wider and
protrudes (Bloom and Lazerson 1988). However, these differences all depend on
whether a person is left- or right-handed. The above is true for right-handed people, but
is commonly opposite for left-handed people (Bloom and Lazerson 1988).
1
This paper was written under the direction of Dr. Brian Palestis (Biology) for the Freshman
Learning Community LC15, From Microbes to Ecosystems.
2
�While studying the different cerebral hemispheres, scientists began to wonder
where handedness fits in with hemisphere dominance. If the left side of the body is
connected to the right side of the brain and vice versa, does this reflect a relationship
between being right-handed and left-brain dominated, or left-handed and right brain
dominated? This is unlikely, for about 90% of the human population is right-hand
dominant, and has been so for as long as humans have kept records (Deutsch and
Springer 1981). So why aren’t left-handed people right-handed? One theory is that
right-handedness is a trait that should exist for all humans and left-handedness is a result
of prenatal or perinatal damage to the brain, probably due to a lack of oxygen (Deutsch
and Springer 1981). Twins are found to be good evidence of this idea, because they are
often left-handed and their chances of being damaged as fetuses are twice those of singlebirths. Another theory is that of the “right-shift factor” which states that most people
inherit a right-handed gene, and those who do not inherit the gene may be left-handed,
right-handed, or ambidextrous depending on such factors as training or injury (Deutsch
and Springer 1981). Studies have shown that people who are right handed tend to be leftbrain dominant, and people who are left-handed have more division in hemisphere
dominance (Deutsch and Springer 1981). However, this seems to have little to no affect
on intellect, as many studies have been done and tests performed and scientists are still
unable to provide any evidence that either right-handed people or left-handed people have
an advantage (Deutsch and Springer 1981).
As each side of the brain tends to process information in different ways, our
dominant side tends to guide us in some of the ways we act, think, and learn. When it
comes to processing information, the left-brain processes it in a linear method. Going
from part to whole, it lines up pieces in logical order and draws conclusions. The leftbrain also processes sequentially. List making and daily planning are common traits of a
left-brain person, and working in sequence, such as spelling or mathematical problems,
come more easily. Symbolic processing, using letters, words or numbers, and the ability
to memorize them also comes easily to the left-brain. In writing, the left-brain pays
attention to the mechanics, spelling, punctuation, or subject-verb agreement. They also
have an easier time giving verbal, rather than visual, directions. Finally, the left-brain
deals with reality. When faced with an environment, they adjust to it, making sure to
learn and understand the rules, and are fully aware of the consequences of breaking those
rules (Williams 1986).
The right-brain processes holistically, starting with the whole and breaking it
down into parts. This may provide a right-brain dominated person with difficulty unless
they understand the big picture first. Right brains also jump from one assignment to
another, and sometimes finish assignments past the deadline because they were working
on something else. When studying, the right-brain also needs things to use concrete,
3
�visual examples to help them remember. When it comes to answering questions, rightbrained people often follow hunches and are usually correct, and search for their feelings
about a piece of writing. Right-brains also work best with visual directions and are able
to think creatively (Williams 1986).
In order to study the cerebral hemispheres, scientists have done clinical studies
of people whose brains have been damaged or the hemispheres split. The most
prominent of these studies is that of the bisected brain. When a person has an epileptic
seizure, neural firing spreads through the brain, and can pass through the corpus callosum
(Bloom and Lazerson 1988). In order to contain the spread during life-threatening
seizures, a surgeon will cut the corpus collosum. At first, the patient appears to be
unchanged in personality, intelligence, and behavior after the operation is over.
Scientists have come up with several tests, however, in order to measure the small ways
the bisection affects thought patterns (Bloom and Lazerson 1988).
During one test, a patient whose corpus callosum was detached sat in front of a
screen with a small black dot in the center. The experimenter asked her to look
continually at the dot while a picture of a cup is quickly flashed to the right side of the
dot so only one hemisphere has time to view the picture (Bloom and Lazerson 1988).
When the examiner asked the patient what she saw, she responded that she saw the cup.
The experimenter then flashed a picture of a spoon on the left. When the experimenter
asked her what she had seen on the screen, she replied, “Nothing” (Bloom and Lazerson
1988). After that, the researcher asked her to reach under the screen and to choose the
object that had just been flashed just by using her hand. With her left hand, she felt
several objects before grabbing the spoon. When asked what she was holding, she
responded, “A pencil.” In another test with the same patient, a picture of a nude woman
was flashed at the left of the dot. The patient blushed and giggled, and when asked what
she saw, she replied that she had seen “nothing, just a flash of light.” When asked why
she giggled, she replied, “Oh, doctor, you have some machine!” (Bloom and Lazerson
1988).
When the patient saw the picture of the cup on the right side of the dot, it was
processed in her left hemisphere and she was able to name the item (Bloom and Lazerson
1988). When she was shown a spoon on the left side, she said she was unable to see the
object but was later able to pick it out from a group of objects. This study helped show
that in most people, the left hemisphere is responsible for language and speech (Bloom
and Lazerson 1988). When the corpus callosum is connected, the left and right
hemispheres are able to work together to distinguish and name things. When the patient
was flashed the nude picture, she had processed the information, as indicated by her
blush, but because her left, or verbal, hemisphere did not receive information, she tried to
rationalize her embarrassment by blaming it on the machine (Bloom and Lazerson 1988).
4
�Another interesting study with this patient was performed by having her sit in
front of the same screen, on which was a composite picture of a child on the left, and a
woman on the right (Bloom and Lazerson 1988). When asked what she saw, she
responded that she had seen the child, but when given four pictures to choose from, the
child and woman among them, the patient chose the woman, thus reinforcing the idea that
the left hemisphere is the verbal side of the brain while the right hemisphere is the visual
side (Bloom and Lazerson 1988). Interestingly, the patient denied that there had been
anything unusual with the pictures she had seen, though each picture was only a half.
Her brain was able to complete the picture for her, which helped scientists understand
how split-brain patients function normally on a day-to-day basis (Bloom and Lazerson
1988).
One very common disability caused by a malfunction in the cerebral
hemispheres is dyslexia. Dyslexics are not mentally retarded or physically injured; they
have normal intelligence and they are able to comprehend and produce spoken language
(Bloom and Lazerson 1988). They do, however, have difficulty with reading. For some
dyslexics, the problem lies in perceiving words as wholes and in knowing what words
look like. This can be attributed to unstable eye dominance, which leads to disordered
eye movements, making it difficult to follow the sequence of letters and words. This may
be a reflection of unstable control in the brain where neither hemisphere has dominance
over eye movements (Bloom and Lazerson 1988).
Students in a typical high school classroom are expected to learn through books
and lectures. This makes learning difficult for those students who are right-brain
dominant and causes those students who are left-brain dominant to neglect the
development of important skills, such as creativity and problem solving. In order to
allow students to develop both sides of their brain, teachers need to balance the ways they
use the material, using both left- and right-brained techniques. In her book, Teaching for
the Two-Sided Mind, Linda Verlee Williams states:
When lessons are presented visually as well as verbally, when students make
their own connections between what is to be learned and what they already
understand, and when all senses are engaged in the learning process, students are
able not only to learn in the way best suited to their style, but also to develop a
full and varied repertoire of thinking strategies.
While teaching a class, there are many ways to appeal to the left-brained
student. Write an outline on the board, and teach the lesson as the student takes notes.
Discuss abstract concepts and assign individual assignments. Assign research papers and
keep the classroom quiet (Connell 2005).
There are also several techniques teachers can utilize in order to help students
develop their right hemispheres and enable them to see patterns, use visual and spatial
5
�thinking, and see things as a whole. First, balance verbal techniques with visual thinking.
Using pictures, maps, diagrams, charts, and films can convey ideas more understandably
than words alone, and also enhance the student’s ability to use observational skills
(Williams 1986).
A second right-brain technique is fantasy, or the ability to generate and
manipulate mental images. This will help make verbal material more accessible and
understandable to students, and is an extremely important problem solving skill. For
example, Albert Einstein fantasized himself riding a ray of light, which became
significant in his discovery of the theory of relativity (Williams 1986). Here is an
example of an exercise a teacher may employ in order to help students fantasize about
plants:
Imagine you are a seed… Feel your round seed-body sleeping in the dry soil…
Now the rains start and the soil around you becomes wet… Feel yourself drink
in the moisture… You are beginning to grow… Feel your body growing inside
your seed shell… You are developing a root… Feel it grow and press against
your shell-skin… The skin splits, growing… Now your tightly curled seed
leaves push upward… Look around you… Listen to the sounds… Feel the earth
around you… (Williams 1986).
Another form of a right-brain teaching technique is metaphor. Metaphorical, or
analogical, thinking is recognizing a connection between two apparently unrelated things
(Williams 1986). The key is to compare the new concept to something the student is
already familiar with. For example, one can compare the human kidney with a gravel
sifter. Each acts as a filter, allowing some particles to pass through and holding on to
others. While kidneys and gravel sifters are obviously not the same thing, the
comparison will enable the student to better understand the kidney’s function. The
metaphor also allows students to visualize a whole instead of dealing with individual
parts, and can help them tie in their own experiences, which makes learning the subject
easier and more efficient (Williams 1986).
When it comes to teaching, there are always differences between those classes
taught by left-brain dominant teachers and those who are right-brain dominant. Leftbrain dominant teachers tend to prefer teaching with lecture and discussion. They use
outlines and stick to time schedules, and give students problems to solve independently.
They assign more research and writing papers than teachers who are right-brain
dominant, and they have a preference for organized, quiet classrooms. Right-brain
dominant teachers, on the other hand, generally like hands-on activities instead of
lectures. They incorporate more visuals and music into their lessons, and embrace the
idea of multiple intelligences. They assign more group activities and like an active, noisy
6
�classroom (Connell 2005). Despite the fact that each teacher would rather teach as they
learn, incorporating both styles of teaching in the classroom is not difficult and will even
help the instructor develop a balance between their hemispheres.
The theory of multiple intelligences was developed by Dr. Howard Gardner, a
professor at Harvard University. The theory suggests that I.Q. testing is very limited and
that human brainpower covers a much broader scope of potential in the form of eight
different intelligences: Linguistic intelligence, which involves reading, writing, speaking,
and conversing in one's own or foreign languages; Logical/ mathematical intelligence,
which involves number and computing skills, recognizing patterns and relationships,
timeliness and order, and the ability to solve different kinds of problems through logic;
Spatial intelligence, which involves visual perception of the environment, the ability to
create and manipulate mental images, and the orientation of the body in space;
Bodily/kinesthetic intelligence, which involves physical coordination and dexterity, using
fine and gross motor skills, and expressing oneself or learning through physical activities;
Musical intelligence, which involves understanding and expressing oneself through music
and rhythmic movements or dance, or composing, playing, or conducting music;
Interpersonal intelligence, which involves understanding how to communicate with and
understand other people and how to work collaboratively; Intrapersonal intelligence,
which involves understanding one's inner world of emotions and thoughts, and growing
in the ability to control them and work with them consciously; and Naturalist intelligence,
which involves understanding the natural world of plants and animals, noticing their
characteristics, and categorizing them (Armstrong 2000). Gardner believes that schools
and culture focus primarily on linguistic and logical-mathematical intelligence, but
should instead place equal attention on those who show gifts in other intelligences, such
as artists, musicians, designers, dancers, entrepreneurs, architects, and naturalists.
According to Gardner, children who express talent in these fields are often seen as
underachievers and don’t have much reinforcement to develop these gifts while at school.
In order to accommodate for those students with intelligences in areas other than
linguistics or mathematics, a major change in the way schools are run is suggested.
Teachers should be trained to present their lessons in myriad ways, using music, art, field
trips, cooperative learning, role play, and inner reflection to help all students develop
their individual talents. For those with linguistic intelligence, exercises such as reading
interesting books, playing word board or card games, listening to recordings, using
various kinds of computer technology, and participating in conversation and discussions
should be employed. For those with logical/mathematical intelligence, classifying and
sequencing activities, playing number and logic games, and solving various kinds of
puzzles. For those with visual/spatial intelligence, experiences in the graphic and plastic
arts, sharpening observation skills, solving mazes and other spatial tasks, and exercises in
7
�imagery and active imagination. For those with bodily intelligence, playing with blocks
and other construction materials, dancing, playing various active sports and games, and
participating in plays or make-believe. For those with interpersonal intelligence,
cooperative games, group projects and discussions, multicultural books and materials,
and dramatic activities or role-playing will help them learn. For those with intrapersonal
intelligence, participating in independent projects, reading illuminating books, journalwriting, imaginative activities and games, and finding quiet places for reflection. Finally,
for those with naturalist intelligence, exploring nature, making collections of objects,
studying them, and grouping them (Campbell et al., 1999). This theory appeals to those
teachers who are right-brained because many children who are right-brained are
diagnosed with ADD, and the multiple intelligence system of learning helps those who
are unable to thing logically or linguistically achieve a higher ability to function in the
world because they have been taught how to do what they can do best (Gallagher 2005).
Although there have been many enthusiastic responses to the idea of teaching
with the goal of utilizing a student’s weakness based on hemispheric dominance, not
everyone is thrilled with the idea. John Bruer, president of the James McDonnell
foundation, which was established to “improve the quality of life” by giving grants and
scholarships to a new generation of knowledge (James S. McDonnell Foundation 2005),
thinks that connecting the classroom and the laboratory now would be premature, holding
back attempts at educational reform. He insists that these ideas of restructuring
traditional education are not newly constructed, based on newfound information on the
brain, but instead are the product of thirty-year-old concepts of psychological research.
Bruer feels that, although the idea of scientists studying the brain and the psychological
mind together is “exciting”, introducing this form of education so soon would be a
mistake as there is no clear-cut, neurological evidence yet. He feels that educators are
incorrect in applying these techniques in the classroom and should wait for hard facts
before they run around changing the way things are done (Bruer 1999).
However, many teachers feel that classroom practice is experimental: only by
trying different approaches to teaching can they find what works best. Instead of taking
things directly from neuroscience, they study it and devise new methods of teaching
based on some of the ideas (Ranpura 1999).
Teachers devote their lives to helping children learn and grow. By using such
innovative methods as metaphor, fantasy, and visual thinking in addition to logic and
linguistics, teachers are able to bring more insight and understanding to the learning
process, enabling students to work to the best of their ability. Perhaps, in the years to
come, scientists will solve the brain’s mysteries, allowing educators to aid their students
in ways they never dreamed were possible.
8
�Works Cited
Armstrong, T. 2000. Multiple Intelligences. December 3, 3005.
<http://www.thomasarmstrong.com/multiple_intelligences.htm>
Bloom, F. and A. Lazerson. 1988. Brain, Mind, and Behavior. W.H. Freeman & Co.,
New York.
Bruer, J. 1999. In Search of Brain Based Education. Phi Delta Kappa International.
November 27, 2005. <http://www.pdkintl.org/kappan/kbru9905.htm>
Campbell, L., B. Campbell, and D. Dickinson. 2003. Teaching and Learning Through
Multiple Intelligences. Allyn & Bacon, Boston.
Deutsch, G. and S. Springer. 1981. Left Brain, Right Brain.
Company. San Francisco, 1981.
W.H. Freeman and
Gallagher, T. 2005. Multiple Intelligences. Born to Explore: The Other Side of ADD.
November 17, 2005. <http://borntoexplore.org/addmult.htm>
James S. McDonnell Foundation. December 3, 2005. <http://www.jsmf.org/>
Rampura, A. 1999. Education and Neuroscience: Bridging the Gap. Brain Connection.
December 1, 2005 <http://www.brainconnection.com/topics/?main=fa/education neuroscience>
Williams, L. 1986. Teaching for the Two-Sided Mind. Simon & Schuster, Inc. New
York.
9
��Section II:
The Social Sciences
�The Evolution of Society’s Recognition of Child Neglect
Victoria Brown 1
Over the past century child neglect has evolved to become the “parental failure
to perform certain duties, which failure is observable in the child’s personal appearance
and behavior” (Hankerson 396). Child neglect, however, was not always a concern in
American society. Prior to the mid 1870’s a parent did not have to feed, clothe, or protect
their child and society did not protest such behavior; society did not try to save the child.
The concept of child neglect did not exist. Beginning in the late nineteenth century
society began to increase the amount of attention they gave to a child’s well being and
child neglect began to be recognized as a social issue.
At the time of the industrial revolution in the United States child neglect began
to become a societal concern (Tomison 46). The first publicized case of child neglect
occurred in New York City in December of 1874. This case, commonly known as the
Mary Ellen Legend, initiated society’s concern for the protection of children. At the
young age of nine, Mary Ellen lived in a small tenement building with her foster parents
Mary and Francis Connolly. After hearing the screams of a child, Mary Ellen’s neighbor
contacted mission worker Etta Angell Wheeler. Wheeler visited the Connolly’s apartment
where she found Mary Ellen: thin, pale and about the size of a five-year-old child. In the
middle of the winter she was standing barefoot, dressed in an old, tattered dress. A whip
lay on the kitchen table; marks demonstrating its use lay on Mary Ellen’s body. She slept
on the floor in front of a window. Mary Ellen was left alone in an apartment and was not
allowed outside to play with other children (Costin 204-207).
At the time of the Mary Ellen case there were no child protection agencies; there
were no laws to protect children. However, there were organizations for the protection of
animals. Etta Angell Wheeler presented Mary Ellen’s case to Henry Bergh, the president
of the Society for the Prevention of Cruelty to Animals. After much persuasion, Wheeler
was able to convince Bergh to use his organization to save Mary Ellen. The Society for
the Prevention of the Cruelty to Animals claimed that children were like animals, weak
and helpless; therefore, they should be entitled to protection under laws against animal
cruelty (Costin 204-205). Based on this claim Mary Ellen was removed from her home
with the Connollys. She was put on trial where she testified that she “did not want to go
back to live with mamma because she beats me” (Costin 207). Mary Connolly was found
1
This paper was written under the direction of Dr. Jean Halley (Sociology) and Dr. Amy Eshleman
(Psychology) for the Freshman Learning Community LC19, Race Matters and Gendered Selves in
American Society.
12
�guilty of assault and battery. Mary Ellen was then sent to live with her grandparents
(Costin 208).
Mary Ellen opened society’s eyes to the horrors of child abuse and neglect.
Society had a new concern for the protection of children. Immediately following the
Mary Ellen case, organizations for animal rights became organizations for the rights of
animals and children. This gave organizations the ability to raise money for both causes.
Henry Bergh’s organization became the Society for the Prevention of Cruelty to Animals
and Children. The American Humane Association produced a double-sided seal, one side
for animals and one side for children (Costin 212-213).
As the animal rights organizations tried to save the children, so did the women’s
rights movement of the 1870’s. Women believed that children’s needs were very similar
to their own; therefore, they acted for the rights of both women and children. The
movement opposed child abuse and neglect. In order to eliminate child maltreatment, the
goal of the women’s rights movement was to “reform child care and child nurture”
(Costin 211).
The New York Society for the Prevention of Cruelty to Children (NYSPCC)
was also formed in 1874 as a result of the Mary Ellen case (Costin 213). This agency was
established as a preventive law enforcement agency, whose main mission was to protect
children from abuse and neglect (Hudson and Richett 862). However, from the time of
it’s formation the NYSPCC had gendered stereotypes woven into its policies. For
example, the society was concerned about young boys’ physical treatment, while they
were concerned about the emotional treatment of young girls (Costin 218). New York
legislation also gave the NYSPCC “powerful control over the lives of the poor, neglected
and immigrant community” (Hudson and Richett 862). Such legislation enabled the
NYSPCC to persecute classes and races whose way of child rearing may not have fit the
social norm. While the New York Society for the Prevention of Cruelty to Children had
its flaws it served as the origin for Child Protective Services (Hudson 860).
In addition to the formation of organizations for the protection of children, the
Mary Ellen case also led to new legislation and an early definition of child neglect.
Family law was revised to include the well-being of the child. “A new standard of
welfare arose, one that considered the child’s best interest by determining fault” (Costin
214). Used in determining custody of a child, this new legislation relied on the early
definition of child neglect, which stated that neglect was “omission on a part of the parent
that led to inadequate care of a child” (Meezan and Rose 280). In application, this early
definition of neglect focused on conditions that were considered best for a child’s growth.
By using the early definition of neglect and the new family legislation a child would be
placed with a parent based upon the child’s best interests.
13
�While the Mary Ellen case was promoting concern for children in New York,
child neglect was becoming a concern within day cares in Philadelphia. These day cares,
however, were not ordinary day cares; they were known as baby farms. Baby farming
was the boarding of babies in exchange for money, costing a mother $1.50 to $3.00 a
week per child. The baby farms were often run by poor women and used by poor women
as a childcare for their infants (Broder 129).
Even though many baby farms were created with the intentions of caring for
children, they were often misused. Baby farms allowed mothers to slowly abandon and
neglect their children. Mothers would stop paying their fees and the baby farmers would
either abandon or kill their babies (Broder 140). As society began to notice that a
disproportionate number of babies were dying from unknown causes, investigators began
to scrutinize the baby farms (Broder 132). An investigation of one baby farm confirmed
neglect as it reported a number of malnourished babies in the house as well as a baby’s
corpse lying on the kitchen table (Broder 140).
Once the child neglect that occurred within baby farms was publicized, middle
class Philadelphia was outraged. Baby farms were viewed as a result of the social
relationships among poor families and as a threat to “property, morals, and political life”
(Broder 133). The middle class, however, were not the only class upset by the misuse of
baby farms. Many poor, working mothers were also concerned with the neglect that was
occurring within baby farms. There were mothers who relied on baby farms for childcare;
they were now concerned for the safety of their children (Broder 144).
Deaths of many poor infants occurred within baby farms as the result of a lack
of affordable, safe childcare in Philadelphia. The Pennsylvania Society to Protect
Children from Cruelty began to lobby for legislation that would regulate baby farms.
When such legislation was enacted it required a childcare to have a license in order to
care for children under two years of age. Also members of the Pennsylvania State Board
of Charities and officers from the Society for the Prevention of Cruelty to Children were
to inspect baby farms on a regular basis (Broder 142). This legislation regarding child
neglect in baby farms helped to protect poor children as well as increase society’s
awareness of the cruelty that lies within child neglect.
As society began to recognize the severity of child neglect, the act of neglect
remained gendered. This is illustrated in the Charlotte Duffy case. In 1878, Charlotte
Duffy, a young girl of eleven, was diagnosed with an incurable hip disease; two years
later Charlotte was confined to bed. On September 22, 1880 Charlotte’s aunt, Janet
Nagie, walked into Charlotte’s room to find maggots in her bedsores. After cleaning
Charlotte’s sores, Nagie called a neighbor who helped move Charlotte to a hospital. The
neighbor claimed, “if a skeleton was taken and covered with thin paper, the bones would
14
�not show more clearly than did those of the child.” The next day Charlotte died of
exhaustion (Hogan 305-306).
After the death of Charlotte Duffy, her parents, Annie and Matthew Duffy, were
brought to trial. While on trial Annie Duffy testified that Charlotte often went for days
without food and in the four months that she had been confined to her bed she had only
been bathed three times. Her bedsores were never shown to a doctor (Hogan 305). At the
conclusion of the trial, Annie was found guilty of criminal negligence and manslaughter.
Matthew Duffy, however, was found innocent. It was not the father’s responsibility to
care for a child. The father’s duty was to earn money for the family. As long as a father
was working and earning money, he was not neglecting his children. The mother’s
responsibility was to care for the children and tend to their needs (Hogan 306). If a child
was emotionally or physically abused or neglected it was the fault of the mother not the
father.
The first wave of societal concern for the welfare of children was initiated by the
Mary Ellen case; the second was initiated in 1962 by Dr. C. Henry Kempe and the
battered-child syndrome. In his medical practice, Dr. Kempe noticed that a large number
of children came in for treatment for unexplainable injuries (Hudson and Richett 865).
These unexplainable injuries led Dr. Kempe to develop the battered-child syndrome,
which provided medical evidence of child neglect and abuse (Tomison 4). Three main
characteristics composed the battered-child syndrome: the parental potential to abuse, an
at-risk child, and a crisis. The combination of these three characteristics could result in
child neglect or abuse (Hankerson 399).
The battered-child syndrome led to an increase in concern for child maltreatment in
the United States as well as throughout the world. National attention was focused on
child abuse and neglect as the battered-child syndrome “exposed the myth that parents
always act in their child’s best interest” (Hudson and Richett 865). As a result of the
battered-child syndrome, states enacted legislation that required the reporting of all cases
of child abuse and neglect (Hudson and Richett 865). The Child Development-Child
Abuse and Neglect Prevention and Treatment Program was founded to help identify,
prevent, protect, and treat child abuse and neglect. Accomplishments of this program
included the National Center on Child Abuse and Neglect, the awarding of research
grants and the Welfare Services Act, which provided financial support and foster care
along with other protective services (Hankerson 405). Dr. Kempe’s battered-child
syndrome enlightened society to the severity and frequency of child neglect, which led to
an increased interest in prevention and protection.
Although the laws requiring the reporting of child neglect and abuse helped to
protect children, they also exploited children of lower classes. The definitions of
child neglect were formed based upon the values and standards of middle and upper
15
�class families. Many of the parents accused of child neglect were of a lower
economic status (Hudson and Richett 867). An abusive parent can be found within
all social classes, yet parents of middle and upper class status are more likely to
abuse or neglect their children by withholding care and affection. This type of abuse
is less obvious; therefore the authorities are less likely to investigate such homes.
Abusive parents of low socio-economic status are more inclined to physically abuse
or neglect their children, which makes them more susceptible to inspections
(Hankerson 400-401).
Another milestone in society’s comprehension of the severity of child neglect
occurred in 1964 with Leontine Young’s landmark study. Until Young’s study was
publicized all forms of child maltreatment were considered to be the same. Young,
however, established clear distinctions between abuse and neglect. By using three
characteristics, interpersonal traits, intent of the parent to mistreat, and the effect on the
child, Young was able to determine whether a case constituted child abuse or child
neglect. Young also provided society with a new definition of neglect. To Young neglect
was the “failure by emotional needy parents to provide adequate care for the children”
(Meezan and Rose 280).
Despite the fact that the battered-child syndrome had attracted the attention of
the world, child neglect continued and it continued in a day care in Alberta, Canada in
1971. Here Margaret Leeferink operated a day care, The Boutique Children’s Hotel, out
of her home. After Leeferink refused to cooperate with authorities, Child Welfare
workers entered the day care and confiscated the children on neglect charges. Child
Welfare workers testified discovering that Leeferink ran her day care primarily from her
garage, which had no running water, no windows for ventilation, an extremely filthy rug
and a foul stench. There were ten infants in the garage with Leeferink and another three
left unattended inside the house. All the babies needed changing. Leeferink would change
one then move along to another without washing her hands (Langford 16-17).
After the neglect that occurred at The Boutique Children’s Hotel was uncovered,
parents continued to send their children to the day care. Low-income parents needed a
low-cost day care for their children and for this reason Leeferink’s day care was
appealing. While Leeferink’s day care was as cheap as the others, $55 per month, she
provided services that many day cares did not. Leeferink picked the children up in the
morning and brought them home in the evening, which was extremely beneficial for
parents that did not own a car. At The Boutique Children’s Hotel the monthly fee also
included food and diapers, which were an extra fee at most day cares (Langford 20).
Low-income parents needed to send their children to low-cost day cares even
though they would have to sacrifice quality care. Corners were often cut in cheaper day
cares in order to save money (Langford 23). However, low-cost day cares, such as The
16
�Boutique Children’s Hotel, were still “attractive to parents of limited means: for them,
every dollar saved on childcare could be spent on another essential item in the household
budget” (Langford 20). Families of a higher economic status can afford to place their
children in high quality day cares that are run by professional caretakers (Langford 24).
Lower classes have more aspects in their lives that can contribute to child neglect
(Hankerson 402). Having to send a child to a low-quality day care because of the cost is
an aspect of poverty that can contribute to child neglect.
Discrimination against children from lower economic status continued as the
child abuse and neglect prevention discussions of the 1970’s did not discuss poverty and
the pressures that it places on parents (Daro and Donnelly 733). However, the 1974 Child
Abuse Treatment and Prevention Act did increase society’s understanding of the severity
of child neglect. Focusing primarily on prevention, the Child Abuse Treatment and
Prevention Act, generated optimism within society that it was possible to protect children
(Daro and Donnelly 732). In order to receive federal aid, each state was required to
instate and enforce a child abuse and neglect law. The Child Abuse Treatment and
Prevention Act also stated that child abuse and neglect were equal under law. A new
definition of neglect was established. Child neglect was now the “lack of proper parental
control or guardianship” (Meezan and Rose 280). While “proper parental control”
included food, clothing, shelter, medical care, and supervision, a child’s emotional wellbeing was also included. For the first time it was understood that emotional neglect
effects a child’s mental and emotional development (Meezan and Rose 280). Recognizing
that emotional neglect was as damaging to a child’s development as physical neglect was
a major step in society’s awareness of child neglect.
By the end of the 1970’s society had begun to improve childcare methods.
Parents were more caring and protective of their children than ever before (Whiting 23).
Between the 1980’s and 1990’s, professionals had discovered the harmful effects that
abuse and neglect have on children. As a result of such research society had developed an
interest in the prevention of child maltreatment (Tomison 8). Many local agencies have
been founded to support families and help protect children. These agencies focused on
parenting in order to stop child abuse and neglect before it began. The National
Committee to Prevent Child Abuse projected a goal to reduce child abuse and neglect by
20 percent by 1990. Such a goal changed public attitudes and encouraged society to
protect children and prevent abuse and neglect (Daro and Donnelly 734).
Even as society was motivated to prevent child abuse and neglect, in 1989 it was
reported that “child neglect continues to be the largest single category of child
maltreatment, now constituting 55 percent of all reports” (Meezan and Rose 279). As a
result of such statistics, from the last decade of the twentieth century through the present,
society focused primarily on early intervention. Society concentrated on insuring that
17
�parents had the ability to provide a safe and nurturing environment for children (Daro
735). By ensuring a parent’s ability to raise a healthy child, society hoped that child
abuse and neglect would be prevented.
Since the late nineteenth century society has come to understand the severity of
child neglect. As cases of neglected children have emerged, organizations to protect
children, such as the Children’s Aid Society of the late nineteenth century and the
modern Children’s Defense Fund, have been established (Finkelstein 4). Though society
has made much progress in understanding and preventing child neglect, there are still
many children abused and neglected each day. “Eradication of child abuse and neglect is
still the most important social issue we face today” (DeMause 217).
Works Cited
Broder, Sherri. “Child Care or Child Neglect?: Baby Farming in Late-Nineteenth-Century
Philadelphia”, Gender and Society 2.2 (1988): 128-148.
Daro, Deborah and Donnelly, Anne Cohn. “Charting the Waves of Prevention: Two
Steps Forward, One Step Back”, Child Abuse and Neglect 26 (2002): 731-742.
DeMause, Lloyd. “The History of Child Abuse”, Journal of Psychohistory 25.3 (1998):
216-236.
Costin, Lela B. “Unraveling the Mary Ellen Legend: Origins of the ‘Cruelty’
Movement”, Social Service Review 65.2 (1991): 203-223.
Finkelstein, Barbara. “A Crucible of Contradictions: Historical Roots of Violence against
Children in the United States”, History of Education Quarterly 40.1 (2001): 1-21.
Hankerson, Henry E. “Children in Crisis in the United States- A Continuing Problem”,
The Journal of Negro Education 48.3 (1997): 396-407.
Hogan, Ashley. “I Never Noticed She was Dirty. Fatherhood and the Death of Charlotte
Duffy in Late-Nineteenth-Century Victoria”, Journal of Family History 24.3 (1999): 305316.
Hudson, James R. and Richett, Diana M. “The Socio-Legal History of Child Abuse and
Neglect: An Analysis of the Policy of Children’s Rights”, Journal of Sociology and
Social Welfare 6.6 (1979): 849-875.
18
�Langford, Tom. “What Constitutes Child Neglect? The Tragic Story of the Boutique
Children’s Hotel, 1971”, Alberta History 51.3 (2003): 16-25.
Meezan, William and Rose, Susan J. “Defining Child Neglect: Evolution, Influences, and
Issues”, The Social Service Review 67.2 (1993): 279-293.
Tomison, Adam M. “A History of Child Protection Back to the Future? The
Maltreatment of Children has Occurred Through History”, Family Matters 60 (2001): 4657.
Whiting, Leila. “A Different Perspective”, Public Welfare 36.4 (1978): 22-25.
19
�Ethnic Differences and Eating Disorders among Women
Nicole Rossini1
The prevalence and manifestation of eating disorders are argued to vary in
regards to race. Eating disorders have previously been labeled the “White women’s
disease” (Dawkins). However, eating disorders are increasingly observed among the
African-American, Hispanic, and Asian-American female population in the Western
world. Ethnic biology and attitudes are being linked to eating disorders based on body
dissatisfaction and weight concern.
The White female’s close association to eating disorders promotes the belief that
minorities are somehow immune to the cult of thinness. More specifically, AfricanAmerican and Hispanic women are thought less likely to develop eating disorders, such
as anorexia and bulimia, because their ethnic groups consider voluptuous physiques more
attractive (Dawkins). However, as “a trend of severe eating disorders” becomes more
evident among minorities, the restrictively White association is dispelled (Brodey). The
association of eating disorders as a White women’s problem is rooted in some fact. It was
concluded by Barlow and Durand in 1995 that 90% of severe eating disorder cases were
then currently diagnosed among adolescent and young White females (Abrams and
Stormer 444). The numbers only reflect who is actually being diagnosed. It is argued that
minorities remain invisible, because women of color are unwilling to seek help and
professionals fail to properly diagnose eating disorders across ethnic groups.
The perceived notion that the sought after ideal of thinness does not exist in
communities of color who celebrate “thickness” only aids, as Tracey Rose suggests,
African-American women in believing that eating disorders and body image issues are
really only “white problems” (31). Women of color often fail to recognize their problem
as an eating disorder. Minorities face difficulties in confronting their problem, because
eating disorders “conjure images of affluent White teenage girls” (Brodey). For women
of color, the association of eating disorders with “whiteness” makes seeking help very
difficult; feeling like they are “selling out” or will be treated as an oddity among friends
and medical professionals (Thompson 15). Whittaker argues that the emphasis of eating
disorders as a “whites only issue” limits who is allowed to suffer, leaving women of color
1
This paper was written under the direction of Dr. Jean Halley (Sociology) and Dr. Amy Eshleman
(Psychology) for the Freshman Learning Community LC19, Race Matters and Gendered Selves in
American Society.
20
�to suffer in silence. Silent victims, minority groups remain particularly underrepresented.
Dawkins proposes that the suffering of minority women remains invisible, as it
goes undetected by professionals because women of color do not fit the perceived profile.
Due to the association of eating disorders with White females, many highly trained
professionals misdiagnose or ignore signs of eating disorders in other ethnic groups
(Thompson 12). If minorities are not being properly diagnosed, this association of eating
disorders and Whites will continue. Experts are now researching the prevalence and
manifestation of eating disorders among ethnic groups in hopes of properly diagnosing
and treating women of color.
Body dissatisfaction and weight concern are closely examined in regards to
eating disorders. Research on the prevalence of body dissatisfaction among ethnic groups
does differ. The majority of studies conclude that African-American girls are less likely
than Whites to express body dissatisfaction and more likely to discuss positive aspects of
their body (Croll, et al.). Other studies report no significant difference in body
dissatisfaction among White, African-American, and Hispanic women (Allen and
Demarest 465). Several studies explored the relation of Body Mass Index (BMI) and
body dissatisfaction. After controlling for BMI, they also found no significant differences
in body dissatisfaction (Arriaza and Mann). Overall, significant differences became
evident, as to what extent individuals within these ethnic groups are dissatisfied. Despite
dissatisfaction among African-American women, they have very accurate ideas of what
men reportedly find most attractive and they are more realistic in their shape and weight
concerns and more tolerant of being overweight (Allen and Demarest 466, 471). The
desired body image among African-American women tends not to be so drastic from
their current state, while White women are more likely to distort the attainable body
image. White women have been reported to have the highest level of distortion followed
by Asian girls (Geliebter and Gluck). Hispanic women often fall in the middle, when
examining dissatisfaction, but usually their numbers remain closer to Whites than
African-Americans. Differences in body dissatisfaction among ethnic groups are
observed, as well as what body image constitutes satisfaction. The desired body image
remains a significant difference among ethnic groups. In determining how the prevalence
of eating disorders varies based on ethnicity, one must investigate which individuals
within these ethnic groups will negatively alter their eating behaviors in an attempt to
obtain their idea of satisfaction (Arriaza and Mann 313).
Research on the manifestation of body dissatisfaction and weight concern
reveals differences among ethnic groups. Differences emerged among which ethnic
groups are most likely to manifest body dissatisfaction and weight concern into an eating
disorder, as well as how the eating disorder manifests itself. Whites reported the most
dieting, a significant 72% (Bisaga et al.). Severe restriction of food intake appeared most
21
�common among Whites, though Hispanics and Asians also reported restrained eating
(Arriaza and Mann 313). Whites and Hispanics were most likely to engage in induced
vomiting and to use diet pills, while Hispanics and African-Americans had the highest
binge eating rates (Bisaga et al.). African-Americans had the highest use of laxatives,
which Whittaker notes as an explanation why women of color may go undetected. On the
whole, Whites and Hispanics were observed as most susceptible to develop eating
disorders based on body dissatisfaction and weight concern.
Numerous theories are proposed to explain differences in the prevalence and
manifestation of eating disorders among ethnic groups. The existence of ethnic-specific
ideas of beauty, weight, and shape is a prominent theory for ethnic differences in eating
disorders. White women identify themselves with the Anglo-American ideals of thinness,
self-control, discipline and competitiveness (Arriaza and Mann 309). The Western world
and White women value dieting, which was in fact a popular manifestation of body
dissatisfaction among White women (Bisaga et al.). Eating disorders can become the
alternative to unsuccessful dieting when these women cannot achieve the thinness they
desire. Research shows that the desires among White women are often distorted and
unattainable. Taught to be thin, these women have had very little access to communities
in which women of different sizes are valued (Thompson 35). This strong emphasis of
body shape and size greatly impacts White women and their susceptibility to eating
disorders.
The African-American community is particularly perceived to promote a larger
ideal body image for women. In these communities, curviness has generally been
accepted and celebrated (Brodey). Research concluded that black men are less likely than
White men to refuse a date with an overweight woman (Allan and Demarest 3). Varying
weights among African-American women have been labeled beautiful and desirable,
while White women who are considered pretty are almost always petite (Thompson 30).
If the approval of various body shapes and sizes is absolutely evident in the AfricanAmerican community, African-American women who identify themselves with this
community do not face the pressures of thinness as others do. Less pressure within their
ethnic culture has been directly related to the African-American woman being satisfied
with her larger shape (Geliebter and Gluck). The existence of this strong ethnic identity
protects African-American women from the culture of thinness. In contrast, this strong
ethnic identity also prevents them from seeking help when they do need it. The use of
covert unhealthy eating behaviors among African-American women, such as the use of
laxatives, can be related to their unwillingness to associate themselves with the “White
woman’s disease”, failing to uphold their ethnic identity.
With so many varying cultures within the Hispanic category, Thompson
suggests that no single ethic ideal about body size or eating patterns exist for Hispanic
22
�women (28). Unlike the Western world’s emphasis of thinness, Thompson discusses the
lack of emphasis of fat versus skinny among Dominican and Puerto Rican cultures. If
such Hispanic cultures lack a standard preference of their own, Thompson argues that the
pressures of assimilation and racism make these women especially vulnerable to
strictures about weight from outside influences (28). Being fat is viewed positive for the
rural middle class in Argentina, but within the larger cities of Argentina, having been
exposed to media and magazines, a value for dieting and an emphasis on slim figures is
apparent (Thompson). This illustrates the argument that ethnic differences are not simply
based on ethnic-specific ideals, but on the development of ethnic identity. In discussing
eating disorders among Hispanic women, acculturation with Western values and media
has been closely linked to their development of eating disorders (Arriaza and Mann 310).
In non-Westernized countries and minority groups in the Unites States, eating
disorders are much less common (Geliebter and Gluck 144). This difference is attributed
to the lack of integration of these countries or minority groups with the Western culture
and value of thinness. Tsai and Gray ask, “How much the acquisition of an eating
disorder can be attributed to the society of the culture of which an individual is a member
of?” Identifying oneself with an ethnic group has been linked to self-concept and
psychological functioning (Bisaga et al. 1). If women of color remain poorly represented
or discriminated against in mainstream society and fail to associate themselves with their
ethnic-specific ideals, as previously discussed, studies show that their identification with
White culture can make them more vulnerable to body image distortions and eating
disorders (Abrams and Stormer 444). Dawkins cites that the adoption of Western values,
concerning attractiveness and thinness, has made anorexia and bulimia “equalopportunity disorders.” Western media is often blamed for the epidemic of eating
disorders. Western societies idealize thinness in popular media as fashionable (Allen and
Demarest 465). Dr. Striegel-Moore argues, as companies include diversity in media, the
image of thinness remains, advertising beautiful, but thin African-American, Hispanic,
and Asian-American women (Brodey). If this is the case, all races must uphold the ideal
of thinness in order to be considered fashionable and successfully assimilate.
An African-American, Ms. Knuckles, who suffered from bulimia as a teen,
recognizes that when it came to body image her perception of beauty was based on her
White peers and images of White celebrities in the media (Brodey). Despite her ethnicity,
she did not identify herself with the ethnic-specific ideals that are common among
African-Americans because her peer group did not reflect these ideals. The more
ethnically diverse the peer group, the more aware women of color become of societal
standards (Abrams and Stormer). Maintaining friendships within an ethnic context can in
fact protect minority groups from the influence of dominant standards of thinness that are
not proportionate to their physiques.
23
�How body dissatisfaction and eating disorders are proportionate to ethnic groups
in regards to Body Mass Index (BMI) or body weight is another heavily researched
argument. Ethnic differences may not only be linked to societal norms, but to genetic
disposition, as well (Arriaza and Mann 314). In numerous studies the variable of BMI has
been controlled to conclude more accurate assumptions about body dissatisfaction among
ethnic groups. Hispanics, who on average amass a greater weight as an ethnic group,
have often been reported to have greater body dissatisfaction. The greater dissatisfaction
among Hispanics is no longer evident after controlling for their weight or BMI (Arriaza
and Mann 312). This illustrates how ethnic biology can create the differences that are
observed in body dissatisfaction. The results of Arriaza and Mann’s research showed that
Asians had a significantly lower BMI than Whites, who had a significantly lower BMI
than Hispanics (312). Although they had the lowest levels of obesity, a relatively high
percentage of Asian girls perceived themselves as overweight (Croll, et al. 966). The
large discrepancy between their BMI and desired weight illustrates distortion.
BMI can be responsible for the development of ethnic-specific ideals of beauty,
weight, and shape. The disposition for African-American women to be heavier has
resulted in the acceptance of larger body shapes. However, in regards to assimilation, the
greater BMI among African-American and Hispanic women leaves them furthest from
achieving the ideal thin body shape and size, and puts them at most risk of developing
eating disorders when identifying themselves with these disproportionate ideals. The
Western world’s battle with obesity reinforces the ideal of thinness, continually affecting
those who are at highest risk of becoming obese, African-American and Hispanic women
(Whittaker).
Women of color are often among those who are overlooked when diagnosing
eating disorders. Body dissatisfaction and weight concern among women who are of
normal weight or underweight offer clearer signs of risk for eating disorders (Arriaza and
Mann 310). Differences in BMI or the average weights of an ethnic group cause medical
professionals to ignore the signs of eating disorders among women of color. More
specifically, African-American and Hispanic women, who are most likely to be
categorized as overweight, are less likely to be diagnosed with an eating disorder.
In making the connection between race and eating disorders, it is important to
understand what obstacles and variables exist. The lack of focus on minority groups and
eating disorders does result in numbers that are not as reliable (Brodey). When
diagnosing eating disorders different methods of classification can be used and will result
in number discrepancies (Tsai and Gray). Elements, such as age and socioeconomic
status, create differences in research results. Specific psychological and developmental
dynamics of researched individuals also affect conclusions. By factoring in these
variables in their studies of the relationship between eating disorders and race,
24
�researchers are able to achieve the most accurate results. Further exploration of these
variables can aid in a better understanding of eating disorders.
It has been concluded in several studies, that the prevalence and manifestation of
eating disorders can vary according to race. Standards of beauty, weight, and shape do
differ among ethnic groups, influenced by biological and societal factors. Whether or not
a woman of an ethnic group identifies with these standards affects her vulnerability to
eating disorders. It is important to promote a standard of positive healthy attitudes toward
body weight among all ethnic groups. In understanding how eating disorders differ across
ethnic groups, parents and educators can make this possible. The socialization of women,
White, African-American, Hispanic or Asian-American, impacts their susceptibility to
eating disorders. With this knowledge, experts can better identify those who are in need
and improve prevention, intervention and treatment for women of different ethnic groups
(Croll et al. 963).
Works Cited
Abrams, Laura S. and Stormer, Colleen C. “Sociocultural Variations in the Body Image
Perceptions of Urban Adolescent Females”, Journal of Youth and Adolescence 31.6 (Dec.
2002): 443-450.
Allen, Rita and Demarest, Jack “Body Image: Gender, Ethnic, and Age Differences”,
Journal of Social Psychology 140.4 (Aug. 2000): 465-472.
Arriaza, C. and Mann, T. “Ethnic Differences in Eating Disorders Symptoms: The
Confounding Role of Body Mass Index”, Journal of American College Health 49.6
(May 2001): 309-315
Bisaga, Katarzyna., et al. “Eating Disorder and Depressive Symptoms in Urban High
School Girls from Different Ethnic Backgrounds”, Journal of Development and
Behavioral Patterns 26.4 (August 2005): 1-18.
Brodey, Denise. “Blacks Join the Eating-Disorder Mainstream”, New York Times 20
September 2005: F5.
Croll, Jillian., et al. “Ethnic/Racial Differences in Weight-Related Concerns and
Behaviors among Adolescent Girls and Boys”, Journal of Psychosomatic Research 53.5
(November 2002): 963-974.
25
�Dawkins, Amanda. “Eating Disorders Cross Racial Lines / Minorities being Diagnosed
with what had been Dubbed the ‘White Woman’s Disease’”, Houston Chronicle
28 May 2005: 5.
Geliebter, Allan and Gluck, Marci E. “Racial/Ethnic Difference in Body Image and
Eating Behaviors”, Eating Behaviors 3.2 (May 2002): 143-151.
Gray, James and Grace, Tsai. “The Eating Disorders Inventory among Asian American
College Women”, Journal of Social Psychology 140.4 (August 2000): 527-529.
Rose, Tracey. “Size Wars”, Off Our Backs: A Women’s Newsjournal 34.11/12
November/December 2004: 30-31.
Thompson, Becky W. A Hunger So Wide and So Deep: A Multiracial View of Women’s
Eating Problems. Minneapolis: University of Minnesota Press, 1994.
Whittaker, Kamille D. “Traditionally ‘White’ Eating Disorders Working It’s Way Into
Black America.” Jacksonville Free Press 25 May 2005: 10.
26
�Section III: The Humanities
�When Langston was in Vogue
Stephanie Loffredo1
Upon his arrival to Harlem in 1921, Langston Hughes said, “At every subway
station I kept watching for the sign: 135th Street. When I saw it, I held my breath… I went
up the steps and into the bright September sunlight. Harlem! I looked around. Negroes
everywhere! … I took a deep breath and felt happy again” (Bremer 50).
Langston Hughes’ life began in 1902 in Joplin, Missouri and ended in 1967 in
New York City. His life was filled with adventure, diversity and honor (Twayne’s 1).
Through poems, stories, novels, lectures and various other literary forms, Hughes was
able to illuminate his racial pride and truly become the most representative of African
American writers of all time. He promoted equality and condemned racism and injustice
and was key in celebrating black life and culture in the 1920s African American artistic
movement called the Harlem Renaissance. Langston Hughes was one of the most crucial
writers and thinkers of the Harlem Renaissance and was deeply influenced by his time
spent in New York City’s Harlem. Harlem provided Hughes with enormous inspiration
which he used to gain a vast amount of cultural achievement. Overall, Langston Hughes
was able to help shape African American literature and politics throughout several of his
works including: Good Morning, Harlem, What Happens to a Dream Deferred? and I,
Too.
When a woman in a box office at the only movie theater in Lawrence, Kansas
pushed twelve year old Langston Hughes’ nickel back and pointed to a new sign,
“Colored Not Admitted,” she inevitably began Langston’s life mission to reshape the
world’s views on blacks (Twayne’s 1). By the time Hughes enrolled at Columbia
University in New York in 1921, he had already committed himself to writing and
launched his literary career with his poem “The Negro Speaks of Rivers” (Rampersad 1).
Because of the poem’s success, he was already well known in African American
literature as a gifted young poet and continued to write. After he left Columbia in 1922,
he supported himself with menial jobs, but also decided to travel abroad. He worked on a
freighter in West Africa and even lived in Paris for several months. With these
experiences, he managed to culturally grow and even learned the ways of hard work and
manual labor. Later, he returned to the United States to attend the Lincoln University of
Pennsylvania in 1924 (Rampersad 2). After buying a pack of cigarettes, he had only five
1
This paper was written under the direction of Dr. Alison Smith (History) for the Freshman
Learning Community LC1, City and Civilization.
28
�cents left in his pocket (Rampersad 2). To make money he became a bus boy and then
even worked behind a counter of a fish and oyster house. Langston Hughes was forced to
work incessantly but he still found himself writing. His consistent strength of mind and
utter determination kept him strong amid his struggles. During the same year, Hughes
took several trips back to New York and met practically all the Negro writers who were
prominent during the Harlem Renaissance (Twayne’s 11). The excitement of the Harlem
Renaissance shared the exuberance of the roaring twenties and lured Langston into its
liveliness.
Langston Hughes’ skin color and personal experiences with racial inequality led
him to become a deeply influential writer of the Harlem Renaissance. In his book,
Selected Poems of Langston Hughes, many of his poems reflect how strongly he felt
about racial inequality and how he wanted to transform the minds of racists. In other
words, Hughes was able to express the potency of his personal beliefs as well as his
social beliefs. One element of this artistic composition is comprised of several kinds of
poems reflecting a dream that remains unfulfilled. The unfulfilled dream is equality. A
poem of Hughes’ that is extremely significant during the 1920s of the Harlem
Renaissance is I, Too. This poem expresses hope and optimism for the future. It begins
with the line, “I, too, sing America” and reflects how an African American is forced to
dine in seclusion (Langston 275). Yet, even in injustice and discrimination, the
protagonist is particularly positive and even confident. He then explains what will
become of him in the future. “Tomorrow, I’ll be at the table When company comes.
Nobody’ll dare Say to me, ‘Eat in the kitchen’ Then. Besides, They’ll see how beautiful I
am And be ashamed.” Possibly the most powerful line is the last one when he claims, “I,
too, am America” (Langston 275). The final line shows that no matter an individual’s
skin color, the colored person is completely a part of America just as a white person is.
This powerful poem is probably the most influential to African Americans of that time
primarily because of its strength, potency and optimism. It also reveals how incredibly
passionate Langston Hughes felt concerning racial equality.
Langston Hughes was not only able to influence others through his poems and
politics, but also through a new revolutionary movement in black music. During the
1940s, “bebop” was introduced at a small nightclub on 52nd street in Harlem and grew out
of a period that brought America out of the Great Depression and into another world war
(Farrell 57). Hughes regarded bebop as a new type of jazz music that drew its strength
and essence from a compound vernacular of black musical forms (Farrell 60). Hughes
explains that many of his poems were designed to reflect the mood and cadence of bebop:
“In terms of current Afro-American popular music and the
sources from which it had progressed, this poem on
29
�contemporary Harlem, like be-bop, is marked by conflicting
changes, sudden nuances, sharp and imprudent interjections,
broken rhythms, and passages sometimes in the manner of
the jam session, sometimes the popular song, punctuated by
the riffs, runs, breaks, and distortions of the music of a
community in transition” (Farrell 60).
Through bebop, Hughes was able to create a new technique in poetry that not only added a
creative perk to his work, but was also able to convey an informative message to his
audience about black life. According to an article written by both Walter C. Farrell and
Patricia A. Johnson, “Hughes developed a form of poetry writing which would allow him to
compress a wide and complex range of images into one kaleidoscopic impression of life in
Harlem during the 1940s” (Farrell 62). Throughout his poetry collection entitled, Montage
of a Dream Deferred, both social and political connotations are expressed revealing what
black life was like during a time when they were still segregated and unaccepted (Farrell
63). Yet at the time, both blacks and whites were able to come together and enjoy the
luxury of bebop and jazz. Because of this new eruption of music, the whites were becoming
increasingly more interested in black culture. Although segregation and the Jim Crow
Laws were still prominent, whites were beginning to appreciate some of the fresh and
innovative creations that blacks had to offer during the 1920s.
With Langston Hughes’ new-found interest in the bebop world, he was able to
express his views and political beliefs through poems and attract various audiences. Yet,
this time, he was able to attract not only the blacks who could read and write, but also the
ones who learned through music and song. He even had success in attracting a copious
amount of white people as well. One poem entitled Good Morning, recounts a young
boy’s observations of the growing African American populace in New York City. “I was
born here, he said/ watched Harlem grow/ until colored folks spread/ from river to river/
across the middle of Manhattan/ out of Penn Station/ dark tenth of a nation” (Langston
269). It shows how African American culture was able to spread due to prevalent
opportunities throughout New York City. It also exudes an evident be-bop rhythm with
rhyming words and apparent tempo. Near the end of the short but amazing poem, the
young boy continues to remark upon the interesting African American people and
questions their motives. “I’ve seen them come dark/ wondering/ wide-eyed/ dreaming/
out of Penn Station-/ but the trains are late./ The gates open- Yet there’re bars/ at each
gate. What happens/ to a dream deferred? Daddy, ain’t you heard?” (Langston 269). The
rest of the poem conveys Langston’s idea that African Americans come to New York
with hope and expectation, only to be held back by discrimination and bias. He then
30
�questions, “What happens to a dream deferred?” meaning what happens to postponed
equality?
In a poem entitled, Harlem, he basically re-evaluates this question and still does
not answer it. Instead he intrigues his audiences and forces them to consider such a
question by drawing their own conclusions. “What happens to a dream deferred?” He
asks again. “Does it dry up like a raisin in the sun? Or crust and sugar over like a syrupy
sweet? Maybe it just sags like a heavy load. Or does it explode?” Langston Hughes
accentuates this idea of a dream deferred by compelling his readers to reflect upon these
ideas. Yet, no matter what, it is clear that Hughes addresses these questions to benefit
New York City society by promoting racial equality and condemning discrimination. The
city was beginning to change in the eyes of numerous Harlemites. According to Langston
Hughes’ autobiographical account entitled, The Big Sea “..Some Harlemites thought the
Millennium had come. They thought the race problem had at last been solved through Art
plus Gladys Bentley. They were sure the New Negro would lead a new life from then on
in green pastures of tolerance created by Countee Cullen and Bojangles.” (Twayne’s 14).
Yet although the Harlem Renaissance had been the most prominent in New York City,
Hughes still did not see a revolution of desegregation and the unification of blacks and
whites occurring in the 1920s of the Harlem Renaissance. “I don’t know what made
Negroes think that-- except that they were mostly intellectuals doing the thinking. The
ordinary Negroes hadn’t heard of the Negro Renaissance. And if they had, it hadn’t raised
their wages any” (Twayne’s 14). Langston Hughes’ speculations of the Harlem
Renaissance were quite accurate. Most strikingly, desegregation wouldn’t completely
occur for another forty years until the 1960s. Nevertheless, with Langston Hughes’ effect
on New York City and New York City’s influence on Hughes, the Harlem Renaissance
wouldn’t have been as successful as it was. The imperative burst of African American
culture truly began a new life for the blacks of Harlem and the rest of America.
In conclusion, Langston Hughes’ poetry and many other works were able to
shape both social and political trends of the time. He became the most influential writer
of the Harlem Renaissance and played an important role in the bebop era. Through his
bebop and poetry, he was able to reconcile blacks and whites for as long as the songs
were played and boost the white people’s interest of African American culture. Without
Harlem’s influence, it is relatively obvious that Hughes wouldn’t have been as powerful
as he was. His creative genius was deeply shaped by his life in Harlem and led him to
write powerful works that would change the lives of both blacks and whites. He forced
people to observe social trends of the time and to re-evaluate their belief systems on
equal opportunity, the depletion of segregation and most importantly freedom. In
Freedom’s Plow, Langston Hughes metaphorically portrays freedom as a seed. “From
that seed a tree grew, is growing, will ever grow. That tree is for everybody,/ For all
31
�America, for all the world./ May its branches spread and its shelter grow/ Until all races
and all peoples know its shade!”
Bibliography
Farrell, Walter, and Patricia A. Johnson. “Poetic Interpretations of Urban Black Folk
Culture: Langston Hughes and the ‘Bebop’ Era.” MELUS, Vol. 8, No. 3, Ethic Literature
and Cultural Consciousness (Autumn, 1981), (52-72).
Hughes, Langston. Selected Poems of Langston Hughes, New York: Vintage Books,
1987.
“Langston Hughes.” America’s Story from America’s Library. AmericasLibrary.gov.
26 Sept. 2005 <http://www.americaslibrary.gov/cgi-bin/page.cgi/aa/hughes>.
“Langston Hughes.” Twayne’s Author Series. Galegroup.com. 27 Sept. 2005.
<http://galenet.galegroup.com/servlet/Twayne/hits?=DocTitle&n..html>.
Rampersad, Arnold. “Hughes Life and Career.” Modern American Poetry.
English.uiuc.edu. 27 Sept. 2005 <http://www.english.uiuc.edu/hughes.htm>.
“The Harlem Renaissance.” Adventures in American Literature. Orlando: Harcourt Brace
Jovanovich Inc, 1989, pp. 796-797.
32
�Learning to Live with Race, Social Class and Ethnicity in
Down These Mean Streets by Piri Thomas
Megan Benson1
Race, social class, and ethnicity generally do not come to mind as defining
personal characteristics to a white middle class American. However, as a minority in the
United States of America race, social class, and ethnicity direct every aspect of life. In
Piri Thomas’s autobiography, Down These Mean Streets, Thomas illustrates the
prevalence of racism and discrimination due to social class and ethnicity on the streets of
America. Having a fair-skinned mother from Puerto Rico and a dark-skinned father from
Cuba, Piri grew up speaking Spanish and practicing Hispanic culture while at the same
time attempting to assimilate into the American mainstream lifestyle and simultaneously
fighting prejudice because he ‘looked’ African American. Down These Mean Streets
offers an honest and explicit glance at Piri’s life in El Barrio and how his struggle to find
his identity through the shadows of racism, discrimination, and prejudice molded his
personality and ultimately his life.
In 1941 the United States’ economy was beginning a slow recovery in the midst
of World War II; nevertheless areas such as the neighborhood in which Piri Thomas’s
family lived were still caught in a recession. Piri grew up in a lower class family that had
to struggle every day simply to make ends meet. Piri’s parents relied heavily on
government aid as his father continually worked for the WPA and his mother collected
goods from the Home Relief Office to support her family. Due to Piri’s social class he
learns to steal at a young age: “In Harlem stealing was like natural” (Thomas 72).
Unfortunately the influence of his lower social class continues throughout Piri’s life as he
struggles to find his identity; theft offers Piri a sense of control and thus he maintains this
practice throughout the book.
Piri spent a great deal of his childhood years growing up in El Barrio, Spanish
Harlem. Even though Piri was around many different ethnicities while living on 111th
Street, he was surrounded by people who, “acted, walked, and talked [like him],”
(Thomas 24), thus not submitting him to a great deal of racial or ethnic discrimination.
After losing a sibling to sickness brought about by germs in the neighborhood, Piri’s
family moved several streets up to 114th Street. The three streets that separated Piri from
his former home introduced him to the racial, linguistic, and cultural borders that he
1
This paper was written under the direction of Dr. Marilyn Kiss (Languages) for the Freshman
Learning Community LC16, The Spanish Connection.
33
�would spend many years trying to transcend. At home in El Barrio, no one questioned
Piri’s nationality; he spoke Spanish like everyone else so his dark skin tone was casually
overlooked. However, the Italians on 114th street were not convinced by Piri’s language:
“‘what nationality are ya...he’s black enough to be a nigger. Ain’t that what you is kid?’”
(Thomas 24). From this moment on, Piri’s race would constantly be in question,
ultimately causing him to experience racism both as an African American and as a
Hispanic American. This duality in Piri’s life rightly changed his personality in that he
now felt that he had to prove himself worthy of acceptance. When Piri’s family relocated
a second time back to Spanish Harlem on 104th Street, Piri made friends quickly but not
without a fist fight: “But I knew I had first joined their gang when I cool-looked them on
moving day. I was cool, man, I thought. I could’ve wasted Waneko any time. I’m good,
I’m damned good, pure corazón. Viva me! Shit I had been scared, but that was over. I
was in; it was my block now” (Thomas 51). Piri’s violence served as a racial blindfold for
himself and those around him; he spoke Spanish and could fight as well as the best of the
gang thus giving him the “in.”
In addition to fighting his own racial borders, the different places Piri had
moved throughout his childhood brought about linguistic borders as well. Even though
the cultures between Piri’s different homes varied, they all spoke English on one level or
another, consequently leading English to be the language spoken at school as well as on
the street. Throughout the autobiography Thomas demonstrates his language barriers
through repetition; a certain phrase will be repeated in his street language, language used
at home, and the language used in school, “ I like broads, I like muchachas, I like girls”
(Thomas 61). Because Piri was struggling to find his own identity where he could use
the language that suited him, repetition allowed him to incorporate each language at one
particular moment.
Perhaps the most influential move during Piri’s childhood was the move to Long
Island. This move not only placed Piri’s family amongst lower middle class families but
also placed them in a predominantly white suburb where Piri’s skin color overruled his
ethnicity: “‘Are you Spanish?’ I didn’t know. ‘I mean, you don’t look like what I thought
a Spaniard looks like’” (Thomas 83). After being confronted about his ethnicity at a
school dance Piri felt more betrayed than ever; he wasn’t Spanish, he was Hispanic, and
to make matters worse the kids at the dance proceeded to describe Piri as, “that black
thing” as well as, “that new colored boy” (Thomas 85). Piri’s move to Long Island
certainly exposed him to different groups of people; however, it also heightened his inner
struggle with his racial duality. Prior to this event Piri had been experiencing a Freudian
theory called repression regarding his inner conflict about his race:
In a situation of extreme mental conflict, in which someone experiences an
instinctual impulse that is sharply incompatible with the standards the person
34
�feels he or she must adhere to, it is likely that he or she will repress it, that is, put
it out of consciousness, flee from it, pretend that it does not exist. Repression is
one of the “defense mechanisms” by which a person attempts to avoid inner
conflicts. (Stevenson and Haberman 158)
Following the incident at the school dance, Piri decided to return to Harlem in hopes of
putting his racial conflicts to rest. Contrary to his hopes Piri only ran into more prejudice
and discrimination with his return to el Barrio. No longer under the supervision of his
parents, Piri had to find some means of income upon his return to Harlem. Upon entering
the job market Piri found that even the professional world looked at his skin color rather
than his ethnicity- he was turned down from jobs simply because he appeared to be
African American.
In order to come to terms with his own racial duality, Piri takes a healing trip to
the South as a way to connect with his newly adopted African American race: “‘It might
just set me straight on a lotta things. Maybe I can stop being confused and come in on a
right stick’” (Thomas 127). Before Piri could leave for the South he felt the need to
overcome a mental barrier; he confronted his family about his skin color and the
separation he felt from them: “you and James think you’re white, and I’m the only one
that’s found out I’m not. I tried hard not to find out… I’m proud to be a Puerto Rican,
but being Puerto Rican don’t make the color” (Thomas 147). Piri’s defensiveness
towards his family is not intended to be hostile; Piri is simply overwhelmed by conflict.
Marta Caminero-Santangelo, a professor at the University of Kansas suggests that
“Scenes of such defensiveness repeat themselves insistently…with an accumulative
weight that suggests the enormity of pressures contributing to the construction of Piri’s
racial/ethnic identity” (211). Although Piri’s trip to the South taught him the intensity of
racism in America, it also served as Piri’s first step in accepting his skin color. When Piri
visited a brothel in Texas his sole objective was to, “Break out against this two-tone
South; I wanted to fuck a white woman in Texas” (Thomas 187). Piri leaves the brothel
yelling, “‘you got fucked by a…black man!’” (Thomas 189). Piri’s realization that he
can be Puerto Rican and have dark skin at the same time is monumental; however it
installs extreme hatred within himself, “for anything white” (Thomas 195).
Piri’s detestation of Caucasians leads him into a more severe inner conflict; he
is separated racially from his family and thus has no one to depend on, consequently
evoking substance dependence. Gloria Anzaldúa, the author of Borderlands La Frontera,
suggests that Piri’s inner conflict with his identity and his problems with drugs can be
explained by the fact that “The ambivalence from the clash of voices results in mental
and emotional states of perplexity. Internal strife results in insecurity and indecisiveness”
(100). Thomas demonstrates this idea by writing about his own addiction to heroine.
35
�Ultimately Piri’s addictions and illegal activities send him to prison after he is involved in
shooting a police officer. Despite the fact that Piri’s time in prison in some ways took his
freedom, it was in fact prison that lent Piri the creativity needed to escape from the world
that led him there: “‘I was learning another language, the language of positive thinking,
and I began to write to find expression for what my life was all about’” (Thomas
Interview). During the time Piri spent in prison he slowly found his identity through
writing and religion: “There, in the semidarkness, I had found a new sense of awareness.
I was down stud, and despite all my Bible lessons and trips into the world of the Big
Man, it would take a lot of time to fully dig God; but at least I knew he was there”
(Thomas 317). Through Piri’s search for himself and for a religion to depend on he also
made the decision to make something of himself using this creativity and inner strength:
“I’m tired of being half-past nothing…but you gotta learn how to invest in your own self”
(Robinson 2001).
Looking back on Piri Thomas’s experiences in Down These Mean Streets one
will discover that it is never too late for a person to change his or her life. From the
streets of El Barrio, to years in prison to ultimately becoming a renowned author, Piri is
grabbing life with both hands and showing people that it can be beautiful. Although
writing his autobiography allowed Piri to, “see the sees, do the dos, hear the hears, and
feel the feelings over and over again” (Thomas), and ultimately to heal the pains within
himself, Piri’s creativity now serves as an outlet for many children who find themselves
living Piri’s life all over again. He gives them hope that they too can overcome the
barriers that race, ethnicity, and social class have set for them and through their creativity
be able to smile at the world with nothing but love in their hearts.
36
�Works Cited
Anzaldúa, Gloria. Borderlands La Frontera. 2nd ed. San Francisco: Aunt Lute Books,
1999.
Caminero-Santangelo, Marta. “Puerto Rican Negro: Defining Race in Piri Thomas’s
Down These Mean Streets.” MELUS 29 (2004): 205-226.
Robinson, Jonathan. “Every Child Is Born a Poet Addresses AECF’s Core Results.”
Reentry National Media Outreach Campaign. 23 Oct. 2005.
http://www.reentrymediaoutreach.org/ec_results.htm.
Stevenson, Leslie, and David L. Haberman. Ten Theories of Human Nature. 3rd ed. New
York: Oxford UP, 1998.
Thomas, Piri. Down These Mean Streets. New York: Vintage Books, 1997.
Thomas, Piri. “An Introduction…” Cheverote Productions. 23 Oct. 2005.
http://cheverote.com/bio.html#intro.
Von Huene Greenberg, Dorothee. “Piri Thomas: An Interview.” MELUS 26 (2001):
77:102.
37
�Rebekah: The Most Powerful
Matriarch of Israel
Abby Albair1
At first glance, the character of Rebekah may be seen as a young girl who is
beautiful, kind and generous. While she is all these things, she is also very complex.
Rebekah expresses her feelings and desires, leaves her home because she knows that it is
God’s will, makes known her anxiety over her difficult pregnancy and her son’s
marriage, and without thinking twice she inquires of God and He speaks to her. During
her life Rebekah is completely dedicated to her husband Isaac and their sons Jacob and
Esau. More importantly, Rebekah becomes the strongest matriarch of Israel and she plays
the most significant role in securing the future of the nation (Jeansonne 69).
Rebekah is initially mentioned in Genesis as the first female offspring in a
genealogical list of Nahor’s, Abraham’s brother. Nahor and his wife Milcah had eight
sons: Uz, Buz, Kenuel, Kesed, Hazo, Phildash, Jidlaph, and Bethuel, who was Rebekah’s
father. He also had Tebah, Gahom, Tahash, and Maacah by his concubine Reumah
(Fretheim 501). It is made clear that Rebekah’s father was the son of Milcah who is the
wife of higher status. Also, the placement of this geneology after the account of the
testing of Abraham emphasizes that the next generation is about to become the focus, and
therefore it emphasizes Rebekah’s importance (Jeansonne 53). Another important fact
made evident by this passage is that Isaac, son of Abraham, and Rebekah, daughter of
Abraham’s brother, come from the same family.
We actually meet Rebekah for the first time in Genesis 24. Abraham, who is
getting very old and close to death, sends his servant to Aram Naharaim in Mesopotamia
to find Isaac a wife from his own family. In the generations following Isaac and Rebekah,
“the propriety of tribal offspring becomes a powerful indicator of the covenantal
promise” (Visotzky 126). The servant prays to God to show him the woman who should
be Isaac’s bride. He asks God to make her known by her offering to give him and his
camels water from her jug. When Rebekah comes out of her house and he asks her for a
drink, she gives him one and also continues running uphill to fill her jug until all ten of
his camels are no longer thirsty (Fretheim 505-508). The servant then explains his
mission to Rebekah’s father Bethuel and her brother Laban and they agree to let her go.
When it is time for her to leave, they request that she be allowed to stay ten days longer,
1
This paper was written under the direction of Dr. Joedy Smith (Religion) for the Freshman
Learning Community 10, Biblical Drama: Music and Spirit.
38
�but Rebekah agrees to leave at once.
A classic “boy-meets-girl” theme runs through Genesis and Exodus as shown
also in the meetings of Rachel and Jacob, and later Moses and Zipporah (Visotzky 126).
However, Genesis 24, which is the story of the meeting of Isaac and Rebekah, is not like
the others. Although an arranged marriage, it was not arranged by the parents. Rather the
servant served as a mediator because of Abraham’s request that Isaac not leave the land
of Canaan, and Laban, Rachel’s brother, appears to act in place of her father. From the
very first time we see Rebekah her energetic spirit is made obvious. She quickly empties
her jar and runs back and forth to the well “all verbs suggesting the she is hustling and in
constant motion because of her generosity” (Armstrong 74).
Another interesting trait of Rebekah’s is her strong sense of independence and
trust. Bethuel and Laban want their daughter and sister to stay with them longer, but
when she is asked she says simply “I will go” (NRSV Gen 25:58). She is willing to leave
her family and go to a strange land to marry a strange man because she feels it is the will
of God. This is one of the times that one can see a parallel between Abraham and
Rebekah rather than Abraham and Isaac. Rebekah continues that faithful response of
leaving her family and her home land to answer God’s call (Fretheim 509). Also, her
statement is significant because of evidence from Nuzi. The Nuzi texts record someone’s
saying something like “Myself and my brother agree to this.” Here Rebekah makes the
decision to leave by herself and makes her feelings known (Speiser 185).
When Rebekah and Abraham’s servant return to Canaan, Rebekah and Isaac fall
in love at first sight. They go into Sarah’s tent and are married. Sarah had filled the role
of one of the seven ancestors of the people of Israel (Jeansonne). The marriage in her tent
foreshadows the important role of Rebekah as the mother of the next generation. Also,
Isaac felt lost after the death of his mother and “when Rebekah comes he finds comfort, a
surrogate, someone to give him direction” (Visotsky 129).
God did not relate easily with Isaac. Instead he chose to communicate with a
woman, Rebekah, in the generation after Abraham. “Isaac’s wife and the most powerful
of the matriarchs of Israel, had all the energy that her husband conspicuously lacked”
(Armstrong 73). Genesis 25 is the story of the birth of Isaac and Rebekah’s two sons. At
first, Rebekah was barren but Isaac prayed to the Lord for her and she became pregnant.
It was a difficult pregnancy and Rebekah asked God why she should suffer so much. God
said to her “two nations are in your womb, and two peoples born of you shall be divided;
the one shall be stronger than the other, the older shall serve the younger” (NRSV Gen
25:23). God directly informs Rebekah that two nations will come from her sons, and she
understands that the younger one is destined to carry on the covenantal promise. When
the boys are born, the first baby is covered with red hair. He is named Esau which means
“rough one”. The second baby comes out holding his brother’s heel and therefore is
39
�named Jacob, Yaakov in Hebrew, which means “heel holder” (Armstrong 75). However,
some foreshadowing which can be seen in Jacob’s name is the fact that originally Jacob
meant “may God protect”. When the pertinent verb went out of use all that remained was
the connection with “heel” (Speiser 197). Isaac loves Esau better because he is the older,
but Rebekah identifies with Jacob. God’s destiny for the boys may have had an impact on
Rebekah’s feelings, or it could also be because Jacob is described as a man of integrity
and Esau as a man of the field (Jeansonne 62). The most important part of this story is
that Isaac is not informed of the boy’s destiny; God communicates this only with
Rebekah. Now Rebekah takes on the responsibility of making sure that God’s blessing
passes to the correct son. “Isaac who can scarcely be described as a memorable
personality in his own right is important chiefly as a link in the patriarchal chain.
Continuity is essential, but the vitality of the line will now depend on the woman who is
to become Jacob’s mother” (Speiser 182).
In Genesis 26 there is a break from the story of Esau and Jacob. There is a brief
story of a famine in the land. Isaac and Rebekah settle in Gerar. When Isaac is asked
about Rebekah, he says she is his sister because he is afraid he will be harmed by
Philistine men who think she is beautiful. This shows that Isaac does not trust God’s
assurance and considers only his own welfare when he calls Rebekah his sister. Rebekah
is silent through this entire story, which is a stark contrast from the strong and
independent woman seen earlier in Genesis (Von Rad 266). The king of the Philistines,
Abimelech, discovers the truth, but despite the fact that he was tricked, he protects the
couple from the people. So even though Isaac did not trust God he is protected from his
own foolishness. Rebekah is also protected from the abuse she could have suffered, just
as Sarah could have as a result of her husband’s same fear in Genesis 12 (Frethheim 526).
Because Isaac deceived Abimelech, the deception by his own wife, which follows this
story, is not surprising.
In Genesis 27, Isaac prepares to give his deathbed blessing to his son Esau. He
tells Esau to go and prepare him meat to eat and he will bless him. Like Sarah who
listened at the door and heard the revelation of her child who would fulfill God’s
promise, Rebekah listens at the entrance to what Isaac says and immediately takes action
to make sure that the correct son will be blessed (Jeansonne 66). She tells Jacob
everything that Isaac says; she hides no details and is very authoritative as evidenced by
her own command, “Hearken to my voice” (NRSV Gen 27:8). She tells Jacob to bring
her two kids from the goats and she prepares them the way Isaac likes them. She acts
quickly and without pause. Isaac has gone blind in his old age, so Rebekah knows it will
not be too difficult to pass Jacob off as his brother. While Jacob gets the goats, she takes
Esau’s clothes so that Jacob will smell like him. She also prepares animal skins for Jacob
to put on his arms so that when Isaac touches him he will feel hairy like Esau (Fretheim
40
�531). When Jacob protests, she says, “Upon me be your curse, my son” (NRSV Gen
27:13). This is a sign of Rebekah’s passionate love for her son. In Leviticus 19:14, there
is a prohibition against taking advantage of a blind man, but Rebekah knows she must
deceive her husband to ensure God’s will is carried out (Von Rad 272).
The story of the blessing poses a moral problem. Both Hosea and Jeremiah
allude to Jacob’s treatment of Esau with disapproval (Speiser 211). However, Rebekah’s
role was even more significant than Jacob’s. He acted with uneasiness under his mother’s
pressure. Although one might sympathize with the way Isaac was deceived and Esau was
cheated out of his blessing, “She does not act unfairly to Esau or Isaac, but skillfully
completes the task initiated by God” (Jeansonne 67). Although tradition says the older
son is preferential in inheritance, the legacy is established by the divine covenant; so with
the approval of Yahweh transfer of the deathbed blessing is allowed (Speiser 213). No
information to account for Rebekah’s actions is given because her motivation is not
deliberately elaborated. However, it is not surprising that Rebekah ensures that the son
singled out by God receives the proper blessing. Because of the birth oracle, Rebekah
knows that Jacob is God’s chosen one. God communicated only with Rebekah, and so it
is her job to make sure Jacob is the one who carries on the promise. It is not known why
she uses deception instead of some other method to accomplish her goals, but she is only
one of many biblical figures who does so (Jeansonne 66). Deception is a very present
theme in Genesis beginning with Adam and Eve and continuing through the characters of
Abraham, Rebekah, Leah, Potiphar’s wife, Lot’s daughters, and others. Some scholars
view the deceptions in Genesis as less of a historical issue and more of a literary motif
used by the author. Although the narrator is not explicit, some scholars think the many
references to deception by female characters stereotype women as untrustworthy.
However, other scholars believe it simply shows that deception is used by powerless
characters and is not limited to women (Jeansonne 67). So Rebekah may have used
deception instead of some other means because she felt powerless in a patriarchal society.
Regardless, in the end her deception only furthers the divine plan. Ultimately in the
human struggle for the blessing of the dying Isaac, divine plans are being worked out
(Von Rad 275). Although Rebekah did favor Jacob, she does not take away Esau’s
blessing to hurt him, for he was also her son and she did love him. However, she was the
matriarch of Israel and knew the burden of ensuring the destiny of both her sons and of
the nation rested with her. “This account is so important for an understanding of the role
of Rebekah and her characterization the Genesis narrative shows that Rebekah acted
decisively to ensure that Isaac’s blessing was awarded to the son designated by God to
carry on the promise” (Jeansonne 67).
When Esau learns that his blessing has been stolen, Rebekah must protect Jacob
again. Esau plans in anger to kill his brother, and so Rebekah decides to send Jacob to her
41
�brother Laban so that he can protect him. Genesis 27:41-45 and Genesis 27:46-28:9 are
two different episodes which describe why Jacob was sent away. Their placement
suggests that they are to be read as two scenes of one event. In the first Rebekah sends
Jacob away because she is afraid Esau will kill him. In the second there is a description of
how Rebekah gets Isaac to allow Jacob to leave. She tells Isaac that she wants Jacob to go
find a wife from her origins and not marry a Canaanite woman. In Genesis 26, Esau had
married two Hittite women and the story says that these women were a source of grief for
his parents (Fretheim 529). When he is sent for this reason, not only does he escape Esau,
but Rebekah avoids a conflict with Isaac. Also, Jacob’s leaving for this reason prompts an
additional blessing from Isaac who says to his son, “May He give the blessing of
Abraham to you, that you may take possession of the land of your sojourning which God
gave to Abraham!” (NRSV Gen 28:4). Now it is definite that Jacob is the inheritor of the
promise of God.
After her role in the blessing of Jacob, the rest of Rebekah’s life is not
mentioned. Jacob later says that she and Isaac are buried in the cave of Machpelah
(NRSV Gen 49:31), but as far as accounts of her life, her part in the Biblical narrative is
over. It is not surprising that information about her life ends after the blessing for Jacob
has been obtained. “She has made continuation of Abraham and Sarah’s line possible and
has ensured that God’s blessing will be continued through the son that God chose”
(Jeansonne 68).
Rebekah is an intricate and crucial character in Israel’s history. For her part, she
is more important than Isaac because she determines that the promise of Abraham is
fulfilled. The presentation of her character “shows that women in Israel can be viewed as
persons who could make crucial decisions about futures, whose prayers were
acknowledged, who might have known better than men what God designed, and who
could appropriately take the steps necessary to support God’s plans for the community”
(Jeansonne 69). Rebekah is the strongest matriarch in Israel’s history and one of the first
women with whom God has direct communication. She is a strong and independent
woman, and most importantly she assists in the fulfillment of the covenantal promise of
land, descendants, and blessing of the future.
42
�Works Cited
Armstrong, Karen. In The Beginning: A New Translation of Genesis. New York: Alfred
A. Knopf, 1996.
Fretheim, Terence E. “The Book of Genesis.” 319-674. The New Interpreter’s Bible.
Vol.1. Nashville: Abingdon Press, 1994.
Holy Bible: New Revised Standard Version. Grand Rapids, Michigan: Zondervan, 1989.
Jeansonne, Sharon Pace. The Women of Genesis: From Sarah to Potiphar’s Wife.
Minneapolis: Fortress Press, 1990.
Speiser, E.A. Genesis. The Anchor Bible Series. Garden City: Doubleday & Co., 1964.
Von Rad, Gerhard. Genesis. Philadelphia: The Westminster Press/The SCM Press, 1972.
Visotzky, Burton L. The Genesis of Ethics. New York: Crown Publishers, 1996.
43
�Savory Sentiments: Feelings Expressed
Through Food in Abu Jaber’s Crescent
Emily Morrison1
Food and cooking are integral to Diana Abu-Jaber’s Crescent. Charlotte Innes
of The Nation comments that, “Clearly Abu-Jaber feels passionately about food and has
thought deeply about its philosophical implications” (par. 2). It is easy to say that AbuJaber personally knows the importance of food because she does an excellent job of
conveying the significance of food and cooking in the lives of her characters. Food is
often the background for many events in the novel because they take place in Nadia’s
Café, in a kitchen, or in a dining room. Food is vital to the novel because it forms bonds
between the characters and creates relationships. The characters come together for meals,
creating a ‘fellowship of food.’ The act of cooking often has the same effect: the central
relationship in the novel commences over the art of making baklava. Throughout the
novel, the characters show affection by giving gifts of edibles and cooking for each other.
In the same way that food is a way of showing love, students and customers at the café
love Sirine because of her ability to cook such wonderful dishes. Being a cook, Sirine
obviously thinks food is important and she is able to use it as a way to relax and take her
mind off the problems that she faces in her personal life. For the many characters in the
novel who are immigrants to the United States, food reminds them of their home and
culture. They are immigrants from areas of the Middle East and cuisine is a large part of
Middle Eastern culture. However, food evokes not only memories of a place but also
memories of people. Both Han and Sirine think of their parents while cooking certain
things. Interestingly, food is also a way of showing absence in the novel; however
overall food brings with it good memories and forms close bonds.
Nadia’s Café is the meeting place for many of the students and teachers. The
students come from many different countries, but they come together at the restaurant to
socialize, be in the company of Sirine and Um-Nadia, and to enjoy the Arabic menu. The
restaurant becomes a type of ‘hang out’ and haven for the college students who are away
from home. Many of the students are immigrants from a variety of countries throughout
the Middle East. The food that they are served at the café reminds them of their homes,
cultures, and families, especially their mothers.
1
This paper was written under the direction of Dr. Marilyn Kiss (Languages) for the Freshman
Learning Community LC16, The Spanish Connection.
44
�As stated by Louise DeSalvo and Edvige Giunta in The Milk of Almonds Italian
American Women Writers on Food and Culture, they wrote their book on food because
of their, “recognition of its cultural power and of women’s historical role as foodmakers” (1). Food is a cultural marker, and in America eating traditional foods is a way
for the immigrants to celebrate their culture. Abu-Jaber says, “For many of them the café
was a little flavor of home” (22). Food is often related to home because traditionally
many mothers prepare meals for their children in the home, and as a child people form an
attachment between nourishment and home and nourishment and their mothers. Also
meal times are generally times spent with family. Even when members of a family may
not see each other throughout the entire day, many families start the day together by
eating breakfast and end the day together by eating dinner. The entrees served at the café
could be described as ‘comfort food’ for the majority of the customers. Families.com
states that “the editors of the Oxford English Dictionary added "comfort food" to its list
of 1997 entries, defining it as ‘food that comforts or affords solace; hence any food
(frequently with a high sugar or carbohydrate content) that is associated with childhood
or with home cooking’” (par. 1).
The tie between food and a motherly figure also contributes to the fact that the
customers at the café are naturally drawn to Sirine. She cooks for them like their mothers
used to do, and they feel a certain affection for her. She helps to bring a piece of home to
them in a foreign country by serving the traditional cuisine of their homelands. The
author describes how the men are drawn to her:
Only the men spend their time arguing and being lonely, drinking tea and trying
to talk to Um-Nadia, Mireille, and Sirine. Especially Sirine. They love her food
- the flavors that remind them of their homes…She is so kind and gentle-voiced
and her food is so good that the students cannot help themselves - they sit at the
table, leaning toward her. (19)
Food and cooking are important not only to the customers, but also to Sirine
who has been a chef nearly all of her life. For her, cooking is a way to unwind, and she
enjoys getting lost in the act: “The back kitchen is Sirine’s retreat, her favorite place to sit
at a table chopping carrots and thinking her thoughts” (65). By working at Nadia’s Café
making traditional Middle Eastern dishes, and as a result, surrounding herself by other
people from a similar background, food is one of Sirine’s strongest ties to her Arabic
culture.
More importantly, cooking these foods also reminds her of her parents. Her
parents are now deceased and were often away from home while she was growing up.
Despite their absence, some of Sirine’s most vivid and fond memories of her parents are
of them cooking together and of them cooking with her. When Sirine first started at
45
�Nadia’s Café she, “went through her parents’ old recipes and began cooking the favoritebut almost forgotten-dishes of her childhood. She felt as if she were returning to her
parents’ tiny kitchen and her earliest memories” (22). Sirine can clearly remember
Sunday mornings when her mother and father would make baklava. They made it
together carefully, moving around each other in the kitchen as if dancing, and it was
watching this intricate art of making baklava that she recognized her parents’ love for
each other. Ever since Sirine has placed a certain value on baklava, making sure that
even when she really does not have time to make it, she makes time because she knows
that not only she, but also the students love the delicious dessert. She then shares this
special process of making baklava with Han.
Although Sirine and Han have previously met, the real love connection is made
while Sirine teaches Han how to make baklava just like her parents had taught her.
Knowing that Sirine’s parents’ love was shown through baklava, Han and Sirine making
baklava is foreshadowing of the love that will form in their relationship. They bond over
making food together, and also cook for each other as a way of showing affection. Han
cooks for Sirine on two separate occasions. First, he makes what is considered a typical
American meal showing how he respects her American side by giving her what he thinks
she wants as an American. The second time that he cooks for her, it is as a surprise
because she has been working so hard and is run down. Han expresses his love for Sirine
in this way because being a chef herself she can appreciate a well cooked meal and know
the time, energy, and care that went into it. For Han, Sirine often makes special late night
treats after all of the others customers have left the café.
There are also several instances in the novel where they physically feed each
other. During both meals that Han has made he feeds Sirine from his hand, an action that
is often thought of as being extremely intimate: “Han fills Sirine’s plate and feeds her a
morsel of lamb from his fingers, as if food is their private language” (299). They also
share an apricot together, and the imagery of juiciness and sweetness that accompany
eating fruit flows from the novel. Abu-Jaber describes the lovers sharing the fruit: “He
takes a bite and puts his hand over hers as she takes a bite, the velvety peel and fruit sugar
filling her whole mouth” (125). Abu-Jaber does an excellent job of conveying the
closeness of a couple eating from each other’s hands.
Sirine cooks for Han and for the customers at the café on a regular basis, but she
prepares a special Thanksgiving meal for her uncle, the employees of the café, some of
the students, Han, Nathan, and Aziz. She spends an entire day fixing the dishes, showing
that cooking is a type of labor that takes time and effort in order to make the food well.
As a gift to Han, she makes this Thanksgiving full of the dishes that remind Han of his
life in Iraq. Even outside of the café, once again, food is able to bring the characters
together. In an interview with Renee Montagne of Morning Edition, Abu-Jaber says,
46
�“You know, I would rather feed someone because I do feel that you can’t help but have a
kind of insight that comes, not only intellectually but also emotionally and physically,
from that experience of breaking bread together” (2). Obviously not only in the novel but
also in her personal life, Abu-Jaber feels that eating together forms a unique connection
among the people involved.
This gift of cooking is more often heard of today as more and more couples
prepare meals for each other, but in the novel, both cooking and food items are gifts.
Sirine is constantly receiving gifts of edibles from Han. He often buys her exotic fruits
and vegetables as presents. After the night that Han stormed out of Nathan’s exhibit, he
sends her a basket of beautiful apples as an apology instead of the traditional bouquet of
flowers. He asks her, “So you like it? The basket of apples? I saw them at the farmer’s
market and thought they were prettier than roses” (293). Food and cooking as gifts in
this novel are extremely important in the relationships of the characters, as they are to
many people. In Food, Consumption & the Body in Contemporary Women’s Fiction,
Sarah Sceats explains:
From infants’ sticky offerings to anniversary chocolates, from shared school
lunch boxes to hospital grapes, the giving of food is a way of announcing
connection, goodwill, love. For friends, food may be an expression of support or
an invitation to celebrate; for lovers there is an intimate, sexual subtext, appetite
incorporated into sexuality. (19)
Although the majority of the time food and cooking in the novel mean love,
home, family, and unity, there are times in the text in which they are also used to show
loneliness, absence, and guilt. For Nathan and Sirine, at times food only reminds them of
the people that are missing in their lives. Nathan and Sirine have both lost lovers at some
point in the book. Nathan had fallen in love with Han’s sister in Iraq, but she was
arrested and Nathan was forced to leave the country. He is so heartbroken over losing
her that ever since returning to America he has lost his appetite. He no longer finds joy
or comfort in good food like the rest of the characters. Sirine stops eating after her affair
with Aziz because she is so stricken with guilt over what she has done. After Han leaves,
food no longer tastes good to her. Abu-Jaber describes this: “everything tastes like wet
cotton to her” (343). Loss of appetite is not an uncommon symptom of people
experiencing loss and depression. Depression.com gives, “a change in appetite, with
significant weight loss or weight gain” to be one of the main signs of depression (par. 2).
Sirine’s Uncle also feels the void in his life of never having that special
someone to share meals with. He tells Sirine, “It’s a lonely business, eating alone. I
never met someone that I was meant to eat my dinners with” (303). In the same way that
food can evoke good emotions, it can just as quickly bring painful ones. For Han, food
47
�reminds him of his home and family but can also remind him of the pain surrounding his
exile, and the fact that he will never be able to live in his home with his family again.
Many people exiled from their home can understand this relationship between food and
exile. Carol Bardenstein in Signs: Journal of Women in Culture and Society 2002 writes
about Claudia Roden’s experience of exile: “She situates her engagement with food and
cookbook-writing both as a result of being in exile … and the ‘fruit of nostalgic longing’
for the food of a world from which she had been absented” (353).
Food and cooking in the novel Crescent represent love, home, family, culture,
and at times absence. The food and cooking enhance the themes and relationships in the
novel. It is especially important to the development of the central love story between
Hanif and Sirine. Their love grows over the art of making baklava, cooking for each
other, and giving each other gifts of food. Although food is not their only tie to each
other it is certainly one of the strongest. Also for many of the students, professors, and
members of the surrounding community Nadia’s Café is a home away from home. Many
of the customers’ homes are continents away from Los Angeles, and the food served at
the café reminds them of their homes. The food also reminds them of their culture since
food is one of the strong culture identifiers, especially in the Middle Eastern culture.
Claudia Roden writes in the magazine Saudi Aramco World: “Great value is attached to
cooking in the Middle East” (par. 1). Not only for the immigrants, but also for Sirine and
Han, food makes them think of their families, especially mothers. As infants people form
a connection between their mothers and food, and perhaps this connection is why many
of the customers at the café are so fond of Sirine. They associate her with their mothers
because she cooks for them. Just as easily as food arouses pleasant emotions, it can also
cause pain and show loss. Nathan, Sirine, Han, and Sirine’s uncle all experience the
negative side of food. Food can remind them of lost family, lost lovers, or the lover that
they never had. Overall, Abu-Jaber makes food and cooking central in the novel and uses
gastronomic imagery to connect the themes of absence, exile, Middle Eastern culture, and
a love story.
48
�Works Cited
Abu-Jaber, Diana. Crescent. New York: W. W. Norton & Company, 2003.
Abu-Jaber, Diana. Interview. Morning Edition. Host Bob Edwards. Natl. Public Radio.
Washington D.C. 9 July 2003.
Bardenstein, Carol. “Transmissions Interrupted: Reconfiguring Food, Memory, and
Gender in the Cookbook-Memoirs of Middle Eastern Exiles.” Signs, 28.1 (2002): 353387.
“Depression Related Mood Disorders”, 1997. GlaxoSmithKline. 17 Nov. 2005
http://www.depression.com/types_of_depression.html.
DeSalvo, Louise and Edvige Giunta, eds. The Milk of Almonds Italian American Women
Writers on Food and Culture. New York: The Feminist Press at the City University of
New York, 2002.
Innes, Charlotte. “A Chef in Love”, The Nation, 276.23 (2003): 46.
Locher, Julie L. “Comfort Food”, 2003. 17 Nov. 2005.
http://encyclopedias.families.com/comfort-food-442-443-efc.
Sceats, Sarah. Food, Consumption & the Body in Contemporary Women’s Fiction. New
York: Cambridge University Press, 2000.
49
��Section IV: Performing
and Visual Arts
�Bach and the Art of the Fugue
Christopher Fourman1
Toward the end of his career Bach wrote his most profound and monumental
compositions. These works include The Musical Offering, St. Matthew Passion, and The
Art of the Fugue. Bach’s most mysterious and one of his most beautiful compositions,
The Art of the Fugue, culminates both his career and, in a sense, the art of contrapuntal
technique.
Bach masterfully employed contrapuntal technique, and in The Art of the Fugue brought
fugal composition into the world view (Bach 210).
In Latin fugue means “flight” or to “take flight” and Bach possessed a great ability to
compose music using counterpoint and chromatics to provide a sense of “flight” in his
music (Art of the Fugue). Though Bach was a master in many other forms of music,
counterpoint and fugal composition were the style that suited him best. In Bach’s time,
fugues, rather than canzone and ricercari, were just beginning to gain popularity. In fact,
once Bach’s compositions were discovered, the music world was astonished by the use of
chromatics, multiple voices, and extensive variations upon a common subject. Bach’s
impressive fugues, particularly in the Art of the Fugue, resulted in an increased
appreciation of his music, the fugue in particular.
Fugal compositions can be relatively simple or amazingly complex, yet they almost
always follow several basic principles (Bach 212-15). A fugue is a form of musical
composition that utilizes counterpoint, a technique of involving several musical lines at
once. An example of counterpoint is the round, used in American folk songs like “Row,
Row, Row Your Boat” (Counterpoint). Counterpoint utilizes the interaction of
independent melodic voices to create depth and musical ideas, whereas a simple melodic
voice can only make a particular impression. Yet when one melodic voice is written in
variations and combined in various ways, amazing depth of meaning are developed in the
composition (Counterpoint)(Bach 216). Counterpoint was Bach’s way to develop
musical ideas and to reveal to the listener another dimension of musical possibilities.
The basis of counterpoint is relatively simple: the use of independent musical
lines interacting with each other to create musical subjects and content in a composition
(Counterpoint). However, Bach takes counterpoint to a new level in his compositions,
creating intense and intricate themes that transform through the entirety of the piece. His
1
This paper was written under the direction of Dr. Ron Cross (Music) for the Freshman Learning
Community 10, Biblical Drama: Music and Spirit.
52
�impressive use of counterpoint is especially apparent in Art of the Fugue. However,
despite the intricacy, the underpinnings of this great compostion are parallel with the
basic concepts of counterpoint.
Usually a fugue begins with a short theme called a subject sounding alone.
Next, a second part enters sounding the subject while the first part continues with a
countersubject. This entering of subject and countersubject continues until all voices
have stated the theme. The fugue continues development of the theme using methods
such as inversion, augmentation, and diminution to distinguish meaning in the music
(Counterpoint). Bach uses this fugal model in the Art of the Fugue fourteen times. The
composition consists of fourteen fugues and four canons that are all based upon the same
theme in the key of D minor.
In Contrapunctus I, the first fugue in the Art of the Fugue, Bach introduces a
subject, a short series of notes, that over the course of the next fourteen fugues and four
canons will be varied upon 120 times in major and minor ways. To create variations on
the common Art of the Fugue theme, Bach uses several compositional tools like
diminution and inversion. As the theme grows more and more complex throughout each
Contrapunctus in the Art of the Fugue, Bach begins utilizing more complex fugal forms
such as counter fugue, stretto fugue, double or triple fugue, or mirror fugue. Moreover,
the fugal forms and progression of the common theme organize the Art of the Fugue into
movements or sections (Pipedreams).
The first of four sections in the Art of the Fugue contains Contrapunctus I through
Contrapunctus IV, and like the other three sections, it is completed by a canon. As
previously stated, Bach introduces a simple theme in the first fugue. Over the next three
fugues he develops the theme and uses variations of it beginning a reoccuring action
throughout the piece. For instance, Bach uses a simple rhythm change to vary the theme in
Contrapunctus II, and in Contrapunctus III Bach inverts (turns upside down and notes move
in opposite direction) the main theme. Contrapunctus IV inverts the theme in a different
manner by focusing on the fifth note in the scale of D minor, A, rather than the D which
was peviously the focal note. Also, the Art of the Fugue takes on a new characteristic in
this section, virtuosity, by combining the elements of Contrapunctus I, II, and III into the
content of Contrapunctus IV. This combination of compounding elements is also a
reoccurring action that Bach uses throughout the piece. However, as the number of
elements accrues, the difficulty and complexity of the composition does as well.
The next section of the Art of the Fugue contains Contrapunctus V through
Contrapunctus VII. Here Bach introduces a new style of fugue, the stretto fugue. The
stretto fugue merely adds to the complexity and the intensity of the piece by introducing a
second voice before the first voice has completed stating the initial theme. Also, all three
53
�of the fugues in the section are “counter fugues,” meaning the variation of the main
theme is inverted (Boyd 25).
Beginning with Contrapunctus V, Bach begins a procedure to make the Art of
the Fugue an extremely intricate composition. Here, Bach takes up a similar theme from
the first section and manages to vary the theme in eleven different ways. To create a
feeling of fanfare, Bach replicates the theme against itself by using timed entries of the
subject and the start of the answer (Boyd 25). Bach again uses this technique of
numerous variations and timed enries in Contrapunctus VI. Bach also introduces another
compositional tool called diminution where the value of each note is decreased by onehalf in value, doubling the speed of the music. Furthermore, slower moving variations of
the main theme overlap with the diminished variations adding an interesting
characteristic to this section. Lastly, in Contrapunctus VII, the last fugue of the second
section in the Art of the Fugue, Bach takes his variance a step further and employs the
opposite of diminution, augmentation. This fugue consists of a battle between normal
versions of the theme and longer versions (Pipedreams).
While the first two sections of the Art of the Fugue consist of seven fugues
focusing on the variation of one single theme, Bach introduces multiple counter themes in
the next seven fugues to further complicate and intensify the composition. This section
consists of double and triple fugues that consist of the original organic theme and either
one counter theme (double fugue) or two counter themes (triple fugue). Although it
seems the numerous parts would conflict, the greatness of Bach shines through to tie the
various themes together (Pipedreams).
Contrapunctus VIII begins with two entirely new themes developing fully.
Before the original theme is even introduced in this fugue, there are two separate themes
already occuring. The three themes, two new and one organic, make Contrapunctus VIII
a triple fugue, and Bach unbelievably manipulates them into one common theme. Again,
the ability to do such things with so many elements was almost unprecedented at the time
and even today the Art of the Fugue is a wonder to those who study it.
Contrapunctus IX and Contrapunctus X are similar in nature. Both are double
fugues that employ a new theme and the original Art of the Fugue theme. Both use a
compositional technique called double counterpoint where the upper and lower parts
switch registers with each other. The only difference in these two fugues lies in the
inverted main theme in Contrapunctus X, whereas it is in its normal upright form in
Contrapunctus IX.
The eleventh fugue, the last fugue in the third section, utilizes an astonishing
seven themes. The two themes developed in the first three fugues of the section, along
with the original organic theme, are employed in both their upright and inverted forms
making three themes with two variations of each (Boyd 24). The seventh theme is a
54
�legendary Bach signature theme that has brought upon much controversy and speculation
among musicians. Entwined in the eleventh fugue is a theme using the pitches B-flat, A,
C, and B which in German letter notation correspond to the letters B-A-C-H (Art of the
Fugue). Bach created and successfully implemented a theme using notes corresponding
to the letters of his own name. This legendary signature and Bach’s ability to incorporate
numerous themes and all of their variations into the same composition leave those who
encounter the Art of the Fugue astonished. Though it seems the piece has climaxed here,
the next section of fugues is just as important to the whole.
The last section of fugues entails three fugues distinguished as “mirror fugues”
(Boyd 24). This section is an unleashing of shear compositional mastery. In each of
these mirror fugues, there are two fugues, each an exact opposite of the other. If one
fugal line moves up a scale, the other moves down, and the entire mirror fugue is inverted
in this manner. Bach is forced to bring out his most creative resources in this section
because everything must be designed with its opposite, or inversion, in mind. In all,
Bach manages six types of mirrors, an astonishing feat considering the stringent
restrictions of the mirror fugue technique (Smith).
Contrapunctus XII, the first fugue in the last section, uses the mirror fugue
technique centered around the main Art of the Fugue theme. However, this fugue is
written in three-four time, the only fugue in the piece composed in this meter (Bach 24).
Next, Contrapunctus XIII returns to the original meter, and again the main theme is the
subject, only the subject is inverted. Basically, Contrapunctus XIII is a mirror image of
Contrapunctus XII, and both are already mirror fugues in themselves. Although it would
seem Bach finally took on more than he could handle with two mirror fugues
complementing the reciprocal of one another and the succesful implementation of three
themes in one fugue, the last fugue brings forth one of the most legendary endings in all
of musical composition (Boyd 24).
The most perplexing characteristic of the Art of the Fugue is the manner in
which the piece ends. Obviously intended to be the crowning jewel of his final
masterpiece, Bach intended Contrapunctus XIV to be a quadruple fugue, a four-part
fugue integrating all of the themes in their normal and inverted forms (Boyd 24).
However, only three subjects are introduced in the first two sections. Then, there occurs
a series of notes seemingly impossible for one person to play on a keyboard. Following
this series, as he did in Contrapunctus XI, Bach masked within the musical notation the
letters B-A-C-H (Bach 222). Following this unusual signature by Bach, the piece
abruptly ends mid-song in measure 239 with no warning or structural reason. Written in
the margins surrounding the abrupt ending is the statement, "At the point where the
composer introduces the name BACH in the countersubject to this fugue, the composer
died." Scholars know today by matching writing samples that Bach’s son Carl Philipp
55
�Emanuel wrote these words in the margin. Nonetheless they too are a mysterious aspect
(Bach 224). Combined, the signature of Bach in musical notation, the explanation in the
margins, and the abrupt ending have perplexed all who know of the Art of the Fugue.
Because of this uncharacteristic “finale,” there is a great deal of uncertainty, speculation,
and mystery shrouding the piece.
The note from Bach’s son in the margin of the last measure would indicate Bach
died as he was finishing the Art of the Fugue. However, studies are definitive that the
romantic story of Bach dying pen in hand as he scribbled frantically is untrue. In fact,
scholars believe that the Art of the Fugue was mostly completed by 1742, eight years
before Bach’s death in 1750 (Boyd 24). An original manuscript in Bach’s own hand
containing eleven of the fourteen fugues in the entirety of the Art of the Fugue as it is
published today was recovered. Moreover, the dates on the manuscript indicate that Bach
had already completed or was in the middle of writing the piece before 1742 making the
Art of the Fugue more of a life work rather than a last testament. Also, during the last
years of Bach’s life, he had trouble with his eyesight. Since almost all of the manuscripts
are in his hand, they must have been written before Bach had eye problems .
All evidence points to Bach finishing work on the Art of the Fugue long before
his death, which leads to questions that maybe Bach did not leave the piece unfinished.
Therefore, Bach may well have finished the fourteenth fugue leading to speculation on
possible causes for the last section to be missing (Bach 224). First, there is the argument
that the fourteenth fugue does not actually belong to the Art of the Fugue and was
inadvertantly put there by Bach’s executors after his death or was casually added when
the entire piece was published posthumously in 1751. The reasoning behind this
hypothesis is that the common theme inherent within the other thirteen fugues is
undeveloped and does not exist in the fourteenth (Bach 224). Another theory that blames
the ignorance of Bach’s executors as the cause of the unfinished fugue is that the
fourteenth fugue was in fact finished, but came up missing in the confusion of all the
manuscripts of his life’s work. Adding to the credibility of this thought are three fugues
included in the published version of 1751 that were not included in the 1742 version.
The original manuscript included 11 fugues. However, it did not include the fourth or
thirteenth fugue of the published edition leading scholars to believe that Bach wrote the
fourth, thirteenth, and fourteenth fugues to be part of the final and complete Art of the
Fugue (Bach 224). A more controversial view that has arisen in the last two decades is
that Bach intentionally left the fourteenth fugue unfinished to serve as a musical puzzle
for other musicians and scholars to guess a conclusion or create their own. This theory
would have fit well into a time when keyboardists would challenge each other on
keyboard in fugal contests (Pipedreams). One competitor would start a fugue and then
stop playing to allow the challenger an oppurtunity to develop and carry out a main
56
�theme. Although this theory of the last fugue being a musical puzzle or a challenge to
musicians is highly unlikely, many people have taken it to heart and tried their hand at
finishing Bach’s Art of the Fugue.
The Art of the Fugue is traditionally performed by a small ensemble of solo
instruments which would consist of strings or a mix of strings and winds. More recently,
people have theorized that Bach wrote the Art of the Fugue for the keyboard. Still others
believe that the piece is actually meant to be the third volume of the Well- Tempered
Clavier. While there may be much debate over what instrument Bach intended the Art of
the Fugue to be performed on, musicians the world over do not seem to notice as they
give their own interpretation on instruments from the organ to the lute.
Bach certainly composed a wonderful piece of music. The music’s beauty
combined with the mystery that shrouds the piece makes Bach’s Art of the Fugue the
supreme culmination to his wondrous career, and the attention it has received speaks
volumes to that effect. Oftentimes, people are emotionally paralyzed by the passionate
and spirited fugal composition that builds and builds until it abruptly ends in mid song.
The Art of the Fugue seems to employ all of Bach’s genius, and his finesse in the
contrapuntal technique is unprecedented. Bach created a legendary composition that is
extremely powerful and influential even today, in world much different than his own.
Bibliography
"Art of the Fugue," Wikipedia. 2005. Wikimedia. 27 Oct. 2005. Keyword: Art of the
Fugue.
<http://en.wikipedia.org/wiki/The_Art_of_Fugue>
“Bach: Essays on his Life and Music,” Christopher Wolff, Harvard Univ. Press, 1991.
“Bach,” Malcolm Boyd, Oxford UP, 1995.
“J. S. Bach.” Malcolm Boyd, Oxford Composer Companions, Oxford UP, 1999
"Counterpoint." Wikipedia. 2005. Wikimedia. 13 Nov. 2005. Keyword: Art of the Fugue.
<http://en.wikipedia.org/wiki/counterpoint>
“Johann Sebastian Bach: The Culmination of an Era,” Karl Geiringer, Oxford UP, 1996.
“Johann Sebastian Bach,” Christopher Wolff, W.W. Norton, 2000
57
�“Johann Sebastian Bach,”The New Grove Dictionary of Music and Musicians, 2nd edition,
2001
"Mirror Fugues," Smith, Timothy A. Sojourn. 1996. 15 Nov. 2005
<http://jan.ucc.nau.edu/~tas3/mirrorfuguesaof.html>.
“Johann Sebastian Bach,” Philipp Spitta, English trans., reprint 1951.
"The Art of the Fugue," Pipedreams. 2005. American Public Media. 13 Nov. 2005
<http://pipedreams.publicradio.org/articles/artoffugue/index.shtml>.
58
�Section V:
Professional Programs
�The Boy Scouts of America
and the Battle to Keep out Gays
Allen Koehler1
In America, we hold our values close and pride ourselves for doing what is right.
We expect our organizations and clubs we send our children to to hold such pride as well
and we expect acceptance, openness and tolerance to be a quality they possess. One of
America’s most popular and largest organizations is the Boy Scouts of America. The
Boy Scouts of America, or BSA, is known for its community service, summer camps, and
advancement in leadership. With an organization that started in 1910 in America, and
years before in England, the BSA has set principals for the young man dressed in khaki
and green. However, over the past few years, BSA has come under fire because of their
policy of not allowing homosexuals in their organization. Not only has the BSA come
under fire in the media, but it has been scrutinized in court as well. However, our judicial
system has sided with the Boy Scouts. This is permitted because the Boy Scouts are a
private organization and are not held legally under the same rules as a public
organization.
Supporters, like the Mormons, have continued to back BSA, but some
companies and individuals have stepped away from the organization because of this
issue. A problem also arises because BSA is considered a private organization, and
therefore they should not receive donations or aid from the government. This is not the
case as the Boy Scouts of America receive millions of dollars from the government at the
taxpayers’ expense. Scouts and leaders alike are split on the issue and are not sure which
direction to take. Due to BSA’s policy towards homosexuals, the government needs to
stop funding this private organization and the Boy Scouts of America need to take an
immediate step towards accepting homosexuals and being an ethical organization. But
what will change? The future of the Boy Scouts of America is one that will be watched
closely by many individuals. The dwindling number of scouts across the country and the
tolerant society America has become will definitely play a role in the future of the
organization.
1
This paper was written under the direction of Dr. Mary Lo Re (Business) for the Freshman
Learning Community 18, Business, Politics and Ethics.
60
�I. History of the BSA
The Boy Scout Slogan: “Do A Good Turn Daily”
The Boy Scouts of America had an interesting start 95 years ago. However,
before the Scouting organization would sprout in the U.S.A., its wide roots were
spreading throughout Britain. It started when “Sir Robert Baden-Powell, after returning
to his country a hero following military service in Africa, found boys reading the manual
he had written for his regiment on stalking and survival in the wild” (BSA). Taking this
event and rewriting his book in a nonmilitary style, Baden-Powell began to form the
organization of Scouting in Britain, named His Majesties Scouts2. The organization
spread quickly and with great zeal.
Sir William Baden-Powell, founder of Boy
Scouts in England (Hiawathaland Council)
One day, William D. Boyce, a Chicago publisher, was in London on business.
In a fairytale event, Boyce was lost in dense fog and stumbled across a young boy.
Boyce approached the boy and told him he was lost and asked for help. The boy led
Boyce out of the fog and to where he needed to be. When Boyce went to tip the boy for
his help, the boy said that he could not. Boyce asked the boy why, and the boy responded
with the fact that he is a Boy Scout and he is just doing a good turn. It was this precedent
and way of thinking that instilled the idea of paying the gesture forward instead of paying
it back. Once returning to the States, Boyce quickly went into action and established the
Boy Scouts of America.
Immediately after its incorporation, the BSA was assisted by officers of the
YMCA in organizing a task force to help community organizations start and maintain a
2
At that point in time, the organization was named “His Majesties Scouts” due to the fact that the
person in charge was a King. If it was a Queen, the name would have changed to “Her Majesties
Scouts.” Today, the Boy Scouts in England are called “Scout Section” and “Explorer Scouts,”
based on age.
61
�high-quality Scouting program. Those efforts climaxed in the organization of the nation's
first Scout camp at Lake George, New York, directed by Ernest Thompson Seton. Beard,
who had established another youth group, the Sons of Daniel Boone (which he later
merged with the BSA), provided assistance. Also on hand for this historic event was
James E. West, an advocate of children's rights, who would become the first professional
Chief Scout Executive. Seton became the first volunteer national Chief Scout, and Beard,
the first national Scout commissioner (BSA). It was with these individuals that started
what is to become the largest youth organization in America.
Scout Law
Trustworthy, Loyal, Helpful Friendly, Courteous, Kind, Obedient,
Cheerful, Thrifty, Brave, Clean, Reverent
II. BSA Today
Boy Scouting, one of the traditional membership divisions of the BSA, is
available to boys who have earned the Arrow of Light Award3 and are at least 10 years
old, or have completed the fifth grade and are at least 10 years old, or who are 11 but not
yet 18 years old. The Boy Scouts of America outlined their goals for their soldiers in
green and khaki:
The BSA sets their goals to develop American citizens who are physically,
mentally, and emotionally fit; have a high degree of self-reliance as evidenced in
such qualities as initiative, courage, and resourcefulness; have personal values
based on religious concepts; have the desire and skills to help others; understand
the principles of the American social, economic, and governmental systems; are
knowledgeable about and take pride in their American heritage and understand
our nation's role in the world; have a keen respect for the basic rights of all
people; and are prepared to participate in and give leadership to American
society (BSA).
On paper, this organization is well thought out and is evident that they have a plan for the
youth in their organization. Their positions seem to be driven by the American heritage
and they want to take a role in our nation’s future.
According to figures released by the Boy Scouts of America, membership as of
December 31, 2004 stands as follows:
3
“The highest rank in Cub Scouting and the only Cub Scout badge that may be worn on the Boy
Scout uniform. A boy who has earned the Arrow of Light Award is eligible to become a Boy
Scout” (BSA).
62
�988,995 Boy Scouts/Varsity Scouts
543,487 adult volunteers
52,131 troops/teams
With close to one and a half million members in the organization, which is not including
Cub Scouts4, it costs a lot of money to keep that many in khaki and green going. The
Boy Scouts of America stated that their funds are derived from several sources. One
source is the individual scout and his parents, the troop, the chartered organization, and
the community. BSA says that:
“Boys are encouraged to earn money whenever possible to pay their own
expenses, and they also contribute dues to their troop treasuries to pay for
budgeted items. Troops obtain additional income by working on approved
money-earning projects. The community, including parents, supports Scouting
through the United Way, Friends of Scouting campaigns, bequests, and special
contributions to the BSA local council. This income provides leadership
training, outdoor programs, council service centers and other facilities, and
professional service for units” (BSA).
When looking at how money is raised for the organization, it seems that things
are set in a positive way to help the boys grow and this is their sole source of income.
However, it will be discussed later how this is not necessarily the case for the National
Jamboree that the Boy Scouts hold every four years.
Editorial cartoon in the Phoenix
When examining the Boy Scouts of America’s positions on certain issues such
as diversity, grey areas begin to form and politics seem to dictate how they word their
4
Tiger Cubs – 265,028 (Up 0.6% from 2003); Cub Scouts – 885,341 (Down 1.4%); Weblos –
725,383 (Down 3.6%); Total Cub Scouts – 1,875,752 (down 2%)
63
�statements. When addressing their position on diversity, they covertly bring up the
Supreme Court case Boy Scouts of America v. Dale, involving the dismissal of a gay
Scout leader, by simply saying, “On June 28, 2000, the United States Supreme Court
reaffirmed the Boy Scouts of America's standing as a private organization with the right
to set its own membership and leadership standards” (BSA). Covering their case quickly
in the following paragraph with, “The BSA respects the rights of people and groups who
hold values that differ from those encompassed in the Scout Oath and Law, and the BSA
makes no effort to deny the rights of those whose views differ to hold their attitudes or
opinions” (BSA). In that Supreme Court case, BSA released a statement to the news
saying, “We believe an avowed homosexual is not a role model for the values espoused
in the Scout Oath and Law” (BSA). It is clear that the Boy Scouts of America do not
want homosexuals in their organization and their views have been tested before at a
national level. In a society that tends to be more accepting every year, it’s interesting
20
04
20
02
20
00
3,500,000
3,400,000
3,300,000
3,200,000
3,100,000
3,000,000
19
98
Total Membership
Total Mem bership (Includes Cub
Scouts, Boy Scouts and
Venturers)
Year
Source: Scouting For All
that the Boy Scouts of America has kept their bias stance against homosexuals. A poll
done by Newsweek in May 2005 found out some interesting information about voters in
Massachusetts. It must be noted, however, that in May 2004, Massachusetts began
performing the marriages of same-sex couples. In that year, 6,142 same-sex marriages
were performed. In contrast, 30,872 heterosexual marriages were performed that year.
The public support in May 2004 of same-sex marriages was 34 percent but in April 2005,
the support increased to 56 percent in Massachusetts. Actually, 84 percent of voters in
Massachusetts said that gay marriage has had a positive or no impact on the quality of life
(Newsweek 12). This poll clearly shows that society’s trend is that as time progresses,
64
�acceptance also grows; this is evident when in less than a year, public support for gay
marriage rose a dramatic 22 percent.
It seems that the Boy Scouts’ membership rates have been heading in a
significantly opposite direction as compared to the public opinion in Massachusetts.
Between 1998 and 2004, membership has dropped a total of 7.1 percent. Why is BSA
membership declining? “Are parents, who may have had great Scouting experiences
themselves as youth, become disenchanted with the BSA’s policies of excluding anyone,
particularly homosexuals in this increasingly accepting society?” (Rice 1-3) Questions
like these need to be asked to find the true meaning behind the dropping numbers of
membership in the Boy Scouts of America.
III. BSA vs. Gays
On June 28, 2000, the United States Supreme Court ruled that the Boy Scouts of
America can bar homosexuals from being troop leaders. The 5-4 vote was enough to
overturn a New Jersey Supreme Court ruling that the dismissal of James Dale, a gay
Scout leader, had been illegal under the state’s anti-discrimination law. He wanted to
become an adult leader and was admitted to the Order of the Arrow, Boy Scouts’ Honor
Society. He also earned the rank of Eagle Scout, Scouting’s highest honor and one that
only three percent of all Scouts receive. The Boy Scouts countered by saying that it has
the right to decide who can join its organization, which also excludes atheists and
agnostics. They also said that forcing them to accept gays would violate its constitutional
right of freedom of association and free speech under the First Amendment (CNN).
Then Chief Justice William Rehnquist said for the court majority that applying a
state public accommodations law to require the Boy Scouts to admit a gay troop leader
violates the group’s constitutional right to expressive association. Counter to this, he did
add that, “We are not, as we must not be guided by our views of whether the Boy Scouts’
teaching with respect to homosexual conduct are right or wrong.” (CNN) It seems to be
that Chief Justice William Rehnquist was not completely thrilled with the outcome on a
personal level and a sense of acceptance was hinted towards the Boy Scouts.
The Boy Scouts have stated in writing to James Dale that homosexuality was
contrary to the organization’s values. Scouting’s Oath also requires members to be
“morally straight.” “The organization ‘takes the position that homosexual conduct is
inconsistent with the Scout oath… and contrary to the Scout Law to be ‘clean’ in word
and deed,’ according to Thomas E. Baker, a constitutional scholar at the Drake University
Law School who wrote an impartial analysis of the case for the American Bar
Association” (CNN). The Boy Scouts found out that Dale was gay after a newspaper
article revealed the fact. Dale, as co-president of Rutgers University’s Lesbian/Gay
65
�Alliance, gave a speech in July 1990, which the organization was the topic of the speech,
and later that month, he received a dismissal letter from the Boy Scouts.
“The Boy Scouts have been sued many times before in state courts, but the
organization has consistently won cases that say it does not fall under state
public accommodations laws. State courts have also ruled in the Boy Scouts’
favor in similar public-accommodation cases in California, Connecticut, Oregon
and Kansas. These similar cases were brought by girls, atheists, homosexuals
and the like” (CNN).
Scout Oath (or Promise)
On my honor I will do my best
To do my duty to God and my country
and to obey the Scout Law;
To help other people at all times;
To keep myself physically strong,
mentally awake, and morally straight.
The Boy Scouts argued that their First Amendment free speech and freedom of
association rights would be violated by the court if they were ordered to allow
homosexuals. BSA believed that it was up to them, not the courts, to decide who can join
their organization and who can’t.
With court orders evident, it does seem that the Boy Scouts are not budging on
their stance and seem to hold strong in court. These court cases just show that their
prejudice can be upheld in court and it is going to take change in their organization to fix
the way they hold their admittance in the Boy Scouts of America.
“For 12 years they said, ‘You’re perfect, just what we
want, get involved, it’s family.’ Then they found one
small thing about who you are and kicked me out.”
-James Dale said before the case was argued
IV. Backing of Organizations
Like the members in the Boy Scouts, some of the backing organizations are
sticking with BSA while others are taking steps to distance themselves. First, the
religious organizations that have been tied with the Boy Scouts are taking both sides with
the issue. Those supporting the straights-only rule are the Mormon and Roman Catholic
churches. Together, they sponsor about 750,000 Scouts (France 45). It’s important to
note that even though the BSA is not affiliated with one religion, troop meetings and
66
�events are held at churches and synagogues and are sponsored by them to be held at their
buildings. Taking the opposing side and going against the straight-only rule is led by the
United Church of Christ followed by Baptist and Episcopal congregations. They took a
step by asking the Scouts that meet in their buildings to reconsider the organization that
they are a part of. Taking this step farther, one can look towards the Union of American
Hebrew Congregations. They “went even further, issuing a remarkable public
denunciation and calling upon synagogues to end Scout sponsorship and congregants to
pull their children out of the dens, packs or troops. Hundreds of parents have complied”
(France 45). However, for every negative outlook, there is at the same time a positive
one. The Church of Jesus Christ of Latter-day Saints has taken the moment and made the
Boy Scouts of America their official youth program for the church.
Companies are also making a move to support the Boy Scouts like the Church of
Jesus Christ of Latter-day Saints. Companies that continue to support the Boy Scouts,
according to Newsweek, include Merrill Lynch, Textron and Procter and Gamble. But yet
again, there is another side to the issue and companies like Levi Strauss, Wells Fargo,
Fleet Bank, CVS, Philadelphia Foundation and Communications Workers of America
have made it apparent that they would like to not be as involved with the Boy Scouts as
much as they had been previously (45).
The popular organization United Way has supported the Boy Scouts for many
years, but in 2001, forty-four of the wealthiest chapters in the United Way “blocked
additional support or changed allocations in order to comply with their own
nondiscrimination policies; a few others have augmented funding, in keeping with their
community standards” (France 45). Another popular figure aside from the United Way
that was associated with the Boy Scouts was director Steven Spielberg. Spielberg was
once an Eagle Scout and also on the advisory board, but ended his 10 years on the board
because he said that he could not support and serve on a group that practices “intolerance
and discrimination” (France 44). It is with the United Way and individuals like Steven
Spielberg that show that the Boy Scouts may need to change their views to hold the
supporters that they may be losing.
V. BSA Within
According to a poll conducted by the Boy Scouts of America of its own
organization and its members within, only 30 percent of Scout parents don’t support the
current policy on homosexuality (BSA). However, one group that is rarely polled are the
Scout’s themselves and how they feel about the decision. In an article that stirred many
emotions from the BSA and the organizations against them titled “Scouts Divided” by
David France in Newsweek. He interviewed several Scouts at the 15th National Jamboree
at Fort A.P. Hill about the controversial decision by the organization. Jeff Moran from
67
�Troop 1320 said, “In the Bible, it’s a sin to be gay,” and when asked to clarify if that
meant to keep homosexuals out of Scouting, he responded with, “Exactly.” (France 44)
Some Scouts are torn with the idea of gays being in the Boy Scouts. Greg Gutta Jr., only
15 years old, said, “They say everybody should have the right to be in the Scouts, but
everybody has the right to feel comfortable, too. A lot of people don’t feel comfortable
around homosexuals” (France 44). It’s astounding that fifteen year olds have to deal with
these issues. Debates are arising all over scouting events such as in June 2005 at the
National Youth Leadership Training Course in Hebron Kentucky, a discussion was
brought up among staff members. Tim Wright, a 19 year old adult leader at the camp,
said, “I have been involved in Scouts for so many years and I think it is one of the best
things I have ever done. I don’t think this program should be limited to certain people
just because of something that they can’t change, like being gay.” Many other Scouts
nodded their heads in agreement. Of course this only reflects one Scouts opinion and it
does not necessarily reflect the opinion of Scouts in general. However, this is just
showing that the problem is far reaching and is affecting many people. If the Boy Scouts
were to allow homosexuals to participate in the BSA, it would affect everyone affiliated
with the organization. It must be thought that it would affect the Greg Gutta’s out there
that would have to venture out in the woods in a backpacking trip with a fellow Scout
that is homosexual. While that would not bother some people, it could affect the boys
camping and the parents sending their children off into the wilderness in the care of
someone else.
However, Dan Kennedy writes a compelling argument and basis for the question
regarding leaders that are homosexuals in his article titled “Where the Boys Are” for the
Boston Phoenix. He argues that there is the anti-gay fear that homosexuals target boys
for inappropriate reasons. Kennedy argues that an out gay man is very unlikely to be a
pedophile. “Invariably, sexual predators turn out to be heterosexuals, or men who pose
as heterosexuals, such as Christopher Reardon, a married man who recently pleaded
guilty to sexually abusing boys at a church where he worked, a YMCA, and yes, a Boy
Scout camp” (Kennedy 3). This is just one example of why there are contradictions to
every argument. Does this reassure parents of allowing their children to venture into the
woods led by another adult leader? Not exactly. However, it should show that it does
not necessarily take a homosexual to be a pedophile. Just because an open homosexual
would like to be an adult leader, like James Dale, this does not make him a pedophile.
VI. National Jamboree
One of the Boy Scouts’ major events is the National Jamboree, which is held
every four years and recently has been held at Fort A.P. Hill near Fredericksburg, VA.
This expensive campout is a weeklong event which features courses for hundreds of
68
�merit badges, boating, archery, and also includes up-close and personal views of military
equipment like tanks and trucks. Also, usually the current President of the United States
makes an appearance at the Jamboree and makes a speech such as President Bush in 2004
did to thousands of Scouts. The Jamboree is staffed by the hundreds of Boy Scout
volunteers and adult leaders. Along side of those volunteer and adult leaders are also
military personnel helping operate and run the military equipment.
How is this large camp paid for? Partly by the Boy Scouts and partly by the
U.S. government using the taxpayers’ money. At first, there may seem to be nothing
wrong with this. But upon closer inspection the government bearing some of the
financial burden is wrong because the government is paying for a private organization’s
extravaganza, one that every year costs more and more. In 2000, government looked into
the legality of this occurrence that cost taxpayers that year $5 million. Then Attorney
General Janet Reno declared that the jamboree was not specifically federally directed
training, but a private event for which the government provides logistical support. Under
this “logistical support” the government offers makes this perfectly allowable, therefore,
even for an organization that discriminates (France 49). There clearly had to be a
loophole that would be fixed by the next year’s jamboree that would not allow the taxpayers to have to pay for this event. However, four years later at the next Jamboree, the
government spent over $7 million of taxpayers’ money (CNN). But since the taxpayers
are helping pay for this National Jamboree, they surely do not have to be a part of the
Boy Scouts of America to participate in the events, right? However, this is not the case.
“Federal employees are indeed teaching skills and lessons. In fact, the
Department of Interior is spending hundreds of thousands of dollars to stock a
trout pond and sent several hundred staffers to teach courses the Scouts must
pass in order to receive selected merit badges, including fly fishing. Department
officials defend their presence, saying anybody driving past the jamboree is
welcome to attend, even gay kids and adults. But at A.P. Hill, Ben Jelsema,
chairman of the fishing program for the jamboree, was turning away non-Scouts,
saying those areas ‘are not open to the public’” (France 49).
Clearly such an issue needs to be resolved. The Boy Scouts of America should be in a
different category from gay, lesbian and AIDS organizations and the like as well when
looking at this issue. The case is clear because the Boy Scouts are a private organization
and discriminate unlike other organizations that are public. It is completely unethical for
the Boy Scouts, who hold their values and honors high, to be accepting $7 million of tax
payers’ money from the United States government due to the fact that they are not open
to the general public and are a private organization that discriminates against gays.
69
�VII. Looking Ahead
This “hetero-only” policy of the Boy Scouts of America is not the same for all
Scouting organizations spanning the world. For instance, Canada and their Scouting
program. In July 2000, the first official gay and lesbian scout troop marched in Toronto’s
annual Gay Pride Parade. According to Scouts Canada, which is the Boy Scouts of
America’s equivalent, and to scouts themselves, which there is about 150,000, there have
been very few complaints about the new troop. The members of the organization said
that they received more complaints when they allowed women just two years ago
(Brooke).
An argument could be made that for the Boy Scouts of America to take a step to
allow homosexuals admittance, it would be nearly impossible, seeing as the BSA is
almost ten times the size of Scouts Canada. Also, Canada as a whole tends to pass more
accepting legislation towards homosexuals. Is it out of the question? Not at all. It’s a
step that must be looked at down the road and possibly a tool or guide toward making the
Boy Scouts of America a more accepting and tolerant private organization. The Boy
Scouts of America should be an organization that all youth organizations look toward for
guidance and the BSA is hardly that at its current state.
VIII. Conclusion
The Boy Scouts of America, from first glance, may seem like the pinnacle of
youth programs here in the United States of America. However, the BSA is far from this.
With a country that prides diversity and acceptance, the Boy Scouts of America is hardly
the poster organization for this country. It is clear that the Boy Scouts of America is not
an ethical organization for receiving millions of taxpayers’ dollars from the government
to fund their private organization that discriminates against homosexuals. The BSA’s
span of 95 years does not exempt them from standing up to the values that they hold so
high in society through the Scout Oath and Law. Their sidestepping lingo for their
organization does not replace the fact that they are using taxpayer dollars to fund for their
own private Jamboree. The Boy Scouts of America need to find an alternative to be a
more accepting organization, like Scouts Canada, has or they could lose the support of
people like Steven Spielberg and companies like Fleet Bank and Levi Strauss. They also
risk losing the support of their most critical ally: the American people.
70
�Works Cited
Adams, William Lee. “Gay to Wed”, Newsweek 23 May 2005: 12.
Alvear, Michael. “A Family Dilemma: To Scout or Not to Scout?”, Newsweek 6
November 2000: 29-35.
Bierbauer, Charles. “Supreme Court Says Boy Scouts Can Bar Gay Troop Leaders.”
CNN, 28 June 2000. <http://archives.cnn.com/2000/LAW/06/28/scouts.gay.boyscouts/>
Boy Scouts of America Legal Issues. 2004. Boy Scouts of America.
<http://www.bsalegal.org>.
“Boy Scouts of America’s Membership Declines.” 2005. Scouting For All,
<http://www.scoutingforall.org/articles/2005082101.shtml>
Brooke, James. “Gay and Lesbian Scouts Received with Open Arms in Tolerant
Canada.” New York Times, 3 July 2000.
Cloud, John. “Can a Scout be Gay?” TIME, 1 May 2000: 37-43.
France, David. “Scouts Divided.” Newsweek, 6 August 2001: 44-54.
Kennedy, Dan. “Where the Boys Are” The Phoenix, 9 Aug. 2001.
< http://www.bostonphoenix.com/boston/news_features/other_stories/
documents/01753989.htm>
McLure, Jason. “Controversy: Read, Write and Scout.” Newsweek, 24 November, 2003:
32-36.
Ozark Trails Council. 2000. Ozark Trails Council, Boy Scouts of America. 6 November
2005. < http://ozarktrailsbsa.org/index3.html>
Rivera, Elaine. “All for a Scout’s Honor.” TIME, 16 August 1999: 52-59.
Rosenberg, Yuval. “A Scout Passes the Torch.” Newsweek, 10 July 2000: 39-42.
Scouting? 2005. Boy Scouts of America. 5 November 2005.
< http://www.scouting.org/nav/enter.jsp?s=by>.Scouting for All. Clint Hendler.
“This Issue is Far from Over.” Newsweek, 1 July 2000. <http://nl.
Newsbank.com/nl-search/we/Archives?p_action=list&p_topdoc=11>
What is Boy What is Scouting? 2004. ScoutBase UK.
<http://www.scoutbase.org.uk/6to25/scout/intro.htm>.
Wood Badge. 2005. Hiawathaland Council, Boy Scouts of America.
< http://www.upscouting.org/images/Baden-Powell.jpg>
71
�
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Volume 4, Number 2
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Section I: The Sciences -- 2 The Cerebral Hemispheres – A New Age of Learning / Erin Davis -- Section II: The Social Sciences -- 12 The Evolution of Society’s Recognition of Child Neglect / Victoria Brown -- 20 Ethnic Differences and Eating Disorders among Women / Nicole Rossini -- Section III: The Humanities -- 28 When Langston was in Vogue / Stephanie Loffredo -- 33 Learning to Live with Race, Social Class and Ethnicity in Down These Mean Streets by Piri Thomas / Megan Benson -- 38 Rebekah: The Most Powerful Matriarch of Israel / Abby Albair -- 44 Savory Sentiments: Feelings Expressed through Food in Abu Jaber’s Crescent / Emily Morrison -- Section IV: Performing and Visual Arts -- 52 Bach and the Art of Fugue / Christopher Fourman -- Section V: Professional Programs -- 60 The Boys Scouts of America and the Battle to Keep out Gays / Allen Koehler
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Wagner College Forum for
Undergraduate Research
Fall 2006
Volume V, Number 1
Wagner College Press
Staten Island, New York City
��EDITOR’S INTRODUCTION
Does an infant’s immune system respond better to breastfeeding despite the availability
of advanced formula? Has investor confidence improved since the passage of the
Sarbanes-Oxley Act? How do paper towels absorb liquids even when it means defying
gravity? Are sociocultural factors responsible for the superior performance of males on
math and science standardized tests or is there a biological basis? Students at Wagner
want to know and are conducting research to find answers to these and other questions.
Read on and see what they have discovered.
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 typically subdivided into three sections entitled The Natural
Sciences, The Social Sciences and Critical Essays. The first of these two sections are
limited to papers and abstracts dealing with scientific investigations (experimental and
theoretical). The third section is reserved for speculative papers based on the scholarly
review and critical examination of previous works.
Gregory Falabella and Richard Brower, Editors
��Section I: Eastern Colleges Science Conference1
Abstracts
2
Investigating Scaling in Brownian Motion
Brittany Corn and Dr. Otto Raths
2 Nanotechnology: The Organic Synthesis of Cyclacenes and
Introducing Nanotechnology to the Public
Diana D’Onorio DeMeo, Kim Farrell and Dr. Wendy deProphetis
3 The Hormetic Effects of Ethanol: Enhanced Cell Proliferation,
Migration and Differentiation as Seen in Surviving Organotypic,
Adult Zebrafish Brain Cultures II. An Ultrastructural Analysis
Vincenzo DiMaggio, Richard Maltese, Christopher Corbo, Prof. Linda Raths and
Dr. Zoltan Fulop
4
Cognitive Dissonance and Intentions to Use Condoms in College
Students
Stephanie Nygard and Dr. Amy Eshleman
4 Establishing Conditions for the Detection of GFP Transcription in
E. Coli Using RT-PCR
Christi O'Donnell and Dr. Roy Mosher
5
Absorption-A Physical Interpretation
Kaitlin Buffington and Dr. Otto Raths
5 Effects of Seating Arrangements and Assigned Seating on Group
Discussion in a Classroom Setting
Meghan Dennis and Dr. Amy Eshleman
5 Morphological Description of the Cortex of the Adult Zebrafish Optic
Tectum
Nidaa Othman, Christopher Corbo, Prof. Linda Raths and Dr. Zoltan Fulop
1
Papers and posters presented at the 60th Eastern Colleges Science Conference held in
Philadelphia, PA on April 21-22, 2006.
�Section II: The Natural Sciences
Full Length Papers
8
Absorption – A Physical Interpretation
Kaitlin Buffington
Section III: The Social Sciences
Full Length Papers
18 Evaluation of Gender Differences in Mathematics and Science in Early
Childhood and Adolescence
Courtney Small
26 Sarbanes-Oxley and its Effect on Risk Perception
Cristina Modifica
45 The Benefits of Breastfeeding and Formula in Regard to Illness Rates
Lauren Grispo
53 Touch and Learning in a Dance Lesson
Jennifer Wiech
Section IV: Critical Essays
Full Length Papers
62 Progressive or Regressive?
Coping with Alleged Fin-de-Siècle Corruption
Elena Beth Pushaw
68 The Motivation behind Rear Admiral Grace Murray Hopper’s
Perseverance & Extraordinary Accomplishments
Amy Jensen
74 Blonde Humor: An Acceptable Form of Prejudice
Nancy Russell
�80 The Greek Element in Thomas Mann’s Death in Venice
Timothy Cushing
88 Elizabeth Blackwell
Alexandra DeArmon
��Section I: Eastern Colleges
Science Conference
�Investigating Scaling in Brownian Motion1
Brittany Corn (Physics) and Dr. Otto Raths (Physics)
Upon revisiting Jean Perrin’s 1909 experiment on Albert Einstein’s theory of Brownian
motion, we investigated whether it only holds true for Perrin’s thirty-second intervals, or
for any scale of time. Various applications of this experiment will also be discussed.
Nanotechnology: The Organic Synthesis of Cyclacenes
and Introducing Nanotechnology to the Public
Diana D’Onorio DeMeo (Chemistry), Kim Farrell (Chemistry)
and Dr. Wendy deProphetis (Chemistry)
Scientists are always studying ways to invent new materials that will be beneficial to
society. One way in particular is through nanotechnology, which involves many areas of
research dealing with and manipulating objects that are measured in nanometers. One
major material in the field is the carbon nanotube, a long, cylinder shaped structure that is
considered one of the allotropes of carbon. The objective of this research was to design
and apply a synthesis for a cyclacene, a compound that consists of a single ring of an
armchair carbon nanotube, to further the benefits of nanotechnology to humanity. The
synthesis requires several reactions, where two reactions were completed. The first
reaction synthesized 1,2-phenylenebis(2-ethynylbenzyl alcohol) from a palladiumcatalyzed cross coupling reaction of ethynylbenzyl alcohol with o-diiodobenzene in
triethylamine. The second reduction reaction synthesized 1,2-phenylenebis(2-Zethenylbenzyl alcohol) from the 1,2-phenylenebis(2-ethynylbenzyl alcohol) using
Lindlar’s catalyst. These reactions were the initial steps toward synthesizing cyclacenes,
where their applications will benefit the public. Essentially, this, as well as other
research, explores the many applications that nanotechnology has to offer
in everyday life. In order to educate the public at an early age, a workbook was developed
to introduce nanotechnology to elementary students grades six through eight. Tabletop
demonstrations were performed at Liberty Science Center to illustrate how useful and
versatile this technology has become. Assessment forms were
filled out by participants, which include children able to write as well as adult
participants. The feedback received and analyzed was overall positive and therefore, led
1
Recipient of Outstanding Platform Presentation in Physical, Chemical, Mathematical,
Computer, Electrical and Nanotechnical Sciences Award
2
�to a teacher workshop. The workshop allowed educators to learn how to use the
workbook in classrooms and to utilize the tabletop demonstrations as their own classroom
activities. The comments and continued support and interest from Liberty Science Center
and educators from New Jersey schools has allowed further research to be performed in
this growing area of science.
The Hormetic Effects of Ethanol: Enhanced Cell
Proliferation, Migration and Differentiation as Seen in
Surviving Organotypic, Adult Zebrafish Brain Cultures II.
An Ultrastructural Analysis2
Vincenzo DiMaggio (Biology), Richard Maltese (Biology), Christopher Corbo (Biology),
Prof. Linda Raths (Biology) and Dr. Zoltan Fulop (Biology)
Hormesis is a phenomenon that refers to the fact that toxic agents in extremely low
concentrations are actually beneficial. In this research we studied the effects of low
ethanol concentrations (0.01% and 0.025%) on surviving adult brain tissue. Fifty-four
adult zebrafish optic tectum were cut into four pieces each and kept in organotypic
culture for 0,2,6,12,24 hours and 2,4,7 and 14 days. Control samples were maintained in
minimal essential medium without alcohol. Experimental groups were exposed to either
of the alcohol concentrations for 10 minutes in the same medium before cultivation. At
the designated time point the tissue samples were fixed and processed using electron
microscopic histotechniques. First a set of semithin sections were cut and analyzed. The
findings of that study were published as the first part of this series at the TriBeta research
conference in 2006. In this part of the study, ultrathin sections were cut on a Reichert
OM-1 ultramicrotome with glass knives. Sections, stained with uranyl acetate and lead
citrate, were analyzed under a Philips CM 100 transmission electron microscope
equipped with a Kodak digital camera for a PC. Several samples were dehydrated and
processed for scanning electron microscopy. A Hitachi HHS-2R scanning electron
microscope equipped with a large format Polaroid camera was used for analysis. The
poster will depict different electron micrographs demonstrating the effects of ethanol.
Ethanol, as it was shown earlier, facilitates neovascularization and the formation of new
embryoid bodies by enhancing cell proliferation, cell migration and cell differentiation.
2
Recipient of Outstanding Poster Presentation in Anatomy, Developmental Biology and
Physiology Award
3
�Cognitive Dissonance and Intentions
to Use Condoms in College Students
Stephanie Nygard (Psychology) and Dr. Amy Eshleman (Psychology)
College students are keenly aware that condom use is the most effective way for sexually
active individuals to reduce chances of contracting sexually transmitted disease. Yet
college students sometimes engage in unprotected sex. Stone, Aronson, and Crain (1994)
demonstrated that inducing cognitive dissonance through asking individuals to remember
past risky sexual behaviors causes greater intentions to use condoms in the future. In a
replication, feelings of hypocrisy were induced through reminders of past personal risky
sexual behaviors followed by asking participants to create a public service announcement
for younger students regarding dangers of unprotected sex. Participants in the hypocrisy
condition were predicted to elect to take more condoms (offered in the laboratory) than
would participants in two comparison conditions. Data are being collected; results will be
presented at the conference.
Establishing Conditions for the Detection of GFP
Transcription in E. Coli Using RT-PCR
Christi O'Donnell (Chemistry) and Dr. Roy Mosher (Biology)
The recombinant plasmid pGLO contains the green fluorescent protein gene (gfp) from
the jellyfish Aequorea victoria, under the control of the PBAD promoter from the
arabinose operon of Escherichia coli. The expression of gfp in this system is positively
regulated by arabinose and is also subject to catabolite repression by glucose. The
expression of gfp can be monitored at the translational level by exposing arabinoseinduced cultures to long-wave UV light (which causes a green fluorescence) or at the
transcriptional level by using reverse transcriptase-polymerase chain reaction (RT-PCR).
The goal of this project is to develop and optimize conditions for the facile detection of
gfp transcription in E. coli by RT-PCR. Total RNA has been extracted and purified from
Escherichia coli DH5 F’IQ (pGLO) cultures grown under three different conditions: with
arabinose, with glucose, or with no added sugars. Samples from each of these extracts
will be individually combined with oligonucleotide primers (known to amplify a 247-bp
DNA fragment within the GFPuv open reading frame), reverse transcriptase, and DNA
polymerase, and then subjected to a one-step RT-PCR reaction. It is expected that
amplicons will be detected only when using total RNA from arabinose-supplemented
cultures.
4
�Absorption-A Physical Interpretation3
Kaitlin Buffington (Physics) and Dr. Otto Raths (Physics)
A look at the properties of water absorption, from a physical view. Absorption seems to
violate a simple rudimentary rule of physics - conservation of energy. A look at the
apparent violation of gravity and conservation of energy in absorption of water in paper.
Energy is being generated from the change in the structure of the paper when wet.
Effects of Seating Arrangements and Assigned Seating
on Group Discussion in a Classroom Setting
Meghan Dennis (Psychology) and Dr. Amy Eshleman (Psychology)
Horse-shoe table arrangements and assigned seating are predicted to create an
atmosphere more conducive for group discussion than rows of tables and free seating.
Eye contact plays an important role on group discussions. Argyle and Dean (1965) found
that eye contact is an important tool for feedback which brings on future comments and
signaling an open channel of communication. Table arrangements in the shape of a horseshoe should increase the likelihood for more discussion mainly based on the eye contact
findings. Assigned seating should help create a more equal atmosphere for participants
interacting in the group discussion by giving an equal opportunity for where they will be
sitting. Data is in the process of being collected and will be reported at the conference.
Morphological Description of the Cortex
of the Adult Zebrafish Optic Tectum
Nidaa Othman (Biology), Christopher Corbo (Biology), Prof. Linda Raths (Biology) and
Dr. Zoltan Fulop (Biology)
The optic tectum of adult zebrafish was studied with different light-microscopic
techniques and by electronmicroscopy to reveal the cellular construction of the organ.
Images obtained from classical Golgi impregnation were combined with images derived
from immunocytochemical reactions, such as glial fibrillary acidic protein (GFAP),
glutamine synthetase (GS) for glial cells and Nestin for neurons. Special attention was
3
Recipient of Outstanding Platform Presentation in Physical, Chemical, Mathematical,
Computer, Electrical and Nanotechnical Sciences Award
5
�paid to the neuronal/glial and glial/endothelial co localization, as well as to the Meninges
and Ependymal layer. At the ultrastructural level we focused on synaptic arrangements
and glial/endothelial relations. To conclude, visualization of the relationship between
different structures was enhanced by super imposing the images of various cell types
obtained from specifically stained preparations onto an overview picture of the whole
cortex stained with tolluidine blue. The authors greatly appreciate the moral and financial
support of their anonymous benefactor.
6
�Section II:
The Natural Sciences
�Absorption – A Physical Interpretation
Kaitlin Buffington (Physics)1
Absorption is a physical or chemical phenomenon, in which atoms, molecules or ions
enter some bulk phase, liquid, solid or gas. Usually in physics absorption refers to the
phenomenon by which a substance retains the energy of radiation of particular
wavelengths; for example, a piece of blue glass absorbs all visible light except the
wavelengths in the blue part of the spectrum. In this experiment however, we investigated
absorption of water in a simple everyday product, paper towel. This experiment is the
physical interpretation of absorption, an investigation of the source of energy in the
process of absorption, and the mechanisms behind elasticity.
I. Introduction
This is a preliminary study of the properties of water absorption from a physical
view. We looked at the process of absorption of water in paper when dipped vertically,
and observed that the process seems to violate the laws of conservation of energy. So our
objective is to find the source of energy that draws the water up a piece of paper towel.
Our experiment seems to violate the laws of conservation of energy. The law of
conservation of energy states that the amount of energy in a system has to remain
constant; the amount of energy that is put into the system must equal the amount of
energy we get out. Energy in a system must remain constant. It also states that energy
can neither be created nor destroyed in a system. However, energy can be converted from
one form of energy to another, for example from potential to kinetic. This is imperative in
this experiment.
What is happening in our specific system? Why does the paper towel absorb the
water? How is the water absorbed? Paper towels are made out of fibers of cellulose.
Paper is also a polymer, which consists of many small molecules linked together in an
enormous chain. The small molecules or "monomers" that make up cellulose are sugar
molecules. We can not get any nutritional value from these sugar molecules however it
does have one important thing in common with sugar: both chemicals cling tightly to
1
Research performed under the direction of Dr. Otto Raths (Physics) in partial fulfillment
of the Senior Program requirements.
8
�water molecules. The presence of many hydroxyl groups on the sugar molecules allows
them to form strong bonds with water molecules. Therefore when you dip the paper towel
in water, the water molecules rush into the towel to bind to the cellulose fibers and the
towel absorbs water. However this does not tell us the source of the energy.
Everyone knows that paper absorbs water, and other liquids. Yet, most people
never question why, when a piece of paper towel is dipped vertically into a cup of water,
the water is able to seemingly rise up the paper against gravity. There is no obvious
source of energy, we are not heating the water, and we are not putting any energy into the
system. Maybe the energy is coming from the displacement of water when the paper
enters the water. By simply putting the paper in the water, water is being displaced, could
this be the source of energy? Water displacement is not a factor since we are using a large
beaker, and a small area of paper, the amount of water displacement is minimal compared
to our large beaker. Therefore what is the source of energy that we are looking for?
Before further investigating the source of energy, we look into what would
happen if there was no source of energy. If there was no source of energy, we would then
be able to use the paper as a wick and bring the water from a lower energy state to a
higher energy state without any work. This would result in work out without any work in,
an impossibility by physical law, and a clear violation of the laws of conservation of
energy. Therefore there has to be a source of energy. After going through all of the
possibilities of the source of energy we came to a hypothesis, which states that the source
has to have to do with the structure of the paper towel itself. We believe that the energy
which is forcing the water up the paper towel is from the change in the structure of the
paper, when wet and when dry. Possibly the potential energy of the dry paper is
converted to kinetic energy when wet. We believe that maybe the fibers are in a curled
haphazard state when dry and uncurl or straighten when wet releasing enough energy to
pull the water up the paper.
II. Experimental Procedure and Results
We now research our hypothesis experimentally. Our first step was to cut the
paper towel into 3/4 inch strips which we then weigh; this will help us calculate the total
amount of water absorbed. Next I created an apparatus to keep the wood standing up
straight without holding it. We wanted to ensure that I was not putting any energy into
the system. If we minimize human contact with the system we are able to minimize
human error. We then fasten the paper to a non-absorbent substance as to not interfere
with our absorption. We do not want the substance that we adhere our paper to, to do any
9
�absorbing in itself. Consequently the wood which we attached the strips to was wrapped
in tape to hinder absorption within the wood.
Given that we are interested in the energy of the system we would like to
calculate the change in energy per unit area. We acquire this by measuring the height
which the water rises to after being immersed in the water. However before we do this,
we need to decide how long to keep the paper immersed in the water. Therefore we took
some preliminary times, observing how high the water rose, and as Figure 1 shows as the
time approaches two minutes there is minimal rise in height. There is a large rise in
height within the first 15 seconds and as time increases the rise in height decreases.
Therefore we chose 2 minutes to be our final time. Now, we repeat our dipping process
10 times measuring each time the height which the water rose to, and the amount of water
absorbed. By taking this data and using the following formulas we are able to calculate
the amount of energy that the system is using, which we believe can be attributed to the
structure of the fibers.
Area = Height * Length
Center of Mass = Height risen / 2
Change in Energy = Weight (H2O) *Center of Mass
The amount of energy that we attribute to the fibers (Table 1) is 0.06014. This may seem
like a negligible amount; however this is the energy which is unaccounted for and
unaccounted energy is not negligible.
While dipping the paper into the beaker, I observed that after pinning the paper
flat onto the wood, and wetting it, the paper would buckle away from the wood, which
leads me to believe that the paper was increasing in length. This would support our
hypothesis of the fibers “uncurling” or lengthening to release energy. Therefore I
measured a few strips of paper dry, and then completely wet. There was a definite
increase in length by at least 0.5 centimeters (Table2).
The next step was to look at the fibers microscopically to see if there are any
noticeable differences in the arrangement of the fibers when wet. We hoped to see a
difference in the structure, so that we can label this being the source of our unaccounted
energy. The dry fibers are very haphazard and very curled (Figure 2.1). This is the state
in which the potential energy is stored. In contrast the wet fibers seem to have relaxed
and uncurled, straightened (Figure 2.2). In this state the potential energy is released and
converted to kinetic energy. Now we can attribute the change in energy that we
calculated to the change in structure of the fibers.
10
�We also wanted to investigate the elasticity of the paper. After being wet would
the paper go back to its original length and structure after it dries? In order to do this we
took strips that we already knew the length of dry, and measured them again after they
have been wet and allowed to dry (Table 3). As you can see from this chart we believe
there to be some minimal change in the structure of the paper because the re-dried paper
in most cases was shorter than its dry state. To further investigate we then looked at the
re-dried paper under a microscope to see if there is any observable difference (Figure
2.3). These re-dried fibers seem to have relatively the same structure as the dry fibers
(Figure 2.1). We also re-dipped the strips into the water again to see if the water would
rise to the same height, therefore release the same amount of energy (Table 4). We see
that the water does not rise to the same height in the re-dried strips as it did in the dry.
Even though we can not see the change microscopically there is a change in the amount
of energy the fibers can release. As a result the paper is not completely elastic.
An additional aspect of this phenomenon that was investigated was the rate of
absorption. We were able to calculate the change in radius as a function of time, by
videotaping the process of a single drop of water being absorbed into paper. The
observation that the drop makes an elliptical shape was unexpected. We would have
presumed that the absorption rates in both directions would be equal. However, we
observed that the rate at which the water was absorbed through the fibers vertically was
greater than the horizontal rate. This leads us to believe that the fibers have a preferred
direction of absorption. The fibers more readily release their energy in the vertical
direction rather than the horizontal direction. We can deduct that the rate of absorption
calculated in Table 5, shows us the rate at which the fibers release their energy. This is an
intriguing subject and much more research can be done on this particular occurrence.
Since our experiment is preliminary we were not able to completely investigate
many aspects of absorption that we would have liked. We also had some concerns with
our experimentation that we would like to resolve further. One of our main concerns
while conducting this experiment was our assumption of uniform absorption, when
calculating the center of mass. In reality due to gravity there is most likely more water
mass at the bottom of the paper towel, relative to the rest. So we would like to perfect
those methods of collecting data. Some ways of doing this would be to find a way to cut
the paper when wet; this is difficult due to the structure of the wet paper. We also thought
of using a radioactive substance and a counting method. We would use a radioactive
substance in the water and then let the paper dry and count the amount of the substance in
each strip. This would tell us the amount of water that was absorbed in each strip. I would
also like to look at different substances, such as oil or alcohol to see if they have the same
11
�absorption properties as water. In addition I would like to look at different temperatures
of water to see if there are any differences.
Some applications that we thought applied to this experiment are trees and
plants. When you water a plant or it rains, the water is absorbed through the plants roots
and it is pushed up to its leaves and buds. Differently plants are alive, unlike our paper,
therefore they have different structures, but as I stated in the beginning plants and paper
are all made up of cellulose fibers, therefore they all act in a similar manner.
III. Conclusions
There were many aspects of this experiment which were investigated. We
discovered that the energy that is pulling the water up the paper towel is from the
conversion of potential energy to kinetic energy of the fibers. Therefore the apparent
violation of conservation of energy is false. Also we discovered the elasticity of our
paper using our re-dry fibers. They looked similar to our dry though there still was some
change in the amount of energy released from the fibers the second time around.
Therefore the paper is not completely elastic, it does not go back to its original length or
release the same amount of energy. We concluded much from this experiment, and there
is much more to be concluded.
IV. Works Cited
1. Bloomfield, Louis A. “How Things Work”, http://howthingswork.virginia.edu/.
Figure 1: Rise in Height
12
�Table 1: Energy Attributed to the Fibers
Sample #
Rise in
Height
(cm)
Area
(cm2)
Weight
Center of
H2O (gram) Mass
(cm)
∆ Energy
(g*cm)
∆ Energy /
Area
(g/cm)
1
6.50
12.350
1.903
3.25
6.185
0.5001
2
6.70
12.730
1.942
3.35
6.506
0.5112
3
6.45
13.645
1.923
3.225
6.202
0.4545
4
6.00
12.000
1.893
3.000
5.679
0.4733
5
6.90
13.800
2.041
3.450
7.041
0.5102
6
7.10
15.123
2.354
3.550
8.357
0.5526
7
7.50
15.375
2.560
3.750
9.600
0.6244
8
7.00
13.300
2.364
3.500
8.274
0.6221
9
6.90
12.420
1.844
3.450
6.362
0.5122
10
6.80
11.900
2.129
3.400
7.239
0.6083
Average
6.805
13.254
2.097
3.3925
7.172
0.5369
Table 2: Increase in Paper Length
Height dry (cm)
Height wet (cm)
20
20.7
20.1
20.5
20.1
20.5
20.2
20.5
20.2
20.6
13
�Figure 2.1: Dry Fibers
Figure 2.2: Wet Fibers
Figure 2.3: Re-dried Fibers
14
�Table 3: Elasticity of the Paper
Height Dry (cm)
Height Re-dry (cm)
20
20
20.1
20
20.1
20
20.2
20
20.2
20.1
Table 4: Elasticity after Multiple Dips and Re-Dries
Height Dry (cm)
Height Re-Dry (cm)
7.4
6.6
7.5
6.6
7.4
6.7
7.5
6.8
7.3
7.0
Table 5: Average Rate of Absorption
Time (seconds)
Vertical Radius
Horizontal Radius
1
0.500
0.500
2
1.015
0.913
3
1.275
1.117
4
1.483
1.308
5
1.533
1.458
6
1.625
1.496
7
1.767
1.533
8
1.875
1.575
9
1.944
1.630
10
1.963
1.646
15
��Section III:
The Social Sciences
�Evaluation of Gender Differences in Mathematics
and Science in Early Childhood and Adolescence
Courtney Small (Nursing)1
The past two decades have seen a large increase in the opportunities, training and
encouragement given to girls and women in the areas of mathematical performance.
Although some progress has been made, the number of women majoring in math-related
disciplines is still only a fraction of what it is for men. Statistics also continue to reveal
that women's performance on standardized math tests falls way below their male
counterparts, regardless of Grade Point Averages. What, then, is the cause for these
continuing differences in male and female involvement in the math and science fields?
Some believe it has biological explanations, others believe it has sociocultural
implications. Two classes consisting of third and fourth grade students were asked to
draw a picture of a scientist. The focus of this research was to determine whether the
cause of these differences are purely based on stereotypes and cultural implications, if
there are true differences in the male and female brain, or if it is a combination of the
two. Results indicated that there is indeed a stereotype, beginning in early childhood, of
males being predominant in higher science professions with over 75% of the pictures in
both grades drawn as males.
I. Introduction
Gender differences in math ability have been a topic of interest to researchers, educators
and doctors for years. Controversies have raged over whether gender differences do exist,
and if they do, the causes of these differences. There is proof that females consistently
score significantly lower on standardized tests, including the Scholastic Aptitude Test,
and the Advanced Placement tests. Males also dominate math and science related
professions. The purpose of this research is to identify the reasons for these differences.
What is causing our females, the dependent variable, to consistently score lower on any
given mathematical task? Many believe that the independent variable in this sequence is
the fact that male and female brains are intrinsically different; they develop differently,
and more importantly, at very different times. For example, when children are first
learning math skills, a girl's brain may not be apt to understand the ways in which
1
Research performed under the direction of Dr. Lauren O’Hare (Nursing).
18
�teachers are usually presenting the material. This could consequently build a foundation
in the young girl's mind, "I'm just not good at math," which could carry throughout her
life. We know that self-concept has much to do with performance in an area. Research
questions include:
1. Are females in grade school receiving lower grades than their male counterparts?
2. Are females in grade school participating at the same level in math classes as
males?
3. Do statistics support the theory that females are scoring lower on standardized
tests, such as the SAT and Advanced Placement tests?
4. Do statistics show that male and female brains are intrinsically different?
5. Are stereotypes of math being a male-dominated field present in the classrooms
of our youngest generations?
II. Hypothesis
¾ Due to the differences in structure in the female and male brains, the conventional
teaching of math is more beneficial to males, rather than females.
¾ Due to the differences in structure in female and male brains, females will suffer
from low math self-concept earlier than compared to males.
Although statistics reveal that there has been some progress made in the number
of women who choose to major in and obtain bachelor degrees in mathematics or the
natural and physical sciences, the number of women majoring in other math related
disciplines is still only a fraction of that for men. (National Center for Educational
Statistics, 2003). Forty-four percent of incoming male freshmen who intended to major
in science chose engineering as their initial focus, compared with only twelve percent of
females. Fifteen percent of men chose computer science, compared with three percent of
women.
Statistics also reveal that female’s performance on standardized math tests still
lags behind that of their male peers. The Scholastic Aptitude Test (SAT) was developed
in the 1920’s as an outgrowth of the Army Alpha, the first mass-administered IQ test.
The SAT test was first administered in 1943 and became widely used after 1948. The test
was thought of as a good way to predict student performance, given the broad disparities
among high schools (College Board, 2005). However, from 1972 to present time, females
have continued to score significantly lower on the math section of the test. In the year
2000, the male total group mean SAT score was 533, compared to the female total group
mean score of 498 (College Board, 2005). Another standardized test, the Advanced
19
�Placement Test, reveals similar results. Average scores on the 2004 Advanced Placement
tests show male students outperforming their female counterparts in several math and
science exams, in which the maximum score is five. On the biology exam, the male mean
score was a 3.23 compared with a female mean of 2.90. The calculus exam produced a
male mean score of 3.09 compared with a female score of 2.82 (College Board, 2005).
Interestingly, as will be discussed later, females on average scored higher than males in
foreign languages and English literature. On the English literature composition exam,
males scored an average of 2.96 while their female counterparts scored an average of
2.98.
Another study revealing this gender difference was conducted in 2003 at the
University of Massachusetts at Amherst. The study was designed to assess whether
gender differences in math-fact retrieval do exist among kindergarten and first grade
students. In two experiments, the children were asked to solve a series of simple addition
and subtraction problems. Solution strategies were restricted and children were required
to use either fact-retrieval or overt counting to solve the problems. Presented on a laptop, half of the problems required fact-retrieval strategy and half required overt counting.
Performance was measured in accuracy and solution time. (Exactly like the SAT,
remember.) No female advantages were observed in any of the tasks, however, male
advantages for fact-retrieval strategy were revealed in both grades (Garofoli, 2003.)
A study on gender differences in math and verbal self-concept, performance
expectations and motivation was conducted in 2004. Nine hundred and seven Norwegian
students, grades 6-11 participated, answering a questionnaire about these subjects. The
results showed that males had higher self-concept in all samples in mathematics, as well
as higher performance expectations. They judged themselves more favorably in
mathematics than girls do as early as the end of elementary school. Female students
evaluated their abilities in mathematics lower than their abilities in verbal arts. This
particular study concluded that these differences could not be explained by differences in
the grades the students received, and they are likely to be caused by gender stereotypes
and gender role socialization (Skaalvik, 2004.)
Other theories, however, suggest that these gender differences are caused by
different brain developments and sequences in male and female brains. Leonard Sax, a
physician and psychologist, believes that distinct genetic differences exist in the way
male and female brains function. Educators, therefore, that adhere to a gender-blind
approach actually end up discouraging young women in such courses as physics, calculus
and trigonometry (Sax, 2005.) Scientists at UCLA published one of the most conclusive
studies on this theory in 2004. They examined a bird that was a lateral gynandromorphic
20
�hermaphrodite. Every cell on the bird’s right side was male, and every cell on the left was
female. The bird's blood contained a mix of both hormones, those from the one ovary and
those from the one testicle. If the theory popular in the 1970’s and 1980’s was true, there
would not be a big difference in the birds right and left-brain. The researchers stated that
hormones were responsible for sexual differentiation of the brain. However, results
showed that the right and left side of the bird's brain were dramatically different,
regardless of sex hormones. Scientists have concluded from this study that female
brain tissue and male brain tissue are “intrinsically different” as a result of females and
males having a different complement of sex chromosomes –regardless of the mix of
hormones in the blood (Arnold, 2004.)
Caine (1989), a graduate student at Florida State University in the late 1980’s,
wanted to test a hypothesis that playing soft music in a babies crib may relax them,
improving their appetite and help them grow faster. Caine obtained permission from
parents of twenty-six premature babies to play soft music in the baby's cribs. She also
matched twenty-six other premature babies in the study who did not get to hear music.
Her results were dramatic, and brought up an entirely new issue. Girl babies who
received music therapy left the hospital nine and a half days earlier on average than girl
babies who did not. However, boy babies who received music therapy did not leave the
hospital any earlier than boys who did not (Caine, 1989). Today there is good evidence
that baby girls actually hear better than baby boys. Pediatric audiologists Barbara ConeWesson and her colleagues measured the acoustic brain response of more than sixty
newborn girls and boys. For a 1,500 Hz tone played to the right ear, the average baby girl
had an acoustic brain response about 80 percent greater than the response of the average
baby boy (Cassidy, 2001). This gender difference in hearing also later affects children in
the classroom. Psychologist Colin Elliot demonstrated that eleven-year-old girls are
distracted by noise levels about ten times softer than noise levels that boys find
distracting (Sax, 2005). This implies that the tapping on the desk, with pencils, fingers,
etc, might not bother the boys at all but is very distracting and bothersome to girls in the
class, possibly impairing the learning process.
One of the most important breakthroughs has been discovering that there are
differences between male and female developmental timetables. Differences in brain
maturation are detectable while the baby is still in the womb (Achiron, 2000). However,
they continue to exist in much later years. Researchers at Virginia Tech examined brain
activity in 508 normal children, 224 girls and 284 boys. Ages ranged from 2 months to 16
years. (This was the largest study of its type.) Researchers found that areas of the brain
involved in language and fine motor skills mature about 6 years earlier in girls than in
21
�boys. (This confirms the study discussed earlier about hearing.) However, the areas of the
brain involved in targeting and spatial memory mature about four years earlier in boys
than in girls (Anokhin, 2000). Smaller studies have been done supporting this larger one.
Researchers in France watched two year olds building bridges out of blocks. At that
young age, they found that a boy is 3 times more likely than a girl to be able to build a
bridge out of blocks (Labarthe, 1997).
Gron and colleagues at the University of Ulm in Germany created a video game
apparatus with virtual reality goggles. It allowed volunteers to play a video game while
lying in a MRI brain scanner. In the video game, the volunteer is trying to find a way out
of a maze. Their results were very interesting; females and males use completely different
areas of the brain for the spatial task. Women used the cerebral cortex, the most advanced
area of the brain used for talking, understanding, etc. Men used the hippocampus, a
primitive area of the brain that is prewired for navigation (Gron, 2000). They concluded
that these differences are genetically programmed, not culturally constructed.
Furthermore, the results have major implications for inside the classroom, especially with
math and geometry. As stated before, males use the hippocampus for mathematical
reasoning - an ‘ancient’ part of the brain with no connection at all to the cerebral cortex.
This may explain why males are more ‘comfortable’ with math at an earlier age.
However, to get girls comfortable and interested, one needs to connect math to the real
world. The cerebral cortex, the area females use, is the same division of the brain that
mediates language and higher function. Girls and boys are equally capable of learning the
same material, but taught the way math usually is, many girls tune out (Sax, 2005).
Many argue then, that coed schools shortchange both girls and boys. This is not
because teachers are sexist, but simply because the students learn so differently. Andrew
Hunter, a teacher who has taught in both coed and single sex schools, compares teaching
in a co ed classroom to teaching two classes at once (Buie, 2000). Rick Melvoin, head of
the Belmont Hill School (an all-boys school in Massachusetts) takes the same stand.
Melvin explains, for example, in a coed French class the boys almost never attempt to
speak in a French accent. However, in an all-boys French class, all the boys compete to
see whose accent is best (Wolcott, 2004). Coed schools enforce gender stereotypes where
single sex schools can break them down. There is strong evidence that girls are more
likely to take courses such as computer science and physics in girls-only schools than in
coed schools (James, 2003).
22
�III. Methods
The population tested was third and fourth grade math and science classes in an
elementary school. Surveys conducted by the teacher revealed participation ratios in math
and science classes. Students were also exposed to a treatment as follows: first, they will
be asked to draw a picture of a ‘scientist’. The purpose will be to see how many pictures
reveal a female scientist as compared to a male scientist. Second, a math lesson will be
taught in an unconventional way, a way that seems statistically more beneficial for girls.
Students will be split into groups, two male groups and two female groups. One female
group will be taught the math lesson in the same manner as the other two male groups.
The other female group will be taught in a different manner, a way that complies more
with the apparent ‘female’ way of understanding math. For example, since studies
indicate that females use the cerebral cortex for math tasks, the second group of females
would be taught in a way that connects the math material to the outside world. These
females will be asked to bring in any of the following; a sunflower, pinecones, leaves,
etc. Counting or performing math tasks with outside variables will be tested against the
conventional, ‘male’ programmed way based on complete understanding of the material.
Did the second group of females understand the material better? Quicker? Or the same as
the first group of females, learning in the same manor as the males?
IV. Results
The first part of the study was conducted in an elementary school third grade
class. The class consisted of 21 students; 10 males and 11 females. Sixteen students
(76%) drew a scientist as a male and 5 students (24%) drew a scientist as a female. The
second part of the study was done in an elementary school fourth grade class. This class
consisted of 20 students, but was more disproportionate than the third grade class. There
were 13 males and only 7 females. Fifteen students (75%) drew a scientist as a male,
while only 3 students (15%) drew a scientist as a female. One drawing had both a male
and a female scientist together, and the last drawing was questionable whether it was a
male or female. Distinguishing male vs. female drawings consisted of common gender
stereotypes; for example, length of hair, dress style, etc.
V. Discussion
The math coordinator of the Lynbrook School District was interviewed
concerning participation ratios in math classes. The coordinator had taught Advanced
Placement (AP) Calculus for many years, and stated that females in the class usually had
higher grade point averages. However, they participated extremely less often than the
23
�males in the class. He explained that he tried to encourage the females to participate, but
they maintained a timid disposition in math class. Due to time restraints on the amount
of time the researcher was allowed to take from the class, the lesson plan could not be
completed.
Results indicate that there is indeed a stereotype among school-aged children
when considering the gender of the science profession. At least 75% of both third and
fourth grade students at Lynbrook Elementary School consider a scientist to be a male.
When starting to draw, some students (mostly females) actually asked, “Do we draw a
girl or boy?” They were told to draw whatever they thought a scientist looked like, and
these females continued in drawing males. It is possible that for this reason, as the
children advance to higher academia, females are less likely to participate in mathematics
due to the perception that it is a ‘male’ related field. It is possible, and seems likely, that
this stereotype is the cause for female participation ratios to be dramatically lower in
advanced math classes. If most females are timid to participate in mathematics at a high
school level, it is probable that they will feel even more uncomfortable participating in
mathematics at a collegiate level. Therefore, there would be a lower number of females in
the mathematical professions. The hypothesis of this research, that females will suffer
from low math self-concept earlier than compared to males, proves to be consistent when
observing the elementary school population at Lynbrook Elementary School.
VI. References
Achiron, Reuwen (2001) “Sex Related Differences in the Development of the Human
Fetal Corpus Callosum”, Prenatal Diagnosis, Vol 21, pp 116-120.
Anokhin, A.P (2000) “Complexity of Electrocortical Dynamics in Children:
Developmental Aspects”, Developmental Psychobiology. Vol 36, pp 9-22.
Buie, Elizabeth (2000) “Today's Sexual Evolution”, Glascow Herald, November 21,
2000, p16.
College Board, 2005.
http://www.collegeboard.com/prod_downloads/about/news_info/cbsenior/yr2005/2005
Garofoli, Laura Mitchell (2003) “Early Gender Differences in Arithmetic Strategy
Proficiency”, Dissertations International: Section B: The Sciences and Engineering. Vol.
64, pp 2956.
24
�Gron, Georg (2000) “Brain Activation during Human Navigation: Gender Different
Neural Networks as Substrate Performance”, Natural Neuroscience. Vol. 3, pp 404-408.
James, Abigail (2003) “Escaping Stereotypes: Educational Attitudes of Male Alumni of
Single- Sex and Coed Schools”, Psychology of Men and Masculinity. Vol. 4, pp 136148.
Labarthe, Jean Christopher (2000) “Are Boys Better Than Girls at Building a Tower or
Bridge at 2 Years of Age?” Archives of Diseases of Childhood, Vol. 77, pp 140-144.
Sax, Leonard (2005). Why Gender Matters, Copyright 2005, Doubleday/ Random House,
Inc.
Skaalvik, Sidel (2004) “Gender Differences in Math and Verbal Self-Concept,
Performance Expectations, and Motivation”, Sex Roles: A Journal of Research, February
2004 v50, p.241.
Wolcott, Jennifer (2004) “No Girls Allowed: A Help to Boys?” Christian Science
Monitor. May 25, 2004. pp 12-14.
25
�Sarbanes-Oxley and its Effect on Risk Perception
Cristina Modifica (Business)1
The Sarbanes-Oxley Act was passed in 2002 due to the surfacing of severe business
corruption in major United States companies, such as Enron and WorldCom. This article
will focus on the effects of risk perception due to the Act. Using beta as a measure of
risk, I will investigate ten companies that in previous years have faced corporate
scandals. I will calculate the betas for each of these companies for ten years from 19952005 in monthly intervals. After calculating each beta, a statistical evaluation will be
performed. From this evaluation, I will determine if the Sarbanes-Oxley Act has affected
these companies’ betas, and thus investors’ perception of risk. Along with the
investigation, I will discuss how the new provisions in the Sarbanes-Oxley Act attempt to
protect major crises like these from occurring again.
I. Introduction
For the past decade or so, businesses have not been viewed in the most
admirable light. Corruption and deceit are two words that would come to many investors’
and workers’ minds when thinking about businesses. Corporate actions have caused
upheaval in many people’s lives. As a result, Congress passed the Sarbanes-Oxley Act to
help restore investor confidence.
Since it is now three years since the passage of Sarbanes-Oxley, I wanted to test
whether in fact there was evidence of renewed investor confidence in publicly traded
companies. Since beta is a measure of the systematic risk of a security, I decided to use
beta as the variable to be evaluated. My hypothesis for this experiment was that as I
analyzed each company’s betas prior to the introduction of the Sarbanes-Oxley Act, I
would find them to have been higher than the betas calculated after the introduction of
the Sarbanes-Oxley Act. It would seem logical that the companies’ betas would have
fallen, because the Act was passed in order to stop the recent corruption and accounting
fraud. If investors believed that Sarbanes-Oxley would be successful in changing
corporate behavior, then that renewed confidence should be reflected in lower betas.
Tuesday, October 16, 2001 was a day that made history. On that day, Enron
declared that it had a “$618 million net loss for the third quarter and would reduce
1
Research performed under the direction of Prof. Janice Buddensick (Business) in partial
fulfillment of the Senior Program requirements.
26
�shareholder equity by $1.2 billion” (Brickey, 2003). The world was completely stunned.
This giant corporation, which appeared to be financially stable, had been using fraudulent
accounting practices for years, without any detection. As it turned out, Enron and all its
accounting errors were only the beginning of what was uncovered.
Enron Corporation was a trading and energy company that was founded in
1930, under the name Northern Natural Gas Company (Enron Corporation, 2005). In
1985 after many acquisitions, the company was renamed Enron Corporation by its new
CEO Kenneth Lay. This corporation, which grew out of Houston, Texas with rapid
speed, became the “world’s leading electricity, natural gas, and communications
company” (Enron Corporation, 2005). From 1996 to 2000, Enron was named “America’s
Most Innovative Company” by Fortune magazine and in 2000 was on Fortune’s “100
Best Companies to Work for in America.” It was also the seventh largest company in the
United States. With this background, it was incredible that Enron’s stock price fell from
$90 in August of 2000 to $.30 in November of 2001 (Enron Corporation, 2005). How
could the seventh largest company in the United States be close to bankruptcy when less
than a year ago they were at the top of the charts?
After the wave of panic from investors and employees passed, it was found that
Enron (with the presumed knowledge of their audit firm Arthur Andersen) was using
illegal accounting techniques to inflate Enron’s numbers. Even more alarming was the
fact that while all of these illegal maneuvers were taking place, CEO Kenneth Lay would
continuously “issue a statement or make an appearance to calm investors and assure them
that Enron was headed in the right direction” (Enron Corporation, 2005). Meanwhile, as
investors continued to believe Mr. Lay, executives at Enron were secretly selling shares.
Finally, in December of 2001 the truth was out when Enron declared bankruptcy. Many
executives, including Kenneth Lay, have been tried or are awaiting trials for indictments
for bank fraud, making false statements to banks and auditors, securities fraud, wire
fraud, money laundering, money laundering conspiracy, and insider trading (Enron
Corporation, 2005). Kenneth Lay’s trial began in January of 2006. If convicted on all
accounts Mr. Lay could face up to one hundred and seventy five years in prison. At the
time, Enron was the largest bankruptcy case in history. Just six months later, however,
WorldCom assumed that honor when it filed for Chapter 11 bankruptcy.
WorldCom was a company that emerged from a series of acquisitions dating all
the way back to 1963 with a company called MCI Communications (MCI, 2005).
WorldCom, under the control of CEO Bernard Ebbers, grew to be the second largest long
distance phone company in the United States next to AT&T. This company was also,
“instrumental in pushing legal and regulatory changes that led to the breakup of the
27
�AT&T monopoly that dominated American telephony” (MCI, 2005). The company was
in full gear to one day be the leading telephone company here in the United States. That
all changed when in June of 2002 an audit of the company was performed, which
uncovered billions of dollars of questionable accounting. After filing for bankruptcy in
July, it was discovered that there was “$3.3 billion in improper accounting since 1999
and by the end of 2003 it was estimated that the company’s assets had been inflated by
around $12 billion” (MCI, 2005). Bernard Ebbers was indicted on nine accounts,
including fraud, conspiracy, and filing false documents with regulators. On March 15,
2005, Bernard Ebbers was convicted on all nine counts and is facing up to 85 years in
prison.
Not only did the collapse of these two major firms cause trouble in the stock
market, but it hit the accounting world hard too. At the time of the fall of Enron, there
were five dominant accounting firms. One of the Big 5, Arthur Andersen, was the
accounting firm that provided the audit team for both Enron and WorldCom, along with
audits for numerous other companies. Arthur Andersen was indicted as part of the Enron
scandal, accused of tampering and destroying documents related to the Enron case and
for obstruction of justice. The company’s conviction led to lost clients, and an
untrustworthy reputation, and ultimately led to their demise. There are now only four
major accounting firms left in the business world.
Sarbanes-Oxley Act
Something needed to be done. The business world could not keep seeing the
collapse of major companies and the increasing skepticism of investors. As a result, on
July 30, 2002, the Sarbanes-Oxley Act was signed into law. This Act was one of the
toughest corporate governance laws in history and was enacted to try to prevent future
corruption of the kind that had previously been unveiled. The Act applies to all publicly
held companies and the accounting firms that audit them.
Within the Act, there are eleven main titles, each with its own subsequent
sections. Title I creates the Public Company Accounting Oversight Board (PCAOB). This
is one of the most important provisions. This Board was created to help regulate audits
and auditors of all publicly held firms. Before this provision, the accounting firms were
free to regulate their own audits. Now, with the Securities and Exchange Commission
(SEC) overseeing the Board, all audits performed should be at a higher level of quality
and accuracy. The nine sections that follow outline the rules and formation of the
PCAOB. They “include establishing auditing, ethics, independence, and quality control
28
�standards for public company audits, and performing inspections of the quality controls at
audit firms under its oversight” (Beasley & Elder, 2005).
Title II tries to regulate and control auditor independence. When an individual
works closely with a firm for many years, they grow to know and like the people there.
Sometimes this causes a problem when bad news needs to be reported. In order to keep
such circumstances from occurring, there are multiple sections within Title II that provide
rules for how to effectively keep this from happening. Rotation of workers on an audit is
one such section. This requires that the main partners on an audit switch audit companies
every five years to allow other partners to look for irregularities within the company.
Conflicts of Interest, section 206, also helps with an auditor’s independence. This section
states that the audit firm that is performing a company’s audit, for a one-year period
before the audit, cannot have employed a main executive of that company, such as the
CEO or CFO.
Corporate Responsibility is the third title. This title is important to the Act
because it is one of the four titles that give the SEC more control over executives. Section
302 is one section that helps to accomplish this by requiring that all CEOs or CFOs
prepare a statement that will be included with the audit. In the statement, the CEO or
CFO must attest that the information in the financial statements is correct to the best of
their knowledge. Other important sections in Title III are Section 304 Forfeiture of
Certain Bonuses and Profits, Section 305 Officer and Director Bars and Penalties, and
Section 308 Fair Funds for Investors. These three sections, out of the six sections within
the title, are important because they put more pressure on a company to follow generally
accepted accounting principles because the penalties of not doing so are harsher than
before.
Title IV is Enhanced Financial Disclosures. Out of the nine sections that are
found within this title, the most prominent one is Section 404. This section is the one that
has most influenced the Big 4 accounting firms. It is now required that all auditors
perform an assessment of a company’s internal controls. Every firm has a set of internal
controls that they are supposed to be using. When the audit teams begin work, the
company should provide a list of all their internal controls and how they are performed. It
is now the auditor’s responsibility to make sure that these controls are being followed
properly and in an efficient manner. The auditor then needs to review these controls and
determine if the information provided is sufficient and agreeable with the Act. This
section allows the SEC to have a clearer view into how the company is run.
Titles V, VI, and VII, provide more enforcement authority to the SEC. Title V,
entitled Analyst Conflicts of Interest, require that all registered securities associations
29
�adopt conflict of interest rules for research analysts who recommend equities in research
reports (Beasley & Elder, 2005). Title VI deals with commission resources and authority.
The two sections that follow are the authorization of appropriations and appearance and
practice before the commission. The SEC states its authority to censure all people
appearing in front of them. Title VII has five sections and is entitled Studies and Reports.
One section deals with consolidation of public accounting firms, the second section
applies to credit rating agencies, the third discusses violators and violations, section four
is on enforcement actions, and the last section deals with investment banks.
Title VIII is Corporate and Criminal Fraud Accountability. Under this title, the
seven sections all deal with penalties and protection for criminal activities. This title is
the second title that gives the SEC more power by increasing penalties that a firm can
face for fraudulent activities. Section 802 of this title states that no documents can be
destroyed or tampered with and must be kept on record for five years after the end of the
fiscal year in which the company was audited (Beasley & Elder, 2005). This section was
most likely in response to the accusations that Arthur Andersen, during the Enron
scandal, destroyed paperwork related to the case. Section 807 helps explain the
consequences by stating the criminal penalties for defrauding shareholders of publicly
traded companies.
Title IX is the White-Collar Crime Penalty Enhancements and is the third title
that helps the SEC. It has six sections within the title, the most important being Section
906. This section deals with the failure of corporate officers to certify financial reports.
As noted in Section 302, all financial reports must be certified by the CEO or CFO of a
corporation. The consequence for violating Section 302 is now outlined in Section 906. If
section 302 is not followed, then the person can be “fined up to $1 million, imprisoned up
to 10 years, or both. Furthermore, anyone who does so ‘willingly’ will be fined $5
million, imprisoned up to 20 years, or both” (Marden & Edwards, 2005). Potentially, this
provision will help managers and executives take a deeper look at their financial
statements to search for possible erroneous activity.
Corporate Tax Returns are covered in Title X, with one section regarding the
signing of corporate tax returns by the CEO. Corporate fraud and accountability is
discussed in the last title, Title XI, which has seven sections within. This is the last of the
four titles that increases the SEC’s power. Section 1102 deals with tampering with a
record or otherwise impeding an official proceeding, and increases the penalties that
auditors and executives could face. Section 1106 also increases penalties, but penalties
that have been in place since the Securities Exchange Act of 1934.
30
�The SEC has been around since 1934. This agency did not always have the full
authority to punish companies and their executives when they were accused of crimes.
The Sarbanes-Oxley Act grants the SEC more power than ever to help protect investors
and punish executives not following the laws. “The sad truth is that unless managers see
other managers in handcuffs with some possibility of doing prison time, they are not
likely to adjust their behaviors with respect to accounting. Harsh punishment and swift
enforcement will make fraudsters think twice before committing their next crime. Indeed,
until the ax falls on a few heads it may take some time before American workers and
investors start feeling safe again” (Marden & Edwards, 2005). These new provisions in
the Sarbanes-Oxley Act give the SEC more enforcement power and the ability to punish
violators. Since the passage of the Act, the SEC’s Division of Enforcement “filed 543
enforcement actions, 147 of which involved financial fraud or reporting violations.
During this time, the SEC sought to bar 144 offending corporate executives and directors
from holding such positions with publicly traded companies. Since 2001 this has been
about a 24% increase” (Marden & Edwards, 2005).
Hopefully, the Sarbanes-Oxley Act will help investors feel secure when a CEO
of a company states that his or her company is doing well. Investors should be able to
view the financial statements of a company and believe that this is exactly what is going
on at the company. The restoration of investor confidence in the financial reports of
businesses should lead to decreased perceptions of risk.
Beta as a Measure of Risk
When investors are trying to choose a company in which to purchase stock,
many factors come into play. An investor will inquire if the company is financially
sound, how the company’s industry is doing, and if it will continue to stay this way for
the foreseeable future. An investor can determine all of this information if they view a
company’s annual report or pay attention to statements made by executives of companies.
One other important factor that an investor will look at is a measure called beta (β). “Beta
is the measure of volatility, or systematic risk, of a security or portfolio in comparison to
the market as a whole (most often the S&P 500 Index)” (Finding Beta, 2004). Basically,
beta measures how a stock should react when the market changes. When a beta is one, it
means that the security will move directly in line with the market. If a beta is greater than
one, then the stock’s price will be more volatile than the market. However, when beta is
lower than one, the stock is going to be less volatile than the market. For example, if a
stock’s beta is a 1.53, then the stock should move 1.53% for every 1% change in the
market. For investors beta is a number that can be taken in two ways. A high beta,
31
�indicating more volatility than the market, is much riskier, but should lead to a higher
return if the market increases. This is conversely true for stocks with betas that are low
and less volatile than the market. For these companies, the risk is reduced, but so is the
potential return.
Beta is a measure that can be found using different resources or a measure that
can be calculated independently with the appropriate tools. When beta is found from
outside resources, it is important for an investor to be aware that not every resource that
includes beta uses the same indexes, time frames, and calculation methods. For this
reason, a beta found on Bloomberg Professional might not be the same number as one
that can be found on Value Line. Beta also has limitations. It cannot foresee the future
and it does not take into consideration ideas that a company could be in the process of
implementing for the future. Beta entirely relies on a company’s stock price history
relative to the market. It must also be remembered that stocks performing really well
relative to the market may have high betas but that this volatility may not be attributed
entirely to risk.
Selected Companies
If the passage of the Sarbanes-Oxley Act restores investor confidence, then that
confidence should be reflected in the company’s beta. I wanted to perform a test to see if
the betas of selected companies declined after the passage of the Act. I selected ten
companies, all of which have faced major financial difficulties between the years 2000
and 2003. The ten companies are AOL Time Warner, Bristol-Myers, Computer
Associates, General Electric, Merck & Co., Qwest Communications, Reliant Energy,
Tyco, Waste Management, and Xerox.
Before 2001, AOL and Time Warner were two separate corporations, each
successful in their own right. AOL was a huge internet provider while Time Warner was
an old-media company. In January of 2001, AOL at the peak of its success acquired Time
Warner. Even before the merger took place, there was opposition from other companies,
viewing this merger negatively on antitrust grounds. Despite these oppositions, the
merger was approved on January 11, 2001. From January of 2001 until July of 2002 the
combined company’s shares fell 75% (Kirkpatrick, 2002). This was a huge
disappointment, considering this was a major merger that was expected to send stock
prices soaring. Furthermore, as of July of 2002, the SEC was investigating the AOL
division at AOL Time Warner for possible accounting fraud. It has been alleged that
AOL erroneously inflated advertisement revenue to keep stock prices high. “AOL might
have effectively inflated its revenue, in part by reporting some fees from advertisement to
32
�end contracts without disclosing that the fees would not be recurring. Also, AOL
reportedly recognized sales of advertising on behalf of another company, eBay, as part of
its own revenue” (Kirkpatrick, 2002). In response to these accusations, AOL Time
Warner representatives have said that all of these financial issues have “accounted for
less than 2% of America Online’s revenue” (Kirkpatrick, 2002).
Bristol-Myers is a pharmaceutical company that was created in 1989. It began
facing troubles and stock prices began tumbling in April of 2002. In this month the
president of the company’s pharmaceutical business, Richard Lane, and the chief
financial officer, Frederick Schiff, both left the company. Bristol-Myers was being
accused of “overstating revenue last year (2001) by giving wholesalers incentives to buy
extraordinary amounts of the company’s prescription drugs” (Peterson, 2002). Many
other pharmaceutical companies have been accused of similar procedures. “A drug
company tells a wholesaler that prices will soon be raised, so distributors buy more of the
company’s products than they need to meet the demand at pharmacies. This practice
allows the drug company to temporarily increase sales” (Peterson, 2002). Since this
practice is only temporary, eventually the pharmaceutical company’s sales dwindle until
the distributors have finished using all of the products that they over-stocked. BristolMyers was also facing problems when it came to developing new drugs to take the place
of older drugs. This problem along with the above accounting issues had led their stock to
be its lowest since 1996. Today, the company has recovered from these allegations and is
now on the Forbes 500 list.
Computer Associates is the world’s largest management software company and
has been around since 1976. This company was under investigation by the SEC in 2002.
Computer Associates was said to have increased revenues from 1998 to 2000 by
prematurely recognizing money from contracts. Along with these accusations came the
indictment of former CEO Sanjay Kumar and the head of worldwide sales Stephen
Richards. Both were indicted under the charges of securities fraud and obstruction of
justice. They were both accused of tampering with paperwork to make it fit appropriate
time-periods, in order to give the appearance of normalcy. In addition to these two men,
three other employees are being arraigned on the same charges. The company also faced
other accusations, resulting in a restatement of earnings from 2000 through 2004. Under
the influence of Charles Wang, Computer Associates new CEO, the company has agreed
to a penalty to “settle charges that it violated pre-merger rules after announcing it would
acquire Platinum Technology, Inc.” (Corporate Scandal List, 2002). Since the beginning
of 2002, Computer Associate’s stock dropped close to 74%. Today, the stock price is at
approximately twenty-nine dollars.
33
�General Electric is a multinational technology and services company that had its
beginnings in 1892. This company has always been quite successful. It has been so
successful that it is the only company to remain on the Dow Jones Industrial Average
since that average was started in 1896. It is also one of the only companies to achieve
success with such a large conglomerate business. Most of the praise should go to its long
time CEO Jack Welsh, who helped keep the company running from 1981-2001. Analysts
have always remained skeptical about General Electric though. Its profits are continuing
to increase but analysts worry that this is just a ploy to keep investors happy. “GE Capital
was a primary financial backer to WorldCom, providing a financial crutch to the
corporation that would go on file as the largest bankruptcy claim in the history of the
U.S.; it is the largest corporation to lack an independent board; 77% of GE’s 401K’s were
invested in company stock as of 2001; and GE paid its independent auditor three times as
much for non-audit fees in 2000” (Corporate Scandal List, 2002). In 2002, the stock had
gone down for the year by 38%, but its profits were still able to increase by 14%. As of
today, General Electric is the world’s largest corporation in terms of market cap.
Merck & Co. is a pharmaceutical company that has been around since the
beginning of 1891. It has always been known as a reliable company. Merck’s mission
was always “to provide society with superior products and services by developing
innovations and solutions that improve the quality of life and satisfy customer needs, and
to provide employees with meaningful work and advancement opportunities, and
investors with a superior rate of return” (Merck & Co., Inc., 2005 ). Unfortunately, during
1999 Merck began facing accounting difficulties. The SEC had accused Merck of
increasing revenues from their subsidiary Medco. The investigation began in 1999, but no
action toward Merck was ever taken. As of 2002, though, the SEC resumed questioning
of Merck regarding Medico. Merck stands by its statement saying that the revenues in
question “were less than 5 percent of Merck’s consolidated sales” (Freudenheim, 2002).
Another issue to look at with Merck is that its audit team was from Arthur Andersen, the
accounting firm that is no longer in business due to the Enron scandal. When word of this
first came out Merck was quick to take action and change auditors, but the problems the
company was facing dated back to before the switch. As of today, Merck is one of the top
five largest pharmaceutical companies in the world based on both capital and revenue. It
has about seventy thousand employees in one hundred and twenty countries and thirtyone factories worldwide.
Qwest Communications is a telecommunications carrier that provides phone
services to most of the Western United States. It was first started in 1996 and
approximately five years later the company began facing problems. Qwest was accused
34
�of an illegal practice known as “slamming.” This practice was used by phone companies
to switch their clients who used their local service to the company’s long distance service
without permission. Qwest paid millions of dollars in fines as a result. Qwest also faced
financial issues beginning in 2002. On April 4, 2002, Qwest Communications said that
the SEC was investigating them “to determine if it inflated revenue for 2000 and 2001
through capacity swaps and equipment sales” (Corporate Scandal List, 2002). Since the
beginning of 2000, Qwest’s stock has plummeted approximately 88%, and beginning in
2002, Qwest had lost money in eight consecutive quarters. An analyst from CIBC World
Markets said, “There were a lot of gray areas of accounting at the company. And at the
same time management sold an awful lot of stock” (Gilpin, 2002). Under investigation
from Qwest Communications are four employees, Grant Graham, the Global Business
Unit CFO, Thomas Hall, the Global Business Unit Senior Vice President, John Walker,
Global Business Unit Vice President, and Bryan Treadway, Assistant Controller along
with former CEO Joseph Nacchio. They are all under investigation for conspiracy, false
statements to the SEC, securities fraud, and wire fraud (Corporate Scandal List, 2002).
Reliant Energy is an energy company that is based in Texas. This company was
under SEC investigation in 2002 for “accounting matters and energy trades relating to
restatement of profits.” Before 2002, Reliant Energy had inflated revenue by counting
artificial ‘round trip’ energy trades (Corporate Scandal List, 2002). It had also faced
publicity for its alleged role in the California electricity crisis of 2000 and 2001. It was
speculated that Reliant Energy was “gaming the market by decreasing energy production
at its large plants, which caused the spot price for electricity to surge” (Goldberg, 2004).
After a while, manipulating the machinery to increase and decrease production in short
intervals of time led to massive amounts of machine crashes. In January of 2003, Reliant
reached a settlement but still did not admit to any wrongdoing (Reliant Energy, 2005).
Tyco is a conglomerate company that at one time was a multibillion-dollar
corporation. Beginning in 1992, Dennis Kozlowski was the CEO of Tyco. While in the
head position at Tyco, he adopted aggressive strategies, helping Tyco to acquire more
than one thousand companies between the years 1991-2001. Unfortunately, on June 3,
2002 Kozlowski resigned as CEO, and a day later on June 4, 2002 he was indicted on
eleven felony counts, one of which was sales tax evasion. He was under investigation for
using company money and loans in order to purchase artwork for his home, buy his
apartment in New York, and a home he owned in Florida. In addition, Kozlowski is
accused of “improperly creating ‘cookie jar’ reserves that were supposed to cover merger
costs but instead were drawn on to boost profits and for improperly ‘spring loading’
earnings from acquisitions by accelerating their pre-merger outlays” (Corporate Scandal
35
�List, 2002). In addition to Kozlowski, Mark H. Swartz former CFO of Tyco, was on trial
for conspiracy, enterprise corruption, securities fraud, grand larceny, filing a false
personal tax return and falsifying business records. Mark Belnick, Tyco’s general
counsel, was also under investigation for falsifying business records and grand larceny,
while Frank Walsh, Tyco’s outside Director, was under investigation for signing false
registration statements. Due to all of the investigations, Tyco’s stock has dropped to its
lowest level in five years, and the company has had to lay off eleven thousand
employees. As of June 17, 2005 after a retrial, both Kozlowski and Swartz were found
guilty on all but one charge against them and face up to twenty-five years in prison.
Waste Management is a company in the waste management industry, which
serves twenty-one million residential and commercial customers in North America. The
company has been around since before 1970 and in its early stages was growing at an
enormous rate. Acquiring more than one hundred companies a year, the firm was headed
in the right direction. Unfortunately, the company was growing at such an extensive rate
that it was beginning to get out of control. Waste Management’s problems began in 1997,
when Ronald LeMay, the CEO at the time, left and went to another company. Within
approximately one week of this, the CFO at the time quit, along with a vice-president,
and the newly appointed CFO. The only explanation for these actions was given by
LeMay, who inferred that, “Waste Management had ‘spooky’ accounting practices.”
(Eichenwald, 2002) By the end of 1997, the company was forced to restate its earnings
dating back to 1992. The complaint against Waste Management showed “accounting
tricks that had allowed the company to hide about $1.7 billion in expenses from 19921997” (Eichenwald, 2002). These accounting tricks are said to have been exaggerating
corporate profits by inflating the value of trucks or landfills. For this reason, Waste
Management had its worst year ever in 1997. Ironically, Waste Management was another
one of Arthur Andersen’s audit clients. In 2002, problems arose again when the SEC filed
a complaint against six former officers of Waste Management, which also led into the
investigation of Arthur Andersen.
Xerox is the world’s largest document management company and was founded
in 1906. Beginning on April 11, 2002, Xerox had a complaint filed against it from the
SEC. Xerox was said to have been faking its numbers from 1997 through 2000. This was
said to have been done by “accounting maneuvers, the most significant of which was a
change in the way Xerox recorded revenue from copy machine leases- recognizing a
‘sale’ in the period a lease contract was signed, instead of recognizing revenue rateably
over the entire length of the contract” (Norris, 2002). On June 28, 2002, Xerox said, “We
will restate five years of results to reclassify more than $6 billion in revenues” (Corporate
36
�Scandal List, 2002). In addition to these reclassifications, Xerox paid millions of dollars
in fines but still never confirmed any wrongdoing. Also involved with this Xerox scandal
were its auditors, KPMG. When the partner on the audit engagement team began to
notice something peculiar, he spoke up about it. Top management at Xerox became angry
with KPMG and asked the partner to be removed from the audit. This partner was
removed from the audit and replaced by another partner. Then on January 29, 2003, the
SEC filed a complaint against the new KPMG auditors, which was later settled by KPMG
paying fines.
II. Method
After deciding that the above ten companies would be appropriate to use for my
analysis, it was time to determine the betas for each company. I decided that it would be
beneficial to figure out each beta on my own with the use of Microsoft Excel, so there
would be no inconsistency. By going online at Yahoo.com and going to their financial
section, I was able to retrieve historical information on stock prices for the ten companies
above. Once I acquired the information I needed, I was able to download each company’s
financial information onto a spreadsheet in Microsoft Excel. As my control, I used the
S&P 500 to represent the market prices. I started first by retrieving the adjusted closing
prices for each of the ten companies for eleven years. I began my research in January of
1995 and went through to September of 2005 gathering the adjusted closing prices
monthly. For each of the ten companies I first calculated eleven betas, one for each of the
eleven years. There were two companies that did not have eleven betas, Qwest
Communications and Reliant Energy. This information was not available for these two
companies because both companies were formed after 1995. Once all of the adjusting
closing prices were downloaded onto Excel, I was able to determine the percentage
change by month. I performed this calculation by dividing, for example February’s
closing price by January’s closing price, and then subtracting one. I calculated the
percentage change for all ten companies, through the eleven years, and for the S&P 500.
Next, to find beta I used the slope function in Excel. By clicking on the slope function, a
box appears that asks for Y, the dependent variable and X, the independent variable. For
Y, I used the percentage change for the company. For X, I used the percentage change for
the S&P 500. To test the validity of the model, I calculated the statistical correlation
between the individual stocks and the market. Statistical correlation indicates how much
change in the stock’s price can be attributed to the market. A low correlation indicates
that the individual stock price is affected by other factors.
37
�To eliminate any possible distortion among the individual years leading up to
the passage of the Sarbanes-Oxley Act and the years following its passage, I recalculated
betas for each of the ten companies using longer time periods. For each company, I
calculated one beta for the period prior to 2001, one beta for each of the individual years
2001 and 2002, and one beta for the period 2003-2005.
III. Results
Initial Results
AOL Time Warner
The information I retrieved from 1995 until 2000 was the stock information
from Time Warner, since the merger between AOL and Time Warner had not yet
occurred. In the first three years, (1995-1997) beta was very volatile compared to the
market. In 1995, their beta was close to a negative 2.3 indicating high volatility in
movements inverse to the market. In 1996, the beta took a severe reversal and ended the
year close to a positive 4.3, meaning that the stock price is more than four times more
volatile than the market. Finally, in 1997 the stock settled down at almost a perfect 1.0.
The period from 2000-2001 was a turbulent period for the company, during which AOL
and Time Warner announced and officially merged. These seven years all make up the
period before the Sarbanes-Oxley Act was introduced. Following the Act, it seems that in
2003 beta spiked slightly above 2002’s beta, but then settled down and steadily decreased
through 2005. Overall, AOL Time Warner’s beta decreased following the SarbanesOxley Act.
Bristol Myers
Bristol Myers showed a slight increase in beta post Sarbanes-Oxley compared to
the pre-Sarbanes-Oxley amounts. For the seven years prior to the Act, Bristol Myers’
betas go from above a one in 1996, all the way down to its lowest beta , -.299 in 2001.
Bristol Myers, in 2002, then faced its major financial issues, just as the Sarbanes-Oxley
Act was passed. In this year, beta reversed by increasing to a little below one. Following
2002, the next two years saw beta increase slightly to above one, but then in 2005 beta
decreased back down to a .417. Although the results show a slight increase following the
passage of the Act in 2003 and 2004, when looked at as a collective period from 20032005, beta is seen as almost equaling the results of 2002.
38
�Computer Associates
Computer Associates’ analysis shows clear support for my theory. Prior to the
Sarbanes-Oxley Act, all betas fell between a range of -0.951 in 1995 to a high of 2.662 in
2001. Computer Associates had their major financial difficulties in 2002, which is quite
vividly portrayed because beta rises to above three. Following the Act though, in the next
three years, there is a steady decrease of beta. In 2003 beta is approximately two while in
2005 beta is below one. Computer Associates is definitely a good indication of what
Sarbanes-Oxley was meant to accomplish.
General Electric
General Electric is another company that showed a slight increase in beta after
the passage of the Sarbanes-Oxley Act. From 1995 through 2001, General Electric saw
its highest beta in 2000 at 1.522 and its lowest beta in 1998 at .827. 2001 was the year in
which General Electric faced their major difficulties. During the passage of the Act, in
2002, General Electric’s beta reached a low, up to this point, of .705. In the next two
years, 2003 and 2004, beta increased to a peak of .945 in 2004. Then in 2005, it
dramatically dropped into negative numbers. Although there was an increase in beta
following the Act, as seen with Bristol-Myers, when looked at as a collective period
following the Act, beta has decreased substantially compared to its result in 2002. So,
although at first sight it looks as if my theory is disproved, in actuality beta overall did
decrease post Sarbanes-Oxley.
Merck & Co.
Merck & Co. as viewed from my analysis also proves my theory. There was
quite a lot of volatility in the pre-Sarbanes-Oxley period, with betas that went from 1.941
in 1995 to -.425 in 2000. In the year of the Act, which is also the year Merck faced its
financial issues, beta was at 1.127. In the three years that followed, beta was below the
beta of 2002. It is shown that in 2005 beta rose almost equal to the amount in 2002. The
reason for this beta increase may be due to problems Merck has been experiencing with
one of its drugs known as Vioxx. Beginning in 2004, Merck was made aware of
information received from a clinic that said people who took Vioxx had an increased risk
of heart attack. On August 19, 2005, Merck was found liable in the death of a man who
had a heart attack after taking Vioxx, and had to pay reparations in the amount of $253
million dollars. Merck is also being put on trial for similar occurrences in the state of
New Jersey and Louisiana (Merck, 2005). With this problem in 2005, beta has still
decreased post Sarbanes-Oxley.
39
�Qwest Communications
Qwest Communications is one of the two companies that were created after
1995. For this reason, I began my research in 1997. Qwest Communications in its first
year, 1997, had a significantly low beta with a -3.118 but from 1998-2001 the betas
reversed and became positive. In 2002, Qwest reached a peak with the highest beta out of
all the companies I analyzed, with a 5.603. It was in 2002 Qwest faced most of its
financial difficulties. For Qwest Communications, my theory is again proven, when beta
significantly dropped from a 5.603 to a 3.123 in 2003 and continued to decrease through
2005.
Reliant Energy
Reliant Energy is the second company for which I could not retrieve information
dating back until 1995. For Reliant, I was only able to find information for a five-year
time period, 2001 to 2005. I therefore could only calculate one beta prior to SarbanesOxley, and that beta was 1.594. During 2002, Reliant’s beta reached a high of 3.538,
which was also the year that Reliant faced its controversy. The period of 2003-2005
reveals betas that were lower than the one in 2002, which supports my hypothesis.
Tyco International Ltd.
Tyco International Ltd. is the third company for which post-Sarbanes-Oxley
betas slightly increased. Prior to Sarbanes-Oxley, Tyco’s betas were somewhat volatile.
There was a low of -0.640 in 1999 and a high of 2.132 in 2001. 2002 was the year in
which Tyco faced all their problems with former CEO Bernard Ebbers and their finances.
In this year, beta was 2.156. In 2003 beta slightly rose to 2.361 but then quickly
decreased in 2004 to 2.003 and in 2005 to .018. Again, it is seen that in 2003 following
the Sarbanes-Oxley Act, beta slightly rose, but then it immediately dropped, concluding
that for a post-Sarbanes-Oxley time period, beta had decreased.
Waste Management
Waste Management is the last of the companies that had a beta rise after the
Sarbanes-Oxley Act. From the years 1995-2001, Waste Management saw severe
volatility when it came to beta. In one year beta would be negative, and in the next year,
it is positive. Waste Management was one of the only companies to have had difficulties
in two non-consecutive years, 1997 and 2002. In 2002, Waste Management’s beta was
.747. In the two years following, beta increased to .826 and 1.212, respectively. In 2005,
beta was reduced to .695. Waste Management is the only company in my analysis that
40
�negates my hypothesis, even after the post Sarbanes-Oxley years are taken collectively.
After the calculation, the collective period of post Sarbanes-Oxley comes out to slightly
over .747.
Xerox
Xerox is the last company that vividly proves my hypothesis. Prior to SarbanesOxley, beta reached a high in 2001 of 3.418 and a low in 1996 of -.007. Xerox faced its
financial crisis in 2002 when beta was 2.885. Following this year, beta significantly
decreased, with a high in the next three years of only 1.814.
Revised Results
Table 1 shows the results from the second beta calculations that I made. From
these calculations, seven out of the ten companies saw a decrease in beta from 2002 to
2005. Computer Associates, Merck & Co., Qwest Communications, Reliant Energy, and
Xerox all had a significant decrease, while Time Warner had a slight decrease and Tyco
International Ltd. had a moderate decrease. As for the other three companies, Bristol
Myers’ beta had a slight increase, General Electric’s beta remained relatively unchanged
with a slight decrease, and Waste Management’s beta had a moderate increase. For the
changes that occurred between the year 2001 and 2002, only three out of the ten
companies saw a decrease in beta. Time Warner’s beta decreased slightly, while General
Electric and Xerox both had betas that saw significant decreases. The other seven
companies all had significant beta increases. The increases that occurred from 2001 to
2002 are probably due to the fact that all seven companies were under SEC investigation
at the time.
IV. Discussion
From the above analysis, it would seem that an investor would feel a lot safer
trusting a company now after the passage of the Sarbanes-Oxley Act. For nearly all of the
ten companies, beta has been reduced in the years following the Act. The Sarbanes-Oxley
Act was put into place to try to protect investors by improving the accuracy and
reliability of corporate disclosures. According to some investors though, feelings are
mixed. As of this year, The Wall Street Journal and Harris Interactive conducted an
online survey which concluded that, "55 percent of U.S. investors believe that financial
and accounting regulations governing publicly held companies are too lenient. That
figure rises to 77 percent for male investors ages 45 to 54." According to the survey, only
one-quarter of investors felt that Sarbanes-Oxley has made the communication of
41
�financial information by companies "much more" or "somewhat more" transparent.
(Sarbanes-Oxley Act, 2005)
While my results do suggest that betas have fallen since the Sarbanes-Oxley Act
was passed, more analysis will be needed as more time passes. Even if investors’ fears
have been somewhat alleviated, as the post-Sarbanes-Oxley betas indicate, the question
remains as to whether this is a temporary reaction to new legislation or a more permanent
restoration of confidence. Less than four years have elapsed since the Act was passed.
The WorldCom trial has just ended, and the Enron trial has not yet begun. The country’s
two largest bankruptcies remain a cloud over American business, both in the U.S. and
abroad. It remains to be seen whether the passage of the Sarbanes-Oxley Act will result in
improved corporate behavior, sufficiently long-lasting to restore the confidence of
investors in U.S. publicly held companies.
V. References
Beasley, M. & Elder, R. (2005). The Sarbanes-Oxley Act of 2002: Impacting the
Accounting Profession, Upper Saddle River, NJ: Pearson Education Inc.
Berenson, A. (2002, June 29). ”Tweaking Numbers to Meet Goals Comes Back to Haunt
Executives”, The New York Times, pp. A1.
Berenson and Rashbaum, A. (2002, June 7). “Tyco Ex-Chief is Said to Face Wider
Inquiry into Finances”, The New York Times, pp. C1.
Brickey, K. F. (2003). “From Enron to WorldCom and Beyond: Life and Crime after
Sarbanes-Oxley”, Washington University Law Quarterly, 81:357.
Bristol-Myers Squibb. (2005). Retrieved from Wikipedia Web site:
http://en.wikipedia.org/wiki/Bristol-Myers.
Deutsch, C. H. (2002, July 13). “A Rosy Forecast from G.E. as its Profits Increase 14%”,
The New York Times, pp. C2.
Eichenwald, K. (2002, March 27). “Waste Management Executives are Named in S.E.C.
Accusation”, The New York Times, pp. C1.
Enron Corporation. (2005). Retrieved from Wikipedia Web site:
http://en.wikipedia.org/wiki/Enron.
42
�Finding Beta. (2004). 1-4. Retrieved from Stephen D. Cutler Investment Management
Center Database.
Freudenheim, M. (2002, July 9). “Market Place”, The New York Times, pp. C11.
General Electric. (2005). Retrieved from Wikipedia Web site:
http://en.wikipedia.org/wiki/General_Electric.
Gilpin, K. N. (2002, July 11). “Qwest Communications Under Criminal Investigation by
U.S.”, The New York Times, pp. C9.
Goldberg, L. (2004, March 9). “Unit of Reliant may be Indicted / California Officials
Allege Price Manipulation in 2000”, Houston Chronicle, pp. 1.
Kirkpatrick, D. D. (2002, July 25). “AOL Accounts under Scrutiny from the S.E.C.”, The
New York Times, pp. A1.
Marden, R., & Edwards, R. (2005). “The Sarbanes-Oxley 'Ax' ”, The CPA Journal, 75(4), 6,
4.
MCI. (2005). Retrieved from Wikipedia Web site:
http://en.wikipedia.org/wiki/WorldCom.
Merck & Co., Inc.. (2005). Retrieved from Wikipedia Web site:
http://en.wikipedia.org/wiki/Merck_%26_Co.
Norris, F. (2002, April 12). “Did KPMG Stand Up, or Cave in, to Xerox?”, The New York
Times, pp.C1.
Petersen, M. (2002, July 12). “Bristol-Myers under Inquiry on Incentives for Drug
Sales”, The New York Times, pp. C2.
Qwest. (2005). Retrieved from Wikipedia Web site: http://en.wikipedia.org/wiki/Qwest.
Reliant Energy. (2005). Retrieved from Wikipedia Web site:
http://en.wikipedia.org/wiki/Reliant_Energy.
Sarbanes-Oxley Act. (2005). Retrieved from Wikipedia Web site:
http://en.wikipedia.org/wiki/Sarbanes_oxley.
43
�The Corporate Scandal Sheet. (2002). Retrieved from Citizen Works Tools for
Democracy Web site: www.citizenworks.com.
Time Warner. (2005). Retrieved from Wikipedia Web site:
http://en.wikipedia.org/wiki/AOL_Time_Warner.
Tyco International. (2005). Retrieved from Wikipedia Web site:
http://en.wikipedia.org/wiki/Tyco_International.
Willow Solutions Inc. (2001). “Tip #2002-03: Using Excel's Slope Function to Calculate
Beta”, Retrieved from Willow Tips Web site: www.willowsolutions.com.
Xerox. (2005). Retrieved from Wikipedia Web site: http://en.wikipedia.org/wiki/Xerox.
Yahoo Finance. Retrieved from http://finance.yahoo.com/.
Table 1: Results from the Second Beta Calculation
Pre 2001
2001
2002
Post 2002
AOL Time Warner
2.520
2.457
2.101
1.984
Bristol Myers
0.588
-0.299
1.005
1.195
Computer Associates
1.615
2.662
3.487
1.914
General Electric
1.239
0.859
0.705
0.755
Merck & Co.
0.634
0.077
1.127
0.536
Qwest
1.448
1.238
5.603
2.367
44
�The Benefits of Breastfeeding and Formula
in Regard to Illness Rates
Lauren Grispo (Nursing)1
The decision to breast-feed or bottle-feed a newborn is a common occurrence among new
mothers. Prior research has exposed conflicting issues regarding whether the breast is
really the best. The purpose of this study is to determine the benefit breastfeeding has on
protection from illness when compared to formula feeding. This non-experimental study
will compare the rate of upper respiratory tract and lower respiratory tract infections
during the first six months of life. A convenience sample of ten full-term newborns was
selected from a single pediatrician’s office in Staten Island, New York. The sample
included a mixture of males and females born during the month of August, 2005.
Through the data analysis of the subject’s medical records, the number of office visits,
and the types of illnesses diagnosed at each visit were recorded and analyzed within a six
month time frame. Future data analysis will provide information regarding differences in
feeding measures and if it is linked with the prevalence of illnesses during infancy.
I. Introduction
The goal of this quantitative study is to identify specific feeding methods and
illness rates, in full-term infants for the first six months of life, who were either breast-fed
or formula-fed. The relationship being tested is if there is a decreased incidence of illness
between breast-fed babies and an increased incidence of illness when formula fed.
II. Research Questions
Through this study, the aim is to seek answers to the following: 1)What are the
protective benefits of breastmilk versus formula with regard to (a) rate of illnesses during
first six months of life (b) the number of doctor visits during the first six months of life.
2)What effectiveness does breastmilk provide against upper respiratory and lower
respiratory tract infections when compared to formula.
The hypotheses are: (A)Fewer illnesses are associated with breast feeding rather
than formula feeding during the first 6 months of life. (B)Breast-fed subjects will
encounter fewer severe illnesses and fewer doctor visits than subjects who are fed
1
Research performed under the direction of Dr. Lauren O’Hare (Nursing).
45
�formula. (C) Subjects receiving strictly breastmilk will experience a decreased number of
upper respiratory and lower respiratory tract infections.
Also, this study should demonstrate that formula-fed infants will have a higher
severity and incidence of illness. The goal is to reveal the benefits breastmilk has over
formula, because it offers a higher immunity level, especially in the first six months of
infancy.
III. Literature Review
An important decision that a mother will make when her child is born is how to
feed her baby. The determination whether to breast-feed or bottle-feed is not an easy
choice. There has been much debate over the years on whether breastmilk has greater
benefits and whether formula shares these same advantages. It is hard to ignore the fact
that breastmilk provides the infant with direct immunity, which formula does not,
therefore breastmilk poses as the stronger challenger. With current and future research,
we are gaining more information on whether or not the breast is the best choice. The ideal
for the infant is breastmilk since it contains numerous benefits. Some benefits of breast
milk include the biological specificity of human milk which changes and evolves as the
infant grows, the immunological benefits of breastmilk, decreased risk of allergies,
decreased risk of sudden infant death syndrome, and decreased severity of illness during
infancy (Tyler & Hellings, 2005). Research shows that breastfeeding has been associated
with a decreased incidence of illnesses primarily present in infancy. Lower rates of
pneumonia, gastroenteritis, otitis media, & upper and lower respiratory tract infections
have been seen in infants who received breastmilk (Wright, Baver, Naylor, Sutcliffe, &
Clark, 1998). “The surgeon general of the United States and the American Academy of
Pediatrics recommend exclusive breast-feeding of infants for at least the first six months
of life.” Fewer hospitalizations and less severe forms of respiratory illnesses have been
associated with breastmilk. Breastfeeding for four or more months during infancy
resulted in a decreased risk for hospitalization for severe respiratory illnesses by 1/3
(Bachrach, 2003, p.18). In 1998, a researcher investigated the effect of breastfeeding on
incidence and duration of respiratory illnesses during the first six months of life. A cohort
of 1,202 healthy infants from New Mexico were monitored. The results concluded that
the overall incidences of respiratory illnesses were not affected by breastfeeding.
However, rates of lower respiratory infections declined, were less severe, and shorter in
duration during the first four months of exclusive breastfeeding (Cushing, Samet,
Lambert, Skipper, Hunt & Young, 1998). Therefore, this study indicated that there is not
much more protection that breastmilk offers over formula. Yet, breastmilk is still
46
�associated with lower rates of illnesses, especially lower respiratory tract infections. One
benefit of breastmilk that has been studied over time is its benefit in asthma reduction.
Researchers have concluded that breastfeeding appears to reduce the risk of asthma
during the first four years of life by 56%. This study focused on these benefits by
following a cohort of 4,089 infants born from 1994-1996 for a 4-year period. Parents
filled out questionnaires at birth and then reported symptoms of illness at 1, 2, and 4
years. The results showed a decreased risk of asthma associated with a longer period of
breastfeeding (Sullivan, 2004).
Kramer, Guo, Platt, Sevkovskaya, Dzikovick & Collett (2003) conducted a
study with the objective to examine the effects of infant growth and health of 3 compared
with 6 months of exclusive breastfeeding. Results indicated that there was a significant
reduction in the incidence of gastrointestinal infections in the 6 month group.
Introduction of a breastfeeding promotion program to increase the rates of breastfeeding
was the focus of another research study. By implementing this intervention, the
breastfeeding rates by woman increased, which in turn reduced illness rates. The
researcher investigated these changes by comparing medical records of infants born
before the promotion program and of infants born during the intervention. Results
indicated that the rates of breastfeeding increased from 16.4% to 54.6% after the
intervention. Also pneumonia and gastroenteritis among breast-fed babies declined as
well. Incidences of pneumonia declined from 32%-72% and gastroenteritis declined by
15% (Wright, et al., 1998).
These following studies have demonstrated the benefits of breastfeeding in
reducing common illnesses especially asthma, pneumonia, gastrointestinal, and lower
respiratory infections. Research concluded also shows that there is no maximum
protection benefit of breastmilk when compared to formula. According to one study that
examined the feeding method and re-hospitalization rates in less than one month of age,
there was no greater benefit of breastmilk. The results indicate that many healthy breastfed babies are being hospitalized for failure to thrive. Out of a sample of 143 newborns,
22 breast-fed newborns and only 16 bottle-fed newborns had FTT. Also a higher rate of
jaundice was seen among infants receiving breastmilk (61%) as compared to the formula
fed infants who had the lowest rates of jaundice (30%). Other illnesses that required
admittance to the hospital were hypernatremia, dehydration, and sepsis, all of which had
a higher incidence in breast-fed infants (Tyler & Hellings, 2005). Many more research
studies have been conducted to determine breast vs. bottle, and which is the best.
Conflicting arguments and results are seen on both sides of the spectrum. Benefits and
risks are associated for both formula and human milk. Therefore this topic to research
47
�was chosen to expand on the knowledge base and offer more information regarding this
issue. This study is necessary to try and gain support to strengthen the existing research.
Also it will provide more information for expecting mothers and hopefully will provide
them with insight on what feeding method is the most beneficial.
IV. Methods
The study compared the incidence of illnesses between breast-fed infants and
bottle-fed infants. Information was obtained from the medical records of ten full-term
newborns from a primary pediatrician’s office. Rates of illnesses, office visits, and types
of illnesses were compared in both infants receiving breast-milk and infants receiving
formula. This study took place in Staten Island, NY.
Subject selection
A convenient sample of ten infants born between August 1st, 2005-August 31st,
2005 were the focus of the study. The subjects were picked randomly from a list of
infants born during that specific time frame. There were a total of twenty-five newborns
during the month of August 2005 who all sought care from this pediatrician. Among
those twenty-five, only ten were selected for the study. Within the ten subjects there were
males (n=6)and females (n=4). Also, five subjects were fed by formula and five by
breast. Background information on all 25 potential subjects was collected to determine
eligibility for participation in the study. Criteria included: infants had to be full term (>36
weeks gestation), therefore premature infants (<36 weeks gestation) were excluded. At
the time of birth the infant encountered none of the following problems: (a) hypoxia (b)
mechanical breathing (intubation) (c)birth trauma. The chosen infants all received an
APGAR score more than eight at one minute and five minutes after birth. All the infants
were required to be placed in the newborn nursery and admittance to the NICU
eliminated subjects. Lastly, the infants were to be strictly breast-fed or strictly formula
fed for the first six months of life. Supplementation with formula to breast-fed babies was
not included in this study. Ten infants fit in the eligibility criteria and these ten infants
were selected for the study.
Process
The study conducted involved no manipulation of the independent variable and
no introduction of interventions. A between-subjects design was used in which two
groups of subjects were analyzed, a group of breast-fed infants compared to a group of
formula-fed infants. Before the process began, permission was granted from the primary
48
�physician of the office to review the medical records.
Data Collection & Instruments
Evaluation of the impact of feeding methods in regard to illness rates was based
on data analysis. Data was collected over a six-month period and was analyzed and
compared at the end of the six months. The data sources utilized were the subjects’
existing medical records. Each illness visit to the physician’s office was recorded in the
subjects’ chart. Data included the subjects’ chief complaint and symptoms, diagnosis
made at each visit, and medications prescribed. Diagnoses and symptoms were arranged
into three different groups: (a) upper respiratory tract infections (b) lower respiratory tract
infections (c) other illnesses. Treatment measures were also divided into two groups: (a)
prescription medications (b) over the counter medications and was recorded for each of
the ten subjects.
Classification of Feeding Method
The purpose of utilizing the subjects’ medical records for this study was to
gather the data without manipulation. Each infant was placed into one of the two
categories. The first category included infants that were strictly breast-fed from the time
of birth to six months of life. There was no supplementation with formula during this
period. The introduction of food during these 6-months was not considered in the study.
Breastfeeding included breast-milk directly from the breast or through a bottle via a
breast pump. The second category included infants that were strictly formula-fed since
birth. There was no preference to the type of formula used for this study.
Classification of Illness and Medications
The diagnoses in the subjects’ chart were classified into three categories.
Diagnoses that were classified as upper respiratory tract illnesses (URI) included: (a)
rhinitis and purulent rhinitis (b)sinusitis (c) allergic rhinitis (d) post nasal drip (d) otitis
media. Diagnoses in the category of lower respiratory infections (LRI) included (a)
asthma and reactive airway disease (b) bronchiolitis (c) croup (d) pneumonia. The last
category included a variety of illnesses such as: (a) gastroenteritis (b) rashes (c)viral
syndrome. The symptoms for category one included runny nose, watery eyes, congestion,
ear pain, sinus tenderness, and fever. The symptoms for category two included cough,
wheezing, SOB, chest pain, and fever. Category three included fever, diarrhea, vomiting,
abdominal pain, throat pain, weakness, and loss of appetite. Finally, the medications
prescribed after the diagnoses was made were divided into two categories. The
49
�prescription medications included antibiotics, multi-formula medications, steroids, and
bronchiodilators. Over the counter medications included cough medications and Tylenol
and Motrin. All of the above criteria was recorded for each of the ten subjects.
V. Results
Data was collected from ten subjects over a six month time frame. The subjects
were divided evenly between two groups, with five subjects in each. The average age at
the time of final data analysis was six months. Five subjects in one group were
exclusively breast-fed and five subjects in the second group were exclusively bottle-fed
from the time of birth to six months of age. Data was separated into types of illnesses and
rates of occurrences among both groups. Results revealed a significant difference
between bottle-fed and breast-fed babies in regard to illness rates. Illness rates were
greatly increased in infants who were bottle-fed (Figure 1/Table 1). Therefore, infants
exclusively breast-fed had a lower risk of contracting an illness during the first six
months of life. Between the two groups, there was a total of thirty five incidences of
illnesses. Twenty five of those incidences (71%) occurred among infants receiving
formula and only ten incidences (29%) among infants receiving breast-milk. The illnesses
were divided into three groups including: Upper respiratory tract infections, lower
respiratory tract infections, and other. Upper respiratory infections included otitis media,
purulent and nonpurulent rhinitis. Lower respiratory infections included bronchiolitis and
reactive airway disease. The other category included rashes, viral syndromes, and
gastroenteritis. The rates of upper respiratory infections were significantly lower in
breast-fed (11.4%) versus bottle-fed (31.4%). Lower respiratory illnesses also occurred
more frequently in bottle fed infants (14.3%) compared to breast-fed (5.7%). Other
illnesses were also more prevalent in bottle-fed infants compared to breast-fed, at rates of
25.7% compared to 11.4%.
VI. Discussion
The main benefit associated with exclusive breastfeeding for six months
compared with bottle-feeding was a significant reduction in illnesses. This study found a
difference in the rates of illness between babies receiving breastmilk versus formula. The
findings suggest that administering breastmilk during the first six months of life
decreases the frequency of illnesses. According to this study, babies who were bottle-fed
for the first six months encountered a greater degree and frequency of illnesses. The
overall incidence of URIs and LRIs was affected by breastfeeding (Figure 2/Table 2).
Breast-fed infants did encounter illnesses, but at a lower rate. Therefore, breastmilk could
50
�provide greater protection against illness in infants. The study could have been
strengthened by increasing the number of subjects. The results of the study were
consistent with previous studies, supporting the theory that breastmilk does offer a
significant degree of protection. The results of this study can improve general knowledge
on this subject area and be included in future research.
VII. References
Bachrach,G. (2003). Breastfeeding best for babies breathing: Fewer hospitalizations for
respiratory illness. American Journal of Nursing, 103, 18.
Cushing, A.H., Samet, J.M., Lambert, W.E., Skipper, B.J., Hunt, W.C., Young, S.A., et
al. (1998). Breastfeeding reduces risk of respiratory illness in infants. American Journal
of Epidemiology, 147(9), 863-870.
Kramer, M.S., Guo, T., Platt, R.W., Sevkovskaya, Z., Dzikovick, I., Collet, J., et al.
(2003). Infant growth and health outcomes associated with 3 compared with 6 mo.of
exclusive breastfeeding. American Journal of Clinical Nutrition, 78(2), 291-295.
Sullivan, M.G. (2004, Nov 1). Breast-feeding tied to asthma reduction in first four years.
Family Practice News, 34(21), 55.
Tyler, M., & Hellings, P. (2005). Feeding method and rehospitalization in newborns less
than one month of age. Journal of Obstetric, Gynecologic, and Neonatal Nursing, 34(1),
70-79.
Wright, A.L., Bauer, M., Naylor, A., Sutcliffe, E., Clark, L. (1998). Increasing
breastfeeding rates to reduce infant illness at a community level. American Academy of
Pediatrics, 101(5), 837-845.
51
�Table1: Incidences of Illnesses
Frequency Percent Frequency
of illness
of illness
(bottle)
(breast)
(bottle)
Types of Illness
Percent
(breast)
Otitis Media
4
11.4%
1
2.9%
Purulent Rhinitis
7
20%
3
8.6%
Bronchiolitis
4
11.4%
Reactive Airway
1
2.9%
1
2.9%
Rashes
3
8.5%
1
2.9%
Viral Syndrome
3
8.5%
2
5.7%
Gastroenteritis
3
8.5%
1
2.9%
Total
25
71.2%
10
28.8%
1
2.9%
Total # of incidences = 35 Total Percent = 100%
Table 2: Illness Rates
Classifications
of Illnesses
FormulaFed
Percent
Breast fed
Percent
Upper
Respiratory
11
31.4%
4
11.4%
Lower
Respiratory
5
14.3%
2
5.7%
9
25.8%
4
11.4%
25
71.5%
10
28.5%
Other
Total
52
�Touch and Learning in a Dance Lesson
Jennifer Wiech (Psychology)1
I. Introduction
Due to the growing sensitivity and awareness regarding "inappropriate touch,"
nearly all touch has been banned from polite and professional society in an attempt to
eliminate the risk of unwanted sexual or "bad" touch. In response to growing media coverage
about sexual harassment in the work place, Nicks (1996) surveyed fifty-six faculty members
at a small liberal arts college to see how concerned they were about unwarranted accusations
of sexual harassment and if they had changed the way they interact with students in order to
guard against such accusations. Sixty-six percent had expressed some concern and 44% had
changed the way they interact with students because of this. Throughout the United States,
primary, secondary, and higher education facilities have drafted clear and drastic policies that
forbid any tactile contact with students and other employees. While sexual harassment is
unacceptable, the majority of tactile exchanges between people of varying degrees of
intimate relationships are not sexual in nature. Numerous studies have been conducted to
evaluate what types of touch are considered intimate and what types of touch are considered
casual friendly exchanges (Bernieri, Gills, David, & Grahe, 1996; Burgoon, 1991; Burgoon
& Le Poire, 1999; Kenny, 1994; Derlega, Lewis, Harrison, Winstead, and Costanzac, 1989
as cited in Floyd 1999). While results vary depending on sex/gender, duration, and situation,
these studies show that there are a variety of touches that are interpreted in many different
ways.
Many types of touch can and do produce positive effects and are sometimes
necessary for one's personal well-being. Tiffany Field (2002) has published many articles
regarding the necessity of frequent positive tactile exchanges to promote a child's
development and general welfare, and she has also explored the powerful effects of touch
and massage in regards to healing (Dess, 2000). In an interview with Psychology Today,
Field discusses the importance of touch in everyone's life and encourages all people to
engage in massage with a therapist, significant other, or even oneself through the practice of
yoga (Dess, 2000).
Many researchers have also found that exchanging a touch with someone will often
produce more altruistic behavior or increase the likelihood of one to comply to a request.
Gueguen and Fischer-Lokou (2003) found that if the confederate touched another as a sign
1
Research performed under the direction of Dr. Richard Brower (Psychology).
53
�of gratitude for the information that that person relayed, the stranger would more often assist
the confederate in the future without being prompted. Sixty-three percent of participants in
the no touch condition helped the confederate, and 90% of participants in the touch condition
helped the confederate. No gender differences were found in this study, but Roese,
Borenstein, Martin, & Shores (1992) -as cited in Guegen and Fischer-Lokou -found that
American men were more resistant if the confederate was a male. Gueguen & Fischer-Lokou
(2003) proposed that the lack of gender influence in their experiment was due to the French
population they were working with. This explanation coincides with Field's (1999) report
that shows that French people are more accustom to touch than Americans. Field's research
was based on Kleinke (1977), Brockner, Pressman, Cabitt, & Moran (1982), Hornik (1987),
and Nannberg & Hansen (1994), who all found the touch conditions of their experiments to
produce similar results.
Tactile learning is considered one of the most efficient means of acquiring
knowledge. Gadt-Johnson & Price (2000) administered the Learning Styles Inventory
(developed by Price & Dunn, 1997) to 25,104 students in grades five through twelve in order
to identify tactile learners. Eighty-six percent of the students were correctly identified, and
the researchers suggested that the LSI be administered more frequently to a greater number
of students in order for teachers to best adapt their style of instruction to meet the needs of
their students. In this study, tactile learning was defined as using one's hands, participating
more directly in the learning process, and using one's sense of touch. While the researchers
did not suggest that the teacher use tactile exchanges with these students, this may be
appropriate in some forms of instructions such as teaching sports, dance, art, or instrumental
music.
This study seeks to determine how touch affects the participant's evaluation of how
much he or she learned, and the participant's enjoyment of the activity. Participants will be
randomly assigned to either the control (no touch) or experimental (touch) condition.
Participants will be brought into the study by condition in groups of 3 or 6. These
participants will be taught a series of dance moves. In the control condition, the dance
instructor will simply tell and show how to execute the movements, and afterwards, the
participants will be asked to do the movements. In the experimental condition, the
participants will be asked to do the movements with the dance instructor, and he or she will
come around to each person and adjust their bodies so that they can better understand how to
execute the movement. Before touching the participants, the instructor will ask if he or she
can make these adjustments so that the participant does not feel uncomfortably or
unexpectedly touched by the instructor. After the class, participants will be asked to
complete a survey regarding how much they enjoyed the class, how much they thought they
54
�learned, and how much they enjoyed the instructor, then the self-evaluation will be compared
between each group of participants. Since previous research has shown that tactile learning
1) is an effective method of teaching, 2) causes people to be more likely to comply with a
request and 3) shows that various types of touch can strengthen a connection between people
that is not necessarily romantic or sexual in nature. The researcher proposes that touch will
aide in the learning experience, increase the participants' evaluation of the instructor, and
increase the enjoyment of the activity.
II. Method
Participants
The 20 participants (7 men, 13 women) were undergraduate students that attend a
small, urban, liberal arts college and were recruited from the college's Participant Pool, as
well as, the college choir. Their ages ranged from 18 through 23 (M= 19.32, 3D = 1.39), and
80% of the participants were in their freshmen year of college. The group contained 85%
Caucasian/white, 10% African American/black, 5% Hispanic, 0% Asian/Pacific Islander, 0%
Middle Eastern/lndian/Pakistani, 0% Native American, and 0% of participants from another
ethnic background. The students from the college participant pool were given extra credit in
their Introduction to Psychology classes for their participation in this study, and all
participants were given an assortment of candy in gratitude for their participation.
Materials and Procedures
The participants were asked to wear comfortable athletic apparel to the study so
that their movement would not be restricted during the dance lesson. Before beginning the
experiment, participants were given a consent form to read and sign (Appendix A), as well
as, a demographic survey to complete (Appendix B). They were also assured that they could
leave the study at anytime, and reminded that all data collected was confidential. Participants
were also asked to leave their e-mail addresses so that they could be debriefed after all of the
data was collected. All participants were randomly assigned to either the control or the
experimental group and brought into the study six at time. Each group was called into the
dance studio by condition, and both conditions were taught the same routine -an excerpt of
the dance routine from the Broadway show "Hairspray" choreographed to the song "The
Sixties" and performed during the 2004 televised Tony awards. If the participant was unable
to move around due to an injury or illness, the participant was still given credit and thanked
for showing up to the session before being dismissed.
Each group was brought into the dance studio and told that they would be
participating in a 30-minute basic beginner dance class. At the conclusion of the class, they
55
�were asked to fill out a Likert-style survey which required them to rate on a scale of 1
(poor/nothing/strongly disliked) to 10 (excellent/a lot/thoroughly enjoyed): how much they
enjoyed the class, how much they think they learned from the class, and how much they
enjoyed the instructor.
In the control condition, the instructor presented the dance moves visually and
verbally and offered corrections in the same manner. In the experimental condition, the
instructor presented the moves visually and verbally, as well, but also physically adjusted the
participants' movements and posture when offering corrections. Before touching the
participant, the instructor would ask him/her if she could adjust his/her arm, foot, leg, head,
or torso position. This was done to ensure that none of the participants felt uncomfortable
with the instructor touching them. After the participants concluded their routines, they were
asked to fill out the class and instructor evaluations. Once this was completed, they were
thanked for their time, told that they would receive a debriefing e-mail within the following
two weeks, and reminded that all data was confidential.
III. Results
To test the first component of the hypothesis that tactile instructions would increase
the participants' enjoyment of the class more than just verbal and visual instructions, an
independent group I-test was performed. Contrary to the prediction, no significant variance
in the participants' enjoyment of the instruction was found, t(18) =0.148, p =0.884. The
participants in the touch condition (M=4.58, SD=0.515) did not rate their enjoyment of the
class significantly higher than the no touch condition (M=4.63, SD=0.744), or rather, both
conditions rated their enjoyment of the class with a similar average of a high level of
enjoyment. An independent group t-test was also used to test components two and three of
the hypothesis that suggest that the participants in the touch condition will evaluate the
amount that they have learned and their enjoyment of the instructor higher than the
participants in the no touch condition.
Touch did not influence the participants evaluation of how much they thought they
learned, either, t(18) =2.92, p =0.009. The participants in the touch condition (M=2.75, SD
=1.139) did not report a significantly higher amount of learning than people in the no touch
condition (M=4.13, SD =0.835). Participants in the no touch condition (M = 4.80, SD =.422)
showed similar enjoyment of the instructor as those touch condition (M = 5.00, SD =0.0),
and thus, there was no significant difference between conditions for that variable, either,
t(18) =-1.50, p=0.151. As the experiment was in progress, the research found a variety of
confounding variables that may have affected these results. An independent group t-test was
conducted to see if those with no experience (M=4.17, SD=0 .98) reported learning more
56
�from the instructor than those with previous dance experience (M=2.93, SD=1.14), and
statistics showed that those who had no experience felt that they learned more than those
with experience, t(18) =2.308, p< 0.05.
Because these results showed an obvious but strong statistical difference between
people with and without experience, a One- Way Analysis of Varainca (ANOVA) was
performed to see if people with no experience learned more in the touch condition than those
in the no touch condition. The hypothesis was not significantly supported by this test,
F(4,15)=1.50, p=0.252.
In conclusion, the touch condition had no affect on the participants' evaluation of
how much they learned, how much they enjoyed the class, and how much they enjoyed the
instructor and neither did the amount of experience when factored in with the touch
condition.
IV. Discussion
This experiment was an especially useful trial run, because it illuminated the variety
of problems and confounding variables that can interrupt and influence the isolated study of
the effects of touch on learning. In order to ensure that the participants' awareness of the
touch variable would not influence their evaluation of the experience, it was difficult to
determine how the touch variable affected the experimental group. There was little variance
between the groups in regards to the participants' overall appraisal of the situation. Perhaps if
the questionnaire had emphasized an evaluation of the use of touch, verbal, or visual
directions, it would have been easier to specifically appraise this aspect of the experiment.
Since the dance lesson was generally enjoyable for participants in all conditions, there was
no way to determine if touch had a significant influence on the experimental group based on
the results of the final survey.
While surveys may be a useful way of gathering some information, it would also be
beneficial to have a blind evaluation of each participant’s dance progress by an objective
observer, preferably someone familiar with dance. This was attempted in the first half of the
experiment; however, this presents a variety of challenges in and of itself. For example, the
researcher was unsure whether to rate the participants by their individual progress or how
they progressed as compared to the group. This may be easier to determine if the group is
mixed between participants that are touched and participants that are not touched. Also,
evaluating more than one participant at a time is an overwhelming task for just one
researcher, but, if multiple researchers are asked to appraise one subject per researcher, one
must find a clear, consistent, measurable way of evaluating a dance move. It is difficult to do
this objectively.
57
�There were several other factors that came to surface after the experiment was in
progress. Those that were in a group of people that they were familiar with were generally
more encouraging of one another and seemed to collectively enjoy their experience more as
observed by the discussion, laughter, and energy exhibited during each session. Also, the
dance instructor had an especially enthusiastic, helpful, and encouraging attitude that made
all the participants feel comfortable. She had a rating of 5-excellent on every questionnaire.
Those that had previous dance experience or were involved in athletics grasped the dance
instructions more readily than those that were not engaged with so much unordinary
movement. While the One-Way ANOVA showed that this did not significantly affect the
study, it should be a consideration for future research.
Since these and a variety of other more subtle variables most likely affected these
results and since these results were so strongly contrary to previous touch research, it is
paramount that more studies regarding the use of touch in learning be conducted. The
researcher suggests that further studies on touch and learning be conducted in other situations
(such as art, athletics, or music) before continuing research in the dance studio. This is only
because of the difficulty in controlling extraneous variables such as group mentality and
previous dance/movement experience (some of which may or may not be noted, though still
influential to the participant's dance ability). However, other studies should perhaps look at
the unique social dynamics that occur in a beginning dance class with participants that have
varied levels of experience. It was especially interesting to observe how male athletes with
no previous dance experience immersed themselves in this unique, musical theater dance
experience. Since none of the participants’ questionnaires ranked the class below a 4 out of 5
on the issue of enjoyment, this fun study may be a great opportunity for participants to enjoy
a new experience in a relaxed environment, as well.
V. References
Bohm, Janice K. & Hendricks, Bryan. (1997) “Effects of Interpersonal Touch, Degree of
Justification, and Sex of Participant of Compliance a Request”, The Journal of Social
Psychology, 137, 460-469.
Dess, Nancy K. (2000) “Touching News: Studies Give New Meaning to Hands-On
Healing”, Psychology Today, 33, 25.
Field, Tiffany. (2004) “Infants' Need for Touch”, Human Development, 45, 100-103.
Floyd, Kory. (1999) “All Touches are not Created Equal: Effects of Form and Duration on
Observers' Interpretations of an Embrace”, Journal of Nonverbal Behavior, 23, 283-299.
58
�Gadt-Johnson, Chalisa D. & Price, Gary E. (2000) “Comparing Students with High and Low
Preferences for Tactile Learning”, Education, 120, 581-585.
Gueguen, Nicolas, & Fischer-Lokou, Jaques. (2003) “Tactile Contact and Spontaneous Help:
An Evaluation in a Natural Setting”.
Appendix A
Form A
Consent Form -Researcher's Copy
Date:
Dear Participant:
In this study, you will be asked to participate in a basic beginner dance class. If you
feel that injury or illness will make this especially difficult, please inform the researcher at
this time and you will be excused from the study without penalty.
In order to best help you learn the combinations, the instructor may ask if she can
physically adjust your body position. If any part of this class is too difficult or
uncomfortable, you are welcome to tell the instructor and/or sit out on that section. Before
the class is done, you will be asked to fill out a brief evaluation form. Additional research
assistants will be on hand to help evaluate the progress of the class and the ability of the
dance instructor.
Please note that you are allowed to leave at any time during the study without
penalty, all data collected is completely confidential (including and especially your
evaluations of the dance instructor), and each participant will receive a debriefing e-mail
after the final experimental session. If you have any questions or concerns, feel free to
contact the researcher jwiech@wagner.edu or x4327.
Sincerely,
Jenni Wiech
Student Reasercher
under the advisement of Dr. Brower x3316
59
�Appendix B
Form B Demographic Survey:
I. How old are you? ________
II. What year are you in college?
I)Freshman
2) Sophomore
3) Junior
4) Senior
5) Grad Student
III. What type of community are you from?
I)Rural
2)Suburban
3)Urban
IV. What ethnicity are you?
I)White
2)Black
3)Hispanic
6)Pacific Islander 7)Native American
4)Asian
5)Middle Eastern
8)Please clarify or Other:
V. Do you have any previous dance experience and how many years of experience do
you have?
I) No -2)YesVI. What sex are you?
I) Male
2) Female
3) other
Appendix C
Form C
Participant's Evaluation of Class and Instructor Form
Date:
Participant
Please answer each question by rating on a scale from 1 (not at all/nothing) to 5
(excellent/very much/a lot).
Remember all information is confidential, and only the researcher will be handling these
forms.
1. How much did you enjoy the dance class?
1
2
3
Not at all
Okay
4
5
Very Much
2. How much did you learn from today's class?
1
2
3
Nothing
Something
4
5
A lot
3. How much did you like the dance instructor?
1
2
3
Not at all
Okay
4
5
Very Much
60
�Section IV: Critical Essays
�Progressive or Regressive?
Coping with Alleged Fin-de-Siècle Corruption
Elena Beth Pushaw (English)1
“…we may assume that we are merely images and
artistic projections for the true author, and that we
have our highest dignity in our significance as works of
art—for it is only as an aesthetic phenomenon that
existence and the world are eternally justified…”
–Friedrich Nietzsche2
Early twentieth-century thought was both progressive and regressive in Eastern
Europe; progression into a successful future was often formulated by a plan to follow past
ethics and manners. Tumultuous times were explained as a result of social and
technological developments, and by a certain commutative aspect, meaning that despite
what the true problem was—what came first, the technology or the downfall—mankind
taking responsibility for its judgmental actions was harder than just blaming technology
for the decline. Naturally, the German people were affected by this rapid development.
Artists looked for an escape and philosophers looked for a reason. Both Thomas Mann,
the writer, and Friedrich Nietzsche, the philosopher, were so tuned in to the troubles of
their surrounding culture, and instead of getting weighed down by it, they lifted
themselves up with thoughts expressed through language. Nietzsche’s explanation of this
need for people to escape their troubled circumstances was through a realization of
aesthetics—that earlier times, like those of ancient Greece, were more honest and true,
therefore citizens of those times were more comfortable with their surroundings. What
brought truth to these people’s lives, was a discovery of an immediate beauty and how, if
one could just tune oneself into it, he or she would lead a better, more fulfilling life.
Mann’s depth of thought in Death in Venice is a result of Nietzsche’s influence of
aesthetics in his book, The Birth of Tragedy.
1
Written under the direction of Drs. Urbanc (Languages) and Morowitz (Art) for the
team-taught Honors ILC, Cities and Perversities: Art, Literature and Society in Turn-ofthe-Century Europe
2
From The Birth of Tragedy, section 5, page 52
62
�Mann unquestionably read Nietzsche. He has written essays on his opinions of
Nietzsche’s critique of modern Germany and life in general. What must be looked at,
however, are not Mann’s direct analyses of Nietzsche’s theories, but rather the products
of intellectual thought that took years of learning to produce. As far as aesthetics are
concerned, Nietzsche spent a great deal of time assessing its impact on society when he
wrote his first book, The Birth of Tragedy. It is not famed for being the most clear or
precise, but it does its job in explaining a mindset of the early twentieth century. As
Mann read Nietzsche, he was very influenced by Nietzsche’s thought, and after reading
him for many years, he had a deep, true understanding of Nietzsche’s theories. Mann had
been reading him for many years when he wrote his novella, Death in Venice. The
novella is tragic, aesthetic, and the perfect depiction of what a life, in tune to the
aesthetics of a desperate and changing culture, becomes when hope is lost.
Before looking at the connections between The Birth of Tragedy and Death in
Venice, what must be explored is why readers, during the fin-de-siècle, were so drawn to
Nietzsche in the first place. Critic R. A. Nicholls described Nietzsche’s appeal perfectly
with, “Nietzsche became a measure by which men analyzed their own inadequacy, or he
was the hope of escape from the despair of decadence” (37). Individuals were not in
denial of their troubling surroundings and did not deny that they needed something
desperately to cling to for hope. This need to hold on was the rope by which Nietzsche
pulled followers in. His goal was not to change the world, but to help its inhabitants
understand that their current circumstances were malleable, and that if they wanted a
different way of life for themselves, there is no other person who can deny them this.
Essentially, what could be attained should be attained, despite any consequences.
Claimed to be a pessimist, Nietzsche was actually very hopeful during desolate times. He
did not believe in a person withdrawing into himself because his circumstances were
undesirable, for a person has but one life to live, and if it wasted, he has earned nothing—
no personal fulfillment—and then what is the purpose for living? Nietzsche was able to
focus so much on worldly, personal fulfillment because of his disbelief in God and an
afterlife. It was this disbelief that created such a distrust of his theories in years since
publication, but on the other hand, it caused the unsteady to reevaluate their positions in
life, and gave them hope if they found that they were not comfortable where they stood.
Nietzsche emphasized the right of the individual to essentially transcend hard
times. A person cannot change his or her physical or social condition, but the person can
overcome any mental blocks that he or she may have. It is all by a will of the mind, or a
new accentuation of personal being. Nicholls writes, “…Nietzsche…claimed to find in
accepted moral judgments only the preservation of a victory of the weak over the strong
63
�and healthy, the triumph of slaves over their masters. This emphasis on a very
controversial aspect of Nietzsche remained the central source of interest in the following
years” (26). If people living in the fin-de-siècle felt abused and mistreated by their everchanging and manipulatively decadent cities, they could fundamentally read Nietzsche as
an escape to a better future—individual power over circumstances that seem too far out
of reach.
Now really, Nietzsche’s writings were not totally intended to be life-changing
pieces. He was not looking for fame or recognition, but rather he looked for truth and
worldly hope. Much of this hope was found for the future by backtracking to the past, the
classical world. Classical times were so appealing because people were more true to
themselves and their innate desires, whereas in the fin-de-siècle, the role of the individual
was getting lost in the whirlwind of modernization. People were looking for some
steadiness through this storm, artists were influenced by thinkers, and stories were written
for exemplification. Mann is a great example of an artist searching for inspiration, finding
it, and working it into his novellan plot.
Critic Gary Johnson explores the aesthetic value of Death in Venice, but takes it
a step further than many others. Instead of looking simply at ‘what’ is done, he takes a
deeper approach into ‘how’ and ‘why’ something is done; he explores deeply into
Mann’s text as Nietzsche explored so deeply into fin-de-siècle culture. To repeat an
incredibly valid point, life was hard to handle, and because everyday knowledge
progressed with such intense vigor, the concept of the ‘literal’ came into question.
Nietzsche explored a need to make sense of one’s surroundings by focusing on what that
individual needs to pull from his surroundings in order to succeed; this is a translation—
an attempt to grasp at—something literal, something concrete. It makes what is literal,
something subjective and believable, so in a sense, what is literal is not literal by worldly
means, but only by individual perception, and then, not literal at all.
In Death in Venice, Gustav von Aschenbach represents every struggling
individual in the turn-of-the-century, for he is talented but drained of inspiration because
of his surrounding circumstances. He flees to Italy for refreshment, for mental
rejuvenation, and finds what he was looking for all of his adult life: a true escape into the
pleasant life of another, who represents something completely different and more hopeful
than ordinary people can. Essentially, a new reality. Aschenbach is able to transcend his
fraudulent world by regressing to classicism, as Nietzsche did in The Birth of Tragedy.
Aschenbach becomes infatuated with young Tadzio, and on so many different levels it is
both satisfying, true, and yet, at the same time, immoral. But then, as far as satisfying
individual desire, morals are more or less set aside in order to attain complete fulfillment.
64
�Aschenbach’s regress to classicism is a desire to transform the tangible and
intangible aesthetics he sees in Tadzio into a work of art, for in the end, he is an artist at
heart. He did not just stumble upon Tadzio as it appears Mann to have written the event.
Really, Aschenbach was desperate for something to cling to, something to draw
inspiration from—as was his creator, Mann—and in this desperate attempt, he finds
Tadzio who fits a classical mode. An author can “exercise a definite control,” and it is
with this control that art is born (Corngold 51). Mann seeks control by writing about
Aschenbach, and Aschenbach seeks control by writing about Tadzio. Aschenbach preys
on this young boy, sucking everything he can out of him until he dies, old and withered.
If he hadn’t clung to someone, he would have had no explanation for his feelings of
desire and loss, and for an artist, everything must have explanation. Mann’s desire for
explanation, inspired by fin-de-siècle understanding, is expressed through Aschenbach’s
desperation. After exploring the relationship between Death in Venice and Hamlet,
Johnson writes, “[T.S.] Eliot’s concept, which depends on a kind of aesthetic symmetry,
in that a character’s emotions must refer to or stem from a reasonable (objective) cause,
maintains its interest despite its philosophical shortcomings.” Without concrete reasoning
behind his feelings, Aschenbach would have felt like a failure of sorts—a failed artist,
and more importantly, a failed man.
In The Birth of Tragedy, Nietzsche explores Greek aesthetics as the origin of
tragic storytelling, and everything he has to say about it in his introductory sections,
confirms Tadzio as a key player for Aschenbach’s inspiration. Johnson expands
Nietzsche’s Greek aesthetics to mean something naïvely natural. He connects the
classical to something naïve, and the modern to something sentimental. The modern
times are considered by him to be sentimental because there was a constant looking back
to the past, and yearning for its naïveté—a time before anyone experienced the ‘downfall’
of a modernized life. It was believed that people of classical societies were more feeling,
therefore, Aschenbach’s desire for Tadzio, who represents a classical time, is more easily
understood and translated into a desire for more genuine emotion.
The ending of Death in Venice confirms what many critics see as Nietzsche’s
pessimistic view on life: work hard, live with your heart, but in the end you are just going
to die and everything will be over for you. Mann’s novella is undoubtedly inspired by
Nietzsche’s philosophy of Greek tragedy. From Nietzsche’s The Birth of Tragedy, an
entire part of section 2 could have been placed directly at the end of Death in Venice:
“…that pain begets joy, that ecstasy may wring sounds of agony from us. At the very
climax of joy there sounds a cry of horror or a yearning lamentation for an irretrievable
loss” (40). Had Nietzsche written Death in Venice, or at least had conversation with
65
�Mann about it, he probably would have ended it much the same way. Aschenbach gave
up his life to follow his aspirations; he died of disease in Venice when he very easily
could have left and survived. However, his survival would have been simply physical,
whereas his artistic and emotional self would have died right at the time of a departure
from Italy and from Tadzio.
The more Death in Venice is critiqued, the more obvious it becomes that Mann
was a reader of Nietzsche. From aesthetic correlatives and escapism, to obsession,
fulfillment, and death, the novella would never have been produced in such a multilayered, complex form, had Mann not had Nietzsche’s texts at his fingertips. Many
citizens of the fin-de-siècle longed for stability and understanding of their modernizing
cities, and Mann was no exception. He, as an artist, needed it even more, for without
understanding his circumstances, he could not produce anything of interest or value to
readers of his time. The people looked to artists for reassurance of their daily living
conditions, and artists looked to philosophers for their insights. Everything was, and still
is for that matter, a huge recycling of knowledge. The ancient Greeks probably had a lot
of things figured out in their ‘modern’ society, and somewhere along the lines it got lost,
only to be picked back up as centuries turned over, by those who examine what it meant
to be a Greek and what it means to be a German.
Ultimately, one cannot take a step forward without first taking a step back. We
learn from the past, from history, so if that is what it took for people living in the fin-desiècle to move forward—to examine what it was that could be learned and used from the
past—then it must have worked, because both World Wars were overcome, technology
has helped living conditions in too many ways to count, and we have survived to this
point in history, one hundred years later, satisfied with how things progressed and ready
to watch them progress even more. Nietzsche took a look into the past to find out what it
was that was important to bring to the future. The ability and desire to do so is profound,
and for this, both he and Mann are still being read and analyzed today. Their approaches
are unfailing; their insights are timeless. Progression is never to be doubted.
Works Cited
Corngold, Stanley. “Mann as a Reader of Nietzsche.” Boundary 2 9.1 (1980): 47-74.
Johnson, Gary. “Death in Venice and the Aesthetic Correlative”, Journal of Modern
Literature 27.3 (2004): 83+. E-Resources. InfoTrac. Wagner College Library, Staten
Island. 11 April 2006 <http://infotrac.galegroup.com>.
66
�Mann, Thomas. Death in Venice, Trans. Kenneth Burke. New York: The Modern
Library, 1974.
Nicholls, R. A. “Beginnings of Nietzsche Vogue in Germany.” Modern Philology 56.1
(1958): 24-37.
Nietzsche, Friedrich. “The Birth of Tragedy.” Basic Writings of Nietzsche. Trans. Walter
Kaufmann. New York: The Modern Library, 2000. 1-144.
67
�The Motivation behind Rear Admiral Grace Murray
Hopper’s Perseverance & Extraordinary Accomplishments
Amy Jensen (Economics)1
Rear Admiral Grace Murray Hopper often said in her lectures to aspiring young
people, “Dare and do”. 1 This motto is an excellent summation of Hopper’s personal
philosophy displayed through her accomplishments. Grace Hopper broke into two male
dominated fields of study, computer science and the military. She not only entered these
professions, but also excelled within them, utilizing her revolutionary ideas of how
information could be presented, transmitted and computed. Hopper had the confidence to
venture into these fields as well as defend her revolutionary ideas because of the positive
influences that occurred in her childhood, particularly the influence of her mother, father
and grandfather.
Grace Hopper was born in New York City in 1906 to Walter and Mary Murray.
2
In her early childhood, Hopper enjoyed figuring out the mechanics of machinery, which
she satisfied by taking apart household items such as clocks to discover how they
worked. 2 Hopper was interested in the socially defined “girl-inappropriate activities”
since she preferred to build, particularly utilizing motors.3 However, Hopper also enjoyed
“girl-appropriate” hobbies such as “needlepoint, reading and playing the piano.” 4 Hopper
was also particularly fond of math, which was encouraged by her mother2. “[Mary
Murray] studied geometry by special arrangement when serious study of math was still
thought improper for a woman.”1
Hopper was able to overcome obstacles she encountered by following her
father’s example. Walter Murray had both of his legs amputated but remained a
successful insurance broker.1 “Grace admired him for his fortitude and strong will.
Because of his positive attitude and his ability to overcome such hardship, she knew she
was capable of anything”2. Both Mary and Walter Murray served as vital role models in
shaping Hopper’s view of herself as a woman. “He [Walter Murray] inspired Hopper to
avoid being limited to typical feminine roles.”2 This was clearly displayed in her parent’s
choosing not to limit her interests in mathematics and machinery.2,3
Looking at the pipeline model, in relation to typical feminine roles and careers,
it is clear that parental influence does play a significant role in the development of a girl
1
Written under the direction of Dr. Maria Gelabert (Chemistry) for the honors course
Women in the History of Science
68
�into a woman. “Factors that will lead girls to reject science as a career are thought to be
cultivated early-even moments after birth.”5 By allowing Hopper to explore her interests
in mathematics and machinery at a young age, as well as the more “feminine” activities
of music and needlepoint, Walter and Mary Murray allowed Hopper to foster an interest
that would lead her to an undergraduate, masters, and doctorate degree along with a
successful career that would change the world.
Education was an important goal in the Murray household for all the children,
male and female. Walter Murray was particularly worried about his daughters. Due to his
health, he wanted to make sure that his daughters would be taken care of if anything were
to happen to him. Therefore, he explained that “it was especially important that his
daughters not only graduate from college but work for at least one year after
graduation.”3
Grace Hopper was an excellent student and skipped several grades, which
allowed her to graduate high school at the age of only sixteen in 1923.3 She applied to
Vassar College, but due to a failed Latin Exam, Vassar asked her to wait a year and
reapply.3 Despite initially being rejected, Hopper was not discouraged. She enrolled in
the Hartridge School, a preparatory school, in New Jersey, for a year and reapplied to
Vassar the following year and was accepted.1
Hopper entered Vassar in 1924 where she concentrated her studies on math and
physics.2 She took as many courses as possible and was asked to tutor other students
“because of her special gift for sharing knowledge and understanding with others.”3 This
gift of sharing knowledge would be utilized later on in her life as Hopper gave any one of
her over 200 lectures.2 Grace Hopper graduated in 1928 Phi Beta Kappa (a collegiate
honors society) with her bachelor’s degree in mathematics and physics.3 She earned a
Vassar College Fellowship, which allowed her to attend Yale where she began her
research in mathematics for her master’s degree in 1928.4 Two years later, Grace Murray
Hopper graduated with her Master’s from Yale and married Vincent Foster Hopper, an
English teacher at New York University.4 Notably, English is more often associated with
women while math and physics are associated with men.6 Once again, Grace Hopper
was not content to conform to the social norm. In the case of Grace Hopper and her
husband Vincent Hopper, there was a “reversal” in the expected gender roles in
academia.
In 1931, Grace Hopper returned to Vassar, this time as an instructor in the
Department of Mathematics.4 This position was paid at a salary of $800 per year.1
Hopper continued to work at Vassar while working on her doctorate from Yale, which
she was awarded in 1934.1 With this achievement, she became the first woman to receive
69
�a doctorate in mathematics from Yale University.7 She was promoted to the position of
associate professor and remained at Vassar until 1943.4
In 1940, due to the United States entering World War II, Hopper decided to join
the Navy.1 Grace Hopper’s family had a long history of military service dating back to
the Revolutionary War3. Her great grandfather achieved the rank of Rear Admiral during
the Civil War, a rank that Hopper would also achieve in her lifetime.3 However, Hopper’s
appointment also came with the achievement of being one of the first woman Rear
Admirals.3 Hopper once again showed similar interests as her mother and father who
served on the Selective Service Board and Ration Board respectively.3
Unfortunately, Hopper was not readily accepted into the Navy. She was
considered too old at age 34, and underweight to serve.4 “The government felt she could
best serve the country by continuing to teach mathematics.”3 Hopper did not give up on
her goal, and managed to receive a waiver for the weight requirement and received a
leave of absence from Vassar.4 In 1943, Hopper entered the U.S. Naval Reserve in the
Midshipman’s School for Women where she graduated first in her class.1
Grace Hopper began her work for the Navy at Harvard University where she
began working on the Mark I, which was “used to calculate aiming angles for Naval guns
in varying weather conditions.” 1 Ridiculed for thinking that she could solve these
complex problems when a man could not, Hopper worked diligently and proved her
critics wrong (SOURCE). During her time in the Navy during World War II, Hopper
worked on the Mark II and the Mark III as well “transcribing and inputting codes.”1
In 1945, Hopper and her husband divorced.3 In 1946, Hopper was released from
active military service and resigned from her teaching position at Vassar, instead utilizing
a three-year fellowship at Harvard University where she continued in her position in the
Computation Laboratory where she worked throughout World War II.3 Until 1949,
Hopper worked as a research fellow in the Engineering Sciences and Applied Physics
Departments at Harvard University.1
After leaving the world of academia in 1949, Grace Hopper began working at
the Eckert-Mauchly Computer Corporation in the position of Senior Mathematician.1
While at Eckert-Mauchly, Hopper had the opportunity to design the first commercial
“large-scale electronic computer called the UNIVAC I.”1 At this time, Hopper developed
the first compiler called the A-O that “translated mathematical code into machine
language.”8 Hopper was also a part of the team that developed the Flow-Matic, “the first
English-language data processing compiler.”4 Most programmers ridiculed the idea that a
computer could understand an English-language code.9 However, despite such criticism,
Hopper did not waver and worked even harder to simplify programming language.9 The
70
�Flow-Matic was “designed to translate a language that could be used for business tasks.”8
It would become the basis for COBOL, the universal programming language.8
“‘If one computer could do it, so could they all,’ Hopper reasoned. She began a
campaign to persuade her peers to develop a new common business computer language.
The result was COBOL “(Common-Business-Oriented Language).”9 The development of
a common business language would lead to the standardization of computer languages,
eventually leading to the international standards for programming languages used in
present day.9 Through her presentations and persuasions, the entire Navy began using the
COBOL computer language that Hopper developed.9
Grace Murray Hopper stayed extremely active throughout her life and stayed in
close contact with both the US Navy and the world of academia by working as a visiting
lecturer and consultant2. As a lecturer, she urged her listeners to be open to new ideas.
“Her philosophy states that if technology is to continue to progress, people in the
computer world should be willing to accept new ideas.”10 She utilized analogies as well
as common visuals to explain difficult concepts like measuring time for computer
calculations.10
Hopper was called back to active duty in 1967 to help standardize the high-level
Naval computer languages.1 She took a leave of absence from her job at Sperry-Rand, but
ultimately did not return.2 During her active duty, Hopper continued to hold positions in
academia as a lecturer at George Washington University in Washington D.C.2 “In 1983,
by special Presidential Appointment she was promoted to the rank of Commodore.”1 In
1985, she became one of the first women in the United States to achieve the rank of Rear
Admiral.1 Hopper retired from the Navy for the last time in 1986.2 She was eighty years
old at the time, which made her the oldest active duty officer in the Unites States.2
At eighty years old, Grace Murray Hopper was not ready for a quiet retirement.
She was appointed to the position of senior consultant to Digital Equipment Corporation.4
She held this position for four years until 1990 when she retired.4 Throughout this period,
she continued to attend as well as give lectures. At the Navy Micro/Office Automation
Conference in 1987, Hopper was advocating the optical transmission of information due
to its security advantages.10 Hopper also criticized the government for not focusing
enough on information assessment to determine which data will be needed years from
now.10 Once again, Hopper was ahead of her time and looking towards the needs of the
future.
Grace Murray Hopper died on January 1, 1992 and was buried with full military
honors at Arlington National Cemetery. Unlike many women scientists, she was
recognized for her accomplishments and her discoveries during her lifetime. As early as
71
�1946, Hopper was recognized for her work with the Naval Ordinance Development
Award.10 She received over sixty-five honors and awards by the end of her life. One of
her most notable achievements includes receiving the Defense Distinguished Service
Medal in 1985, which is the highest award possible by the Department of Defense. She
was also the recipient of some awards that a woman had never achieved before including
Distinguished Fellow of the British Computer Society (1973), and the National Medal of
Technology (1991). 4
Grace Murray Hopper broke into the male dominated fields of the military and
computer science utilizing her philosophy of “Dare and Do” in everything that she
undertook. Clearly, this philosophy began to develop at an early age as she watched her
father successfully overcome obstacles. Hopper also had the experience of being allowed
to explore her interests in mechanics and mathematics even though society found such
interests inappropriate for young girls and women to study. Without these experiences at
a young age, Hopper might have lost interest in math and mechanics simply because she
could not explore such an interest or was forced into more “womanly” interests. Hopper
must have known this herself, as a message that she stressed in her many lectures was “be
innovative, open-minded and give people the freedom to try new things.7
References Cited
1.
Norman, Rebecca. “Grace Murray Hopper.” Agnes Scott College. February 2006.
<http://www.agnesscott.edu/lriddle/women/hopper.htm>
2.
Orlando, M. “Amazing Grace”, Poptronics. Gernsback Publications, Inc. 2002; 3 (7
Suppl): 26.
3.
Morrow, C. and Perl, T, editors. Notable Women in Mathematics: A Biographical
Dictionary. Connecticut: Greenwood Press; 1998. 320 p.
4.
Connor, JJ and Robertson E.F. “Grace Brewster Murray Hopper”, MacTutor History
of Mathematics, July 1999.
5.
Schiebinger, L. Has Feminism Changed Science? Massachusetts: Harvard
University Press; 1999. p.252.
6.
Schiller B. The Economics of Poverty and Discrimination. New Jersey: Pearson
Education Inc.; 2004. p.300.
72
�7.
Dickason, E. “Remembering Grace Murray Hopper: A Legend in Her Own Time”,
CHIPS Magazine [serial online]
<http://www.chips.navy.mil/archives/92_apr/file2.htm> 31 Mar. 2006.
8.
O’Hanlon, C. “Grace Hopper-Programming Pioneer”, Computer Reseller News.
2001: Nov. N/A.
9.
Linderman, K. “Rear Admiral Dr. Grace Murray Hopper Her Dedication to
Computer Programming Changed An Industry – And the World”, Investor’s
Business Daily, Inc. 2001: Mar: A04.
10. Bass, B. “Hopper’s Vision Keeps Technology in Perspective”, Government
Computer News 1987; 6 Suppl: 31.
73
�Blonde Humor: An Acceptable Form of Prejudice
Nancy Russell (Psychology )1
In today’s society, the topic of prejudice is a hot button issue. Politicians build
platforms on it, novelists write books about it and many groups feel its effects. Because
prejudice in itself is an overwhelmingly large topic, it has been divided into many areas
of focus, including racial prejudice, anti-gay prejudice and sexism. One area of prejudice
that has yet to be explored in depth is the subject of blonde prejudice, specifically the
area of blonde humor as a socially acceptable form of prejudice.
Crandall, Eshleman and O’Brien (2002) define prejudice as “a negative
evaluation of a group or of an individual on the basis of group membership” (p. 359). A
common perception of prejudice is that it refers only to its more familiar types, such as
racism, sexism and anti-gay prejudice. Crandall, Eshleman and O’Brien (2002) report
that research on prejudice has typically focused on groups which tend to be divided into
categories by classifications such as race, religion, and sexual orientation. The common
factor which ties these groups together is that, over time, they have all in someway been
the objects of prejudice.
As reported by Crandall, Eshleman and O’Brien (2002), it is thought that certain
forms of prejudice, such as racism, have been on the decline. However, the authors argue
that such notions may merely reflect society’s willingness to conform to appropriate
social behavior. However, leaving behind old acceptable forms of prejudice may, in fact,
lead to the development of other more “politically correct” forms of prejudice (Barreto &
Ellemers, 2005). In the same way that social appropriateness today demands that racist
jokes are intolerable, social norms suggest that certain other types of humor are
acceptable. Greenwood and Isbell (2002) suggest that certain seemingly innocuous forms
of prejudice, such as blonde humor, are not so harmless at all. The authors propose that
“dumb blonde” jokes are overtly offensive to women and are widely known and accepted
today as a form of disparaging humor.
Hair color is a factor most people do not consider when contemplating different
types of prejudice. However, as Kyle and Mahler (1996) state, hair color is one of the
first things that people notice when viewing another person for the first time. The authors
state that stereotypes, such as racist or gender stereotypes, are prompted by visual cues.
1
Written under the direction of Dr. Amy Eshleman (Psychology) for the honors course
Psychology of Prejudice
74
�Since hair color can be a potentially dominant physical cue, it can also be a powerful
predictor of prejudice. Why then do most people not think of hair color as a potentially
damaging stereotype? The answer, according to Greenwood and Isbell (2002), is simple:
certain forms of stereotyping, such as the stereotyping of blondes, are prevalent in
today’s society and, as such, many people do not look upon them as harmful forms of
prejudice.
In order to understand blonde humor as a prevalent form of prejudice, it is first
necessary to examine how blonde stereotyping operates as a form of sexism. As Barreto
and Ellemers (2005) indicate, sexism is a form of prejudice that can be found in countries
across the world. While it may appear that sexism has declined, it is still prevalent in
modern society in many more aversive ways. Barreto and Ellemers term this new
aversive type of sexism “modern sexism.” According to the authors, “modern sexists”
display their sexist tendencies in more disguised ways than “old-fashioned sexists”
because they are aware of societal pressures to display more “politically correct”
behavior.
In today’s society, sexism is a form of prejudice which has become more
prevalent against women than men (Angelone, Hirschman, Suniga, Armey, & Armelie,
2005). Angelone et al. found that when a man is exposed to a peer who engages in either
sexually oriented joke telling or verbal sexism, he is likelier to engage in the same
activity himself than a man exposed to a peer who is not engaging in sexist activities. The
tendency to engage in behaviors similar to those of others is one factor which has allowed
prejudice to remain prevalent. In today’s “politically correct” climate, however, overt
forms of prejudice have become increasingly less common than disguised or obscured
forms, such as disparaging humor (Angelone et al., 2005).
Disparaging humor is any sort of joke which is disrespectful in nature, such as
racist or sexist humor (Ford, 2001). Humor itself has become an increasingly popular
form of entertainment. Television has an entire channel devoted to stand up comedians
telling jokes. Many of these comedians choose to make jokes about people of the
opposite sex, which causes audiences to laugh uproariously. These jokes are a kind of
disparaging humor.
Ford (2001) stated that humor in this day and age has become a socially
acceptable device for oppressing groups of people. In his discussion of disparaging
humor, Ford (2000) hypothesizes that this particular type of humor creates a norm of
tolerance of discrimination against members of the disparaged group. The theory of the
social acceptability of humor combined with the norm of tolerance that people have with
disparaging jokes has led to the notion that humor does not harm and therefore cannot be
75
�considered a dangerous form of prejudice. However, since many jokes which are
considered socially acceptable today contain sexist humor, mostly with regard to women,
viewing the humor as acceptable leads to harmful stereotypes and presents itself as a
valid form of prejudice (Ford, 2000). In fact, as Angelone et al. (2005) note several
colleges have gone so far as to recognize sexually oriented joke telling as a form of
sexual harassment and take disciplinary actions against those found telling disparaging
jokes.
Schafer (2001) presents several common themes with regards to sexist humor
against women. The author states that many jokes contain stereotypes depicting women
as “whores,” which Schafer proposes makes women seem like less of a threat to males in
power. For instance, one of the more common themes is a woman selling herself for
wealth or physical pleasures. Yet another theme is a woman taking forever to “beautify”
herself. Ironically, as Rich and Cash (1993) argue, this phenomenon may only occur
because men stress attractiveness in women more than women do in men, therefore
women are under more pressure to conform to beauty standards in order to achieve
success. One particular aphorism Schafer (2001) explores is, “If a lady says no, she
means maybe; if she says maybe, she means yes; and if she says yes, she’s no lady.” This
both takes away a woman’s ability to say “no” and makes it impossible for her to say
“yes” while keeping her dignity. Many other jokes explore the same themes and Schafer
hypothesizes that this sort of humor makes women seem a lesser force in a male
empowered society.
Since sexist humor against women is such a veritable form of prejudice, what
part does hair color play? As Juni and Roth (1985) indicate, hair color has been
established as a significant factor affecting stereotyping simply because it is one of the
first things a person can recognize about another. Rich and Cash (1993) explain how,
through mythology and literature, different hair colors have taken on their own meanings.
For example, the authors describe how innocent princesses are often portrayed with long,
golden-blonde hair while witches are shown with dark, often brown or black hair. Juni
and Roth (1985) note that blondes are overly represented as angels and goddesses while
brunettes are overly represented as witches and seductresses. Over time, hair color has
taken on a life of its own.
Given that hair color carries with it the risk of stereotyping, blondes have
become the overwhelming victim of most jokes pertaining to hair color. By default,
blondes have gained the sullied reputation of being “dumb,” but how did such a
stereotype evolve? Rich and Cash (1993) explain that many popular images in Western
Caucasian society portray beautiful women as having a light complexion, light eye color
76
�and blonde hair. In the 1950s a vibrant platinum blonde woman burst onto the Hollywood
scene. Her stage name was Marilyn Monroe. Her appeal, or so it would seem, was her
child-like voice in opposition to her adult curves and seductive behavior (Greenwood &
Isbell, 2002). Greenwood and Isbell (2002) maintain that Marilyn Monroe and the roles
which she chose to play are some of the factors which contributed to the “dumb blonde”
reputation.
Since, as Rich and Cash (1993) reported, blondes are viewed as more beautiful
and feminine when compared to women of other hair colors, Greenwood and Isbell
(2002) argue that the evolution of the “dumb blonde” might be as simple as examining
the possible damage that a beautiful woman might inflict on a man in a man’s world. The
authors consider the possibility that, to a man in power, a beautiful woman may be
attractive, but she may also posses the power to be sexually manipulative. The concept of
the “dumb blonde,” according to Greenwood and Isbell (2002), may merely be an attempt
to reduce “an attractive woman who might otherwise pose a powerful sexual or emotional
threat to another stereotypic subtype of female: the attractive, if lobotomized,
nymphomaniac” (p. 342).
Along with the reputation of the “dumb blonde” came the “dumb blonde” joke.
Greenwood and Isbell (2002) define the “dumb blonde” joke as a sexist genre of humor
which features a woman who is “easy on the eyes, easy to get into bed, and above all,
easy to ridicule” (p. 341). Blonde women in classic literature and fairy tales were a blend
of passive sexuality and purity, also interpreted as virginity. Blonde women from the
1950s onward began to represent a shift towards a more open type of sexuality, while still
encompassing the appearance of innocence and defenselessness (Juni & Roth, 1985).
Ford (2001) argued that the telling of disparaging jokes has a negative impact on
the stereotyping of groups. Since the “dumb blonde” joke can be categorized as a type of
disparaging humor, it has been shown to have a negative effect on the stereotyping of the
blonde population as a whole. Kyle and Mahler (1996) examined the potential harms that
blonde stereotyping can cause. The researchers conducted an experiment in which they
showed college students pictures of the same Caucasian woman as either a blonde or a
brunette. The woman’s hair color was changed on the computer so as to ensure as much
similarity as possible. The photos were attached to identical resumes. The students were
asked to rate the woman in terms of their perception of her abilities. The researchers
reported that the woman was rated significantly less capable as a blonde than as a
brunette. Also, blondes were assigned a significantly lower starting salary than were
brunettes. The researchers hypothesized that one possible reason for this was that the
woman’s hair color was a visual cue which may have brought to mind the “dumb blonde”
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�stereotype. This stereotype may have affected the perceived lack of skills or intellect of
the applicant.
The perception of blondes as “dumb” is a stereotype which has proven harmful
to blondes as a group since the 1950s. If this trend is not remedied, the implications for
blondes over time are staggering. As Rich and Cash (1993) noted, blondes are more
prevalent as Playboy centerfolds than any other hair color. The authors go on to report
that about one-third of Miss America contestants have been blonde, which is hugely
disproportionate to the actual number of blondes in society today. These factors help to
propagate the idea of the blonde as a vapid sex object. Greenwood and Isbell (2002) state
that the “dumb blonde” trend in Hollywood is still increasing. Movies such as the 2001
film Legally Blonde and characters on television shows such as Phoebe on Friends
perpetuate the “dumb blonde” stereotype and ensure that there will always be someone
watching who believes in it.
While magazine’s like Playboy would have people believe that blondes are the
dominant hair color in today’s society, they are actually a statistical scarcity (Juni &
Roth, 1985). Stories of blonde haired princesses, such as Cinderella or Sleeping Beauty,
perpetuate the myth of the helpless blonde woman waiting for her Prince Charming to
come and rescue her. Movies such as Gentlemen Prefer Blondes and Legally Blonde
show that, even though 50 years have passed, the myth of the “dumb blonde” holds
strong.
Blonde humor is one of the most prevalent ways that the “dumb blonde”
stereotype is spread in today’s society (Ford, 2001). It has been shown that disparaging
humor is harmful and that it has the ability to perpetuate stereotypes which have lasting
effects on the group which is victimized (Ford, 2000). Since blonde humor has reached a
level of social acceptability in the world today, the implications for blondes as a group
are tremendous. Blonde humor is harmful whether the joke is perceived to be funny or
not. The stereotype of the “dumb blonde” hurts blonde women’s chances of succeeding in
the workplace and in many other areas of life (Kyle & Mahler, 1996). Blonde humor
creates a disparaging if not downright harmful stereotype of the blonde woman, which is
why it is clearly a valid and destructive form of prejudice.
Works Cited
Angelone, D.J., Hirschman, R., Suniga, S., Armey, M. & Armelie, A. (2005). “The
Influence of Peer Interactions on Sexually Oriented Joke Telling”, Sex Role, 52, 187-199.
78
�Barreto, M., & Ellemers, N. (2005). “The Perils of Political Correctness: Men's and
Women's Responses to Old-Fashioned and Modern Sexist Views”, Social Psychology
Quarterly, 68, 75-88.
Crandall, C. S., Eshleman, A., & O’Brien, L. (2002). “Social Norms and the Expression
and Suppression of Prejudice: The Struggle for Internalization”, Journal of Personality
and Social Psychology, 82, 359-378.
Ford, T.E. (2001). “Effects of Exposure to Sexist Humor on Perceptions of Normative
Tolerance of Sexism”, European Journal of Social Psychology, 31, 677-691.
Ford, T. E. (2000). “Effects of Sexist Humor on Tolerance of Sexist Events”, Personality
and Social Psychology Bulletin, 26, 1094-1107.
Greenwood, D., & Isbell, L.M. (2002). “Ambivalent Sexism and the Dumb Blonde:
Men’s and Women’s Reactions to Sexist Jokes”, Psychology of Women Quarterly, 26
341-350.
Juni, S., & Roth, M. M. (1985). “The Influence of Hair Color on Eliciting Help: Do
Blondes Have More Fun?”, Social Behavior and Personality, 13, 11-14.
Kyle, D. J., & Mahler, H. I. M. (1996). “The Effects of Hair Color and Cosmetic use on
Perceptions of a Female’s Ability”, Psychology of Women Quarterly, 20, 447-455.
Rich, M.K., & Cash, T.F. (1993). “The American Image of Beauty: Media
Representations of Hair Color for Four Decades”, Sex Roles, 29, 113-124.
Schafer, R. (2001). “Gender Jokes/Sexual Politics”, Studies in Gender and Sexuality, 2,
277-294.
79
�The Greek Element in Thomas Mann’s Death in Venice
Timothy Cushing (English)1
Death in Venice by Thomas Mann (1875-1955) is the story of a man’s downfall
that results from a consuming obsession. Mann uses classical themes to define the
modern destiny of the story’s central character, Gustav von Aschenbach as well as
Aschenbach’s personal relationship with art and beauty as represented by a boy named
Tadzio. These classical themes are not only overtly expressed in direct references to
certain Greek gods from mythology but also implied by subtle motifs that are planted
within the pages. It is obvious from his writing in Death in Venice that Thomas Mann
was profoundly grounded in classical influences. The aspect of Greek mythology in this
novella is impossible to overlook. From the reoccurring motifs of the story as well as its
overt references there are four major gods of Greek mythology that are evident:
Dionysus, Apollo, Hermes and Eros. Mann utilizes these gods in Death in Venice to not
only add a classical frame of reference but also to implicate the turn of the century
mindset in the area of psychoanalysis and psychology in general. These gods reflect a
very modern interpretation in their relation to Sigmund Freud and his work in these
fields. This correlation is by no means accidental. Mann was very well-read in the
literature of Freud and was an acquaintance and admirer of him. In Death in Venice,
Thomas Mann employs a classical component through his allusions to Greek mythology.
Not only do these gods serve to shape Aschenbach’s apparent destiny of downfall in the
story, but they also insinuate a very modern and psychological viewpoint that was
inherent to Mann’s time and negate the preordained nature of the story.
The gods that Mann relegates to symbolize the transition in Aschenbach’s nature
are Dionysus and Apollo. Due to the spirit of these two gods they are traditionally paired
together as representing opposite spectrums of human nature; Apollo being equated to
sober and rational wisdom and Dionysus to the drunk and communally erotic. Mann
included this deliberately and in one of his correspondences wrote of Death in Venice: “It
is inherent in the difference between the Dionysian spirit of lyricism, whose outpouring is
irresponsible and individualistic, and the Apollonian, objectively controlled morally and
socially responsible epic” (“Letter to Weber” 102). At the outset of Death in Venice,
1
Written under the direction of Drs. Urbanc (Languages) and Morowitz (Art) for the
team-taught Honors ILC, Cities and Perversities: Art, Literature and Society in Turn-ofthe-Century Europe
80
�Aschenbach is portrayed as a restrained artist who prides himself on the dignity and
command that is reflected in his work. “[Aschenbach] almost loved the enervating battle
that was fought daily between a proud tenacious will – so often tested – and this growing
weariness which no one was to suspect and which must not betray itself in his
productions by any signs of weakness or negligence” (Death in Venice 8). This
“enervating battle” that is mentioned is distinctive of the dichotomy of Apollo and
Dionysus.
Mann foreshadows the transition that occurs by mentioning the “growing
weariness” that is Dionysus and is eroding Aschenbach’s Apollonian intentions.
Aschenbach increasingly struggles to suppress his Dionysian desires until he surrenders
completely to them in the novella’s final pages. Furthermore, Aschenbach’s “fate” is
also hinted at in his vision of a Dionysian orgy at the beginning of the story. This vision
later appears again slightly prior to Aschenbach’s downfall in which he identifies “the
strange god” (Death in Venice 88). There is a distinction made in the latter vision due to
Aschenbach’s participatory nature. Whereas he was able to suppress and escape the
initial Dionysian vision, in the second vision he is unable to stifle its seductive nature.
“But the dreamer now was with them, in them, and he belonged to the strange god”
(Death in Venice 90). This represents Aschenbach’s final decision to object himself to
the spirit of Dionysus as he at last gives into its temptation. However, this is by no means
a spontaneous realization. The story illustrates a gradual seduction of Aschenbach as he
is led to his eventual Dionysian insight by the god Hermes.
Mann utilizes references to Hermes and the implications that his character
represents and uses him as a guide for Aschenbach who coaxes him into an acceptance of
Dionysus. Hermes, in Greek mythology, is not only a messenger but also a guide for
souls who delivers them to the underworld. “Hermes is perhaps best known as the divine
messenger, so often delivering the dictates of Zeus himself; as such he wears a traveler’s
hat and carries a herald’s wand which sometimes bears two snakes entwined” (Morford
165). Hermes is also often classically depicted with wings on his helmet or sandals
implying a transitory nature. These aspects of Hermes are constantly referenced in Death
in Venice by recurring imagery that personifies him in the characters that Aschenbach
encounters. The theme of the traveler’s hat is something that is noted by Aschenbach on
numerous occasions. Its initial appearance is in the graveyard where the story starts.
In the graveyard, Aschenbach encounters a mysterious man who inexplicably
appears. He notes that “the white and straight-brimmed hat that covered his head gave
his appearance the stamp of a foreigner, of someone who had come from a long distance”
(Death in Venice 5). This unexplained man that Aschenbach sees is a reflection of
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�Hermes. He is a transitory figure who is clad in a traveler’s hat. This is also the point at
which Aschenbach’s first Dionysian vision occurs. After seeing this man, Aschenbach
feels “…the desire for travel, nothing more; although to be sure, it had attacked him
violently, and was heightened to a passion, even to the point of a hallucination” (Death in
Venice 6). The aspects of Hermes that are embodied by the strange man have a profound
effect upon Aschenbach. This is the initial correlation that appears between Dionysus
and Hermes.
Hermes also appears in the traits of a few other transitory figures of the story.
On the boat to Venice, Aschenbach encounters a drunken man who evokes disgust within
him. The man has dressed himself to look youthful and Aschenbach is revolted by his
young disguise and his adolescent illusion. He notes, “His old head was not able to resist
its wine like the young and robust.” (Death in Venice 25) The man is also wearing a
“brilliantly decorated straw hat.” (Death in Venice 23) This is the second reference to
Hermes that Mann includes. Similarly to the initial man in the graveyard, this man is also
insinuated as being tied to Dionysus but in a more overt way. The drunkenness of the
man reflects the Dionysian spirit as he is the god of wine. This man also foreshadows
Aschenbach’s final outward appearance on the beach at the end of the novella when he
attempts to disguise his age in order to evoke approval in Tadzio.
The foreshadowing of fate through allusions to Hermes is also seen in the
gondolier who delivers Aschenbach to the Lido. The man’s straw hat is yet another
reference to the appearance of Hermes. Furthermore the aspects of Charon that the
gondolier embodies at the same time further his traits of Hermes. The coffin-like
gondola is a clear reference to the River Styx and the ferryman who delivers souls across
its waters. At the same time that he is being delivered there is a sense of fate that alludes
to an aspect of guiding. He is both being delivered and led to his fate. Aschenbach’s
failure to pay the gondolier suggests a foreboding fate as it is customary for Charon to
receive payment for his services.
Another display of the imagery of Hermes occurs in Aschenbach’s encounter
with the musician during a performance at the Lido. The man’s shabby felt hat is noted
by Aschenbach. Furthermore, the coy and cunning that is exhibited by the man is
inherent to the nature of Hermes. Hermes, in Greek mythology, is regarded as a trickster
and a thief. After the performance it is noted that the man, “stole about the tables”
(Death in Venice 79). The use of the word “stole” implies that the man was in some way
robbing the unknowing audience and tricking them into giving him money.
In the novella there is a distinct parallel between the Greek gods and Tadzio,
Aschenbach’s infatuation. Even the pronunciation of his name serves a source of
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�excitement for Aschenbach. He becomes obsessed with the “u” sound which is
constantly heard as people call Tadzio’s name. This is the same sound that dominates the
second Dionysian vision. The sounds of this vision are describes as, “Clanking, banging
and dull thunder with shrill shouts and a definite whine in a long-drawn-out u-sound”
(Death in Venice 88). In this story music becomes something closely associated with the
god Dionysus. His musical symbolism is hinted at in many of the motifs of Hermes that
Aschenbach encounters such as the musician with the felt hat.
Tadzio also encompasses dual references but like the travelers is mostly a
display of the traits that pertain to Hermes. Aschenbach, in a letter to Carl Maria Weber
writes of, “Tadzio as psychopompos” (102). Psychopompos, or guide to the dead,
implies Hermes and one of his key roles in Greek mythology. Tadzio is Aschenbach’s
foremost guide in the story. Although the other characters are supplemental in
Aschenbach’s fate, Tadzio is the main catalyst that brings Aschenbach to his Dionysian
death. It is Tadzio’s youthful beauty, another aspect reflective of Hermes, which results
in Aschenbach’s refusal to leave the Lido and Venice despite his knowledge of the
plague. It stirs an emotional aspect of his psyche that he had been suppressing and causes
him to leap into the void and deviate from his Apolline creed.
The final god who plays a large role in Death in Venice is Eros. Eros is
classically pertinent to the story. “Eros, like Aphrodite, may represent all facets of love
and desire, but often he is the god of male homosexuality” (Morford 165). The element
of male homosexuality is intrinsic to the story and the obsession that lies at its center.
Aschenbach’s actual desire is personified in the story as Eros. Whereas Dionysus serves
as the temptation, Aschenbach’s sublimated feelings that surface are given the label of
Eros. Shortly after first seeing Tadzio, the boy is said to have a, “flowering head [that]
was poised with an incomparable seductiveness – the head of an Eros” (Death in Venice
38). The initial desire that is evoked in Aschenbach is projected upon Tadzio with the
qualities of Eros.
The homosexual love that Eros encompasses clearly excludes the idea of
physical reproduction that is included in one aspect of Eros’ nature and instead points to
another aspect of his character. “It is the love of the eternal beauty (and with it the
goodness and wisdom it entails) that inspires the pursuit of philosophy in the
philosopher” (Morford 116). Tadzio evokes a passion in Aschenbach through his beauty
that causes a need that had previously been left unrealized. Aschenbach pursues love
through Tadzio’s beauty. On the beach at the Lido while in Tadzio’s presence,
Aschenbach is suddenly seized with a compulsion to write. This writing possesses a
passion that previously has been foreign to Aschenbach. He is able to transcend death in
83
�a more meaningful way than procreation. His immortality is achieved through creativity
that is a result of love. This element of love something understood to be part of the
complicated and dualistic nature of Eros.
Another similarity that arises in Death in Venice that is congruent to
mythological thought of Eros is the duality of his nature. Eros is composed of a twin
nature. Deviating from the common conception that Eros is beautiful Plato in his
Symposium offers a completely different definition of his Eros:
“…he’s (Eros) far from being delicate and beautiful (as ordinary people
think he is); instead, he is tough and shriveled and shoeless and
homeless, always lying on the dirt without a bed, sleeping at other
people’s doorsteps and on roadsides under the sky, having his mother’s
nature, always living with Need. But on his father’s side he is a
schemer after the beautiful and the good; he is brave, impetuous, and
intense… resourceful in his pursuit of intelligence, a lover of wisdom”
(Plato 486 203d)
In this speech that is given by Socrates in Symposium regarding his conversation with
Diotima the duality of Eros’ nature and therefore the nature of his love is revealed. This
concept is extremely pertinent to Aschenbach. His character is strikingly similar to the
Platonic definition of Eros. In the story, Aschenbach is constantly in “Need” of some
sort of release from his suffering. Also, in respect to Aschenbach’s family background,
Mann writes, “Gustav Aschenbach, then, was the son of a higher law official... His
forebears had been… men who had led severe steady lives serving their king, their state.
A deeper strain of spirituality had been manifest in them once, in the person of a
preacher; the preceding generation had brought a brisker, more sensuous blood into the
family through the author’s [Aschenbach’s] mother, daughter of a Bohemian
bandmaster” (11). Just like Plato’s Eros, Aschenbach comes from a wise father and a
poor mother who was the epitome of the starving artist. This creates a conflict within
him that lies at the heart of the story.
Another striking similarity exists in the appearance of Plato’s Eros and Mann’s
depiction of Aschenbach. He is described as having “thin and wrinkled” (19) cheeks and
a large head. His worn face, he admits, is the product of his career of determination and
the struggle that it entailed. Aschenbach’s duality and appearance are congruent with
Platonic thought. Aschenbach struggles with not only the burden of dignity, but also with
the dual nature of love. It plagues him and is as real as the cholera that physically kills
84
�him. He also experiences a spiritual death as he is consumed by the Dionysian void
created by his violent inner fight to define love.
The foremost Freudian influence in Death in Venice is the play between the ego
and the id. These are represented in the story as the gods Dionysus and Apollo. Apollo
is representative of Aschenbach’s ego. It is his proud and strong-willed perception of
himself. Dionysus, on the other hand, plays the part of the id in Aschenbach’s psyche.
This god is Aschenbach’s unconscious and repressed desire for disorder and intoxication
that he has forced himself to conceal and bury from a young age. The shift in the story is
Aschenbach’s slow realization of his unconscious desires and their eventual achievement
that result in his death.
Despite its being written in third person, Death in Venice is mainly from the
perspective of Gustav von Aschenbach even though it may reflect aspects of Thomas
Mann’s personal nature and beliefs. This perspective causes a certain amount of deceit in
terms of the personal destiny that the book depicts. It is evident from reading Death in
Venice that the downfall of Aschenbach is predetermined and that he is simply following
a preordained course of action. However, Mann instilled a Freudian spin upon that story
that dispels this façade. The Freudian perspective reveals that Aschenbach was in fact
interpreting life as myth. In a speech delivered by Mann entitled “Freud and the Future”,
he says, “In its wisdom it conceives even the great gods among the given condition
originating from the soul and one with her, light and reflection of the human soul” (419).
According to this viewpoint, Aschenbach is dictating his own destiny and projecting his
desires upon the events that transpired. In his speech, Mann says, “… the typical is
actually the mythical, and that one may as well say “lived myth” as “lived life” (422).
Although the events that Mann is experiencing may be typical, Aschenbach construes
them as mythical. Aschenbach is using the lens of Greek mythology in order to interpret
events that culminate in his downfall.
Another Freudian element of the story involves Freud’s views concerning
creativity. Freud interprets any creative writing as wish fulfillment of an individual’s
youth. In his childhood, Aschenbach, “had been a slave to the intellect” (Death in Venice
16). He forced himself to suppress his hopes for emotional expression of his true desires.
Therefore, according to the Freudian school of thought, he merely uses a pretense of
mythological fate in order to fulfill a desire of a previous memory. He turns his reality
into one of his own novels by morphing it into a myth and in doing so crosses into the
realm of unfulfilled wishes. He stifles the motherly “Bohemian” aspect that was
inherited as a child and therefore imposes his father’s intellect upon himself. Although
Freud defines mythology as, “wishful phantasies of a whole nation” (Freud 442),
85
�Aschenbach uses mythology on a much more personal level and interprets events as
related to him individually through allusions to myth. Aschenbach’s unfulfilled desires
are also relevant to Freud’s view on instinct and sexual desires.
A similarity that arises in Freud’s writing on psychology is his view on sexual
desire. Like much of Freud’s psychological language, he uses the names and
connotations of Greek mythology in order to name the components of his theories. One
of Freud’s hypotheses involves instinct. Freud proposes that human instinct is divided
into two classes: the Eros, or sexual instinct, and the instinct of sadism which is
accompanied by an instinct of death. The importance of Freud’s use of Eros as the basis
for the language of sexual instinct is obvious and its implications in the novella are easily
seen. Freud proposes that the combination of these two instincts serves to reconcile the
problematic surfacing of life. He hypothesizes that, “The emergence of life would thus
be the course of the continuance of life and also at the same time of the striving towards
death” (Freud 646). In this hypothesis Freud also states, “This accounts for the likeness
of the condition that follows complete sexual satisfaction to dying, and for the fact that
death coincides with the act of copulation in some of the lower animals” (Freud 650).
Freud’s theory that death is somehow related to sexual release is particularly
significant in the final pages of the book during which Aschenbach reaches his final
death. It is in these pages that Aschenbach achieves equilibrium of these two instincts
and gains freedom from the problem of his life’s emergence. The cyclical nature of the
story is finally realized as the colorless eyes of the man in the graveyard are imposed
upon Tadzio and they, “finally turn at that threshold and meet his [Aschenbach’s] own”
(Death in Venice 98). Upon eye contact, “The pale and lovely Summoner [Tadzio] out
there seemed as though smiling to him, beckoning, as if removing his hand from his hip,
he were calling him to cross over, vaguely guiding him toward some prodigious
fulfillment” (Death in Venice 99). For the first time in the story Aschenbach achieves a
sense of satisfaction. This fulfillment is composed of an intrinsic duality because it is
inherent to the nature of Eros and therefore also to the nature of Aschenbach.
In one sense, Aschenbach is achieving a freedom and realization of his destiny.
However, at the same time he is achieving a release from his conflict of love and
therefore a sexual release at the same moment. He finally is able to connect to Tadzio
and in that moment of ecstasy is released from his physicality. The sexual implications
of this release and his immediate death pertain to the theory of Freud. He at last realizes
contentment and “sexual satisfaction”. The element of sadism that Aschenbach turned
upon himself through his self-exposure to the plague kills him and is balanced by his
realization of the Freudian Eros and sexual contentment. Life and death, love and hate,
86
�are finally defined and he escapes his dual existence. Hermes has finally coaxed Eros
away from his Apolline tendencies and shown his soul to its Dionysian death.
Aschenbach is able to fuse with Tadzio and his endless ocean of abyss.
In Death in Venice, Thomas Mann uses reference to Greek mythology in order
to shape a sense of prodigious fate while also including aspects of Freudian thought.
However, Greek myth is not the only allusion to prehistory that is included in the novella.
In his description of the characters that represent Hermes, Mann also often makes
mention of their “Adam’s apple”. This reference, coupled with the reoccurring image of
strawberries that eventually infect Aschenbach with Asiatic cholera, illustrate aspects of
the bible and serve “to remind us of the first man’s encounter with desire and mortality”
(Heller 123). In eating the strawberries, Aschenbach is embodying Adam’s nature in the
Garden of Eden and choosing his own destiny of downfall. The story elaborately and
effortlessly spans countless sources of inspiration that Mann draws upon and which
create a complicated but genius story of a single artist’s downfall.
Works Cited
Freud, Sigmund. The Freud Reader. Ed. Peter Gay. New York: Norton & Company, 1989.
Heller, Erich. “Autobiography and Literature”, Death in Venice. Trans. Kenneth Burke.
Random House Inc., 1970.
Mann, Thomas. Death In Venice. Trans. Kenneth Burke. Random House Inc., 1970.
---. “Freud and the Future.” Essays of Three Decades. Trans H. T. Lowe-Porter. New
York: Alfred A Knopf, 1948.
---. “Letter to Carl Maria Weber.”
Morford, Mark P. O., and Robert J. Lenandon. Classical Mythology. New York: David
Mc Kay Company, Inc., 1971.
Plato. Plato: Complete Works. Ed. John M. Cooper. Cambridge: Hackett Publishing
Company, 1997.
87
�Elizabeth Blackwell
Alexandra DeArmon1
The mid-nineteenth century proved to be a pivotal time for women, especially
those interested in the field of medicine. Elizabeth Blackwell, the first woman to receive
a medical degree, was a leader in the immense movement of women in the mid-1800’s
who advocated for their right to education, a career, and a place in the male-dominated
public sphere. While modern feminists may advocate for equality between the sexes, the
feminist movement in the 1800’s, dubbed ‘domestic feminism,’ operated on almost
opposite ideas. Instead of challenging the image of woman as mother, nurturer and
homemaker, women embraced their status as rulers of the domestic realm and asserted
that it was their domestic skills and sentiments that would benefit an industrialized
society in which morals were declining. Elizabeth Blackwell was a firm believer in
domestic feminism as it applied to medicine and healing; she advocated for holistic
healing and the treatment of both mind and body. Men, she asserted, merely treated the
physical ailments of patients; women could bring a new dynamic to the world of
medicine with their innate compassion and capacity for healing and nurturing. This
philosophy contrasts with that of Mary Putnam Jacobi, a female physician and
contemporary of Blackwell’s who worked as an equal with male physicians and stressed
the pursuit of scientific knowledge rather than morals and femininity. Elizabeth
Blackwell’s approach to science and medicine continues to be relevant to issues
subjectivity, objectivity, and women in science today.
Elizabeth Blackwell was born in Bristol, England in 1821, and immigrated with
her family to America in 1832. She was lucky enough to have a father who believed in
the education of both sexes (at a time when many did not) and from an early age learned
everything she could, especially about medicine (1). Elizabeth’s father was also active in
the anti-slavery movement, both in England and when the family came to America;
Elizabeth herself, as a result, was an active advocate for abolition and later for women’s
rights as well. Her father died when she was 17, leaving his widow, Elizabeth, and her
seven siblings in poverty. All of the children worked so their family could scrape by.
Elizabeth earned money as a governess in the home of a North Carolina doctor, whose
1
Written under the direction of Dr. Maria Gelabert (Chemistry) for the honors course
Women in the History of Science
88
�books she studied in her spare time. In 1847 she moved to Philadelphia to board with Dr.
William Elder and began applying to medical schools (2).
While it would seem that, in the male-oriented and dominated world of the
nineteenth century, a woman applying to medical school would simply be laughed at and
written off as unfit to study medicine, some doctors who interviewed Blackwell admitted
to instead feeling “threatened” by a woman entering their field. As one dean told
Elizabeth, “You can’t expect us to furnish you with a stick to break our heads with.”(2)
After enduring much rejection, Elizabeth was finally accepted by Geneva Medical
College in New York in October of 1847 (2). Her presence was said to have transformed
the bawdy, obnoxious, male student body into one of polite gentlemen who no longer
carried on and interrupted lectures (1).
Blackwell’s strong religious faith was, from the start, an integral part of her
study and practice of medicine, as evidenced by an early letter she wrote to her professor
(after he tried to prevent her from participating in a lecture on anatomy) proclaiming that
anatomy was an entirely serious study that “reflected glory on the Creator.”(2) Much later
in her career Blackwell still held to the belief that “Ministrations to body and soul cannot
be separated by a sharply-defined line. The arbitrary distinction between the physician of
the body and the physician of the soul—doctor and priest—tends to disappear as science
advances.” (3)
Elizabeth Blackwell was granted her medical degree in January 1849,
graduating from Geneva Medical College at the top of her class. Despite her academic
achievement, some officials hesitated to grant her a degree. But Elizabeth did indeed get
her medical certification, in front of a large commencement crowd that showed up in
support of the first woman doctor (1).
Blackwell proceeded to pursue postgraduate work in Paris. She then moved back
to America, opening the country’s first nursing school in 1857 and the New York
Infirmary in 1866 (1). The staff and students of the Women’s Medical College of
Pennsylvania, founded in 1850 by a group of physicians, kept in close touch with those at
the New York Infirmary for Women and Children. Together, the two establishments
formed a separate woman’s sphere in medicine, but both also kept their sights on the
ultimate goal: penetrating the male-dominated medical world (4).
While Elizabeth Blackwell did want to make a career for herself in a maledominated field, she did not strive specifically for equality with men, as many modernminded feminists might assume. Blackwell was living, in the mid-1800’s, in a period of
immense social change. With industrialization came the even more rigid separation of the
public and domestic spheres and the confinement of women to the home. Rather than
89
�totally limiting women in their mobility, however, this gave the “gentler sex” a new kind
of power: they were not prisoners of the domestic sphere but, rather, rulers of it. Society
saw increased social discord with the rise of industrialization, and the home became a
symbol for everything good, moral and true. Women found themselves responsible for
upholding the moral and spiritual values of the home, which became a strong base for the
assertion of those values, and women themselves, in the public sphere. This campaign has
been labeled “domestic feminism” by historians, and Elizabeth Blackwell became one of
the few believers in domestic feminism who, as a pioneer in the medical field, fully
entered the public sphere (4).
Thus Blackwell’s strong belief in morality (borne of her faith in God)
complemented her feminist beliefs quite well. She advised women who entered medicine
that “It is not blind imitation of men, nor thoughtless acceptance of whatever may be
taught by them that is required…Our duty is loyalty to right and opposition to wrong, in
accordance with our own nature.” (3) Women, she asserted, would have to take a
different approach to medicine than men, and above all promote and uphold morality, if
they were to make an impact on the profession and the public at large (3). And soon the
rallying cry among domestic feminists and the growing pool of women physicians
became that women were indeed naturally more suited than men to practice medicine.
Francis Galton, a nineteenth-century intellectual, proclaimed that “[men’s] minds [are]
directed towards facts and abstract theories, and not to persons or human interests,”
therefore making them more suitable to scientific study than women (5). Of course,
common sense would dictate that it is not favorable to have men unmindful of “human
interests” attend to patients.
More and more women began to expand their roles in the domestic sphere and
advocate for educating women about the practice of medicine and therefore
“professionalizing” women’s traditional roles in the home. Godey’s Lady’s Book, a
popular publication in the nineteenth century, urged its readers to consider that “The
property of [woman’s] nature which renders her the best of nurses, with proper
instruction, equally qualifies her to be the best of physicians.” What had begun as a
small-scale movement among feminists eventually became pervasive public opinion (6).
While it was agreed that in order to become full-fledged physicians, women
would need an education and could not rely on their maternal instincts alone (6),
Blackwell warned aspiring women doctors against the danger of materialism, or “the
assertion that only the sense is real.”(3) Students who only paid attention to the materials
in front of them in the lab were bound to be unsuccessful physicians. “The worship of the
intellect…as an end in itself, entirely regardless of the character of the means by which
90
�we seek to gain it, is the most dangerous error that science can make,” Blackwell
preached. Other female physicians such as Sarah Grimke, similarly, were emphatic that
women should not pursue the study of medicine and science solely for science’s sake.
Grimke also believed wholeheartedly in the role of maternal instinct, or what she called a
“love spirit” in successful treatment of patients; she even deemed her “deepest fear” to be
the number of women “unblest with this gift and whose highest attainment is the
scientific knowledge of medicine.” (6)
The conflict between scientific knowledge and morality that women faced in
entering medicine can be compared to the debate, invented and analyzed time and time
again by scholars, of how subjectivity and objectivity play into scientific study.
Specifically, the assertion that completely objective thinking and the blind quest for
knowledge is the ideal in science: both allow for totally analytic scientific study
unhindered by the scientist’s emotion or personal bias. The centuries-old, pervasive
thought in our culture has been to equate masculinity and objectivity; therefore science
has come to be a ‘masculine’ field. As stated by the sociologist Georg Simmel:
“Supposing that we describe…absolute ideas by the single word ‘objective,’ we then find
that in the history of our race the equation objective = masculine is a valid one.” (7)
There are many theories as to how the idea of ‘science’ being synonymous with
‘masculine’ and ‘objective’ became so entrenched in our culture. In any case, there is no
simple answer as to how science became so inseparable from masculinity; there is no
solid, rational evidence to support the comparison. Somehow, over the years, objectivity
become associated with masculinity, and masculinity equated with science. Evelyn Fox
Keller, in her book Reflections on Gender in Science, attempts to examine the issue. She
looks into one possibility, stating that “When we dub the objective sciences ‘hard’ as
opposed to the softer (that is, more subjective) branches of knowledge, we implicitly
invoke a sexual metaphor, in which ‘hard’ is of course masculine and ‘soft’
feminine…facts are ‘hard,’ feelings ‘soft.’”(7) Femininity has become synonymous with
sentimentality, which the scientific establishment saw for many years as having no place
in science.
It was therefore entirely unheard of that women should fight, in a thoroughly
male field, not only for equal status but, furthermore, for the feminization of that field. In
a society where issues of masculine and feminine, objective and subjective, scientific and
sentimental had before been regarded as clear-cut and black-and-white, Elizabeth
Blackwell was a pioneer in challenging those ideas and encouraging other women to
follow. One woman who was a contemporary of Blackwell’s, a physician, professor at
the New York Infirmary, and staunch advocate for feminist issues, was Mary Putnam
91
�Jacobi. She in particular offers a contrast between all of the concepts at work in feminism
(domestic and otherwise) and the entry of women into the field of medicine. Both were
recognized as leaders in the fight of women to enter medicine. Jacobi and Blackwell were
acquaintances but not close friends, for the two had very different temperaments.(8)
Blackwell, as we have seen, entered medicine with an idealistic view of bringing morality
and spiritual guidance to those she treated. Jacobi, on the other hand, simply loved
science—she found joy in the rigidity and rationalism of solving problems and could
indeed cut to the heart of any matter with her sharp intellect. Jacobi criticized Blackwell
as being too sentimental; she complained that Blackwell never paid attention to “the
sphere of practical life within which, that vision if anywhere must be realized. You left
that for others to do…You have always disliked, ignored, and neglected medicine!” (8)
Also in marked contrast to Blackwell, Mary Putnam Jacobi regarded men as
intellectual equals. She believed that working only with other women physicians would
isolate her from the happenings of the medical world and did not shy away from
collaborating with male colleagues. She stressed objectivity to her students, telling them
that “you are liable to be so much and so frequently reminded that you are women
physicians, that you are almost liable to forget that you are, first of all, physicians.”(8)
Again the issue of objectivity versus subjectivity arises, and the ensuing debate: which
should be stressed in the practice of medicine, a science that must inevitably incorporate
elements of both into patient care?
There will never be one correct answer to the eternal objectivity/subjectivity
debate; Jacobi and Blackwell both present valid schools of thought concerning the matter.
The legacy of each pioneering woman allowed for their contrasting feminist creeds to
both remain popular. Well into the 20th century, however, most women believed foremost
in domestic feminism and advocated for a special place in medicine. Not until the 1960s
women’s liberation movement did Jacobi’s feminist ideas stressing equality of the sexes
become highly popular, both within the general population and the medical establishment
(8).
The thought of Elizabeth Blackwell (and also Mary Putnam Jacobi) perhaps
bears re-examination, as we enter the 21st century with scientific fields still dominated by
men and a masculine, objective method as the intellectual goal (5). While Elizabeth
Blackwell’s religious-laden ideas seem outdated and impractical to us today, perhaps we
should revisit some of what she preached, as doctoral care becomes less personal and
patient-oriented. The scientific writer Regina Markell Morantz stresses that “the passage
of time has gradually revealed to us the shocking limitations of laboratory science. Once
again we must return full circle to deal with factors in disease causation that cannot be
92
�measured…in an experimental setting.”(8) As illustrated to modern practitioners by
courageous women who fought to become certified doctors over a century ago: maybe
objective thought is not the ideal in science. Perhaps, in medicine especially, balancing
the objective with subjective, “feminine” thought will allow for the betterment, moral and
otherwise, of the human population.
Works Cited
1. Lutzger, E. Women Gain a Place in Medicine. New York: McGraw-Hill Book
Company; 1969, p.160.
2. Levin, B.S. Women and Medicine. Metuchen, New Jersey: The Scarecrow Press, Inc.;
1980, p.257.
3. Rothman DJ, Marcus S, Kiceluk S, editors. Medicine and Western Civilization. New
Brunswick, New Jersey: The Rutgers University Press; 1995, p.442.
4. Abram RJ, editor. Send Us a Lady Physician. New York: W. W. Norton and
Company; 1985, p.255.
5. Schiebinger, L. Has Feminism Changed Science? Cambridge, Massachusetts:
Harvard University Press; 1999, p.252.
6. Morantz-Sanchez, R.M. Sympathy and Science: Women Physicians in American
Medicine. New York: Oxford University Press, Inc.; 1985, p.464.
7. Keller, E.F. Reflections on Gender and Science. New Haven: Yale University Press;
1985, p.193.
8. Morantz, R.M. “Feminism, Professionalism, and Germs: The Thought of Mary
Putnam Jacobi and Elizabeth Blackwell”, American Quarterly, 1982; 34 (5): 459-478.
93
�
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Volume 5, Number 1
Table Of Contents
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Section I: Eastern Colleges Science Conference -- Abstracts -- 2 Investigating Scaling in Brownian Motion / Brittany Corn and Dr. Otto Raths -- 2 Nanotechnology: The Organic Synthesis of Cyclacenes and Introducing Nanotechnology to the Public / Diana D’Onorio DeMeo, Kim Farrell and Dr. Wendy deProphetis -- 3 The Hormetic Effects of Ethanol: Enhanced Cell Proliferation, Migration and Differentiation as Seen in Surviving Organotypic, Adult Zebrafish Brain Cultures II. An Ultrastructural Analysis / Vincenzo DiMaggio, Richard Maltese, Christopher Corbo, Prof. Linda Raths and Dr. Zoltan Fulop -- 4 Cognitive Dissonance and Intentions to Use Condoms in College Students / Stephanie Nygard and Dr. Amy Eshleman -- 4 Establishing Conditions for the Detection of GFP Transcription in E. Coli Using RT-PCR / Christi O'Donnell and Dr. Roy Mosher -- 5 Absorption-A Physical Interpretation / Kaitlin Buffington and Dr. Otto Raths -- 5 Effects of Seating Arrangements and Assigned Seating on Group Discussion in a Classroom Setting / Meghan Dennis and Dr. Amy Eshleman -- 5 Morphological Description of the Cortex of the Adult Zebrafish Optic Tectum / Nidaa Othman, Christopher Corbo, Prof. Linda Raths and Dr. Zoltan Fulop -- Section II: The Natural Sciences -- Full Length Papers -- 8 Absorption – A Physical Interpretation / Kaitlin Buffington -- Section III: The Social Sciences -- Full Length Papers -- 18 Evaluation of Gender Differences in Mathematics and Science in Early Childhood and Adolescence / Courtney Small -- 26 Sarbanes-Oxley and its Effect on Risk Perception / Cristina Modifica -- 45 The Benefits of Breastfeeding and Formula in Regard to Illness Rates / Lauren Grispo -- 53 Touch and Learning in a Dance Lesson / Jennifer Wiech -- Section IV: Critical Essays -- Full Length Papers -- 62 Progressive or Regressive? Coping with Alleged Fin-de-Siècle Corruption / Elena Beth Pushaw -- 68 The Motivation behind Rear Admiral Grace Murray Hopper’s Perseverance & Extraordinary Accomplishments / Amy Jensen -- 74 Blonde Humor: An Acceptable Form of Prejudice / Nancy Russell -- 80 The Greek Element in Thomas Mann’s Death in Venice / Timothy Cushing -- 88 Elizabeth Blackwell / Alexandra DeArmon
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Wagner College Forum for
Undergraduate Research
Spring 2007
Volume V, Number 2
Wagner College Press
Staten Island, New York City
��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 typically subdivided into three sections entitled The Natural
Sciences, The Social Sciences and Critical Essays. The first of these two sections are
limited to papers and abstracts dealing with scientific investigations (experimental and
theoretical). The third section is reserved for speculative papers based on the scholarly
review and critical examination of previous works.
This issue contains several noteworthy papers which encompass a variety of topics
including memory retention in a noisy environment, female influences on science, the
flow field associated with unsteady buoyant flows and whether or not a nurse’s own
smoking habit impacts his or her effectiveness in rendering smoking cessation education.
The interested reader will explore domestic violence in postwar and modern Spain
through an examination of the identities of female protagonists and find out how and
when rhythm and song enhance memory recall.
Read on and enjoy!
Gregory Falabella and Richard Brower, Editors
��Section I: The Natural Sciences
Full Length Papers
2 An Experimental Investigation of Free Convection in a Rectangular
Enclosure
Jared Jax
Section II: The Social Sciences
Full Length Papers
18 Interference and its Affect on Short-Term Memory Recall
Erin Nemeth
25 Does a Nurse’s Smoking Habits Effect a Patient’s Smoking Cessation
Education?
Eileen Magnuski
34 Lyrical Memory: Can Music Act as a Mnemonic Device in Order to
Enhance Memory Recall?
Elicia Enriquez
Section III: Critical Essays
Full Length Papers
46 Voces y Cuerpos Abusados: Representaciones de la Identidad en
Nada y Te Doy Mis Ojos (English summary)
Mia Romano
49 Voces y Cuerpos Abusados: Representaciones de la Identidad en
Nada y Te Doy Mis Ojos (Full paper)
Mia Romano
70 Female Representations of Science
Sirena LaBurn
��Section I:
The Natural Sciences
�An Experimental Investigation of Free Convection
in a Rectangular Enclosure
Jared Jax (Physics)1
A two-dimensional natural convection process was simulated within a water-filled square
enclosure. To accomplish this, a dye was injected and allowed to settle at the bottom of
the experimental apparatus. When heat was applied to a highly localized region
buoyancy caused a plume to rise. The resulting unsteady motion was captured on video
and analyzed. Different heat inputs allowed for analysis of both laminar and turbulent
convection currents.
I. Introduction
Background
Heat transfer by convection is accomplished primarily by the bulk motion of a
fluid. There is, however, a thin region near solid interfaces where the contribution due to
random molecular motion is significant. In this boundary layer diffusion tends to
dominate due to low fluid velocity. Large amounts of energy can be transported by
convective motion. This is because, at any point in time, vast numbers of molecules are
collectively moving as aggregates. Such bulk fluid motion, in the presence of a
temperature gradient, allows heat transfer to occur at greater rates than that predicted by
diffusion.
Convection can be subdivided into two major subdivisions: free (natural) or
forced convection. The latter occurs when an external agent such as a fan or the wind
initiates a fluid flow. The former, which is the topic of this paper, results from a density
difference in the presence of a gravitational field. A hot fluid is propelled upward by a
buoyant force until its interaction with the surroundings has cooled it sufficiently. It then
descends, heats up and repeats the process forming what is known as a recirculating
region.
As previously mentioned, convective flow can be divided into two regions. The
first is the boundary layer, where diffusion is important; the second is the region outside
1
Research performed under the direction of Dr. Greg Falabella (Physics) in partial
fulfillment of the Senior Program requirements.
2
�dominated by inertia forces. There are many types of boundary layers. The most
common is the aforementioned velocity boundary layer. Another is the thermal boundary
layer. As with the velocity boundary layer, the transfer of heat by random molecular
motion is significant near a solid interface and negligible elsewhere. The relative
thickness of each is given by a dimensionless parameter known as the Prandtl number.
The Prandtl number is a ratio of momentum and thermal diffusivities. A value equal to
unity indicates that the velocity and thermal layers coincide (see figure1). So why does
diffusion dominate near a solid surface? This is due to the fact that molecules in a fluid
exert attractive forces on each other. For a molecule deep within a fluid the net result is
symmetrical. At a solid boundary the situation changes causing those molecules in
1
contact with the wall to assume its velocity. The shearing stresses produced by this no
slip condition enhances the rate of diffusion and also results in the production of
instabilities that can lead to turbulence and enhanced mixing.
0.4
0.4
T
0.3
0.3
0.25
0.25
Y
0.35
Y
0.35
0.2
0.15
0.1
0.1
0.05
0.05
0
0.025
0.05
0.075
0.1
0.7746
0.7230
0.6714
0.6197
0.5681
0.5164
0.4648
0.4131
0.3615
0.3099
0.2582
0.2066
0.1549
0.1033
0.0516
0.2
0.15
0
vertical velocity
0
0
0.025
0.05
0.075
0.1
X
X
Figure 1: The thermal (left) and vertical velocity (right) boundary layers
associated with a vertical flat plate immersed in an unbounded quiescent fluid.
Free convection may be classified on the basis of whether or not the flow is
bounded by a surface. In the absence of an adjoining surface, a free boundary flow (i.e. a
plume or a jet) may occur. In the case of a plume, buoyancy forces cause a fluid to rise
from a submerged, heated object. The width of the plume increases with distance from
the heat source and eventually dissipates due to viscous forces and decreasing buoyancy
as cooling occurs. The distinction between a plume and a buoyant jet is the initial fluid
velocity which is zero for a plume but finite for a jet.2
3
�hot fluid rising
cooler
fluid
being
entrained
heated region
Figure 2: Example of a buoyant plume
The experiment in question differs from a plume in that it takes place in an
enclosed square subject bounded by solid surfaces in all four directions. Because of this
more complex interactions occur after the initial plume has reached its maximum height
(see figure 3).
Figure 3: Free convection in an enclosure
Larger Implications of Natural Convection
Free convective flows have many environmental applications. First is the
rejection of waste heat and particulate matter into the atmosphere by chimneys and
cooling towers. Scientists want to be able to predict the local temperature distribution
and downstream spread and decay under various conditions including temperature
3
inversions.
Also of importance are flows in enclosed or partially enclosed regions. Studies
of bounded free convection greatly improves our understanding and ability to deal with
heat rejection to water, fires, insulation and the cooling of electronic equipment.
4
�Past Work and the Current Research Effort
A good deal of research pertinent to the current investigation can be found in the
AIAA Journal of Thermophysics and Heat Transfer. Torrance and Rockett conducted a
numerical study of the convection of air in a vertically cylindrical enclosure, induced by a
small hot spot centrally located on the bottom. Solutions were obtained for Rayleigh
4
10
numbers ranging from 2.84x10 to 2.84x10 . The theoretical flows were found to be in
4
excellent agreement with experimentally observed laminar flows.
Tamotsu et al performed an experimental and numerical investigation of a
rectangular enclosed cavity, of which part of the bottom was heated while the other walls
5
were kept at a low constant temperature. They varied the Rayleigh number up to 6.9x 10
5
and obtained results that agreed qualitatively with other experimental observations.
Ahmed and Yovanovich considered an enclosure consisting of two vertical
boundaries of height, H and two horizontal boundaries of length L, in which one of the
vertical boundaries is cooled at a temperature Tc and the other subjected to a discrete heat
source on an otherwise adiabatic surface. The top and bottom boundaries were also
6
perfectly insulated.
Hasnaoui, Bilgen and Vasseurt considered a viscous fluid within a rectangular
cavity of length L and height H. The lower surface was maintained at a temperature Th
which is higher than the temperature Tc of the top. The rest of the bottom wall was
insulated, and the distance between the center of the heated element and the vertical axis
of symmetry of the cavity is E such that when E = 0 the heat source is centrally located
7
on the bottom surface.
Like many of these and other investigations the current research examines the
motion of a viscous fluid within a rectangular enclosure. It, however, differs from most
in that a highly localized heat flux is applied at a precise location. Most other research
endeavors impose temperature differences or heat addition on a larger scale involving an
entire surface or good portion of it. Furthermore, the behavior of the resulting motion is
videotaped and carefully scrutinized.
II. Theory
A subset of the phases of matter, fluids include liquids, gases, plasmas, and to
some extent, plastic solids. Fluids share the properties of not resisting deformation and
the ability to flow (otherwise described as their ability to take on the shape of their
8
containers). These properties are typically a function of their inability to support a shear
stress in static equilibrium. While in a solid, stress is a function of strain, in a fluid stress
is a function of rate of strain. If the stress is directly proportional to the transverse
5
�velocity gradient (σ=µdu/dy) the fluid is said to be Newtonian. Air and water are
Newtonian fluids. Many other fluids such as paint, ketchup, polymers and blood have a
9
more complex strain rate and are classified as non-Newtonian fluids.
The behavior of fluids is described by modeling the fluid as a continuum and
treating all flow properties as functions of space and time. In essence the large numbers
of events in the microscopic world are averaged out since it would be impossible to
individually tract and analyze each one. This approach is only valid if the mean free path
of the molecules is much smaller than that of the dimensions of the area under
investigation. In other words, if distance between molecules is large (as in the upper
layers of the atmosphere) molecular interactions are too spread out to be used with this
10
method; however, if there is a smaller spacing the use of this hypothesis is valid. When
the conservation of mass, momentum and energy are applied under this Eulerian
approach a set of partial differential equations describing the flow field results. Known
collectively as the Navier-Stokes equations, they can theoretically be used to describe any
situation under the continuum assumption. Unfortunately, closed form solutions only
exist for a handful of textbook problems. Real world application often requires numerical
methods and/or simplifying assumptions.
Many practical problems involve Newtonian fluids (e.g. air, water) and are, for
the most part, incompressible (associated with Mach numbers less than 0.1). As a result,
if constant properties are assumed and the analysis restricted to two dimensions the
Navier-Stokes equations can be expressed:
∂u ∂v
+
=0
∂x ∂y
⎛ ∂ 2u ∂ 2u ⎞
∂u
∂u
∂u
1 ∂p
+u
+v
=−
+ f x + ν⎜ 2 + 2 ⎟
⎜ ∂x
∂t
∂x
∂y
ρ ∂x
∂y ⎟⎠
⎝
⎛ ∂2v ∂2v ⎞
1 ∂p
∂v
∂v
∂v
+u
+v
=−
+ f y + ν⎜ 2 + 2 ⎟
⎜ ∂x
∂t
∂x
∂y
ρ ∂y
∂y ⎟⎠
⎝
ρc p
2
⎡⎛ ∂u ⎞ 2 ⎛ ∂v ⎞ 2 ⎤
⎛ ∂ 2T ∂ 2T ⎞
⎡ ∂v ∂u ⎤
∂T
∂T
∂T
+u
+v
= k ⎜ 2 + 2 ⎟ + q ′′′ + 2µ ⎢⎜ ⎟ + ⎜⎜ ⎟⎟ ⎥ + µ ⎢ + ⎥
⎜ ∂x
∂t
∂x
∂y
⎢⎝ ∂x ⎠
∂y ⎟⎠
⎣ ∂x ∂y ⎦
⎝ ∂y ⎠ ⎥⎦
⎝
⎣
Furthermore when dealing with free convective flows it is often possible to
expect that the velocity along a surface will be much larger than that normal to it,
whereas for gradients the opposite is true (i.e. convection dominates parallel to the
surface and diffusion normal to it). Additionally viscous dissipation and pressure
changes perpendicular to the primary flow direction may be minimal and neglected. In
6
�other words, the boundary layer is thin and viscous effects are confined to extremely
small regions close to solid surfaces (no separation). After performing an out of
magnitude analysis to confirm this, a considerably reduced subset of the Navier-Stokes
equations known as the boundary layer equations can be used to analyze the fluid.
∂u ∂v
+
=0
∂x ∂y
1 ∂p
∂u
∂u
∂u
∂ 2u
+u
+v
=−
+ fx + ν 2
ρ ∂x
∂t
∂x
∂y
∂y
∂p
= ρf y
∂y
⎡ ∂u ⎤
∂T
∂T
∂ 2T
∂T
+u
+v
= α 2 + q ′′′ + µ ⎢ ⎥
∂t
∂x
∂y
∂y
⎣ ∂y ⎦
2
Lastly, since constant properties have been assumed some means of accounting
for the variable density that gives rise to the buoyancy force must be employed. To
accomplish this a linear dependence of the density on the temperature is assumed and
the definition of the volumetric coefficient of thermal expansion, Β applied as shown
below:
1 ⎛ ∂ρ ⎞
1⎛ ρ −ρ ⎞
⎟
β=− ⎜
⎟ ≈ − ⎜⎜ ∞
ρ ⎝ ∂T ⎠ P
ρ ⎝ T∞ − T ⎟⎠
Dimensionless Parameters
In order to simplify the analysis of the data a dimensionless analysis will be utilized
to package many variables into a smaller number of dimensionless parameters. Doing so
generalizes the results and makes them easier to apply to a wide variety of cases. These
parameters may only be used if the equations obtained are dimensionally homogenous (as
opposed to empirical). The dimensionless parameters relevant to the study of buoyant
11
flows are :
• Reynolds number, ReL=vL/ν, is the ratio of inertia to viscous forces, and indicates
whether the flow is in a laminar or turbulent regime. For external and internal flow
transition from laminar to turbulence occurs at ReL = 500,000 and Reh = 2300
respectively.
7
�• Prandtl number, Pr=ϖ/α, is the ratio of the momentum and thermal diffusivities and
indicates the relative size of the thermal and velocity boundary with respect to each
other.
• Nusselt number, NuL=hL/k, is the dimensionless temperature gradient at the surface
and indicates how fast heat is being transferred to or from a boundary.
• Grashof number, GrL=gΒ(Ts-T•)L /ν , plays a similar role in free convection to that
of the Reynolds number by predicting when the flow is turbulent. It is the ratio of
buoyancy to viscous forces.
3
2
• Rayleigh number, RaL = GrL*Pr, is an adjusted form of the Grashof number which
more accurately predicts transition to turbulence for free convective flows. When
9
RaL >10 turbulence must be considered.
III. Experimental Approach
Problem Formulation
Our concern will rest in the motion of a viscous fluid within a square cavity of
length L, width W and thickness t. Because L>>t and W>>t we can assume a twodimensional analysis. There will be a discrete heat source placed at the bottom of the
cavity, centrally located on the inside wall. All of the walls will be adiabatic except for
the location at the bottom where the heat source is applied. The temperature of the fluid
Tf will be much less than that of the rod Tr and the temperature outside the box will be at
constant room temperature T•.
All properties of the fluid will be considered constant, except the density giving
rise to the buoyancy force. The heat will be transferred to a specific location in the fluid
o
via the rod. Two cases will be analyzed. For the first the rod will be maintained at 80 C
so as to produce a laminar flow. The second will involve continually heating the rod
under the flame of a Bunsen burner in an effort to produce turbulent structures.
Designing an Appropriate Apparatus
• Find an appropriate dye that will rest on the bottom of the container until circulated
by convection currents.
• Choose a material to construct the walls of the enclosure, which is transparent and
able to withstand the pressure of the fluid.
• Select a material which is capable of efficiently transferring heat to the enclosure.
8
�• Choose an adhesive which is capable of not only holding the walls together but can
also prevent leaking.
• Determine a means of maintaining the rod at a constant temperature.
• Find a way to insulate the inside box, so that all walls are adiabatic.
• Find a way to inject the fluid into the box.
• Ensure that the box can be drained so that multiple runs can take place
• Determine a way to insulate the rod.
• Decide how to elevate the entire structure so that heat may be applied to the rod
from below.
Parameter Selection
• Regular tap water will fill the enclosure and McCormick’s food coloring will serve
as a contrast agent.
• The 30.5cmx30.5cmx1.25cm enclosure will be built out of Plexi-glass. It will be
held together initially with super glue and plexi-glass adhesive. Later it will be
sealed with hot glue and caulk.
• In order to insulate the box a double pane structure will be utilized. This thermal
barrier will minimize heat lost to the surroundings during the experiment.
• A seven inch long aluminum cylindrical rod of diameter equal to the thickness of
the structure will be placed flush against the inside bottom wall at the center. In
order to insulate the rod a hollow Styrofoam cylinder with an inside diameter equal
to that of the rod, will be placed on the outside surface (see figure 4). This
Styrofoam cast will then be wrapped in duct tape so as to insure insulation and
prevent any unnecessary heat loss.
• The injection system used to spread the dye eventually on the bottom of the
enclosure consists of a seal that can be broken and re-sealed automatically after
having been punctured multiple times without allowing any leaks. This syringe cap
will be secured to the side of the inside box allowing the food coloring to be
introduced via a syringe.
• The drainage system will be a small cylindrical hole drilled through the outer and
inner top wall.
9
�• To elevate the structure two supports, each with two clamps, set at heights greater
than two feet will be placed next to each other. Below the apparatus will lie a large
beaker of water maintained at a constant temperature through manual control of a
Bunsen burner.
Execution of the Experiment
Constructing the apparatus was more difficult than expected. The primary
difficulty was finding the right combination of adhesives to get the maximum hold.
Leaks plagued many test trials because structures, initially water tight, would succumb to
the sustained pressure of the water during the experiment. Another problem was getting
the outer bottom casing to support the weight of the water and prevent the inner cavity
from falling through (see figure 5). With regard to the injection of the food coloring it
was tricky to get the needle in just the right spot but otherwise things went smoothly.
After these problems had been corrected a video camera was placed
approximately ten feet from the apparatus and recording began. The heat source was
o
o
stabilized at 80 C, the structure filled with water (18 C) through the drain using a funnel,
and food coloring introduced with the aid of a needle.
Figure 4: The aluminum rod used to transfer heat from a constant temperature source.
Figure 5: The bottom of the enclosure without the aluminum rod in place
(note the syringe cap on the right hand side of the inner box)
10
�IV. Results
First Run (Pr≈6, RaL≈10 )
For this case heat was delivered from a constant temperature source maintained
o
at 80 C. Quick estimates using a lumped parameter approach indicated that the food
coloring in the vicinity of the aluminum rod’s surface would take approximately one
minute to become hot enough to initiate convection currents.
8
− hA s (T − T∞ ) = ρVc p
T = T∞ + (T∞ − Ti )e
t=
ρVc p
−
⎛ T − Ti
ln⎜⎜ ∞
hA s ⎝ T∞ − T
dT
dt
hA s
t
ρc p
⎞
⎟⎟
⎠
Ti – temperature of the heated end of the rod
T• – the temperature of the water
As- surface area in contact with the dye
V- volume of the cylindrical rod
h – the heat transfer coefficient between rod & dye
cp – the specific heat of aluminum
ρ – the density of aluminum
It took a little over three minutes before buoyant flow took place most likely due
to the conduction of heat away from the contact area. The flow began as a plume rising
vertically upward with an initial of velocity of 0.12 cm/s (see figure 6).
Figure 6: Plume forms and begins to rise
It had two distinct segments at first but then began to form branches descending
back to the bottom of the enclosure. Interestingly, these branches were inside the plume
and did not form recirculating regions. This is because the dye which cooled upon rising
fell back into the main body and quickly picked up additional heat. This process allowed
the plume to rise rapidly thereby transporting heat away from the base (see figure 7).
11
�Figure 7: Branches form within the main column
Five minutes into the experiment vorticity inside the plume was apparent at
many locations but the aggregate structure was still a slowly rising vertical segment (see
figure 8). At six minutes the plume’s ascent had stopped and large recirculating regions
began to form outside the vertical column but primarily on the left. A slow leak on the
left side and a slight tilt had apparently biased the flow. Noteworthy is the fact that the
streamlines are everywhere smooth indicating that the flow was laminar as expected.
Figure 8: Vorticity within the plume.
Figure 9: The formation of major external recirculating regions
12
�After several minutes had passed a large mass formed in the center indicating
that a thorough mixing had occurred. The mass, however, was by no means uniform and
close inspection revealed the evolution of many interesting structures (see figure 10).
Figure 10: Formation of a large central mass
When thirty minutes had elapsed the structure was inspected and appeared more
symmetrical. At this time it occupied most of the enclosure. Secondary recirculating
regions had formed at the top and the upper corners. A dark steady stream of food
coloring still made its way from the bottom. Alas, a steady-state had been reached.
Figure 11: Steady-state
Second Run (Pr≈6, RaL≈10 )
In an effort to produce turbulent flow the lower end of the aluminum rod
(approximately 20% of the total volume) was placed in direct contact with the flame from
a Bunsen burner. In less than a minute a thin, concentrated column began rapidly rising
at a rate of 0.5cm/s (see figure 12). Shortly afterwards the central plume began to thicken
and after only 150 seconds hit the top of the enclosure.
10
13
�Figure 12: Strong, concentrated plume rises rapidly and thickens
As the fluid met the top boundary it began to fall because of the impact and then
on its way down formed recirculating regions. In contrast to the previous run, the
confines of the enclosure and rapid rate of heat transfer had a significant impact on the
resulting flow field. Although natural convection was present its only obvious
manifestation was the central plume rising from the heat source (see figure 13).
Figure 13: Rebounding and recirculating flow patterns
Three minutes into the experiment small tightly wound turbulent structures form
and are most noticeable on the edges of the falling fluid. The shape of the plume is
almost symmetric.
Figure 14: Turbulent vortices appear
14
�V. Conclusions
After a thorough review of the video taped results it was concluded that natural
convection caused by a discrete heat source in a square cavity produces complex
structures especially when either the enclosure is small, highly confined and/or when
turbulence is present. In fact, even laminar flow subject to small perturbations can
produce interesting and possibly unforeseen results. As expected, the Rayleigh number
was a good indicator of the flow regime. Possible future work could include numerical
simulations or irregularly shaped cavities.
VI. References
1. Panton, R. Incompressible Flow, John Wiley & Sons, New York, 1984, pp.11-12.
2.
Incropera, F. and DeWitt, D. Fundamentals of Heat and Mass Transfer, 2nd Edition,
John Wiley and Sons, 1985, p.419.
3.
Jaluria, Y. and Torrance, K. Computational Heat Transfer, Hemisphere Publishing
Corporation, NewYork, 1986, pp.301-313.
4.
Torrance, K. and Rockett, P. “Numerical Study of Natural Convection in an
Enclosure with Localized Heating from Below – Creeping Flow to the Onset of
Laminar Instability”, Journal of Fluid Mechanics, Vol. 36, 1969.
5.
Tamotsu, “Heat Transfer by Natural Convection in an Enclosed Cavity”, Kogaku
Ronbunshu, Vol. 1, 1975.
6.
Hasnaoui, M., Bilgen, E. and Vasseur, P. “Natural Convection Heat Transfer in
Rectangular Cavities Partially Heated from Below”, Journal of Thermophysics and
Heat Transfer, Vol. 6, No. 2, 1992.
7.
Ahmed, G. and Yovanovich, M. “Numerical Study of Natural Convection from
Discrete Heat Sources in a Vertical Square Enclosure”, Journal of Thermophysics
and Heat Transfer, Vol. 6, No. 1, 1992.
8.
“Fluid”, Wikipedia. http://en.wikipedia.org/wiki/Fluid.
9.
Fung, Y. A First Course in Continuum Mechanics, 3rd edition, Prentice Hall,
Englewood Cliffs, NJ, 1994, pp.201-202.
15
�10. Batchelor, G. K. An Introduction to Fluid Dynamics, Cambridge University Press,
New York, 1967, pp.4-6.
11. Incropera, F. and DeWitt, D. Fundamentals of Heat and Mass Transfer, 2nd Edition,
John Wiley and Sons, 1985, p.283.
16
�Section II:
The Social Sciences
�Interference and its Effect on Short-Term Memory Recall
Erin Nemeth (Psychology)1
This study was designed to show that trying to retain information in a noisy environment
will ultimately lead to a lower retention level of that information due to interference. The
experiment consisted of twenty two participants. The participants answered questions that
would give educational background and any medical history of memory problems or
hearing disorders. The results of the study indicated that students who are in noisy
environments retain less information in a testing situation than those in a quiet
environment when all other testing conditions are kept constant. The experiment showed
that there is a real correlation between interference and short term memory retention and
that most students feel they perform better in quiet conditions. The hypothesis is
supported and with further research can be strengthened and more intricate.
I. Introduction
Interference such as noise will negatively affect a person's ability to recall
information from a passage due to the focused rehearsal necessary to achieve retention in
the short term memory. Older adults tend to have trouble understanding speech in
situations where more than one conversation is taking place according to Schneider,
Daneman, Murphy and Kwong (2000). When more than one task is expected of an older
or younger adult, the short term memory loses some of its ability to retain specific
information and thoughts or information become jumbled in the wake of cognitively
multitasking.
Schneider et al. (2000) suggest that listening for detailed information under
noisy conditions ultimately affects a person's comprehension of the information whether
they are young or old. The researchers used a participant sample of 12 normal-hearing
young adults and 12 normal hearing older adults to test age differences in retaining
information under noisy conditions (Schneider et al., 2000). In their experiment the
participants had to listen to a passage and answer subsequent questions about it, under
three conditions, low noise, moderate noise and high noise (Schneider et al., 2000). The
results show that both the young and old adults see a decline in their ability to recall
information under these conditions; however the older adults show a larger rate of decline
(Schneider et al.,2000). When the experiment is adjusted to the hearing needs of all
1
Research performed under the direction of Dr. Richard Brower (Psychology).
18
�individual participants both young and old scored similarly in their rate of decline.
According to Schneider et al. (2000), this suggests that the age differences were more
related to hearing ability than a cognitive decline and that noise in general significantly
interferes with a person's ability to focus on and retain detailed information in their shortterm memory.
Murphy, Craik, Li and Schneider (2000) designed a study to find out more about
age related memory decline. In order to test whether background noise would lead to
poor memory of spoken words remembered, five experiments were put into effect
(Murphy et al., 2000). The first experiment tested younger adults under three conditions
of no noise, low background noise and high background noise (Murphy et al., 2000). The
second experiment tested younger and older adults in quiet conditions, while the third
tested both groups under noisy conditions that were adjusted to each participants hearing
needs so they were equally likely to hear the same amount of words (Murphy et al.,
2000). The fourth experiment tested young and old adults on their specific abilities to
hear the correct words whereas the final experiment tested a different sample of young
adults in a high noise environment so as to serve as a baseline of comparison to
experiment three's findings (Murphy et al., 2000). Murphy et al. (2000) concluded that
the effects of noise and interference on young adults' short term memory are similar to
the effects of aging.
Kemper, Herman and Lian (2003) examine younger and older adults' ability to
perform other tasks while retaining speech fluency and accuracy. Participants were asked to
talk while engaging in a concurrent task such as walking, complex finger tapping, simple
finger tapping, and ignoring speech or noise through headphones (Kemper et al., 2003). The
speech of the young and old adults did not seem to be greatly affected by performing a
motor or selective attention task. Only when the finger tapping was taking place, did
participants seem to lose their focus (Kemper et al., 2003). One interesting finding in this
study is that younger adults were more affected by the background noise and selective
attention process than the older adults were (Kemper et al., 2003). This study shows that
language is the exception to the general idea that older adults suffer more short term
memory retention problems while performing concurrent tasks (Kemper et al., 2003).
The current study will examine noise interference's relation to short term
memory retention in a sample of college students. The study was designed to explore the
relationship between background noise and the ability to retain specific details from
passage. Since no previous medical background information is submitted by the
participants, the group is considered to be a normative sample of students. The
participants in this study will all be college students and at the end of the study they will
19
�have the opportunity to write what their perception of their performance in either a noisy
or quiet environment is. Researchers will examine whether the perceptions match the
final results of the study. My hypothesis is that students trying to recall details under
noisy conditions will recall significantly fewer facts than those under quiet conditions and
the self-reports will be concurrent with the results of the study.
II. Method
Participants
The initial sample for this study consisted of 18 female and 6 male college
students, ranging in age from 19-21 (M=20.3, SD=.64). Participants were asked if they
would like to participate in a study involving the relationship between memory and noise
interference. Participants were given a self-report survey to gain background knowledge
on their educational status. Participants were asked to read a nonsense paragraph and
answer the questions that followed. Participants agreed to participate on a voluntary basis
and were given refreshments for their efforts. Two participants had to be removed from
the study because of insufficient data on the self-report survey, leaving the study with 22
final participants. The participants were asked to create an ID code to insure
confidentiality in the self-report and were asked to be sure the code remained consistent
on any subsequent forms. The paragraph and questions were given during individual and
group settings in either quiet or noisy environments. The participants were also told they
could write how they thought they did in either environment at the end of the study and
that results could be given to them at the completion of the study if they wanted them.
Materials
A self report survey was used to determine the participants' educational
background as well as gender, age and year of study. The survey was created with an
open ended question format and was used for research purposes. A nonsense paragraph
was created for the participants to read under the conditions of a noisy or quiet setting.
The paragraph contained a simple story with key words in each sentence. The words and
phrases used were of an average to low vocabulary so researchers could test for memory
retention without creating words that were too difficult to understand or remember for all
readers. A question sheet about the paragraph was created for the participants to answer
questions about what they had just read. The questions contained the key words from the
sentences in the paragraph and participants were given one point for each correctly
answered question. Scores were used to test the overall retention of the key ideas.
Participants were told that they could write their perceptions of how well they answered
20
�the questions on the bottom of this page. A radio was used to create noise interference
with loud music in one group of participants. The radio was set at a volume that was loud
but would not make the participants uncomfortable.
III. Procedure
Participants were randomly selected for one of two groups either the quiet
environment or the noisy environment. Upon arrival a self report data sheet was handed
out to gain the participants demographics and educational background. The participants
were instructed to create an ID code for confidentiality purposes and were told to place it
at the top of every paper we gave them. Participants were given as much time as they
needed to fill out the survey and when they were through they were asked to place the
paper face down so as to protect confidentiality. The testing conditions were quiet for one
group and once all surveys were complete a loud radio began playing in the other group
so as to test for memory through noise interference. A nonsense paragraph was handed
out to all participants and they were told to read through the paragraph and raise their
hand when they had completed it. When the participants completed the paragraph a sheet
of questions pertaining to the information they had just read was handed out. The
participants were asked to answer them to the best of their abilities and alert the proctor
when finished. When the participants were done answering the questions, the test givers
collected the sheets making sure to place them face down in a pile so no confidentiality
breaches occurred. Participants were offered the opportunity to write about their
perceptions of their performances on the question sheet and were told that results of the
experiment could be given to them at the end of the study if they wanted them.
Participants were thanked for their participation and were given refreshments for their
efforts.
IV. Results
To test the hypothesis that people who try to memorize and retain information
under noisy conditions will retain less than those under quiet conditions a correlation
study was conducted. Participants on average had scores of (M=5.09, SD=1.06) on the
answer sheet for both the groups (M=5.14, SD=1.04) on the perception for both groups
(see Table 1). The scores on the answer sheet from group 1 were correlated with the
scores from group 2 which showed some correlational validity to the experiment. The self
report perception answers were correlated with the study results to show validity in the
experimental perceptions of the participants. The participants' responses to the self-report
survey showed no previous medical history of memory difficulty or hearing disorders and
overall participants reported being able to concentrate more in quiet environments. The
21
�participants' perception scores in most cases were higher than their true scores showing
that they did not appear to be intimidated by the environmental factors. The hypothesis of
this study appears to be confirmed.
Table 1: Mean and Standard Deviations of Passage Answer Sheet Scores for Participants
Groups
Answer Sheet Scores
Perception Scores
Quiet Group
(M=5.27, SD=1.01}
(M=5.18, SD=0.87)
Noisy Group
(M=4.91, SD=1.14)
(M=5.09, SD=1.22)
V. Discussion
Previous research has suggested that there are significant positive correlations between
environmental noise and memory retention when under testing conditions (Murphy et al.,
2000).The present study intended to extend this research by using a normative sample of
college students and using self report perception answers to add to the research results.
The results of this study support the hypothesis that people trying to concentrate under
noisy conditions will retain less information than those in quiet conditions. Therefore
according to the results, this study suggests that students are adversely affected by noise
in testing environments. This study is important to everyday life because it indicates to
students and researchers that they should take these results into consideration when
creating testing environments and performing academic tasks. The perception scores
indicated that although the participants wrote down that they concentrated better in quiet
environments on the self-report survey, they did not feel that the noise had adversely
affected their performance. However as the results confirm, the students in the noisy
environment did on average retain less information and had more trouble answering the
questions.
The study conducted by Kemper, Herman and Lian (2003) is related to the
current study because of its use of reading samples as well as its final results. (Kemper et
al., 2003) demonstrated that doing two things at once can often lead to unequally divided
attention and decreased memory retention. The results of their study coincided with this
study on many levels and served as a great starting point for this measure. If this study
were to be performed again, the researcher would need to receive a greater number of
participants to be sure that the results are not merely coincidental or based on the
educational level of the surveyed population. Also researchers could try varying the level
of noise in the noisy condition groups to see how the varying levels would coincide with
22
�the results. Overall this study showed some positive correlation but on the whole could
have been a much stronger representation with increased data.
VI. References
1. Kemper, S., Herman, R. E., & Lian, C. H. (2003). “The Costs of Doing Two Things at
Once for Young and Older Adults: Talking While Walking, Finger Tapping, and Ignoring
Speech or Noise”, Psychology and Aging, 18,181-192.
2. Murphy, D. R., Craik, F. I., Li, K. Z., & Schneider, B. A. (2000) “Comparing the
Effects of Aging and Background Noise on Short-Term Memory Performance”,
Psychology and Aging, 15,323-334.
3. Schneider, B. A., Daneman, M., Murphy, D. R., & Kwong, S. (2000). “Listening to
Discourse in Distracting Settings: The Effects of Aging”, Psychology and Aging, 15,110125.
Appendix A: The Self Report Data Sheet
ID number_______
Sex: ______
Age: ______
Yr. in School: ______
Do you have a previous history of any memory problems?
Have you ever had problems in school because of your memory?
Do you require any type of hearing device?
Do you feel like you concentrate better in noisy or quiet environments when it comes to
reading and memorizing information?
23
�Appendix B:
ID Number________
Please read through this paragraph. You will have 3 minutes to look it over, however if
you finish before three minutes please raise your hand. Thank you for participating in this
study!
Sally woke up on a beautiful Saturday morning. She brushed her teeth and got dressed for
her day. She then made herself eggs and toast for breakfast. After breakfast she took a
drive in her blue Saturn to the supermarket. At the supermarket she purchased tomatoes,
cheese, apples and milk. On the way home from the market she picked up a newspaper
and a bag of M&M's from a sidewalk stand. When she got home, she put away the
groceries and sat down to read the paper. She thought to herself as she began to read "I
love relaxing on the Weekends".
Appendix C:
ID Number ______
Please answer the following questions on the reading to the best of your ability. When
you are through, please write the number of questions you think you answered right on
the bottom of the page and raise your hand to let the proctor know you are through.
1. What day of the week is it when Sally wakes up?
2. What 2 items did Sally make for breakfast?
3. What color car did Sally drive to the market in?
4. What 4 items did Sally buy at the market?
5. What did she pick up on the way home from the market?
6. What did Sally say she loved to do?
24
�Does a Nurse’s Smoking Habits Affect
a Patient’s Smoking Cessation Education?
Eileen Magnuski (Nursing)1
This abstract outlines a research project that investigated the effect of a nurse’s smoking
history on the amount of smoking cessation education offered to patients. As seen in
many research articles, smoking is a major healthcare problem. However, most people
who smoke have a desire to quit, and nurses are proven to be an extremely effective tool
in helping them. It is also seen that a nurse’s attitude toward smoking can affect the
quality and amount of smoking cessation education offered.
An anonymous
questionnaire was administered to thirty five randomly selected registered nurses on their
smoking habits and smoking education practices. It was expected that nurses who
smoke feel less comfortable giving smoking cessation education and do it less frequently
than nurses who do not smoke. Final results supported the hypothesis, revealing that
nurses who smoke are less effective at providing teaching than nonsmokers, and quitters
provide the best smoking cessation education. These findings are clinically significant,
showing a need for aggressive smoking cessation education among nurses in order to
make patient education effective.
I. Introduction
Smoking is a major issue in healthcare, society, and the nursing
profession. Complications from smoking take many lives every year and cost the health
care system an enormous amount of money. Nursing as a profession of educators must
teach preventative health and provide smoking cessation information to patients and
clients they encounter. However, this may prove to be a complex task if the nurses
themselves are the smokers. The main purpose of this research project was to study the
impact of a nurse’s smoking history on the amount of patients receiving smoking
cessation education. The research aimed to ascertain if a nurse who smokes puts patients
and clients at a disadvantage by not providing education. The independent variable is the
nurse’s smoking history; nonsmokers, current smokers, or past smokers. The dependent
variable is patient education rates.
1
Research performed under the direction of Dr. Lauren O’Hare (Nursing).
25
�Research Questions and Hypothesis
The research questions for this project included:
1. How often does each history group provide education materials?
2. How comfortable does each group feel with educating these patients?
3. If the nurse’s smoking history changed, would they respond differently
to frequency of education and level of comfort?
The main question was:
Does the smoking history of a nurse affect the availability and level of
smoking cessation education to the patient?
One hypothesis is that the smoking history of the nurse will affect the availability
and level of education of the patient. An alternative hypothesis is that nonsmokers
(quitters and nurses who never smoked) will be more likely to educate on smoking
cessation compared to nurses who are smokers.
Review of Literature
Smoking and smoking cessation are ever-present issues in healthcare. “Tobacco
use continues to be the leading cause of preventable illness and death in the United
States.” (Bialous, Sarna, Wewers, Froelicher, &Danao, 2004, pg 387) Nursing education
is paramount to smoking cessation and education. “As the largest group of health
professionals, nurses play an essential role in helping patients to stop smoking. If only
half of the 2.3 million U.S. nurses could help one person a month to quit smoking, every
year nurses could help some twelve million smokers quit.” (2004, pg 55). These statistics
and studies have proved the urgent need for smoking cessation education in the American
population, and the effectiveness of nursing interventions.
A nurse's teaching alone would be less valuable if the population was
unreceptive to quitting. Studies have proven that this is not the case. In the above study
by Bialous and Sarnous, it is revealed that seventy to eighty percent of smokers want to
quit but are unable to do so without assistance (2004, pg 58). In a more detailed example,
a phenomenological study was performed to assess the willingness to quit smoking
among psychiatric clients, a population with an extremely high rate of smokers. (Greene
& Clarke, 2005, pg 19). It was determined not only that people with mental illnesses are
aware of smoking cessation programs and have a desire to quit, but also that “the lack of
participation of mental health care providers in promoting smoking cessation is a
complex issue that may affect the client’s willingness to quit.” (2005, pg 24).
26
�It is important to examine nurses’ attitudes towards smoking and cessation
education. A study investigating this issue found that nurses often feel guilt about their
own smoking habits, and experience a lack of understanding and support from their
coworkers and family related to their quitting. (Bialous, et al, 2004, pg 391). “Both the
current and former smokers expressed shame and guilt about smoking, and described
pressures and frustration from friends and family members who assumed nurses “know
better” than to smoke.” (pg391). Also revealed in this study was that both smokers and
ex-smokers felt that nurses could and should play a strong role in promoting cessation
among the patient population, but several stated that this would be achieved only after
nurses had helped themselves quit smoking. Another study examining the attitudes of
nurse’s towards smoking in the workplace finds that “hiding smoking from patients and
their families” is a common theme and that “strategies are needed to support smoking
cessation” among nurses in the workplace. (Sarna, Bialous, Wewers, Froelicher, &
Danao, 2005, pg 87).
The need for studies into the effect of a nurse’s smoking history on patient
education and cessation are evident. Nurses play a major role in educating patients, and
people want to quit smoking. Yet nurses and patients report that the nurse’s history and
attitudes affect their education. Such studies would be extremely useful to continuing
smoking cessation through helping nurses quit to improve the education given to patients.
II. Methods
A sample population of thirty five registered nurses from various areas of local
hospitals and nursing homes were used. Age, gender, and race were not significant
variables in this project. Selection of the subjects was randomized based on availability.
For example, one group questioned was all the nurses on a day shift at a local hospital.
The independent variable is the nurse’s smoking history; specifically, nonsmokers,
current smokers, or past smokers. Nonsmokers are individuals who have never smoked,
current smokers are individuals who do smoke, and past smokers are individuals who
have smoked but quit and do not currently smoke. The dependent variable is patient
education rates. This can be defined as the rate of smoking cessation education each
nurse reports.
An operational definition for smoking cessation can be any counseling (verbal or
written) that a nurse provides a patient or client about the need to quit or the methods for
quitting smoking.
Randomly selected nurses were given a brief questionnaire. The self report
question form included seven close ended dichotomous and multiple choice questions.
(see Appendix A). Topics addressed included the following:
27
� Smoking history
How often the nurse educates on smoking cessation currently
How comfortable the nurse feels educating currently
Frequency and level of comfort of the smoking nurse based on hypothetical
situations
Frequency and level of comfort of the nurses who quit compared to when they
were smokers.
No names or identifying data were collected. Completed forms were dropped in a
sealed box to further ensure anonymity. Information on the top of the survey ensured
people of their anonymity and gave information about agencies that could help the
smokers quit.
Data collection methods included tallying all survey results, calculating percentage
values to assign to each, and compiling the results into bar graphs. (See attachment #2)
III. Results
The results revealed that 37% of participants currently smoked, 29% never
smoked, and 34% had quit smoking.
Of the subjects who currently smoked, 15% reported frequently giving smoking
cessation education to their patients, while 54% said they rarely did and 31% said they
never provided education. This same smoking group had 54% of those surveyed say they
felt very uncomfortable about providing education, 31% somewhat uncomfortable, and
15% unsure about how they felt. When questioned about how their actions would change
if they quit smoking, 54% said they would always provide education, and 46% said they
would frequently provide education, 69% reported that they would feel very comfortable
providing the education if they quit, and 31% said they would feel somewhat
comfortable.
Those surveyed who reported having quit smoking revealed that they provided
cessation education frequently (83%) and always (17%), with 83% feeling very
comfortable giving the education, while 17 % felt somewhat comfortable. Prior to
quitting, 33% of these nurses frequently gave education, 33% rarely gave, 17% never
gave, and 17% were unsure about how often they supplied education. While they were
still smokers, 17% felt somewhat comfortable giving the education, 50% felt somewhat
uncomfortable, and 33% felt very uncomfortable.
Nonsmokers responded that they gave smoking cessation education always (20%
of the time), frequently (60%), and rarely (20%). They either felt very comfortable
providing the education (80% of the time), or somewhat comfortable (20%).
28
�IV. Discussion
Smokers had the lowest reported rates of providing smoking cessation education,
with 15% frequently providing cessation education. Quitters had the best rates at 100%
providing education frequently or always, and those who never smoked taught about
smoking cessation only 80% of the time frequently or always.
Smokers also reported feeling the least comfortable about providing education,
with 85% feeling very or somewhat uncomfortable teaching. Quitters and nonsmokers
both felt very to somewhat comfortable 100% of the time, with quitters feeling very
comfortable 83% of the time in comparison to nonsmokers 80%.
Patients who smoked said they would counsel always or frequently (100% of the
time) as opposed to frequently (15%) while smoking. They predicted they would feel
very to somewhat comfortable 100% of the time if they quit, as opposed to 0% of the
time while they were smokers.
Quitters reported that they only frequently gave education while they were
smoking 33% of the time, compared to always and frequently 100% of the time when
they quit. They reported feeling somewhat comfortable providing that education only
17% of the time compared to 100% very to somewhat comfortable when they quit.
These statistics support the hypothesis that a nurse’s smoking history does affect
the availability and level of education the patient receives, and that nonsmokers (quitters
and those who never smoked) provide more smoking cessation education than smokers.
Nurses who quit provided the most care and felt the most comfortable, followed by
nonsmokers and then smokers. Also assisting in the support of this hypothesis is the data
that indicates quitters’ rate of educating and level of comfort increased tremendously
from when they were smokers, and smoking nurses believed that they would give a
significant amount more education and feel much more comfortable doing so if they quit.
These findings are very clinically significant. With patient care being the top
priority, smoking cessation education and programs for smoking nurses are a must in
order to also fully educate the smoking patient population. It might also be useful to
teach nonsmokers more about how to provide education and what smoking is like, in
order to increase comfort levels when educating. With the nurse having an enormous
influence on teaching patients and affecting their lifestyle, and as indicated in this study,
the nurse’s lifestyle negatively affecting appropriate education, further steps should be
taken to provide smoking cessation education to nurses.
29
�V. References
1. Bialous, S.A., Sarna, L., Wewers, M.E., Froelicher, E.S., & Danao, L. (2004).
“Nurses Perspectives of Smoking Initiation, Addiction, and Cessation”, Nursing
Research, 53, 387-395.
2.
Bialous, S.A. & Sarna, L. (2004). “Sparing a Few Minutes for Tobacco Cessation”,
American Journal of Nursing, 104-12, 54-60.
3.
Green, M.A. & Clarke, D.E. (2005). “Smoking Reduction and Cessation: A
Hospital Based Survey of Outpatients’ Attitudes”, Journal of Psychosocial and
Mental Health Nursing, 43-5, 19-25.
4.
Sarna, L., Bialous, S.A., Wewers, M.E., Froelicher, E.S., & Danao, L. (2005).
“Nurses, Smoking, and the Workplace”, Research in Nursing and Health, 28, 79-90.
5.
Polit, D.F. & Beck, C.T. (2001). Essentials of Nursing Research: Methods,
Appraisal and Utilization, Philadelphia: Lippincott Williams and Wilkins.
Appendix A: Nursing Research Project
Thank you for participating in this project! Please know that all answers are strictly
confidential. Please do not put your name on any surveys. Only the researcher will
review these surveys, and they will be safely disposed of after results have been
collected. If you are a smoker and would like to quit, please visit www.nysmokefree.com
or call 1-866-NY-QUITS for tips and support.
• Do you smoke?
Yes, currently
No, never
No, I quit
• How often do you counsel patients on smoking cessation?
Always
frequently
unsure
rarely
never
• How comfortable do you feel about counseling patients on smoking cessation?
Very comfortable
very uncomfortable
somewhat comfortable
30
unsure somewhat uncomfortable
�**Smokers Only**:
• If you stopped smoking, how would you feel about counseling?
Very comfortable
very uncomfortable
somewhat comfortable
unsure somewhat uncomfortable
• How often would you counsel patients on smoking cessation?
Always
frequently
unsure
rarely
never
**Quitters Only**:
• How comfortable did you feel about counseling on smoking cessation before
quitting?
Very comfortable
very uncomfortable
somewhat comfortable
unsure somewhat uncomfortable
• How often did you counsel patients on smoking cessation prior to quitting?
Always
frequently
unsure
rarely
Appendix B:
How often do you counsel patients on smoking cessation currently?
Smokers
Quitters
Never
Rarely
Unsure
Frequently
Always
100
80
60
40
20
0
Never Smoked
31
never
�How comfortable do you feel about counseling patients on smoking cessation currently?
Smokers
Quitters
Never Smoked
Very
Somewhat
Unsure
Somewhat
Very
90
80
70
60
50
40
30
20
10
0
ComfortableÆUncomfortable
Smokers
If you stopped smoking, how would you feel about counseling?
Frequently
Always
54
52
50
48
46
44
42
How often would you counsel patients on smoking cessation if you quit?
Somewhat
Comfortable
Very
Comfortable
70
60
50
40
30
20
10
0
32
�Quitters
How often did you counsel patients on smoking cessation before quitting?
Never
Unsure
Rarely
Frequently
35
30
25
20
15
10
5
0
How comfortable did you feel about counseling on smoking cessation before quitting?
Very
Uncomfortab
Somewhat
Uncomfortab
Somewhat
Comfortable
50
40
30
20
10
0
33
�Lyrical Memory: Can Music Act as a Mnemonic
Device in Order to Enhance Memory Recall?
Elicia Enriquez (Psychology)1
The level of memory recall based upon a spoken, spoken to rhythm, or sung version of a
simple folk song was gathered from 22 undergraduates. Various tests were done in order
to compare the memory improvement scores over the repeated listening trials. There were
no significant effects found for representation of lyrics but there was consistent
improvement throughout trials. The improvement scores of the participants having
previous musical experience were compared to those without prior musical knowledge;
(16 with musical training, 6 without musical training) no significant effects were found.
Potential ways of achieving significant effects of music on memory recall are discussed.
I. Introduction
Children's television shows have always greatly encouraged learning through the
use of songs and melodies. Sesame Street, Blues Clues, and Barney are some of the top
contenders that use songs to teach important lessons to children. Songs are also used in
school, one in the form of School House Rock, a video that helps teach students certain
concepts about language and grammar (Simpson, Biemat, & Marcdante, 2002). Although
there are multiple forms of educating material available to teachers, only a few choose to
use these helpful melodies in teaching their students. Studies have been done to test as to
whether or not students gain knowledge through the help of music and all of the studies
have suggested positive outcomes for integrating learning with music (Higbee, &
Kunihira, 1985).
In order to learn new material, one must be able to encode information, move it
from short-term into long-term memory and retrieve information, bring it back to
consciousness when necessary (Stemberg, 2006). According to Kilgour, Jakobson, and
Cuddy (2000) imposing some form of structure or organization on to-be-remembered
material improves memory capacity. The memorability of material is affected by
structural characteristics, ease of observing and acquiring characteristics, organization,
constraint, and cue recall (Wallace, 1994). Association is a way of organizing
information that links two different pieces of information to one another and results in a
higher form of learning. One type of structure that utilizes association in learning is a
1
Research performed under the direction of Dr. Richard Brower (Psychology).
34
�mnemonic. A mnemonic is a specific technique that is applied to aid in the memorization
of a list of words. There are many different types of mnemonics, some focusing on the
use of visual images and others on the chunking of information (Sternberg, 2006).
Music is a type of mnemonic. Kilgour, Jakobson, and Cuddy (2000) claim that
the "rhythmical pattern in verse is itself a place-keeping and segmentation mnemonic"
(700). Melody when paired with any type of information (lyrics) can be used as a
memory aid. Melody chunks the text and therefore acts like a mnemonic, allowing the
brain to hold more information at a time (Wallace, 1994).
There are two aspects to a song, the words and the melody. When presented as a
song, these two separate parts become integrated, such that one component is better
recognized in the presence of the other than in its absence. (Crowder, Serafine, & Repp,
1990) Tune and text are integrated in memory and are encoded or stored together
(McElhinney & Annett, 1996). In order for the text of the song to be easily recalled, it
must be accompanied by a simple, easily learned melody. There has been an extensive
amount of research done regarding integration within song, so much so that melody and
text are found to cue each other even over long time delays (Wallace, 1994).
Studies have been done which compare the memory recall of spoken words to
that of lyrics accompanied by melody, or song. McElhinney and Annett (1996) found that
prose recalled more single words than chunks of information and there was a higher
recall from the music condition than from the spoken prose. Wallace (1994) claimed this
phenomenon occurs due to the melody providing a framework for the recall; a sturdy
structure that makes recall easier. Also, in order for music to enhance text recall, the
melody must repeat more than once. This repetition functions as a type of rehearsal, the
conscious repetition of information, in which the more practice the material is given the
better the chances of recall (Sternberg, 2006).
Due to their constant exposure to songs, people with formal musical training
perceive musical structure that is not perceived by those without music training. Because
of their higher ability to perceive structure, people with musical training exhibit greater
performance on tests of verbal memory skills. (Jakobson, Cuddy, & Kilgour, 2003)
According to studies done by Kilgour, Jakobson, and Cuddy (2003) musicians are
reported to have enhanced short term memory; they actually have shown an enlargement
of the auditory processing areas of the left temporal lobe. Musicians have overall had
better recall than non-musicians, even when it came to spoken text. There have also been
tests run in order to make sure this enlargement is due to musical training and not
intellectual ability; studies have shown that musical training is not significantly correlated
with intelligence scores (Jakobson, Cuddy, & Kilgour, 2003).
35
�Research done in order to examine the interaction between melody and text has
been conducted on both musical and non-musical students; musical being defined by
those students who chose music as a career path. Musical students tended to sing, hum, or
tap while listening to melody, while the nonmusical students did not (Kilgour, Jakobson,
& Cuddy, 2000). There has been evidence of the melody providing not only the rhythm
but the length of the next line, how many syllables it contains and the order of those
words (Wallace, 1994). In most cases the participants did not have to know the melody
by heart, they only needed to learn enough of it in order to gain the basic structure of the
song. The melody provided the students in the musical condition with rhythm,
constraints, access points, and order. Constraints work along with rhythm in order to
allow the participant to guess as to the missing word in the phrase; it gave boundaries,
such as syllable length, and rhyme for the regeneration of a forgotten word (Wallace,
1994). An access point is a place where recall can be picked up again, such as at the
beginning of the next phrase or line break. The order in which the text was represented
was the order in which it would be recalled; this action limited the likelihood of skipping
over material without being aware of it. The melody must match the text in intonation
and syllables must go along with the notes in order for the music to effectively enhance
memory recall (Wallace, 1994).
In addition to intonation matching, there are other criteria of music that must be
met in order for it to enhance memory recall. According to Wallace (1994) the three main
criteria for ease of acquisition are clarity, repetition, and simplicity. In order for the
material to be learned it must first be easily understood. Second, the music must be
repeated in order to be correctly encoded into memory. Wallace (1994) has found in
cases where the melody did not repeat it has not always been helpful in recall. In fact
results have shown no differences between spoken or sung text when the melody has
been heard only once. The melody in this case has the potential to distract from learning
and actually hinder the recall process. Melody adds another piece of information to be
remembered and can cause interference with the memory of text. Wallace (1994) also
found that participants who heard one verse which gave them equal exposure to the
melody and text actually had better memory recall in the spoken version because the
melody became a distraction; they were given too much information to process at once.
Other studies done by Kilgour, Jakobson, and Cuddy (2000), have stated that text set to
the musical rate of presentation could be slower than when spoken and the participants
have therefore been allowed a longer time to encode information, which could be
resulting in better memory recall of music.
36
�According to Wallace (1994), provided the music is repeated and easy to learn,
verbatim recall is better for sung over both spoken and spoken to rhythm versions of text
and performance improves over trials, due to repetition. The hypotheses of this paper are
derived directly from Wallace's findings of music aiding in memory recall. When given
an easy song to memorize containing a repetitive melody, participants in the sung version
will have far better recall than those in the spoken or the spoken to rhythm conditions.
Participants with musical backgrounds will have better memory recall overall, no matter
which condition they are placed in, spoken, spoken to rhythm, or sung.
II. Method
Participants
The participants in this study were 6 male and 16 female introductory to
psychology students fulfilling their research requirement through participation in Wagner
College's Psychology Department Participant Pool.
Material and Procedure
Students from the Participant Pool were informed of the study and were asked to
participate. Informed consent was obtained prior to the study. The participants were
instructed to complete a short survey containing questions such as sex, age, major, and
level of musical training. They then were asked to listen to a recording of a simple folk
song entitled The Water is Wide. This recording was of a professional singer reading the
lyrics, speaking the lyrics to a rhythm, or singing the lyrics. After listening to the
randomly assigned version of the song, the participants were asked to write down as
much of the song as they could remember, verbatim. The participants listened to the song
twice more and recorded their recollection of the lyrics after the third trial. Once the final
trial was completed, the participants were debriefed, given an opportunity to ask
questions, and thanked for their time.
III. Results
A two-way analysis of variance was used to examine whether prior musical
knowledge and version of recording predicted memory recall. No main effects or
interaction emerged. The sought after effect of those with musical experience (M=25.69,
SD=12.39) having significantly higher memory recall than those without prior musical
knowledge (M=21.83, SD =7.83) was not achieved F(l, 16) =.47, p=.504. Version,
whether it be spoken (M=18.50, SD=11.26), spoken to rhythm (M=27.13, SD=8.68), or
sung (M=28.86, SD =11.94) also was not a significant predictor of memory recall,
37
�F(2,16) =1.42, p=.270. In addition to testing for significance of musical background, a
two-way analysis of variance was used to test the significance of version and memory
recall for music-related majors (M= 26.17, SD = 10.76) versus non-music related majors
(M= 24.06, SD =11.77). Neither version of lyrics F(2,16) =1.42, p = .270 nor memory
recall F(1,16) =1.07, p = .504 was found as a significant predictor of major.
Although the versions of recordings were evenly distributed among participants
who had prior musical knowledge and those who had music-related majors, no significant
effects with improvement in memory recall occurred. Improvement of memory recall was
calculated by taking the difference between Trial 1 and Trial 3. A Pearson Correlation
was conducted and it was found that all participants showed improvement over the trials,
memory recall of Trial 1 strongly predicted recall of Trial 2, F(2,20) =.51, p=. 015.
IV. Discussion
Unfortunately the hypothesis of memory recall being affected by prior musical
knowledge or music-related major was not supported; although prior research has
supported the claim of people with musical backgrounds having better memory recall
over all three versions of the song than those without any musical experience (Jakobson,
Cuddy, & Kilgour, 2003).
The hypothesis of participants in the sung or spoken to rhythm versions of the
song having higher memory recall than those in the spoken version was also not
supported. Wallace's (1994) research indicated that music can be used as a mnemonic,
provided the song has a simple structure and the lyrics are easy to recall when paired with
a melody or rhythm.
There are a number of reasons why version of song or musical background
might not have had a significant impact upon memory recall. One of the main reasons
being the quality of the recording. At the end of the study participants from all three
versions were asked how well they could hear and interpret the lyrics. Most of them
indicated that they could do so only about 80% of the time. The response was even less in
the spoken to rhythm and sung versions where over annunciated consonants at the end of
phrases was considered distracting. A remedy to this problem for future studies entails
using a recording that is of superior quality and having it pre-judged for understanding of
lyrics prior to running the experiment.
Another possible extraneous variable could have been the way in which the
memory recall was scored. Similar to a study conducted by McElhinney & Annett
(1996), participants in both the spoken to rhythm and the sung versions had higher
memory recall of complete verses within the song and stronger understanding of the
38
�overall meaning than those in the spoken version who tended to recall more single words
or phrases. This result was due to chunking of information, using the rhythm or melody
of the song as a mnemonic device which allows a greater capacity of short-term memory
storage. Perhaps those in the sung version understood more of the song, some created
words that fit into the melody, and even though they were not the exact words of the
song, they would have fit if the song were to be rewritten. Finally, a lot of participants, all
from differing versions wrote "She" where "I" should be within the lyrical line.
The scoring did not reflect these differences and therefore participants who made all or
some of these mistakes were scored lower than those who stated the exact words from the
song. To prevent this situation from occurring in the future, the experimenter should
make it very clear to only state the exact words of the song, not to interpret the song and
its meaning.
Location of the experiment might also have had an impact upon the level of
memory recall. The study took place in different locations, some with higher levels of
noise and more distractions than others. A simple solution would be to only hold the
study in one location; that way the environment does not have the ability to become an
extraneous variable.
Another major reason as to why the results were not significant could have had
to do with the fact that there was prior knowledge of the recorded song. Some
participants did comment at the conclusion of the experiment that they had heard or sung
the song before which could have had a positive impact upon their memory recall. For
future experiments participants should be asked prior to the study if they have ever heard
the song before and if they reply affirmatively an alternative should be readily available.
A final reason as to why significant results might not have been obtained is due
to sample size. This study only utilized 22 participants; if the sample size were to be
larger, possibly some results would have reached a level of significance. Improvements
that could be made include all of the above plus including another factor to compare
memory recall, such as intelligence or GPA. This way recall could be assessed against
another variable pertaining to cognition and brain capacity.
V. Conclusions
The study of memory recall in association with music and melody has created
great improvements upon the learning and teaching of children. Since studies have
supported claims that learning music creates enhanced short-term memory capacity and
better mastery of planning abilities, more schools have focused upon music based
learning (Jakobson, Cuddy, & Kilgour, 2003). Teachers are taking children's educations
39
�into their own hands and coming up with newer more improved ways of learning by
incorporating music into the classroom (Simpson, Biernat, & Marcdante, 2002).
Music has the ability to act as a mnemonic and aid in the learning of not only
children but of adults. Music is a universal language that everyone is able to understand.
Through the use of music, there is much to be learned.
VI. References
1. Crowder, R.G., Serafme, M.L., & Repp, B. (1990). “Physical Interaction and
Association by Contiguity in Memory for the Words and Melodies of Songs”,
Memory & Cognition, 18, 469-476.
2. Higbee, K.L., & Kunihira, S. (1985). “Cross-Cultural Applications of Yodai
Mnemonics in Education”, Educational Psychologist, 20, 57-64.
3. Jakobson, L.S., Cuddy, L.L., & Kilgour, A.R. (2003). “Time Tagging: A Key to
Musicians' Superior Memory”, Music Perception, 20,307-313.
4. Kilgour, A.R., Jakobson, L.S., & Cuddy, L.L. (2000). “Music Training and Rate of
Presentation as Mediators of Text and Song Recall”, Memory & Cognition, 28, 700-710.
5. McElhinney, M., & Annett, J.M. (1996). “Pattern of Efficacy of a Musical Mnemonic
on Recall of Familiar Words Over Several Presentations”, Perceptual and Motor
Skills, 82, 395-400.
6. Simpson, D.E., Biernat, K., & Marcdante, K. (2002). Taking a Chance with Your
Next Teaching Opportunity, Academic Medicine, 77, 457-458.
7. Sternberg, R.J. (2006). Cognitive Psychology, Belmont: Thomson Wadsworth.
8. Wallace, W.T. (1994). “Memory for Music: Effect of Melody on Recall of Text”,
Journal of Experimental Psychology: Learning, Memory, and Cognition, 20, 14721480.
Table 1: Means and Standard Deviations
Musical Experience
All (N=22)
Prior (N=16)
Spoken
18.50 (11.26)
19.67 (13.02)
Version
Rhythm
27.43 (8.68)
29.25 (9.36)
None (N=6)
15.00 (2.83)
25.00 (8.89)
40
Sung
28.86 (11.94)
29.33 (13.00)
26.00 (0.00)
�Appendix A: Questionnaire
Please complete the following information to the best of your ability.
Sex ________
Major _________________
Age ________
Years of musical training/education ______
Appendix B: Lyrics on the Recording
The Water is Wide
41
�42
�43
��Section III: Critical Essays
�Voces y Cuerpos Abusados: Representaciones de la
Identidad en Nada y Te Doy Mis Ojos
Mia Romano (Spanish)1
English Summary
The novel Nada (1945) by Carmen Laforet (1921-2004) narrates in first person
the story of Andrea, a teenage orphan sent to live with her aunts and uncles after the
Second World War. She is stuck between the abusive relationship of her Uncle Juan and
Aunt Gloria and the manipulative relationship she has with her Uncle Román. In the end
Andrea chooses to move to Madrid. In the 2003 film Te doy mis ojos (I give you my
eyes) by Icíar Bollaín (1967) Pilar flees from her husband Antonio one night with their
son Juan and goes to live with her sister. Antonio then starts taking anger management
classes and tries to win Pilar back, but when he does he continues to abuse her. The
movie ends, after a mortifying scene in which Pilar is stripped of her dignity, with Pilar
and her son moving to Madrid. In my paper I examine the identities of the female
protagonists, analyzing how they construct their self-image in a masculine space under
the manipulative influence of abusive men. The women must escape from the suffocating
relationships before they can regain control over their bodies and “see themselves” from
their own perspectives.
Laforet and Bollaín offer new models of women, creating a displacement of the
gaze and narration. They provide a critical analysis of the use of violence toward women
through new portrayals of abusive men. The works highlight the theme of domestic abuse
in postwar and modern Spain, with the female body represented as an abused object.
Historically in Spain the role of women was controlled by men and society, and severely
limited to the domestic world and left only to observe the male sphere from a distance.
Laforet and Bollaín tell stories of women in a male sphere, depicting how hard it is for
women to exist in this space, remaining held back and abused. Nada takes place in
Barcelona and Te doy mis ojos in Toledo, and both cities visualize a space that suffocates
the protagonists. The women are anonymous because in resembling labyrinths with their
narrow winding streets, the cities cause the women to lose themselves physically and
mentally. The cities represent the older cultural mentalities in which the theme of
domestic abuse still finds its foothold in modern times. The only way for the women to
1
Written under the direction of Dr. Margarita Sánchez (Languages)
46
�survive is to escape, and therefore both Pilar and Andrea move to Madrid. With this
escape they are able to discover their identities outside of the familiar yet oppressive male
sphere.
Laforet and Bollaín explore the deadly combination between fear and desire, and
being the subject and the object in the works. Pilar, Gloria and Andrea construct their
identity based on how men perceive them. The relationship between Gloria and Juan and
Pilar and Antonio is centered in their sex life, and the women choose not to leave these
abusive men because they are made to believe they are beautiful and desired. They are
given meaning through the men’s eyes, but that beautiful image is destroyed by the
abuse. Te doy mis ojos provides the viewer with contrasting images of the female body.
In one scene Pilar is naked while making love with Antonio, but is naked in another
while he abuses her. The women are robbed of their dignity, and therefore must escape.
While in the novel there are vivid scenes in which Juan abuses Gloria, in the
movie Pilar is abused off-screen, with the only proof being her skittish behavior around
the husband and medical records the sister finds indicating that Pilar has severe damage
done to her kidneys and one eye. Bollaín uses colorful images to relay the idea of
violence although none appears in the film. Pilar stands next to a large purple circle
resembling a bruise on a canvas at the museum, and Antonio writes angry thoughts on the
blood-red pages of his journal. In Nada Laforet uses the symbol of water to represent
how Andrea wants to purge the violence she witnesses from her body. These images of
abuse provide an analysis of Spanish culture and men.
The female gaze in the works, represented by the image of the eye, is a prevalent
theme in the works. The gaze between the subject and object and the desire to be visible
or invisible are also important themes concerning the perspective of the female
protagonists. Barry Jordan, in his article “Looks that Kill,” writes that “the gaze becomes
a metaphor for the body, an extension whereby the woman’s gaze must be barricaded by
the eyelids.” (85-6) This visual censorship of women is seen in Andrea’s desire to close
her eyes and hide, but is broken by Pilar’s desire to become visible in society as she
asserts herself in public. When the object views the subject there is a severe and
destructive displacement of power, and therefore when the women observe the male
characters, they threaten the male sexuality that is being exerted to suppress them.
Andrea begins to ignore Román and he commits suicide, and Antonio attempts suicide
when Pilar leaves him a second time. Both women gain personal power and are able to
meet the eyes of their suppressor, and therefore become a threat to the man’s sexuality
and power.
47
�Laforet and Bollaín tell stories of domestic abuse not for Hollywood horror
stories but for describing a reality for women in Spain who live within that culture. These
Spanish authors and directors, representing women fighting against abuse for their own
voice and identity, have contributed to changing Spanish society. In “The Laugh of the
Medusa” Hélène Cixous says “Write yourself. Your body must be heard.” These works
announce the power of the female body and the need for liberation.
48
�Voces y Cuerpos Abusados: Representaciones de la
Identidad en Nada y Te Doy Mis Ojos
Mia Romano (Spanish)1
“I write woman: woman must write
woman. And man, man. So only an
oblique consideration will be found
here of man; it’s up to him to say
where his masculinity and
femininity are at: this will concern
us once men have opened their eyes
and seen themselves clearly.”
~Hélène Cixous
A mi madre, porque aunque no
entiende el idioma de la tesis, me
entiende.
I. Literatura femenina como cuerpo
Escribir no es simplemente poner palabras en el papel. El autor o autora pone la
fluidez de la sangre y la carne en cada línea para que el texto se transforme en su propio
cuerpo. La tinta es como la sangre que da vida al texto, el cuerpo físico en el que viven las
palabras. Al mismo tiempo el cine provee una mirada literalmente diferente porque la lente
manipula la mirada del espectador en una manera diferente de la que un narrador describe
los acontecimientos desde la página. La autora española Carmen Laforet (1921-2004) y la
directora Icíar Bollaín (1967) cambian el canon literario sobre la mujer porque ofrecen una
perspectiva diferente del modelo femenino, rompiendo con la tradición social y literaria.
Crean un desplazamiento de la mirada y de la narración por medio de personajes y
conflictos en sus obras. Proveen perspectivas nuevas de los personajes masculinos y un
análisis crítico del uso de la violencia brutal hacia las mujeres. Poner a los hombres en este
marco negativo les ayuda en la lucha contra el machismo español de los siglos XX y XXI.
1
Written under the direction of Dr. Margarita Sánchez (Languages)
49
�Laforet y Bollaín no solamente crean protagonistas en sus obras, sino que relacionan el
cuerpo femenino consigo mismas y con la experiencia universal de la mujer. Representan el
cuerpo de las mujeres como objeto abusado violentamente por los hombres, e igualmente
les dan la palabra a sus protagonistas para hablar de sus propios cuerpos, golpeados pero
transformados. La gente escribe para comprender la sociedad en que vive y la civilización a
la que pertenece, (Huffer y Dean 115) y por lo tanto Laforet y Bollaín definen el
pensamiento de España de la posguerra hasta la actualidad desde una mirada nueva,
especialmente desde el tema del abuso femenino. En la novela Nada (1945) de Laforet y en
la película Te doy mis ojos (2003) de Bollaín las señales del abuso aparecen vívidas como
en el cuerpo de una mujer.
Este ensayo explora el papel de la mujer española en la literatura y el cine,
enfocándose en la novela Nada de Laforet y en la película Te doy mis ojos de Bollaín.
Observo cómo las mujeres funcionan en los espacios masculinos, y me concentro en la
lucha por crear una subjetividad dentro de un marco estático en el que han sido percibidas
como objetos. Analizo cómo la ciudad sofoca y atrapa a la mujer, las formas en que la
identidad femenina se rompe, el abuso a la mujer y el uso de la mirada. Me interesa
mucho el uso de la mirada en Nada y Te doy mis ojos, y la forma en que el espacio, la
subjetividad, las representaciones del hombre y el abuso aparecen como temas unidos,
como piezas de un cuerpo físico. Las descripciones del abuso en la literatura y en el cine
son más importantes cuando se relacionan con otros aspectos de la experiencia femenina.
En los casos de Laforet y Bollaín, la exploración de la mirada para descubrir y
redescubrir la identidad a través de los ojos abusados de las protagonistas genera el
enfoque de sus obras.
En el trabajo examino las maneras en que las autoras españolas han presentado
el tema del abuso a través de diferentes épocas, y el impacto literario o cinematográfico
de las obras de Laforet y Bollaín. Precursoras como María de Zayas (1590-¿1661?) y
Emilia Pardo Bazán (1851-1921) empezaron los cambios literarios, escribiendo sobre la
violencia hacia las mujeres con ejemplos de mujeres como objetos. En mi trabajo voy a
referirme a los cuentos “La fuerza del amor” de Zayas y “Las medias rojas” de Pardo
Bazán para comparar los temas e imágenes que usan Laforet y Bollaín en sus obras. Las
obras llegan a un nivel más complejo cuando son comparadas con los textos de Zayas y
Pardo Bazán porque no sólo sirven como una referencia histórica, sino que cuentan una
realidad femenina que todavía no ha cambiado radicalmente en la cultura española. Hablo
de cómo la mujer funciona en un espacio masculino y cómo estos espacios, los lugares en
que las historias se desarrollan, las sofocan, las limitan y crean la necesidad de escapar y
liberarse. La mujer aparece fragmentada como un objeto sexual y hay una línea fina entre
50
�el deseo y el miedo, experimentado también por los personajes masculinos. La mujer
construye su identidad a través de la mirada y del deseo del hombre. Al comparar las
situaciones de abuso en Laforet y Bollaín entendemos que los hombres actúan
violentamente por los celos, el miedo, y el deseo de control sobre la mujer. Hay
dimensiones interesantes en las descripciones del abuso y los cuerpos femeninos, como el
uso de los colores y del agua. Las identidades femeninas se construyen a través de las
miradas de los hombres, pero al liberarse de estas miradas, las mujeres amenazan a los
hombres. En las obras de Laforet y Bollaín hay muchos ejemplos de instancias en que la
mujer es agarrada y tocada, golpeada y observada. La mirada está representada a través
del símbolo del ojo, está en el centro de todos estos conflictos con la identidad y el abuso.
Laforet y Bollaín exploran modelos la resistencia desde la fuerza que tienen las mujeres
para que se libere la mirada femenina de la masculina a través de un escape físico y
mental del hombre para ganar independencia.
El tema del abuso femenino aparece mucho en obras españolas. La primera obra
española de la Edad Media, El cantar de Mio Cid del siglo XIII habla del abuso. En la
epopeya hay una escena muy violenta del abuso hacia las hijas del Cid por parte de sus
esposos. Aunque es una escena muy sangrienta porque “mucho las golpearon, pues
despiadados son; / sangrientas las camisas y todos los ciclatones,” (CXXVIII. 2743-4) en la
descripción de una batalla en el mismo cantar no hay ni una gota de sangre. El autor puso
más acentuación en la violencia doméstica que en la lucha, dirigiendo la importancia a los
cuerpos sangrientos de las mujeres. En el siglo XVII María de Zayas presenta el tema de la
violencia doméstica en su cuento “La fuerza del amor.” Describe una escena muy violenta
en la que don Diego golpea a su esposa Laura: “le empezó a maltratar de manos, tanto que
las perlas de sus dientes presto tomaron forma de corales bañados en la sangre que empezó
a sacar en las crueles manos.” (238) Una escena similar con la violencia aparece en “Las
medias rojas” de Emilia Pardo Bazán del siglo XIX cuando Ildara es abusada por su tío. Al
fin del cuento ella “salió fuera, silenciosa, y en el regato próximo se lavó la sangre. Un
diente bonito, juvenil, le quedó en la mano.” (248) En los dos cuentos vemos la imagen de
los dientes, normalmente en el canon de la belleza femenina como perlas blancas,
convertidos en corales sangrientos. En la cultura española del siglo XXI todavía la violencia
doméstica no se ha resuelto y continúa siendo expresada en diferentes obras de arte. La
novela Nada de Carmen Laforet describe la vida de Andrea, una muchacha huérfana que es
forzada a vivir en la casa de sus tíos. Desde la mirada de Andrea el lector ve que su cuñada
Gloria es abusada fuertemente por su esposo Juan, y las dos mujeres son convertidas en
objetos y sus identidades son fragmentadas por el tío Román. Icíar Bollaín explora el abuso
doméstico a través de la mirada femenina en la película Te doy mis ojos con los actores Laia
51
�Marull y Luis Tosar, pero a diferencia de las obras previamente mencionadas, la película no
se enfoca en escenas violentas. Hay tensión y señales palpables de que el hombre abusa de
su mujer, pero no se ven luchas ni golpes ni sangre.
En la historia de las mujeres españolas, su papel ha estado enmarcado en el
mundo doméstico. Sus identidades han sido controladas por los hombres y la sociedad, y
la conformidad ha sido lo normal. En la época medieval los escritores también
controlaban las vidas de mujeres, y a menudo, si la literatura no era religiosa, se
producían libros sobre la etiqueta y cómo aplicarla. (Ariès y Duby 350) Las autoras no
recibieron mucho apoyo, fueron forzadas a usar pseudónimos, una forma literal de
esconder la identidad femenina. María de Zayas fue una de las primeras feministas del
mundo literario español.1 Lisa Vollendorf explica en su artículo “Reading the Body
Imperiled” que sus textos “register the voice of resistance to the tolerated oppression and
abuse of women under patriarchal rule.” (280) Zayas no solamente logró sobrepasar estos
obstáculos, sino que le abrió el camino a la escritura de mujeres. Su presentación de
hombres que desengañan y que son violentos llega desde un rencor personal que
experimentó, y a través de su rencor personal, escribe desde esta perspectiva sínica y
fuerte. El mundo literario en que escribe Emilia Pardo Bazán no fue muy diferente al de
Zayas. Emilia Pardo Bazán fue una mujer muy educada, privilegiada, y aristócrata. Fue
una de las primeras profesoras mujeres en España y luchó mucho por los derechos de las
mujeres, aunque le tocó vivir en una época en la cual los hombres recibieron el voto en
España y las mujeres no. Las escritoras y directoras que pueden ser llamadas feministas
como Laforet y Bollaín describen modelos femeninos nuevos de la mujer, más fuertes y
liberadas. Al mismo tiempo, en cambio, hablan de mujeres atrapadas en un espacio
sofocante donde están limitadas por la dominación mental y física de los hombres.
La literatura y el cine de los siglos veinte y veintiuno son más similares en el
sentido que hay más autoras y directoras, pero la lucha por una voz artística se mantiene
fuerte. Carmen Laforet escribió muchos textos importantes, incluyendo Nada, y dejó de
escribir muchas décadas antes de su muerte. Se enfoca mucho en su vida personal, y en
Nada provee además una perspectiva detallada de la Barcelona de la posguerra donde vivía.
Icíar Bollaín usa sus películas para examinar la sociedad española, y “the theme of domestic
violence is more and more pronounced in each successive film.” (Levine 2) Presenta las
ideas del hogar, el desplazamiento y el abuso en sus películas desde Hola ¿estás sola? de
1995 hasta Te doy mis ojos de 2003. (2) El cine y la escritura actual, como la de los siglos
de Zayas y Pardo Bazán, ofrecen una perspectiva y un análisis de la vida española, y una
exploración del espacio femenino abusado, tanto el del cuerpo como el geográfico.
52
�II. Mujeres Atrapadas en Espacios Masculinos
La idea de que un espacio puede ser designado como masculino o femenino
aparece en la historia y en la literatura. No solamente hay papeles designados para los
géneros, sino espacios físicos e imaginados en que residen hombres y mujeres. La
antropóloga Shirley Ardener observa que en la América colonial del norte había espacios
que le dieron el poder a los géneros:
the ‘social map’ of patriarchy created ‘ground rules’ for the behavior of men and
women, and that the gender roles and relations of patriarchy constructed some
spaces as ‘feminine’ and others as ‘masculine’ and thus allocated certain kinds
of (gendered) activities to certain (gendered) places. Gender difference was thus
seen as inscribing spatial difference. (Blunt y Rose 1)
El mundo público de la cultura, la política y la economía correspondía a un espacio
masculino. El papel de la mujer era estar en la casa, cosiendo, cocinando y cuidando a los
niños. Ellas no sabían mucho del mundo masculino, separadas de este espacio por la
opresión. El espacio femenino era más personal, y puesto que no tenían acceso al espacio
público, observaban. En tiempos actuales muchas autoras y directoras españolas ofrecen
un acercamiento distinto a la utilización del espacio, pero como explica Linda Gould
Levine en su artículo “Saved by Art,” en el cine contemporáneo no aparece “a feminist
agenda for social change or a space for women outside of patriarchal control” (19)
aunque los argumentos estén centrados en la mujer. Con el poder de la literatura y del
cine ellas cuentan experiencias desde su espacio y la manera en que se perciben sus
cuerpos y el abuso a través de su mirada.
La exploración del espacio femenino representa una lucha por cambiar la
perspectiva de la mujer de objeto a sujeto. En relación con el espacio femenino, Susan
Kirkpatrick escribe sobre la subjetividad de la mujer en el siglo XIX: “identifying female
subjectivity with family love amounted to the same thing as conceiving of woman as the
object rather than the subject of consciousness.” (60) La mujer es vista como un objeto en el
pasado, casi al igual que en el presente. En la época medieval en su casamiento la mujer es
sólo un premio o una dote para la familia del marido. No valía nada la sabiduría ni la
consciencia de la mujer, y no podía cambiar su papel y transformarse en el sujeto de su
vida. Simone de Beauvoir describe en su obra The Second Sex (1949) que la mujer es “otra”
como el objeto del hombre. (xxxv) Al igual que en sus vidas, las autoras eran disuadidas a
incorporar la subjetividad y la identidad femenina en sus narrativas, porque poner a la mujer
fuera de su espacio femenino era peligroso.2 (Kirkpatrick 289) Los textos de la época
medieval y del siglo de oro representaron a las mujeres en papeles tradicionales, pero sin
sus propias voces y pensamientos. Romper los modelos estereotípicos y presentar temas
53
�anormales acerca de las mujeres es parte de la lucha femenina contra la literatura escrita por
los hombres. Muchas autoras cambiaron la representación de las mujeres en la literatura a
través del poder del sujeto.
En relación con el espacio, Laforet y Bollaín usan las ciudades para visualizar un
espacio que sofoca a las mujeres. Nada, la novela pseudo-biográfica de Carmen Laforet,
captura la realidad del siglo XX en España. Laforet pinta una escena vívida de Barcelona,
con toda la presión de su crueldad y sufrimiento, y también las tensiones que afectaban a la
gente psicológicamente durante la posguerra. La gente se sentía atrapada. Los espectadores
ven la misma opresión en la película Te doy mis ojos de Icíar Bollaín. Realizada en Toledo,
la película captura una España clásica; en la arquitectura y el arte encontramos la cultura
antigua que influye en los pensamientos machistas alrededor del abuso femenino. Andrea en
Nada y Pilar en Te doy mis ojos parecen anónimas en las ciudades porque en una ciudad, con
calles estrechas como un laberinto, la gente puede perderse mentalmente al igual que
físicamente. Con todo el arte antiguo de Toledo y los efectos lúgubres de la posguerra en
Barcelona, las ciudades añaden atmósfera a las obras. Barcelona y Toledo, como los mismos
personajes, representan las tradiciones españolas que sofocan a las protagonistas femeninas.
Nada y Te doy mis ojos se enfocan mucho en la idea del escape. En su libro
Novela femenina, crítica feminista, Katica Urbanc arguye que los críticos proponen el
tema del escape femenino relacionado con la emancipación femenina en España y la
causa feminista del siglo XX. (9) En la escritura feminista hay una necesidad de
escaparse de la influencia del poder machista, y vemos la desesperación que siente
Andrea cuando vive rodeada por sus tíos. Las situaciones sofocan a Andrea al igual que a
Pilar en la película, y en las narraciones la liberación personal y física son su objetivo. En
este sentido las dos obras reflejan muchos rasgos de la escritura feminista con sus temas
del escape, la soledad, hombres “abusivos” y el maltrato femenino. (22) La tradición
machista del país aislado no crea muchas oportunidades para la emancipación de la
mujer. Al igual que la gente en España, las mujeres en las obras están atrapadas. La
madre de Pilar en Te doy mis ojos se puede comparar con la abuela en Nada porque las
dos están encarceladas en la cultura, y no hacen caso a su condición de inferioridad ni al
abuso de las mujeres: lo aceptan. En Nada Gloria se queda en la relación de abuso con
Juan y su cuñado. Andrea no tiene una opción diferente a vivir en la casa de su extraña
familia. En la novela Laforet se enfoca en la necesidad de un escape para las mujeres. La
novela empieza con la narración de Andrea, sofocada en su habitación nueva:
Al fin se fueron, dejándome con la sombra de los muebles que la luz de la vela
hinchaba llenando de palpitaciones y profunda vida… Sentí que me ahogaba y
trepé en peligroso alpinismo sobre el respaldo de un sillón… tenía miedo de
54
�meterme en aquella cama parecida a un ataúd. Creo que estuve temblando de
indefinibles terrores cuando apagué la vela. (Laforet 19)
Andrea piensa mucho en cómo se siente sofocada y está ahogándose en la Barcelona de
la posguerra. Su tía Angustias dice que Andrea está “en medio de la gente, callada,
encogida, con aire de querer escapar a cada instante.” (Laforet 33) El fin del manuscrito
original de Te doy mis ojos y el fin de Nada capturan la idea del escape para las
protagonistas. Para Andrea y Pilar, la única forma de escapar es mudarse a Madrid.
Andrea encuentra su salida cuando al fin ella se va a vivir con la familia de su amiga allí,
y a pesar de que el espectador solo ve que Pilar y sus amigas dejan a Antonio en el piso,
es claro que ella va a Madrid con su hijo.3 Madrid representa la modernidad a pesar de
que al igual que Barcelona y Toledo, también está llena de riquezas antiguas e históricas.
Su escape final es crucial para descubrir sus identidades fuera del espacio familiar,
liberadas de la tristeza enorme que sofoca sus vidas.
El uso del espacio y la dislocación de la mujer en un espacio masculino y
sofocado presentan una exploración interesante de la construcción de la identidad de la
mujer. Al estar en espacios masculinos, los hombres influyen en las mujeres. Ellos
transforman la mirada que tienen las mujeres de sí mismas, y por lo tanto la identidad
femenina cambia. Ellas son casi destruidas no sólo por los espacios masculinos
sofocantes sino también por los hombres. En las obras aparecen los efectos del deseo y
del miedo en la mujer y cómo éstos transforman sus identidades. Al igual que el espacio
sofoca, el miedo fragmenta.
III. El Deseo y el Miedo Convierten a las Mujeres en Objetos Fragmentados
Zayas, Pardo Bazán, Laforet y Bollaín no escogen sólo visualizar a la mujer
como un sujeto, sino que juegan con la idea de cómo existe la mujer entre dos mundos
donde existen como objetos y sujetos. Continúan representándola como el objeto con una
perspectiva crítica a través del desplazamiento de mujeres en espacios masculinos. Paul
Julian Smith examina en su libro Vision Machines la idea de Paul Virilio, un historiador
francés, del “vision machine.” Describe con el concepto del “vision machine” como la
gente se percibe en el contexto de los sujetos y los objetos, y provee un análisis de lo que
ocurre cuando el sujeto pierde el control de la mirada. Explica como el “vision machine”
es “a paradoxical condition in which it is the object which perceives the subject.” (2) Al
objeto mirar al sujeto, experimentamos un desplazamiento de la mirada normal donde el
objeto no puede expresarse, casi ciega por su obsesión con la mirada del sujeto. Es una
explicación pertinente para describir la manera en que las protagonistas, objetos sexuales,
son representadas en contraste con los hombres, los sujetos. Laforet y Bollaín proveen
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�ejemplos de la perspectiva de la mujer como objeto en su camino hacia su condición de
sujeto.
Las mujeres, aunque estén en casa, no tienen el control y son convertidas en
objetos. El personaje de Laura en “La fuerza del amor” de María de Zayas se casa con un
hombre infiel, don Diego, y cuando se queja, es golpeada. Al fin ella deja a don Diego, pero
para casarse con otro. Ella hace una transición que va del control de su padre y sus
hermanos al control de su esposo, don Diego. En la casa de su familia, una familia sin
madre, el lector presume que ella es la figura femenina que limpia y cocina y cuida a los
hombres. Con su casamiento Laura entra en un mundo similar donde, otra vez, el hombre
tiene el poder y ella no vale nada. En el mundo público de su marido ella pierde el control
cuando don Diego tiene una relación pública con su ex-amante, y no es el sujeto de su vida.
En “Las medias rojas” de Pardo Bazán, una muchacha llamada Ildara compra medias rojas,
y por esto es golpeada por su tío Clodio. El cuento empieza con una descripción de cómo
Ildara prepara el fuego y la comida cuando vuelve a casa. (246) Cuando ella está cocinando,
“tenía el tío Clodio liado su cigarrillo, y lo chupaba.” (50) No es el espacio de Ildara porque
ella es una huérfana, y es la casa del tío, aunque ella lo hace todo. El espacio, que
normalmente se identifica con la mujer, es dominado por el hombre. La narración provee
una perspectiva de cómo Ildara está atrapada en casa, en un espacio masculino. En Nada,
Laforet describe a Gloria como un objeto que no puede transformarse en sujeto, aunque es
ella la que trae dinero a la casa para mantener a la familia. Andrea, aunque está objetivada
por los hombres, tiene la posibilidad de liberarse. Andrea experimenta la misma dislocación
en un espacio que no es suyo. Es huérfana al igual que Ildara, y cuando se traslada a la casa
de sus tíos vemos por primera vez a una mujer con su poder fuera del hogar. Su espacio está
en la universidad, en la calle y en los cafés con su amiga, aunque normalmente los mundos
académicos y culturales no pertenecen a la mujer. La autora crea un espacio nuevo para que
Andrea crezca. Cuando Andrea está en casa se siente reprimida, pero encuentra su propio
espacio afuera. Su tía Angustias logra el desplazamiento cuando se muda a un convento,
literalmente un espacio femenino. Las narraciones proveen una perspectiva de cómo viven
mujeres objetivadas en un espacio extraño.
Laforet y Bollaín presentan un cruce entre el miedo y el deseo de sus
protagonistas. Aunque la madre de Ena dice en un momento que “no es sólo pasión y
egoísmo ciego entre un cuerpo y alma de hombre y un cuerpo y alma de mujer” (248) todos
los otros ejemplos de uniones sexuales en las obras incluyen un elemento erótico. En su
libro El erotismo, Georges Bataille propone que “el paso del estado normal al de deseo
erótico supone en nosotros la disolución relativa del ser constituido en el orden
discontinuo.” (31) Las acciones eróticas pueden destruir al ser desde el interior, (31) y
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�pueden causar una transición automática del deseo al miedo y viceversa. El deseo y el
miedo son emociones que son difíciles de controlar. Es evidente en la escena en Te doy mis
ojos, cuando vemos a Antonio y Pilar haciendo el amor, que ella se enfoca en el momento
erótico y no hace caso de las memorias del abuso que la cara y las manos de Antonio
pueden inducir en un momento diferente.4 La relación de Antonio y Pilar y la de Gloria y
Juan está basada en el sexo, “the glue that keeps their marriage together.” (Levine 9) Una
razón por la que las mujeres no dejan a sus esposos a pesar de los golpes violentos es que a
través de sus miradas, como a través del sexo, ellas se sienten deseadas y bellas. En Nada
Andrea describe su visión sobre Gloria “el día en que la vi desnuda sirviendo de modelo a
Juan” (Laforet 36) para su pintura. La comparación de Gloria como un objeto visto por Juan
es indiscutible, pero al mismo tiempo para ella hay “algo que en sus ojos no lucía nunca.”
(38) Es como si una representación pasiva le diera un significado personal que faltara en su
vida normal. El objeto inanimado de la pintura le da vida al sujeto que se siente incompleto
sin la mirada del hombre. Cuando la madre de Ena habla con Andrea sobre su pasado con
Román, le revela que Román le pidió una de sus trenzas, que ella no sería capaz de
cortarlas. La madre le admite a Andrea que valora mucho su cabello como su belleza. Por
fin ella corta su cabello, y después él le pregunta “¿por qué has hecho esa estupidez, mujer?
¿Por qué eres como un perro para mí?” (243) La mujer pierde una parte de sí misma y se
transforma en una muñeca que él ha manipulado.
Hay muchos momentos en Nada con tensión sexual entre Andrea y su tío
Román. Al llegar a la casa ella nota su apariencia y que aunque la abraza con mucho
cariño, tiene una pistola en la mano, y la primera cosa que hace Román frente a ella es
provocar una lucha entre Gloria y Juan. (28, 29) Representa una amenaza siniestra en su
vida, y en un momento pregunta si Andrea lo quiere y dice que quiere contarle cosas. (90,
92) Los intercambios entre Andrea y Román parecen extraños y al borde de algo
peligroso hasta que ella termina la relación. A través de la tensión sexual entre ella y su
tío, Andrea experimenta este cruce del miedo y el deseo.
Relacionado con una relación peligrosa entre el deseo y el miedo está la cuestión
de la muerte. Una persona abusada que se queda en una situación abusiva juega no
solamente con la pérdida de su identidad, sino con la de su vida. Emilia Pardo Bazán
presenta una lucha entre el deseo y la muerte en su cuento “El amor asesinado.” La mujer
se siente sofocada y con la necesidad de un escape porque está harta de la presión del
Amor, personificado en el cuento como un hombre. Ella, llamada Eva, planea la muerte
de Amor: “Eva comenzó a pensar en la manera de librarse… Entre el Amor y Eva, la
lucha era a muerte, y no importaba el cómo se vencía, sino sólo obtener la victoria.”
(246) Eva lucha por su vida, al igual que las protagonistas abusadas están luchando por
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�sus propias vidas. Las posibilidades son escaparse, liberarse, e identificarse, o morirse.
Ellas se escapan porque son motivadas por el miedo que sienten, un instinto humano para
huir fuera del abuso.
El personaje de Antonio no es un bruto raso, sino un individuo complejo y
confundido acerca del deseo, el miedo y el control. El espectador ve a Pilar como un objeto
sexual para Antonio. El no le da respeto como un individuo, sino como un ser sexual. El
artículo “Amores que matan” de Jacqueline Cruz arguye que Antonio “está obsesionado
con la posibilidad de que ella se enamore de otro y se muestra claramente inestable y
emocionalmente aislado, expresándose efectivamente sólo a través de la ira.” (72) Actúa
violentamente no sólo por celos sino también por miedo. La quiere bajo su control, como
una muñeca en sus manos. Parece un niño con su necesidad de tener toda la atención de
Pilar cada minuto. Aunque Antonio va a la terapia en grupo, no puede cambiar, y ya que no
cambia, es difícil alterar el estado mental de Pilar para independizarse.
Las mujeres solamente se sienten bellas a través de la mirada y del deseo sexual
de los hombres, obsesionadas con sus cuerpos. Gloria le pregunta a Andrea “Y bonita…
¿Verdad que soy bonita?” (Laforet 303) para sentirse afirmada.5 Ella ha perdido el
respeto y la imagen de sí misma. En Te doy mis ojos vemos a Pilar desnuda dos veces,
una durante una escena sexual y otra durante una escena de abuso. En la cama el
espectador ve la ternura y el placer que siente Pilar con Antonio. Pilar siente valor porque
es un objeto deseado sexualmente por él. En un instante la perspectiva y la mirada de
Antonio pueden cambiar cómo ella se percibe, como en la escena chocante al final
cuando Antonio le quita la ropa a Pilar y la pone desnuda en el balcón frente a toda la
ciudad. Antonio la agarra y ella se orina por el miedo. A causa de esta humillación ella
siente una combinación de vergüenza, horror y miedo, y su imagen de la belleza está
destruida. En el resto de la película vemos una distancia remota entre la pareja, y poco
después ella se va porque, en un instante de vergüenza, entiende que ella puede construir
su propia identidad y belleza fuera de la influencia destructiva de Antonio. Los cuerpos y
la belleza de las mujeres son cambiados a causa de los hombres.
Las mujeres en estas obras aparecen fragmentadas por los hombres. Laforet y
Bollaín muestran a las mujeres y sus “bodies as gendered, violated, fragmented, marginal
and central, and the objects that surround the body.” (Gómez-Quintero y Bustillo 6) Hay un
momento en Nada en que Román le dice a Andrea “Tú no dominarás tu cuerpo y tu alma.
Tú no, tú no… Tú no podrás dominarlos.” (Laforet 107) Sus palabras se refieren a la
inhabilidad de las mujeres para construir algo sin la ayuda o la participación de un hombre.
Linda Gould Levine propone que en Te doy mis ojos Antonio, “affirming himself as the
aggrieved subject, he converts his wife into an object who is no longer the active spectator.”
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�(15) Ya sea por el poder de las palabras o los golpes, las mujeres son objetos sin fuerza. Las
mujeres no son espectadoras activas y sus cuerpos y sus almas están incompletos. Bollaín
propone la opción que tienen las mujeres del escape cuando Pilar se va a Madrid, al igual
que Andrea, pero con Gloria no vemos la misma fuerza o mentalidad de la liberación
personal del hombre. Aunque ella se queja mucho, no hace nada para salir de la situación.
El cuerpo de Gloria es casi descuartizado por la mirada de Juan, y se convierte en lienzo
para Juan con el color de los cardenales y la sangre de los golpes. Ella, como modelo para
su pintura, no es vista como una persona en total. Llega a ser fragmentada en trozos cuando
él pinta una pierna, un brazo, un pecho. La situación es paralela entre Antonio y Pilar. El
título de la película, Te doy mis ojos, está explicado en una escena cuando Pilar le da como
“regalo” a Antonio partes de su cuerpo. Al decirle “te doy mis brazos, te doy mis piernas,”
la mujer está descuartizada y vista solamente en trozos. Una parte de la lucha por la
subjetividad de las mujeres, que proveen Laforet y Bollaín, incluye cambiar la idea de la
mujer fragmentada y reconstruirla como un alma unida.
Los cuerpos femeninos aparecen en un momento como los de una musa bella y
en otro luchando por el respeto y la vida. Es difícil comprender por qué ellas están en
situaciones de abuso donde se fragmentan y se convierten en objetos, más cuando vemos
las imágenes del abuso en las obras. Mirar o leer el abuso no es fácil, pero Laforet y
Bollaín lo hacen en formas artísticas y psicológicas. Las obras son diferentes a escenas
sangrientas sobre una guerra o batalla o una lucha física entre dos hombres armados.
Nada y Te doy mis ojos cuentan historias de mujeres abusadas por la violencia doméstica,
con elementos profundos alrededor de las imágenes y escenas violentas.
IV. El Abuso Hacia la Mujer
Nada y Te doy mis ojos presentan al tema del abuso femenino de manera vívida.
En Nada hay escenas repetitivas de luchas físicas entre Juan y Gloria, casi banales. Juan
actúa desde una rabia celosa y Gloria, la ingenua, reacciona con sus erupciones
emocionales. Bollaín cuenta una historia de violencia doméstica en una manera artística.
Los espectadores no ven la sangre de Pilar en la película, pero experimentan su camino
psicológicamente destructivo. Román, Juan y Antonio representan hombres españoles
reales, y actúan dentro de los marcos estereotípicos. Estas figuras del machismo español
en la literatura de mujeres “are lampooned mercilessly, reflecting social criticism of the
ethic of male superiority.” (Brown 68) Estos hombres son instrumentos para la crítica e
imágenes del abuso que dirigen a las mujeres. En las obras el tema del abuso contiene
algunas imágenes fuertes y al mismo tiempo un análisis de la cultura y los hombres
españoles.
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�Las descripciones de Román y Antonio están centradas en la representación de
hombres celosos y cómo afecta la necesidad de atención por parte de sus mujeres. Un
tema predominante en la literatura de María de Zayas es el de los celos. Los hombres
están motivados por los celos, usando el abuso físico o verbal hacia las mujeres. En Te
doy mis ojos es evidente que Antonio sufre de un complejo de la inferioridad. Siempre
piensa que ella está con otro cuando ella está trabajando o con sus amigas, y duda de sus
habilidades en su vida. Desea la dominación completa del cuerpo de Pilar, y si no lo
consigue, tiene un pánico violento que dirige hacia ella. Linda Gould Levine explica que
con su trabajo nuevo, Pilar evoca “anger and fear in her husband, who feels threatened by
the delight his wife finds in an image other than his own.” (4) Para lograr el control,
Antonio la posee. El miedo de que ella lo va a abandonar “inevitable leads him to lash out
against her and annihilate her re-vision of self” (12) Como Antonio, en la novela Nada el
miedo que tiene Juan en cuanto a su relación con Gloria lo lleva a perder el control y a
golpear violentamente a su esposa. También Román provoca los celos y el abuso a Gloria
cuando le habla a Juan sobre la relación que tuvo con ella en el pasado. Gloria amenaza el
control de Juan cuando grita que no tiene miedo, y eso le genera furia. Las mujeres que
trabajan, como es el caso de Pilar, amenazan al hombre y su poder. Por lo tanto ellos
“affirm their manliness” (Brown 60) con la dominación física. Cuando Román pierde el
control sobre Andrea y sobre su amiga Ena, se suicida; es un acto claro del efecto
negativo que tienen las mujeres en los hombres cuando presentan una amenaza a su
masculinidad. El hecho que los hombres sean mostrados como seres violentos es una
crítica fuerte a la sociedad española porque revela una realidad triste. Al representar el
estereotipo no lo alaba, sino que lo critica.
El abuso es palpable en la novela y en la película. En una lucha que aparece en
la novela, la narradora dice que Juan “soltó una blasfemia y le empezó a dar puñetazos en
la cabeza” (Laforet 134) a Gloria. Según Ana María Fernández en su libro Las mujeres en
la imaginación colectiva, hay una conexión fuerte entre el cuerpo femenino, la sexualidad
y el poder. Explica que “en el terreno de la sexualidad, se desarrollan a menudo diversas
formas de maltrato hacia la mujer. La coerción sexual y la cosificación del cuerpo de la
mujer son aspectos de una sexualidad entendida como instrumento de poder.” (98) Juan y
Antonio dominan a Gloria y a Pilar, y en sus relaciones los hombres les roban a las
mujeres su dignidad, su identidad y su cuerpo. Al final Andrea cuenta cómo Gloria
“rápidamente se quitó la blusa y me enseñó un gran cardenal sanguinolento en la espalda”
(Laforet 304) a causa de un golpe de Juan. Juan usa continuamente términos como
“zorra” y “sinvergüenza” y dice que Gloria tiene “sesos de conejo” y que le matará. En
conjunto es una atmósfera destructiva psicológicamente para ella, pero no se va.
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�El uso de los colores en las obras da una dimensión nueva al mundo del abuso.
En un momento en Te doy mis ojos en el museo Pilar explica los colores de un Kandinsky
a un grupo de turistas. Ella habla del color blanco y dice que representa el silencio, y que
el violeta es el miedo. La cámara se enfoca en el círculo enorme de violeta y purpúreo en
el cuadro, que parece un cardenal. Aparte de los documentos del hospital, es la imagen en
la película que más se asemeja a una señal del abuso en su cuerpo. El espectador sabe que
las manos de Antonio producen la sangre de Pilar a través de sus golpes, pero solo ven
sus manos contra las páginas rojas de la libreta que usa para su terapia. En Nada después
de una lucha y de que Juan baña a Gloria en una ducha fría, la pone en la cama. Andrea
observa que “sus cabellos mojados resultaban oscuros y viscosos como sangre sobre la
almohada.” (Laforet 135) El cabello hermoso y rojo se relaciona con la sangre fea del
abuso. El abuso, ya sea visual o simbólico, aparece más fuerte con el uso de los colores.
Es muy interesante la forma en la cual Laforet utiliza el agua para reflejar el
estado del cuerpo en la obra. Al llegar a la casa Andrea narra que “por las mañanas
raspaba mi cuerpo bajo la ducha fría.” (72) La acción describe su disgusto con su
situación, en la que trata de borrar sus experiencias, como marcas visibles, desde su
cuerpo. Durante una pelea entre Gloria y Juan, Andrea entra en el baño, pero ella dice
que el agua es “incapaz de refrescar mi carne ni de limpiarla,” (207) expresando otra vez
la necesidad de borrar lo que experimenta. En la tercera parte después de que todo está
revelado sobre el propósito que tiene Ena con Román, Ena y Andrea se abrazan en la
calle. La narradora dice que “caían grandes gotas calientes y no nos movíamos. Ena pasó
su brazo por mi hombro y oprimió su suave mejilla contra la mía. Parecían desbordadas
todas nuestras reservas. Calmados los malos momentos.” (272) Es la primera vez que
alguien toca a Andrea con ternura auténtica y positiva. Es un buen ejemplo también de
cómo se notan los detalles de los movimientos y la forma en que todos se tocan. Después
del suicidio de Román, Andrea va a bañarse:
el agua caía sobre mí azotándome y refrescándome. Las gotas resbalaban sobre
mis hombros y el pecho, formaban canales en el vientre, barrían mis piernas.
Arriba estaba Román tendido, sangriento, con la cara partida por el rictus de los
que mueren condenados. La ducha seguía cayendo sobre mí, en frescas cataratas
inagotables. (290)
En la escena, después de toda la agonía que había causado su tío, Andrea puede
descansar; termina su lucha personal con él. La ducha actúa como un ritual que purifica la
mente y el cuerpo de la muchacha. Su cuerpo, convertido en algo sucio por los esfuerzos
de Román de destruirlo, necesita ser limpiado. También después del suicidio el cuerpo y
el alma de Gloria están purificados por el agua, cuando ella le pide a Andrea una taza de
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�agua. (291) Los efectos del hombre necesitan ser borrados. Por fin, ella puede continuar
su camino personal y descubrir su propia vida.
Laforet y Bollaín usan la mirada para describir el abuso a través de la narración
escrita y la lente de la cámara. El enfoque de las obras en el abuso no ocurriría sin el
apoyo que provee la mirada. La identidad de las mujeres al igual que las de los hombres
está construida por la fuerza de la mirada, la importancia de que el sujeto mira al objeto y
cómo la mujer puede ser visible o invisible según el uso de la mirada.
V. La Mirada
La mirada está fuertemente conectada con la imagen del ojo. En su artículo
“Freud and the Visual” Peter Benson escribe sobre las ideas de Freud, explicando que
“Freud minimized the important role of eyes… declaring them simply to be substitutes
for the genital organs.” (111) Vemos esta “substitución” en la historia de Edipo; porque
él se ciega, se castra. El abuso que dirigen los hombres en las obras a las mujeres es una
defensa por el miedo subconsciente de la castración, (Cixous 343) y por lo tanto les
pegan en vez de castrarlas. Como un órgano sexual, el ojo es delicado y privado porque
podemos interpretar el ojo como “a living mirror” (Braun 214) para mirar el alma. Con
los ojos podemos observar y comunicarnos con la gente, podemos transmitir las
emociones y examinar los ojos de otra persona, con una mirada muy íntima. Entonces,
como el ojo, la mirada es muy personal, y depende de la perspectiva de la persona.
Laforet y Bollaín exploran la identidad femenina no solamente con imágenes de
mujeres como objetos físicos, sino a través de las miradas de los hombres. Para estas
mujeres la identidad se construye a partir de las opiniones de los demás. El poder de las
miradas, más las de los hombres que las de otras mujeres, influye en las acciones de
Andrea, Gloria y Pilar en formas fuertes. Hay muchos ejemplos de cómo la mujer es
mirada y como mira a los hombres. La imagen del ojo simboliza la mirada en las obras.
El espectador lee o ve que los ojos son descritos con lágrimas y rabia, ojos que están
abiertos, cerrados, brillantes y como gatos. En casi todas las páginas de Nada hay más de
una referencia a los ojos, y hay muchos momentos en que Andrea cierra sus ojos.
Los hombres representan una amenaza a la mirada femenina al igual que las
mujeres amenazan la mirada masculina. Es evidente en Nada, como en esta y otras
épocas en España, que el hombre es “el jefe de familia.”6 (Laforet 125) La figura siniestra
de Román es un antagonista perfecto, con su cabello oscuro, ojos penetrantes, y manos
vivas. Juan, claramente a través de su abuso a Gloria, como dice Vollendorf, “exposes the
culturally configured attitudes toward the female body as the receptacle for masculine
aggression and fear.” (280) Al pintar un cuadro de Gloria cuando ella está desnuda, él
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�dicta su imagen como si fuera un escultor que esculpe un objeto físico. Román se enfoca
en Andrea, y en un momento cuando ella está asustada por él, observa que “los ojos de
Román estaban sobre los míos.” (Laforet 95) En su artículo “Looks that Kill” Barry
Jordan escribe que “For Andrea, the fact of being positioned as object of the look,
especially by male eyes, quickly becomes associated with control, repression and lack of
being.” (83) Román posee y reprime las vidas de todas las mujeres en la casa como la de
su perro. Cuando Andrea empezó a despegar los dedos de Román de su brazo y cuando
Gloria grita a Juan “no te tengo miedo, ¡cobarde!” (Laforet 254) durante una lucha, son
actos de liberación física y mental del poder masculino. Cuando ella y su amiga Ena
empiezan a aislarse de Román, poco después él se suicida.7 Según Barry Jordan, “through
Roman’s grisly fate, Nada suggests that a woman’s gaze, as an object of male perception,
is simultaneously feared and desired.” (94) Se transforman sus miedos en poder. Cuando
Ena está liberándose de la fuerza de Román y Andrea entra en la habitación, ésta última
explica que Román parece muy pálido, pero que Ena parece tranquila, fumando. (Laforet
266) Ena aparece en una posición sexual frente a Román, pero ella gana el control, casi
jugando con el erotismo. Antes de que las chicas se vayan de la habitación él no mira a
Andrea, sólo a Ena cuando habla porque se siente amenazado. (267) Después Andrea se
siente cambiada, cuando la amenaza de su tío está rota. Cuando Andrea y las mujeres
confrontan a los hombres y miran los ojos del otro, ellas amenazan la amenaza.
Andrea tiene una mirada atípica con su poder como narradora porque su deseo
de huir es como una lucha contra la mirada. Aunque ella observa todo como debe hacerlo
un narrador, dice “tenía ganas de apoyarme contra una pared con la cabeza entre los
brazos, volver la espalda a todo y cerrar los ojos.” (Laforet 44) Ella se niega a ser testigo
de las locuras de su familia, del abuso, de la rabia y de la desconexión completa que
tienen ellos con la realidad. Barry Jordan escribe sobre la relación en Nada entre los ojos
y la mirada, y explica que “the gaze becomes a metaphor for the body, an extension
whereby the woman’s gaze must be barricaded by the eyelids.” (85-6) Para Andrea,
cerrar los ojos es una forma de escape. Explica el miedo que Andrea tiene con los ojos, y
dice que “Andrea develops a veritable phobia about eyes, wildly overreads different
situations and experiences degrees of anxiety out of all proportion to the imagined threat
posed.” (89) Su miedo de los ojos indica cómo se siente cuando es vista y juzgada por la
mirada. Andrea quiere cerrar los ojos para borrar o desaparecer, demostrando el poder
que tienen los demás sobre ella con la fuerza de sus miradas hacia ella.
Como Andrea quiere ser invisible, Pilar desea cambiar su posición y ser visible. Al
fin de Te doy mis ojos Pilar le dice a su hermana, “Necesito verme,” y se va en una
búsqueda de la identidad fuera de su marido. Desde el principio de su relación con Antonio
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�ella ha perdido la visión de sí misma, como ha perdido la visión en su ojo. Con el trabajo
nuevo ella gana una posición más fuerte, literalmente más visible en el mundo porque habla
frente a grupos de personas. La primera escena en que Pilar y su hijo huyen a la casa de
Ana vemos que ella no sólo está asustada sino que se mueve como una persona que tiene
miedo de todo. No puede hablar con Ana porque el miedo está sofocándola, y lleva las
zapatillas en los pies porque no las ve. En cambio cuando ella está en el museo frente del
grupo vemos la confianza que ha ganado. Habla fácilmente sobre los cuadros, sonriendo,
con todo el terror de su cara convertido en una tranquilidad apacible. En vez de esconderse
en casa con el miedo, ella trata de convertirse en un ser visible y poderoso.
Como una obsesión, en Nada Andera describe cuando la “encogió de hombros”
y cuando le “cogió las manos,” con ejemplos de momentos en que es agarrada o
empujada y muchas descripciones de las manos, sobretodo las manos de su tío Román.
Como las manos representan contacto entre personas, la mirada representa la relación
entre ellas. Ver nuestra reflexión en los ojos de otro es vernos a nosotros mismos a través
de sus ojos. (Braun 217) Andrea ve que la gente la mira y que siempre es mirada por su
familia, que ellos la juzgan. Aunque los ojos de su tía Angustias la afectan mucho al
principio de la novela, son los ojos de su tío Román los que influyen mucho en ella. Una
mirada, explica Barry Jordan, cambia el modo en que nos percibimos, y por lo tanto “the
underlying sense of power and control over the female body accorded to male lines of
sight.” (80) Andrea dice que será feliz si los ojos de Pons la encuentran bonita. (Laforet
223) A ella le importa mucho cómo la percibe la gente. En la narrativa Andrea siempre
dice “levanté los ojos” o “bajé los ojos,” poniéndose en una posición inferior de los
demás a través de su perspectiva. Construye una imagen de sí misma a través de las
miradas de los demás.
El ojo, como un símbolo de la mirada en los mundos literarios y
cinematográficos, aparece mucho en las obras. Bollaín usa una descripción física del ojo
como Pardo Bazán para visualizar la mirada femenina en Te doy mis ojos. Ana, la
hermana de Pilar, descubre en el cajón unos documentos del hospital que explican que
“Pilar has loss of vision in one eye…she has indeed handed over her identity and sense of
self to her husband.” (Levine 5) Al dar su cuerpo en trozos a Antonio, Pilar ha perdido la
habilidad de verse a sí misma y de comprender la seriedad de su posición a causa de la
violencia. La pérdida de la visión de Pilar presenta un paralelo enorme con Ildara en “Las
medias rojas.” Después del abuso que narra en la historia un doctor le dice a Ildara, la
víctima, que tiene un desprendimiento de la retina. (248) Esta consecuencia del abuso
crea una comparación literal entre el ojo y la mirada, como la de Te doy mis ojos. Pilar e
Ildara pierden sus identidades a través del abuso de su visión, y la visión de sí mismas. Al
64
�final es claro que solo Pilar puede recuperar su subjetividad puesto que Ildara está
condenada al encierro con su tío Clodio.
VI. Conclusión
Laforet y Bollaín, como Zayas y Pardo Bazán, cuentan las historias de mujeres
abusadas desde la mirada de sus protagonistas. Sin embargo, no visualizan el tema del
abuso femenino como fuente de entretenimiento. Las escenas gráficas y sangrientas
sirven para pintar la realidad de las mujeres en España y cómo viven bajo la cultura.
Jacqueline Cruz reporta en 2005 que en Madrid fueron “setenta mujeres asesinadas en el
año 2003 a manos de sus parejas o ex parejas,” (67) y Linda Gould Levine escribe que
“the Spanish Parliament approved in 2005 new legislation guaranteeing increased
penalization for acts of violence against women, a political victory that confirms that the
stories of invisible women have indeed become more visible.” (22) Las autoras y
directoras españolas, con sus representaciones de mujeres luchando por su propia voz e
identidad contra el abuso, han contribuido a cambiar la sociedad. Claro que el problema
del abuso femenino no desaparecerá en un día para otro, pero se ha creado una
representación feminista.
Los siglos en que escribieron Zayas y Pardo Bazán presentaron obstáculos y
estigmas grandes para las autoras en general. Ahora en la escritura y en el cine de los siglos
XX y XXI las autoras y directoras describen cualquier tema perverso o universal. La
escritura ha cambiado a partir de esfuerzos anteriores de autoras del siglo de oro y del
romanticismo y naturalismo quienes alteraron el camino de la escritura española. Sin la
influencia de María de Zayas no inexistiría la fuerza receptiva de Carmen Laforet, ni la de
Icíar Bollaín sin Emilia Pardo Bazán. Las exploraciones de Zayas y Pardo Bazán acerca de
la vida española conectadas con el abuso y la mirada le abrieron el camino a la escritura
descarnada, desgarradora y sangrienta que producen las autoras en las décadas actuales.
Zayas, Pardo Bazán y Laforet escriben y Bollaín dirige películas para sí mismas,
pero también para que la gente sea más consciente del mundo en que vive, aun cuando no
viva en España necesariamente. Escriben para describir la sociedad de la época, y es
evidente que la cultura española siempre ha incluido el problema del abuso femenino. En
una entrevista con Marie-Lise Cazarian Gautier, Laforet evade la sugerencia de que en
Nada aparece una perspectiva nueva sobre las mujeres y se refiere al papel de los
escritores en general; “perhaps this was because after the Civil War everybody was
writing symbolically, while I wrote an ordinary book about life in Barcelona in the
1940s…I just wanted to show what Barcelona was like soon after the end of the war.”
(153) La novela provee una descripción palpable de Barcelona que aparece después de la
65
�Guerra Civil bajo la dictadura de Francisco Franco, pero incluye a su vez las escenas
vívidas del abuso y momentos en que las mujeres son fragmentadas y objetivadas. Te doy
mis ojos tiene elementos feministas, enfocados en la forma en que Bollaín expresa la
situación y representa los cuerpos callados de las víctimas de abuso doméstico. Hélène
Cixous escribe “write your self. Your body must be heard.” (338) Indica la necesidad
humana de expresarse, y Nada y Te doy mis ojos, en este sentido, son gritos fuertes que
anuncian el poder del cuerpo femenino y la necesidad de liberarse.
Efectivamente incorporan la exploración de la mujer en el espacio masculino,
del sofoco en la ciudad, y los efectos del cruce del miedo y deseo en la identidad de la
mujer. Su identidad, aunque fragmentada, es construida a través de las opiniones de los
hombres hasta que la pueden liberarse e identificarse. Las imágenes del abuso de las
mujeres que proveen Laforet y Bollaín, al igual que las de Zayas y Pardo Bazán, avanzan
en su importancia por medio del uso de los colores y el agua. El uso del ojo provee una
comprensión de las miradas complejas de los personajes, que la identidad total de las
mujeres es una combinación de todos estos elementos. Me interesan mucho Nada y Te
doy mis ojos, dos obras de la España contemporánea, no sólo por el uso de la mirada, sino
por el desarrollo personal de las protagonistas a través de los acontecimientos en las
obras. Laforet y Bollaín, a través de los ojos abusados de sus personajes femeninos, han
creado oportunidades nuevas para dar voz a la mujer y liberarse del abuso.
VII. Agradecimientos
Muchas gracias a Margarita Sánchez, mi asesora. Sin toda la ayuda, el apoyo, las
sugerencias, los libros y los e-mails, no existiría mi tesis. Es un honor enorme ser su
estudiante. Gracias a Katica Urbanc por sus libros y artículos, y gracias a ellas por leer el
montón de páginas y ofrecer correcciones y sugerencias. Gracias a la profesora Linda
Gould Levine por su presentación en Wagner sobre su artículo y por su e-mail. Gracias al
Departamento de Lenguas Modernas en Wagner por la inspiración de mis estudios y la
oportunidad de explorar este tema.
VIII. Notas
1
No hay mucha información sobre la vida de María de Zayas, ni se sabe si era soltera o
casada. Terminó su vida en un convento, algo típico para muchas mujeres de su época, al
igual que en “La fuerza del amor” Laura tiene la opción de irse a un convento en vez de
casarse otra vez, y que en Nada la tía Angustias se va a un convento.
2
Después de la época medieval, hubo una distinción más radical entre hombres y mujeres
en España que en el resto de Europa. (Kirkpatrick 59) En la mitad del siglo XIX en
66
�España, “the new tack was even more intimidating to respectable middle-class ladies, for
it implied that women who wrote were immoral.” (88) Ser escritora, escribir y publicar su
opinión era entonces una decisión poderosa y peligrosa para su posición. Si una mujer
decidía ser escritora, había limitaciones en su material literario. Como describe
Kirkpatrick, el poder de las tradiciones religiosas y misóginas produjeron una reacción
negativa en las autoras y las obligaron a conformarse a modelos de mujeres
estereotípicas. (89)
3
El guión original de la película es diferente al producto final. En el guión Bollaín
incluye en el final una escena donde Pilar está en un museo en Madrid, hablando
tranquilamente sobre un cuadro de Adán y Eva con un grupo de turistas.
4
Es irónico que normalmente hacer el amor con otro significa fortalecer la identidad
sexual, pero al acostarse con un hombre abusivo, la mujer destruye su identidad.
5
Lo que dice Gloria se relaciona con lo que escribe Jane M. Ussher en su libro The
Psychology of the Female Body sobre la imagen que tenían las mujeres de la Inglaterra
Victoriana sobre sí mismas, que el cuerpo femenino es “largely constructed in a
derogatory light with the potential for debilitation emphasized, resulting in many women
having a negative self-image.” (Ussher 13) Sus inseguridades están llenas de todos los
sentimientos antiguos de que la mujer es inepta y solamente sirve para ser madre o ser
bella, como una musa.
6
Vemos la misma noción en la película ¿Qué he hecho yo para merecer esto? (1984) de
Pedro Almodóvar, cuando el hijo adolescente vuelve a casa para cuidar a su madre, y
declara que la casa necesita un hombre. (Levine 19)
7
Después de la escena chocante en el balcón, Pilar decide dejar a su marido finalmente.
Antonio intenta suicidarse con cuchillos y tenedores lavados, y “his failed and pathetic
suicide attempt has no effect on his wife.” (Levine 16) Ninguno de los dos hombres
quiere vivir sin poder ejercer un control sobre la mujer.
IX. Bibliografía
1. Ariès, Philippe, y Georges Duby, ed. A History of Private Life: Revelations of the
Medieval World. Trans. Arthur Goldhammer, Cambridge: Belknap P of Harvard U P,
1988.
67
�2. Bataille, Georges. El Erotismo. 1957. ed 6ª. Trans. Antoni Vicens. Barcelona:
Tusquets, 1992.
3. Benson, Peter. “Freud and the Visual”, Representations, 45 (1994): 101-116.
4. Blunt, Allison, y Gillian Rose, ed. Writing Women and Space. New York; Guilford P,
1994.
5. Braun, Lucille V. “‘Ver que me ves’: Eyes and Looks in Unamuno’s Works”, MLN,
90, 2 (1975): 212-230.
6. Brown, Joan Lipman. “Men by Women in the Contemporary Spanish Novel”,
Hispanic Review, 60, 1 (1992): 55-70.
7. Cixous, Hélène. “The Laugh of the Medusa”, Feminism: An Anthology of Literary
Theory and Criticism. Ed. Robyn R. Warhol y Diane Price Herndl. New Brunswick:
Rutgers UP, 1991. 334-49.
8. Cruz, Jacqueline. “Amores que Matan: Dulce Cacón, Icíar Bollaín y la Violencia de
Género”, Letras Hispanas, 2,1 (2005): 67-81.
9. de Beauvoir, Simone. The Second Sex. Introducción. 1949. Trans. H. M. Parshley.
Nueva York:Vintage, 1989.
10. Fernández, Ana María, compiladora. Las Mujeres en la Imaginación Colectiva: Una
Historia de Discriminación y Resistencias. Buenos Aires: Paidos, 1992.
11. Gazarian Gautier, Marie-Lise. “Carmen Laforet.” Interviews with Spanish Writers,
Elmwood Park, IL: Dalkey Archive P, 1991. 151-64.
12. Gómez-Quintero, Rayas E., Amador y Mireya Pérez Bustillo. The Female Body:
Perspectives of Latin American Artists. Westport: Greenwood P, 2002.
13. Huffer, Lynne, y David Dean. “An Interview with Nicole Brossard Montreal, October
1993”, Yale French Studies, 87 (1995): 115-121.
14. Jordan, Barry. “Looks that Kill: Power, Gender and Vision in Laforet’s Nada”,
Revista Canadiense de Estudios Hispánicos XVII (1992): 79-104.
68
�15. Kirkpatrick, Susan. Las Románticas: Women Writers and Subjectivity in Spain,
1835-1850. Berkeley: U of California P, 1989.
16. Laforet, Carmen. Nada. 1945. Barcelona: Destino, 1949.
17. Levine, Linda Gould. “Saved by Art: Entrapment and Freedom in Icíar Bollaín’s Te
doy mis ojos”, Included in volume, Generation X Rocks: Contemporary Peninsular
Fiction, Films, and Rock Culture. Ed. Christine Henseler and Randolph Pope. New York
and London: Hispanic Issues (Routledge). [Forthcoming]
18. Marcos Marín, Francisco, ed. “El Cantar del Mio Cid”, Poema de Mío Cid. Madrid:
Alhambra, 1985.
19. Pardo Bazán, Emilia. “El Amor Asesinado”, Cuentos Completos. La Coruña:
Fundación Pedro Barrié de Maza, Conde de Fenosa, 1990. 245-8.
20. ─. “Las medias rojas.” Cuentos (Selección). Madrid: Taurus, 1984.
21. Pecoraro, Rosilie Hernandez. “‘La Fuerza del Amor’ or ‘The Power of Self-Love’:
Zayas’ Response to Cervantes’ ‘La Fuerza de la Sangre’”, Hispanic Review, 70, 1 (2002):
39-57.
22. Smith, Paul Julian. Vision Machines: Cinema, Literature and Sexuality in Spain and
Cuba, 1983-1993. Critical Studies in Latin American and Iberian Cultures Series.
London: Verso, 1996.
23. Te Doy Mis Ojos. Dir. Icíar Bollaín. Perf. Laia Marull. Alta Producción, 2003.
24. Urbanc, Katica. Novela feminista, crítica feminista: Cinco autoras españolas. Toledo:
Textos Toledanos, 1996.
25. Ussher, Jane M. The Psychology of the Female Body. London: Routledge, 1989.
26. Vollendorf, Lisa. “Reading the Body Imperiled: Violence against Women in Maria de
Zayas”, Hispania, 78, 2 (1995): 272-82.
27. Zayas y Sotomayor, María de. “La Fuerza del Amor”, Novelas Amorosas y
Ejemplares. Ed. Agustín G. de Amezúa. Madrid: Biblioteca Selecta de Clásicos
Españoles, 1948. 221-49.
69
�Female Representations of Science
Sirena LaBurn (Arts Administration)1
Though men have long tried to construct a scientific realm completely
dominated by men, the attempts have failed. Women’s presence in science has
undoubtedly fluctuated depending on religious revolution and repression by the opposite
sex. However, the female visual presence has never ceased to exist. There are long
traditions of the female as science, especially among mythology. When women managed
to work their way back into science, literal images of women in the scientific world
appear. Though largely under represented and often left unacknowledged for scientific
accomplishments, feminine scientific images and their persistence prove the long history
of female influences on science.
Francis Bacon was the first scientist to declare that the goal of science was the
control and domination of nature (1). Thus Bacon was the first to articulate science as the
domination of the female. He sees that the male scientist should overcome nature
through strength and aggression. To Bacon, a man should spread the power of the human
race over the universe (1). Bacon also submits to the archetype of nature as female.
Here is a slight contradiction—Bacon believes that man must obey nature in
order to command her (1). He admits that the scientist must admit to some of the
feminine aspects that science tries to overcome. According to Keller, Bacon suggests to
master and manipulate nature is necessary to dominate her (1). Bacon’s metaphor of
man’s mastery over nature denies the feminine as subject and calls for the dominance of
the female sex. Ultimately, Bacon’s beliefs support an image of a female nature that is to
be discovered and conquered.
Alchemy differs from Baconian science since rather than dominating nature,
true alchemists were seeking to understand the nature of process and of life (2). Alchemy
was the dominant science until it gave birth to modern day chemistry. The long
prevalence of alchemy is part of why female imagery has survived male science.
Alchemy rose to save science from complete stagnancy during the time of Claudius
Ptolemy (AD 85-165). Alchemy’s goal is to combine metals in a way to produce gold.
1
Written under the direction of Dr. Maria Gelabert (Chemistry) for the honors course
Women in the History of Science
70
�Not surprisingly, the theoretical and practical bases of western alchemy and modern
chemistry were laid down by Maria the Jewess (1).
Maria believed that metals were living beings, male or female, and their
products the result of combining the two in sexual generation (1). Alchemy sought to
unite male and female aspects, rather than raising the male sex above the female.
Alchemists envied and actually revered female’s procreative powers (1). Alchemists also
see the equality of both sexes before god, believing that the image of god was engraved
in woman just as in man (1).
Another famous woman of alchemy, Cleopatra, placed the imagery of
conception, birth, and the renewal and transformation of life into the literature of alchemy
(1). This influence and presence of female alchemists allow for the image of a female
science. The advancements made by Maria the Jewess, mostly her laboratory equipment,
combined with the fact alchemy predated modern science, contributed to a feminine
image of science.
Females that were allowed to practice science in the ancient world contributed to
a female representation of science. Though later restricted, science’s beginnings included
women, explaining why there are many female representations of science. The first
women gatherers were the first botanists. Females have long been attributed with food
gathering, a job that requires a concept of time; they also learned to relate astronomical
event to changing seasons which affected their plant products (2). These women were
the developers of scientific equipment which they designed to help gather, prepare, and
preserve food (2).
The first written records of science began in Egypt from c. 2778-2263 BC.
Aganice, a relative of the legendary King Sesostris, attempted to predict the future by
studying the constellations and using globes (2). In Egypt, educated women worked as
doctors and surgeons; both of these fields were established prior to 3000 BC.
Gynecology was the specialty of women scientists beginning c. 2500 BC.
Another ancient culture that accorded women some status were the Sumerians.
In this society, women often worked in the important perfume industry; their substances
were used in medicine. These female chemists developed many chemical techniques
including distillation, extraction, and sublimation (2). Around 500 BC Greek science
began with the Pythagoreans. This movement brought women into the mainstream of
developing natural philosophy and mathematics (2). Since all members wrote under the
name Pythagoras it is impossible to give individual recognition, but there were at least 28
women who were a part of the Pythagoreans (2).
71
�As women were pushed out of their scientific professions, a male dominated
science began to grow. Women “found themselves increasingly restricted to the practice
of midwifery, a pattern that is repeated throughout history until finally, in the nineteenth
century, women lost even that foothold” (2). However, the presence of women in the
earliest history of science solidified female imagery of science.
Because of early female advancements in science and the obvious fact that
women were yet to be suppressed from science, cultures were willing to accept women in
science; there are many examples from ancient cultures and mythologies. Pallas Athena,
the patroness of Athens, symbolized wisdom and her symbol was the owl. Since women
ruled the gathering part of basic societies, it is fitting that Athena was attributed with
inventing the plough and the bridle. In an Acropolis marble bas-relief of Athena, where
she appears to be mourning, she seems to represent alchemy since through her image, the
“matriarchal character of the Minoan goddess is brought into relation with the patriarchal
ideals of Aryan and Dorian Greece, and their consequent fusion transforms them both”
(3).
In contrast, she also fits Baconian science metaphors. She manages to overcome
Poseidon many times winning precedence over Attica, the country of the Athenians.
When Poseidon provides the horse, Athena manages to bridle it and build the chariot;
Poseidon rules the waves, but it is Athena that constructs the ship that rides them (3).
Keller shows Bacon’s awareness of Athena, otherwise known in Rome as Minerva, by
stating that non-Baconian sciences “rape Minerva instead of winning her over” (1).
The mythological story of Perseus slaying Medusa is also pertinent. Perseus is
only able to slay the snake headed monster by Athena’s gift, the shield. In this myth,
Athena represents wisdom. Many other men had failed to conquer Medusa, lacking the
wisdom to avoid her stare. The death of Medusa represents the conquering of the
unknown, a feat unattainable without Athena’s help. Perseus presented Medusa’s head to
Athena, whose shield bears the image, scaring her enemies.
There are two different images of Athena; the first of her with shield and helmet
as the goddess of war, (8) and the second wreathed or in some way clothed with snakes
(3). The two images represent a dichotomy (an alchemic ideal) where the images join to
form one Pallas Athena. An image of Athena painted on a cup shows her helmeted figure
with a cape of snakes. Athena looks to be at war; she has a large athletic stride, helmet
on, with snakes leading toward battle. The snakes, representing Medusa, also represent
the unknown. Since the Medusa image was used to instill fear, it is easy to see how
Athena conquered man’s fear of the unknown. This ability to rule over the unknown,
combined with the fact she is a female who has the wisdom to conquer the unknown (also
72
�represented by a female Medusa) causes fear in her enemies who were likely to be male
soldiers.
Another ancient myth is that of the Sphinx, a female image who represents
reason (4). The sphinx was a monster that had the body of a lion, with the head, breast,
and arms of a woman. This monster knew the answer to the riddle it asked all who
passed. Those who failed were thrown from the rock which she lived.
Oedipus answered the riddle correctly causing the sphinx to throw herself from
her rock and perishing. Here, reason is housed by a woman and foiled by a man. The
sphinx myth suggests that the woman who has reason is a monster. When a woman
conquers reason she is to be feared, and when her secret is revealed she dies.
The sphinx has similar connotations in Francisco de Goya’s allegorical depiction
called Science. Science is the fourth tondo of Goya’s tempera-on-canvas paintings of
Commune, Agriculture and Industry, completed for a Madrid palace (5). The work is a
circular canvas depicting a beautiful woman among a globe and telescope. In the
background is a tree, likely representing knowledge, and an old man, likely an old
scholar. On either side of this round canvas are two mythical sphinxes.
The fact that Charles Yriate, who categorized Goya’s work in 1867, “did not
consider [the sphinxes] to be works by the master,” (5) is not important. The mere
placement of the sphinxes is enough. Their beauty and symbolic representation of reason
show man’s conquest over science, and the monstrous unknown he must struggle to
overcome.
Women were persecuted as witches because men feared female scientific
advancement (1). In the 17th century numbers of women began to be prosecuted for
witchcraft. These women, branded as witches, often had affiliations with alchemy. The
fear was that these witches were gaining “improper knowledge” reaching past the
“domain of proper knowledge” (1). Joseph Glanvill, author of Some Philosophical
Considerations Touching Witchcraft and Witches, 1666, believed that alchemy suggested
“symbolic equality of women before God” (1).
Once again, women represent the unknown. These witches supposedly were
able to reach past accepted forms of knowledge and understand an unaccepted realm of
knowledge. The persecutions of female witches by men resorts back to male fears of a
dominant scientific woman. Female witches represented “dangers against which reason
and the new science promised protection” (1). Resultantly, “in the ideological system
that emerged and prevailed, science was a purely male and chaste venture, seeking
dominion over, rather than commingling with a female nature” (1).
73
�During the Enlightenment, women once again began to find their way into the
long male dominated scientific realm. Portraits of female scientists began to place real
women in the scientific realm. Jacques Louis David, a famous neo-classical painter,
depicted Marie Paulze-Lavoisier and her husband in, Marie Paulze-Lavoisier with
Antoine Lavoisier in their laboratory, 1788. She studied with David, explaining the
admiration he shows for her in the painting. Lavoisier was essential in helping her
husband’s work in chemistry, causing the rise of the new chemistry. Marie leans over her
husband, gazing directly at the viewer. Her husband, sitting at a desk with scientific
equipment, looks up to his wife. Marie’s importance is shown by her figure dominating
the composition thus showing the reliance of her husband on Marie.
Madame de Pompadour, though not a scientist, assisted the growth of the
Enlightenment by becoming the protector of the Encyclopedie, one of the great
intellectual undertakings of the eighteenth century (6). The Encyclopedie was a multivolume illustrated encyclopedia that encompassed all contemporary knowledge, from
philosophy and literature to astronomy and technology (6). In Portrait of Madame de
Pompadour, 1755, by Maurice Quentin de la Tour, Madame de Pompadour depicts the
perfect Enlightenment woman. She holds sheet music while sitting elegantly at a table
covered in books and a globe, with a portfolio at her feet.
More current perceptions of science indicate the male attempt to keep women
out of science. In 1957, Margaret Mead and colleague Rhoda Metraux conducted studies
to discover American high school students not only predominantly see scientists as male,
but as a male willing to “neglect his body for his mind” (7). The male scientist “neglects
his family [and] pays no attention to his wife” (7); also “a scientist should not marry” (7).
This view continued into the 1980s. A collection of 165 drawings done by
secondary school children showed that “only two girls in the group drew a female
scientist [and] none of the boys did” (1). These results show a mindset that has
maintained through the centuries causing a male dominated science. The images are not
of women since women are rarely credited with actually practicing science, but are
credited instead with the more abstract qualities of science, mostly reason, wisdom, and
medicine.
Images of women as science have managed to prevail despite the fluctuation of
female participation in science. Whether acknowledged as scientists or represented only
as objects to be overcome, it is clear women have impacted science. Even when men
have largely kept women out of the scientific realm, women have managed through
images, to keep their scientific presence known. Female depictions of science have
74
�survived because of women’s beginnings in science and the impossibility of males to
completely deny the female.
Works Cited
1. Keller, Evelyn Fox. Reflections on Gender and Science, Binghamton, NY: Yale U.,
1995.
2. Margaret, Alice. Hypatia’s Heritage. Boston, Beacon: 1986.
3. Baring, Anne, and Jules Cashford. The Myth of the Goddess: Evolution of an Image,
England: Viking, 1991.
4. Bacon, Francis. The Essays, New York: Burt, 1893.
5. Rose-De Viejo, Isadora. “Goya’s Allegories and the Sphinxes: ‘Commerce’,
‘Agriculture’, ‘Industry’ and ‘Science’ in Situ”, The Burlington Magazine, Vol. 126
(1984).
6. Chu, Petra ten-Doesschate. Nineteenth-Century European Art, New York: Abrams,
2003.
7. Schiebinger, Londa. Has Feminism Changed Science? Cambridge, MA: Harvard U.,
1999.
8. Murray, Alexander S. Manual of Mythology, Philadelphia: Altemus, 1897.
75
�
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Volume 5, Number 2
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Section I: The Natural Sciences -- Full Length Papers -- 2 An Experimental Investigation of Free Convection in a Rectangular Enclosure / Jared Jax -- Section II: The Social Sciences -- Full Length Papers -- 18 Interference and its Affect on Short-Term Memory Recall / Erin Nemeth -- 25 Does a Nurse’s Smoking Habits Effect a Patient’s Smoking Cessation Education? / Eileen Magnuski -- 34 Lyrical Memory: Can Music Act as a Mnemonic Device in Order to Enhance Memory Recall? / Elicia Enriquez -- Section III: Critical Essays -- Full Length Papers -- 46 Voces y Cuerpos Abusados: Representaciones de la Identidad en Nada y Te Doy Mis Ojos (English summary) / Mia Romano -- 49 Voces y Cuerpos Abusados: Representaciones de la Identidad en Nada y Te Doy Mis Ojos (Full paper) / Mia Romano -- 70 Female Representations of Science / Sirena LaBurn
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Wagner College Forum for
Undergraduate Research
Fall 2007
Volume VI, Number 1
Wagner College Press
Staten Island, New York City
��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 typically subdivided into three sections entitled The Natural
Sciences, The Social Sciences and Critical Essays. The first of these two sections are
limited to papers and abstracts dealing with scientific investigations (experimental and
theoretical). The third section is reserved for speculative papers based on the scholarly
review and critical examination of previous works.
This issue also includes select abstracts from the Eastern Colleges Science Conference
which is the largest undergraduate research conference in the United States.
Read on and enjoy!
Gregory Falabella and Richard Brower, Editors
��Section I: Eastern Colleges Science Conference1
Abstracts
2 Comparing Intracardial Perfusion Fixation and Immersion Fixation in
the Adult Zebrafish Brain Ultrastructure
Letizia M. Hobbs, Vincenzo DiMaggio, Christopher Corbo, Prof. Linda Raths and
Dr. Zoltan Fulop
2 Integrating Materials Science into Middle School Science Programs
Kimberly Farrell and Racquel Campo
3 Duplications, Position Effect, and the Phenotypic Changes Associated
with Bar-Eye Mutations in Drosophila Melanogaster
Irena De Mario and Dr. Ammini Moorthy
4 A Statistical Analysis of the Standard & Poor's 500 Index
Maris Reutzel
4 Jury Bias: The Effects of Race, Sex, and Physical Attractiveness on
Jury Sentencing
Elicia Enriquez and Dr. Amy Eshleman
5 Hydrothermal Crystal Growth of ZnO
Jennifer Hart and Dr. Maria Gelabert
5 Crossing the Burning Sands: A Social Psychological Investigation of
Hazing
Christianna Gozzi and Dr. Amy Eshleman
6 Racial Bias: Do We Love Ourselves or Just Hate Everyone Else?
Daniel Bryant
7 Virtual Screening and Identification of Small Molecule Inhibitors of
the Melatonin Rhythm Enzyme
Margarita Javoroncov , L. Szewczuk, Dr. Surajit Ganguly , Dr. S.A. Saldanha, Dr.
R. Abagyan , and Dr. Philip A. Cole
1
Papers and posters presented at the 61st Eastern Colleges Science Conference held in Bronx, NY
on April 21, 2007.
�8
Cloning jadR1 -jadR2 Intergenic Region Of Jadomycin Biosynthesis
Cluster In Streptomyces Venezuelae
Yevgeniy Statnikov and Dr. Roy H. Mosher
8 The Effects of Varying Ethyl Alcohol Concentrations on Zebrafish
Development: A Morphological Study
Lauren Maltese, Christopher Corbo, Prof. Linda Raths, and Dr. Zoltan Fulop
9 Activation of Microglial Toll-like Receptors Increases Uptake &
Degradation of Amyloid Beta in Vitro
Emily Babcock-Petrus, Daniel Kerr, Dr. George S. Merz and Dr. Daryl Spinner
10 The Relationship between Perfectionism and Sleep Difficulties
Laura J. Kohberger and Dr. Steve M. Jenkins
10 Rhodococcus equi: Spore or Non-Spore Former?
Michael Bois, Mouhammed Halwani, Edmond Kurtovic, Dr. Kathleen Bobbitt
11 Effect of Various Ethanol Concentrations on the Shoaling Behavior of
Zebrafish (Danio Rerio)
Anastasia Kurta
11 The Effect of Caloric Density on Conditioned Taste Preferences of
Caffeinated Beverages
Alfred Raccuia and Dr. Laurence J. Nolan
Section II: The Natural Sciences
Full Length Papers
14 Invention and Application of a Stereotaxic Apparatus for Adult
Zebrafish Brain Surgery
Letizia M. Hobbs, Edmund C. Jenkins, Christopher P. Corbo, Prof. Linda Raths
and Dr. Zoltan Fulop
�Section III: The Social Sciences
Full Length Papers
34 Crossing the Burning Sands: A Social Psychological Investigation of
Hazing
Christianna Gozzi
55 Personal Communication Styles in Organizations
Joseph Pantone
60 The Relationship between Stereotype Threat and Performance on a
Standardized Test: Why Minority Students Do Not Perform As Well
As Caucasian Students
Kim Costa
Section IV: Critical Essays
Full Length Papers
68 Language and Paralanguage: Music and Art as Communication in the
Law of Love
Valerie O’Donnell
75 Pedagogical Strategies for Teaching Science in Secondary Schools
Alexandra Mercil
91 Hiding the Issue: Generation over Race in Guess Who’s Coming to
Dinner?
Holly Walker
101 Teaching Multiplication and Division in Fun and Innovative Ways
Erin Volsario
��Section I: Eastern Colleges
Science Conference
�Comparing Intracardial Perfusion Fixation and Immersion
Fixation in the Adult Zebrafish Brain Ultrastructure1
Letizia M. Hobbs (Microbiology), Vincenzo DiMaggio (Microbiology MS Program),
Christopher Corbo (Microbiology MS Program), Prof. Linda Raths (Biological Sciences)
and Dr. Zoltan Fulop (Biological Sciences)
It is widely accepted that when studying the morphology of the brain at the electron
microscopic level, intracardial perfusion is required to maintain the brain’s delicate
ultrastructure. This procedure, which is easily performed in mice and rats, is not as easy
to accomplish in the zebrafish. Due to the small size of the brain, immersion fixation is
easier and may be sufficient since the fixative does not have to penetrate as deep as it
would in a higher vertebrate. For this study, a self designed perfusion apparatus was used
and user proficiency was maximized. Zebrafish brains were either exposed and fixed by
immersion in situ or perfused. Immersed brains were fixed in situ overnight, then
removed from the skull and post fixed for another whole day. Perfused brains were post
fixed one whole day after a 15 minute perfusion. The brains were fixed using
Karnovsky’s fixative, post fixed with osmium tetroxide, dehydrated through increasing
concentrations of ethanol and embedded in plastic resin. Semithin sections were cut and
stained with tolludine blue and the perfused brains were checked to be sure that the blood
vessels were clear. Ultrathin sections were cut and stained with uranyl acetate and lead
citrate then compared using transmission electron microscopy. When studying under the
TEM, it is evident that the perfused brains were fixed more thoroughly. This can be seen
when comparing the ultrastructure of the cell membranes and organelles such as the
mitochondria. Although the size of the brain is considerably smaller, the immersion
fixation does not yield as high a quality fixation as intracardial perfusion. This is most
likely due to the quick degeneration of brain tissue after death.
Integrating Materials Science into Middle School
Science Programs
Kimberly Farrell (Chemistry) and Racquel Campo (Chemistry)2
Integrating a student’s science education with lessons and hands on experiments, not
included in the school’s textbook, is an essential component of the learning process. This
objective was manifested into an ongoing research project based on materials science
1
2
Recipient of Excellence Award for Student Presentation in Animal Biology
Research conducted under the supervision of Dr. Wendy deProphetis (Chemistry)
2
�through the mentorship program between Liberty Science Center scientists/educators and
the Wagner College research team. In collaboration with Picatinny, a pre-eminent
national and international leader in the research, development, engineering and
production support for advanced weapons systems, several activities have been
developed, which encompass various topics of materials sciences. The task of the
Wagner College researchers was to establish these new activities according to a 45
minute lesson plan for middle school students. These activities were designed and
mapped to incorporate national and state standards. The scientists, researchers, and
educators from LSC critiqued each lesson and improved upon them during teacher
training workshops. Once the activities were finalized, LSC placed us in middle schools
throughout New Jersey in order for the activities to be implemented in a classroom
environment. The assessment forms received from Liberty Science Center, by both
student and teacher, have confirmed that materials science is an interesting area of
science, which is not given enough focus in a school’s science program.
Duplications, Position Effect, and the Phenotypic
Changes Associated with Bar-Eye Mutations
in Drosophila Melanogaster
Irena De Mario (Biology) and Dr. Ammini Moorthy (Biological Sciences)
Drosophila melanogaster shows a semi-dominant X-linked mutation called the Bar-eye.
The Bar mutation reduces the number of facets and causes an alteration in the shape of
the compound eye due to a duplication along the X chromosome of region 16A1-16A7.
Genetic studies have shown that this duplication is present within Bar mutants, but that
there is a triplication in double and triple Bar mutants. Furthermore, the mechanisms of
position effect and unequal crossing over in double and triple Bar mutants alter the
phenotypic change in the eye due to the placement of the triplicated regions. When the
three regions are situated on the same homolog, a triple Bar fly results. However, when
the regions are positioned on two homologs, a double Bar fly is produced. Images
generated from the scanning electron microscope provided an ideal way to observe the
differences in the phenotypes of wild-type, Bar, and double Bar flies and to correlate
them with the genetic mechanisms. The results revealed that wild-type flies contain 748778 facets, Bar mutants have 354-380 facets, and double Bar mutants possess 43-64
facets. These facet numbers for the wild-type, Bar, and double Bar flies were consistent
with published data of 779, 358, and 68 facets, respectively, for each of these fly types.
In addition, the results indicated that two samples from the double Bar flies with facet
3
�numbers of 43 and 48 could have been triple Bar flies, since double Bar flies can mate
and produce a triple Bar mutant. These two samples had facet numbers that matched
documented data of 45 facets for the triple Bar flies more precisely. Therefore, the
research showed how the Bar mutation has its effect on the phenotype through genetic
mechanisms, such as duplication, position effect, and unequal crossing over.
A Statistical Analysis of the Standard & Poor's 500 Index
Maris Reutzel (Physics)3
Standard and Poor’s is a financial company devoted to portraying the numerous
dimensions of the financial industry and the necessary information that the general public
require to make sound investments. The Standard & Poor’s 500 Index allows the public
to follow a wide array of stocks in the market and is therefore an optimal choice to follow
and analyze to comprehend the rise and fall of the stock market. Through mathematical
analysis I will show that the Standard & Poor’s 500 Index over a segment of time will
portray a normal curve. Understanding the standard deviation and normal distribution of
the data for the S&P 500 Index provides investors and portfolio managers the benefit of
comprehending the risk-reward relationship.
Jury Bias: The Effects of Race, Sex, and Physical
Attractiveness on Jury Sentencing
Elicia Enriquez (Psychology) and Dr. Amy Eshleman (Psychology)
Physical descriptions heavily influence people’s impressions of others. When meeting
someone for the first time, people judge others within the very first seconds of coming
into contact. This judgment is not based on a target’s personality but solely based upon
physical characteristics. The purpose of this study was to determine the influence of race,
sex, and physical attractiveness on jury sentencing and to find if these three
characteristics, either together or separately can sway a juror’s decision to convict or
release a criminal. Undergraduate participants were given a crime report along with a
randomly assigned photograph of a perpetrator. In a 2 {gender} X 4 {race} X 2
{attractiveness} design, each participant viewed one of 16 photographs: male or female;
Black, White, Asian, or Hispanic; physically attractive or not physically attractive.
Participants were instructed to imagine being on a jury and to decide whether or not the
3
Research conducted under the supervision of Dr. Otto Raths (Physics)
4
�suspect was guilty of the crime and, if guilty, to choose an appropriate punishment. The
levels of punishment ranged from lenient, including community service and psychiatric
care, to harsher punishments, including fines and varying levels of jail time. Based upon
theories of systematic racism and benevolent sexism as well as the what is beautiful is
good hypothesis, it was hypothesized that an attractive White female would receive the
most lenient sentence while an unattractive Black male would receive the harshest
punishment. Results will be reported at the conference. Theoretical considerations
consist of in depth analysis of jury sentencing, focusing on the impact of first impressions
and considering the effects of race, sex, and physical attractiveness on jurors’ decisions.
Potential applications for this research include more detailed screening tests for jurors,
which examine gender and racial biases, and educating jurors on the possible influences
of physical characteristics.
Hydrothermal Crystal Growth of ZnO
Jennifer Hart (Physics) and Dr. Maria Gelabert (Chemistry)
The chemistry of aqueous zinc solutions was explored to see the effect on size and
morphology of zinc oxide crystals. Ethylenediaminetetraacetate and pentaethylenehexamine were used as chelating ligands for Zn2+ in the growth of ZnO crystals. In this
study, complexing agents and pH were varied in the precipitation of ZnO from basic
aqueous solutions. Autoclaves were used for synthesis at 200oC and around 15 atm.
Optical microscopy on the resulting products revealed crystals of varying size and
morphology. The variation in size and morphology will be discussed in terms of
changing pH, molality and ligand identity.
Crossing the Burning Sands: A Social
Psychological Investigation of Hazing
Christianna Gozzi (Psychology) and Dr. Amy Eshleman (Psychology)
Hazing, the initiation rituals of many national Greek social organizations, has resulted in
extreme harm, including hundreds of deaths, in its long standing tradition. Researchers
have found that the more severely an individual is initiated into the group, the more the
individual reports liking for that group. In order for individuals to be integrated into a
group, they must feel that they are an important asset to the group and must perceive the
group as attractive and valuable. The current study predicts that participants who believe
that they have been specially chosen to participate in the study and who partake in a
5
�bonding activity will report more liking for a group than those participants who were
neither specially selected nor bonded to their peers. As part of a 2 X 2 design,
undergraduate students endured a simulation of a severe initiation under circumstances
which ethically simulated Greek pledging traditions. The independent variables were
operationally defined as bonding of groups v. no bonding and specially chosen by
researcher v. simply signing oneself up for the experiment through the online participant
pool. The first of two initiation conditions; the mild initiation procedure was a campus
wide scavenger hunt. In the severe condition, participants were blindfolded and asked to
creatively describe unusual combinations of common household products. The
participants were randomly selected to complete these tasks as a group or independently.
All the participants perceived that their performance in both tasks was contingent upon
admission into an attractive group of confederates posing as upperclassmen researchers.
The dependent variables included time to complete the scavenger hunt and self reported
liking for the group. The goal of the current study is to define the necessary elements for
initiation and positive non-violent alternatives to hazing. Results of the experiment will
be presented.
Racial Bias: Do We Love Ourselves
or Just Hate Everyone Else?
Daniel Bryant (Psychology)4
A study was conducted to examine motivations for intergroup bias. It was hypothesized
that intergroup bias is primarily motivated by either a positive feeling for an in-group or a
negative feeling for an out-group. To evaluate which of the two it is, White American
college students were shown a list of crimes committed by two hypothetical male
criminals and were randomly assigned to one of four groups. The first group viewed mug
shots of two White American individuals, the second group viewed mug shots of two
Black American individuals, the third had one White American and one Black American
individuals’ mug shots, and the control group had no pictures. The participants were
asked to assign each hypothetical criminal a number of years for which he should be
incarcerated. Results of which group received the highest mean punishment was
presented at the conference. By having a control group for comparison to the others as
well as performing a manipulation check for the control group, to see if control
participants pictured a race for the hypothetical criminal, longer sentences for Black
4
Research conducted under the supervision of Dr. Amy Eshleman (Psychology)
6
�American criminals will indicate an anti out-group bias while lower sentences for White
American criminals will indicate a pro in-group bias. By understanding motivation for
racial intergroup bias we may be able better understand how to treat the problem. Pro ingroup bias may suggest a need for better integration while anti out-group bias may
suggest a need for sensitivity training or something similar.
Virtual Screening and Identification of Small Molecule
Inhibitors of the Melatonin Rhythm Enzyme
Margarita Javoroncov (Biology and Chemistry), L. Szewczuk (Johns Hopkins University
School of Medicine, Department of Pharmacology), Dr. Surajit Ganguly (Johns Hopkins
University School of Medicine, Department of Pharmacology), Dr. S.A. Saldanha
(Scripps Research Institute, Department of Molecular Biology), Dr. R. Abagyan (The
Scripps Research Institute, Department of Molecular Biology), and Dr. Philip A. Cole
(Johns Hopkins University School of Medicine, Department of Pharmacology)
Melatonin is a serotonin derivative produced in the pineal gland of all animals and the
retina of mammals. It modulates a wide assortment of circadian cycle pathways,
especially those concerning sleep and mood. The biosynthetic pathway for the conversion
of serotonin to melatonin is determined by the concentration of arylalkylamine-Nacetyltransferase (AANAT, serotonin N-acetyltransferase) in the pineal gland and retina.
The active sites of AANAT include those for arylalkylamines and acetyl-coenzyme A. A
series of competitive small molecule inhibitors were selected from 1.2 million
commercially available compounds via Internal Coordinate Mechanics (ICM) virtual
ligand screening. The compounds chosen came from Sigma/Aldrich rare chemicals (Salor
Collection) and the National Cancer Institute repository. Virtual ligand screening, based
on the energetics of ligand binding and variation of a coupled enzyme spectrophotometric
assay, was utilized to determine the inhibitory activity of each compound. Compounds
that significantly inhibited AANAT were subjected to a doubling of the coupling enzyme.
Additional spectrophotometric enzyme assays were run observing AANAT activity in the
presence of nonionic detergent to investigate the possibility of protein aggregation and a
dose response curve was generated for decreasing amounts of inhibitor. A radioactive
assay was utilized to confirm AANAT activity in the absence of a coupling enzyme.
Electrospray mass spectroscopy assured the presence of the predicted inhibitor. Seven
compounds were found to inhibit AANAT. These small molecule inhibitors may be
utilized for drug design due to their moderate potency and non-toxicity.
7
�Cloning jadR1 -jadR2 Intergenic Region of Jadomycin
Biosynthesis Cluster in Streptomyces Venezuelae
Yevgeniy Statnikov (Microbiology) and Dr. Roy H. Mosher (Biological Sciences)
Streptomyces venezuelae ISP5230 is a filamentous, Gram-positive soil bacterium that
produces chloramphenicol and the polyketide-derived antibiotic jadomycin B (JadB)
when grown under nutrient-limiting conditions. However, S. venezuelae only produces
JadB when exposed to an additional environmental stress such as heat shock or toxic
levels of ethanol. Two regulatory genes, jadR1 and jadR2, that are divergently oriented
and adjacent to each other on the S. venezuelae chromosome have been identified. The
651-bp intergenic region that separates jadR1 and jadR2 is predicted to encode promoter
sequences essential for controlling the expression of both genes. To better understand the
regulation of jadR1 and jadR2, we propose to subclone the intergenic region by inserting
it into the promoter probe plasmid pXE4 and then introducing the resulting recombinant
plasmid into S. venezuelae. To accomplish this goal, the intergenic region has been PCR
amplified using pJV70A as a template and oligonucleotide primers that generate BglII
and HindIII sites at either end of the amplicon. The identity of the resulting amplicon was
confirmed by digesting with BamHI, which generated the expected 504-bp and 165-bp
products. We plan to clone the amplicon by digesting it with BglII and HindIII and then
ligating it to HindIII/BamHI digested pXE4.
The Effects of Varying Ethyl Alcohol Concentrations on
Zebrafish Development: A Morphological Study
Lauren Maltese (Biology), Christopher Corbo (Microbiology MS Program),
Prof. Linda Raths (Biological Sciences), and Dr. Zoltan Fulop (Biological Sciences)
Fetal Alcohol Syndrome is a disease caused by the consumption of alcohol during
pregnancy. The effects of prenatal alcohol exposure often result in teratological features
including facial abnormalities and central nervous system dysfunction. This experiment
was performed in order to build upon previously reported data, testing if the teratological
effects were evident in the developing zebrafish. The focus of this study was to
characterize the cellular events during the development of the zebrafish brain. Eggs were
collected right after fertilization and housed in 0.05%, 0.08%, 0.1%, and 0.5% ethyl
alcohol concentrations and as control groups. Macroscopic morphological malformations
were observed throughout each alcohol concentration and photographed. Every two days,
beginning with the newly hatched embryo (4 days post fertilization), fry were fixed using
8
�Karnovsky's fixative, post fixed in osmium tetroxide, dehydrated through increasing ethyl
alcohol concentrations, and embedded in plastic resin for light and electron microscopic
observation. Plastic embedded sections of the brain were cut and stained for both light
and electron microscopic analysis. Based on this study, it is evident that alcohol exposure
has detrimental effects on the development of the embryos, especially in the developing
brain. Due to their transparent chorion, ease of breeding and ease of maintenance,
zebrafish are a very strong model organism for studying fetal alcohol syndrome.
Activation of Microglial Toll-like Receptors Increases
Uptake & Degradation of Amyloid Beta in Vitro5,6
Emily Babcock-Petrus (Biology), Daniel Kerr (Institute for Basic Research), Dr. George S.
Merz (Institute for Basic Research) and Dr. Daryl Spinner (Institute for Basic Research)
Alzheimer’s Disease (AD) is a fatal neurodegenerative disease, which affects learning,
memory, and speech. An important event in the progression of this disease is the
accumulation of amyloid beta (A) peptides, which leads to the deterioration of
brain tissue. Glial cells such as microglia are thought to play an integral part in the
clearance of this harmful material, however during AD these glial cells function too
slowly to impact the rapid spread of the peptide plaques throughout the brain. Identifying
a mechanism that would enable microglia to work faster and more effectively in the
clearance of A material would be an ideal way to fight the progression of this
fatal disease. Toll-like receptors (TLRs) are transmembrane proteins, which enable the
immune system (including glial cells) to become phagocytic and responsive to harmful
material such as A plaques. By employing agonists for TLRs located on
microglia, their effectiveness in clearing A plaques could be increased,
resulting in less neural damage over time. This study examined the effect of microglial
exposure to agonists specific for TLRs 2, 3, 4, 5, 7, or 9 with regard to A
clearance in vitro; ligands that target these TLRs include Pam3CSK4, poly [I:C],
lipopolysaccharide, flagellin, ssRNA or CpG DNA, respectively. These agonists were
incubated with the cells for 24 hours prior to a 20 min exposure to aggregated FITC dyelabeled A1-42 material. Cells were immunolabeled and analyzed using
confocal fluorescence microscopy. All agonists increased the uptake and clearance of
A by microglia versus untreated controls. Furthermore, the treated cells were
5
6
Recipient of Excellence Award for Poster Presentation in Cell Biology
Recipient of Excellence Award for Full-Length Paper
9
�able to completely degrade the neurotoxic material within 24 hours. These results suggest
that TLR agonist treatment is an effective method to increase microglial A
plaque-clearing activity, and could be an important part of future therapies for AD.
The Relationship between Perfectionism
and Sleep Difficulties
Laura J. Kohberger (Psychology) and Dr. Steve M. Jenkins (Psychology)
Previous research suggests that sleep difficulties are more common among college
students than in the general population, with approximately one-third of college students
reporting common or chronic sleep difficulties. Many college students demonstrate
perfectionistic tendencies including rumination, unrealistic self-expectations, excessive
fear of criticism by others, and high levels of arousal. It is possible that these tendencies
may exacerbate or be the underlying cause of sleep difficulties in some individuals. The
current study examines the relationship between perfectionism and sleep difficulties.
Rhodococcus equi: Spore or Non-Spore Former?
Michael Bois (Microbiology), Mouhammed Halwani (Microbiology),
Edmond Kurtovic (Microbiology), Dr. Kathleen Bobbitt (Biological Sciences)
Rhodococcus equi is a facultative aerobe, gram positive, pleomorphic coccobacilli. It is
commonly found as the causative agent of pneumonia in foals, but also affects immunocompromised individuals. The research conducted involves R. equi and its ability to form
spores. A culture of R. equi was grown on a highly selective media called TrimethoprimCefoperazone-Polymyxin B (TCP). The bacterium then underwent comparison against
other organisms that it is related to, as well as displaying certain attributes, which were
vital to its understanding. Both R. equi and Streptomyces venezuelae were grown on
Glucose Salts Media in order to see whether or not a color change would occur due to the
presence of spores. R. equi, Mycobacterium phlei, Coreynebacterium xerosis,
Coreynebacterium pseudodoptheridicum, and Bacillus subtilis were subjected to 70%
EtOH in intervals of 5, 10, and 15 minutes. They were then plated and growth was
compared. M. phlei, C. xerosis, and C. pseudodoptheridicum were selected due to their
thick cell wall which would possibly allow them to survive in these conditions. B. subtilis
was used because of its ability to sporulate, which might allow it to survive. Following
these tests, samples were collected of Staphylococcus aureus, B. subtilis, R. equi, C.
10
�pseudodoptheridicum, M. phlei, C. xerosis, as well as Rhodococcus rhodochrous. These
samples then underwent processing for Transmission Electron Microscopy, Scanning
Electron Microscopy, and Light Microscopy to compare their internal and external
cellular features. It was found that R. equi had internal structures that resembled spores.
Following this, a standard spore stain yielded a small amount of spores. Acid hydrolysis
spore staining will be done in order to enhance the staining of the
spores. A growth curve for R. equi will also be done. At each growth phase, TEM
processing of the sample will be done to evaluate at what time the bacterium sporulates.
Effect of Various Ethanol Concentrations on the
Shoaling Behavior of Zebrafish (Danio Rerio)
Anastasia Kurta (Biopsychology)7
It has been predicted that fish should prefer to shoal (school) with similar individuals, as
an adaptation to avoid predation via the confusion effect. Zebrafish (Danio rerio)
shoaling was studied via observations of groups of four fish, divided by gender and
subjected to four different ethanol (EtOH) concentrations. In the past ethanol has been
shown to have hormetic effects at low level doses, affecting behavior of many organisms.
All of the observations were recorded every 2 min using a camera connected to a
computer, and with each trial lasting a total of 12 min. Nearest neighbor distance between
each fish, as well as the shoaling area, were quantified and compared between each
concentration. Analysis of 1.0% EtOH concentration has indicated to have inhibitory
effects on behavior in comparison to the control. Preliminary results also suggest that
shoaling is tighter than in the control at lower concentrations.
The Effect of Caloric Density on Conditioned Taste
Preferences of Caffeinated Beverages
Alfred Raccuia (Biopsychology) and Dr. Laurence J. Nolan (Psychology)
Learning through Pavlovian conditioning significantly contributes to an individual’s
liking for food and drink. This type of learning is known as conditioned taste preference,
and it is known that in humans conditioned preference is influenced by the caloric density
of the food or drink in question. Furthermore, caffeine is a weak positive reinforcer, with
mild psychoactive effects. Through its ability to act as a negative reinforcer, people can
7
Research performed under the supervision of Dr. Brian Palestis
11
�be conditioned to prefer the taste of caffeine. The question of whether greater caloric
density of the drink produces stronger conditioned taste preference in caffeinated
beverages has not been addressed. The aim of the present study was to determine whether
caloric density has an effect on the production and degree of conditioned caffeine taste
preference. The study included four groups: caffeine and sugar, caffeine and Splenda, no
caffeine and sugar, and no caffeine and Splenda. Pleasantness ratings of the groups were
compared.
12
�Section II:
The Natural Sciences
�Invention and Application of a Stereotaxic Apparatus
for Adult Zebrafish Brain Surgery1
Letizia M. Hobbs (Biology)2, Edmund C. Jenkins ((Microbiology MS Program),
Christopher P. Corbo (Microbiology MS Program), Prof. Linda Raths (Biology)
and Dr. Zoltan Fulop (Biology)
The use of zebrafish (Danio rerio) as a laboratory animal has increased in recent years.
Fish brains are known to have a high regenerative capacity---even during adulthood.
This regenerative nature of fish brains makes zebrafish an excellent model to study brain
regeneration and recovery following a traumatic brain injury (TBI). However, zebrafish
have not been used so far in TBI research. This might be due to the relatively small size
of the zebrafish, as well as the difficulty of maintaining fish respiration during surgery.
This study addresses these issues by creating devices and conditions to perform
stereotaxic zebrafish brain surgery. A “holding and restraining plate” and “respiratory
irrigating system” for zebrafish was fabricated, and mounted on Kopf’s standard rat
stereotaxic apparatus, a device commonly used in neurosurgery. Optimal anesthesia
levels were determined and the survival rate of the zebrafish after surgery was evaluated.
Post-surgical survival rates were found very high with optimal anesthesia. Our study
suggests that this stereotaxic apparatus can successfully be used for adult zebrafish brain
surgery.
I. Introduction
The use of zebrafish (Danio rerio) as a laboratory animal has increased in recent
years. These small, hardy, freshwater fish from Southeast Asia have already significantly
contributed to our understanding of different vertebral organs' structure and function
(Detrich 1999, Henken 1998). There are distinct advantages in using zebrafish as a
model organism. It is a vertebrate animal with a small body size (2-4 cm) that can be
easily and inexpensively maintained in relatively small and confined spaces making
experiments less expensive than using experimental animals with a larger body size
which require more expensive housing. Zebrafish produce a large number of offspring
1
The manuscript was sent in for competition at 61st ECSC and was awarded Best Paper
in Animal Biological Research. It was then presented as a poster at the 39th Annual Fall
MACUB Conference in New York, NY.
2
Research performed and presented at Wagner College by the first author in partial
fulfillment of the Senior Program requirements.
14
�(about 200 eggs per day, everyday during several months of their reproductive period)
and develop quickly (less than 6 months to reach sexual maturity) which make them
popular experimental model organisms for genetic research (Knapkin 1998). Moreover,
zebrafish development, including the nervous system, can easily be traced and
manipulated through a transparent chorion. All these characteristics make the zebrafish
conducive for neuro-developmental and neurological research (Zon 1999).
It is well known that fish brains have a high regenerative capacity---even during
adulthood. This capacity of the adult fish brain makes zebrafish a potentially excellent
experimental model to study brain regeneration and recovery after traumatic brain injury
(TBI). Although the zebrafish has gained popularity in neuro-regenerative research in
spinal cord injury (Becker 1998) and optic nerve crashing (Ballestero et al 1999), no
research has been done in the field of TBI using this vertebrate animal. This absence of
TBI research using zebrafish is likely due to its very small size as well as the difficulties
associated with maintaining both the animal and its respiration during prolonged, openair surgery.
This study focuses on how to overcome such experimental obstacles by creating
the necessary devices and conditions required for zebrafish during stereotaxic brain
surgery. Specifically, the study included the design, fabrication and testing of a "holding
and restraining plate" and "respiratory irrigating system" suitable for the adult zebrafish
to be used with Kopf’s standard rat stereotaxic apparatus, commonly used in neurolaboratories (Espejo 1997). The study device was then tested with different levels of
anesthesia needed for a prolonged surgery that not only keeps the animal sedated but also
allows the fish to survive after the surgery. Accordingly, the survival rate of the
anesthetized fish after restriction in the study device was also evaluated. Secondly, a
preliminary stereotaxic atlas of the adult zebrafish brain was prepared involving the
measurement of the parameters of the zebrafish skull and the in situ brain after exposure.
The measurements of the external markings were then transposed over the parameters of
the brain.
II. Materials and Methods
Construction of the Stereotaxic Apparatus
The constructed "holding plate" complete with a "respiratory irrigating system"
is described in the Results section.
15
�Animals
Twenty-four adult zebrafish of either sex, obtained from local pet store, were
used in this study. Animals were maintained in a regular, 120 L (about 30 Gallon) glass
tank equipped with a normal tank filter. The water was stabilized at 27 °C, pH 7.2-7.4.
The animals were kept in a room with a daylight and on a 14h:10h day/night fluorescent
light cycle and fed twice a day with commercial flake food. This maintenance regimen
followed the guidelines of Westfield (1993).
Restraining of Fish on the Stereotaxic Device
for Prolonged Time with Short-term Anesthesia
Ten fish were anesthetized in 4% tricaine methanesulfonate solution (Tricaine)
immediately before being mounted on the apparatus. Each animal was determined to be
fully anesthetized if the fish no longer exhibited a flexor reflex when a pressure was
applied to its tail for about one minute. Before being secured to the "holding plate," of
the stereotaxic apparatus (Figures 1,2), different parameters of the fish were measured
and recorded as follows: (1) weight (using Mettler Toledo PL303 scale); (2) length; (3)
volume (using a fine scaled 10mL graduated cylinder the displaced water was recorded
as the volume of the fish); (4) the time needed to position and secure the animal on the
"holding plate".
Each zebrafish was secured at three specific points, their mouth and along their
sides, in their natural position, resting on their abdomen (see details in the Results section
and Figure 3). The mouth of the fish was pulled on a plastic tube that was connected to
the “respiratory irrigating system.” The diameter of the tube was selected to closely fit
the mouth of the fish allowing very little or no movement of the head, once secured. The
sides of the fish were fixed with two wet sponges glued on "holding arms", designed to
leave room for the gills to open and close during irrigation. Once properly oriented and
fixed in the apparatus, each fish was held restrained and irrigated for a period of one
hour. Pure tank water was used for irrigation. After one hour, the animals were removed
from the apparatus and kept in isolation in normal tank water. Each animal's survival
was recorded up to 14 days (Table 1).
Restraining Fish on the Stereotaxic Device with Long-term Deep Anesthesia for Surgery
In the previous part of this research we observed that the restricted zebrafish
remained motionless until a noxious stimulus was applied. However, it moved
vigorously when its tail was pinched or a tip of a hypodermic needle touched the skin.
This fact clearly showed that a short-term anesthesia when applied prior to mounting on
the apparatus was insufficient for surgery. A better anesthetic regime had to be
16
�determined. The criteria for a better anesthesia were as follows: (1) a deep and longlasting anesthesia was needed to perform surgery without causing pain to the animal; (2)
the animal had to be returned to consciousness after surgery and survive for at least 14
days. This anesthetic regime was determined empirically. Briefly, the fish was first
anesthetized in the 4% Tricaine solution prior to mounting then, 3%, 2% or 1% Tricaine
solution, made in tank water, was continuously administered as irrigating respiratory
solution to 3 different groups of fish. With this procedure, we aimed to determine the
best concentration of anesthetics to maintain the fish irrigated for as long as it needed.
The 3% and 2% Tricaine solutions killed the fish in a relatively short time, and
accordingly were only tested on two animals per concentration. However, 1% Tricaine
solution appeared to be appropriate and was tested on a total of ten fish (Table 2).
Composition of the Stereotaxic Atlas of the Adult Zebrafish Brain
A stereotaxic brain atlas (depicting brain sections in a micrometer scale), first
had to be composed in order to do precise surgery on the adult zebrafish brain. This
required defining a visible external landmark on the dorsal adult zebrafish skull that
could be accepted as zero point (origo or bregma), for further measurements.
Defining Bregma
The zebrafish skull exhibits similar structural characteristics as most vertebrate
skulls. There are easily visible sutures between the cranial bones that can be used as a
landmark. The zero point (bregma) for this study was selected at the crossing of sutures
between the pre-parietal and parietal bones. At this point, the sagittal and transverse
sutures meet perpendicularly giving a well-defined landmark to depict the brain beneath
the skull. The skull of five adult zebrafish was photographed to document the best
landmarks using a Nikon SMZ-U stereomicroscope and Moticam 5000 digital camera
(Figure 4A). These structures are comparable to the published “roofing landmarks” of
the crossopterygian fish (Kent 1992).
The Transposition of the Bregma over the Brain
and Scaling the Brain in Reference to the Bregma
To accurately transpose the location of the bregma to the underlying brain, first
the animal was mounted on the stereotaxic holder and the electrode manipulator (a device
that precisely measures distances in tenths of millimeters accuracy in all three dimensions
of space) holding a 26G hypodermic needle, was positioned over the bregma and the x, y,
z or anterior-posterior (AP), medial-lateral (ML) and dorsal-ventral (DV) coordinates
were recorded. After removing the manipulator from over the head, while the fish was
17
�held under deep anesthesia as previously described, the frontal, pre-parietal and parietal
bones were removed with a 2.6mm Ziegler dissecting knife and #4 jewelry forceps
exposing the brain. At this time, the manipulator was reinstated and the 3D coordinates
at 36 selected points of the brain were measured and recorded (Figure 5).
In brief, the brain of each fish was divided into 5 mirrorly symmetrical (left and
right) anatomical regions along the brain's long axis: olfactory bulbs, forebrain, optic
tectum, cerebellum, and medulla. The AP and ML coordinates were recorded at each
midpoint of each region and at their boundaries resulting in 9 points in total for a region
(Table 3). The ventral coordinates however were not recorded until the brain was fixed
and removed from the cranium. This procedure was repeated on ten different, similar size
animals. The average for each point were calculated (Table 4) and those averages were
used in scaling the brain for the stereotaxic atlas (Figures 4, 6, 7, 8).
Histotechniques
To create a stereotaxic atlas, the averaged coordinates were used to
proportionate the brain sections to a millimeter scale in their photographs. Prior to this,
serial sections of the adult zebrafish brain in all the three anatomical planes (horizontal,
sagittal and cross-sectional) had to be prepared. For this reason, nine adult fish were
killed and their brains were histotechnically processed for serial sectioning as follows.
To fix the brain, the frontal, preparietal and parietal bones of each adult
zebrafish, were removed from the skull and the brain was exposed and immersed in situ
into Karnovsky’s fixative (4% paraformaldehyde, 2.5% glutaraldehyde, and 0.1 M
phosphate buffer; PB) overnight. This allowed the otherwise extremely soft brain tissue
to harden in its original position and maintain its intact shape. After the brain hardened,
it was carefully removed from the skull, avoiding deformation, and post fixed in the same
fixative for four days. The brain was then washed three times with 0.5 M PB (pH=7.2)
prior to immersion into 1% osmium tetroxide solution for two hours followed by rinsing
in PB again. This procedure accomplishes the fixation of both the proteins
(paraformaldehyde and glutaraldehyde) and lipids (osmium tetroxide).
The fixed brains were then dehydrated through increasing concentrations of
ethanol (50%, 70%, 96%, 100% and 100%) and propylene oxide, embedded into
Durcupan (Fluka) and polymerized overnight in 60°C. Half a micrometer thick crosssectional, sagittal, and horizontal serial sections of three brains for each plane were then
cut on a Sorvall MT2-B ultramicrotome with freshly prepared glass knives. Sections
were mounted on slides maintaining their order, stained with 1% tolludine blue
containing 1% sodium tetraborate, and cover-slipped with DPX (BDH Laboratory
18
�Supplies). Note: The serial sections were prepared by other students and generously
provided for this study.
Microphotography
Selected sections were photographed on a BX40 Olympus light microscope
equipped with a Sony Exwave analog camera connected to a PC with Windows XP.
Photographs were captured with 10x objectives and 0.55x projective ocular and Flashbus
G32 (BiTMICRO) software. For each section about 25 individual frames were captured
at this magnification. Individual photographs were sorted in ThumbsPlus 3.0b-R
(Cerious Software, Inc.) program. Pictures for each section were then assembled into a
complete, final montage using Adobe Photoshop CS (For Windows XP) and printed using
Hewlett Packard DeskJet 970Cxi printer.
III. Results
One of the major results of this study was the successful design and fabrication
of a special holding device for the small adult zebrafish that could fit into an available
and expensive Kopf's rat stereotaxic apparatus. The created respiratory-irrigating system
successfully maintains fish respiration and also serves as a head holding device. In short,
a Plexiglas “holding plate” was designed with an attachable and adjustable needle
delivering circulating water directly into the throat of the fish. The following describes
the details of the stereotaxic device as well as the basic information pertaining to the
stereotaxic brain atlas for the adult zebrafish.
The Holding Plate and Respiratory-Irrigating System of the Stereotaxic Apparatus
Figure 1 shows an overview of the modified Kopf’s stereotaxic apparatus with
mounted “holding plate” that was carefully created to hold an adult zebrafish. A holder
for a stereomicroscope with lighting source as well as an independent adjustable light
holder is also seen in this figure.
Figure 2 shows a close-up of the fish “holding plate” and how it is mounted on
the rat “mouth holder” of the original Kopf’s rat stereotaxic device. The plate itself is
11x11x2 cm plexiglass that is attached to the rat stereotaxic device by a “mounting
screw”. At the front of the plate is a small adjustable “mouth piece holder”. The “mouth
piece” itself is a large diameter (2-3 mm) syringe needle that is covered by a soft plastic
tube to prevent injury to the mouth's mucus membrane. The mouthpiece also has a
rubber “stopper” to prevent the needle to pass too deeply into the pharynx. A flexible
tube then connects the mouth piece to a peristaltic pump which circulates tank water to
the mouth of the fish. Consequently, the mouthpiece serves two functions: a continuous
19
�water delivery and also firmly fixes the head of the fish as one of the three points, once
the fish is secured from both sides by two adjustable arms (Figures 2 and 3). The
restraining arms are lined with soft sponges to prevent dehydration and injury to the fish
when restrained.
To mount the fish on the apparatus, the fish’s mouth is first pulled onto the
“mouth piece” to the stopper. The fish’s body is then fixed into position by the two
restraining “arms.” This holding and restraining design is especially user-friendly--allowing even an inexperienced person to mount a fish in less than two minutes. After a
fish is secured, the peristaltic pump supplies a continuous flow of tank water without
restriction (i.e. “irrigating system”) through the mouth, pharynx and gills. The water
exiting the fish gills drops through two holes in the plexiglass holder into a “collecting
basin” (positioned below the holding plate) and returns to the original peristaltic pump’s
reservoir. Thus, the irrigating water is continuously circulated. A fish, secured and
maintained (irrigated) after a short anesthesia (short-term anesthesia) will remain
motionless for up to one hour but will soon show withdrawal reflexes if exposed to a
painful stimulus. However, if the irrigating water contains 1% Tricaine, the fish will
remain sedated for the entire duration of surgical intervention.
Immobilization of Fish for Short-term
Table 1 shows the time needed to secure a fish on the device and the survival
rate of animals kept on the holder for one hour using pure tank water for respiratory
irrigation. It also shows the weight range and the survival of the fish 24h after
manipulations. Animal weight ranged from 0.51g to 1.11g. Even an inexperienced
experimenter needs only about 1.5 min to secure the animal, but this time frame gradually
decreases with experience. Originally, only 70% of the animals tested survived on the
device due to lack of experience. However, this percentage has increased to as high as a
95% survival rate with gained experience of the experimenter. Zebrafish who survived
initially remained alive for at least 24h following restraint and their survival did not
depend on their size.
Restraining Fish with Long-term, Deep Anesthesia
The optimal drug dosage for long-term, deep anesthesia was determined
empirically to be 1% Tricaine solution. The designation of “optimal” was given to the
Tricaine concentration that met the following two criteria: (1) the dilution had to be weak
enough so as not to kill the fish over at least one hour exposure time; (2) the
concentration had to be strong enough to keep the fish from exhibiting any escape
reflexes when exposed to a painful (noxious) stimulus such as a transcutaneous needle
20
�penetration rostral to the dorsal fin of the fish. It was found that 1% Tricaine solution
could maintain the desired, prolonged, deep anesthesia of the fish allowing painless brain
surgery.
Table 2 shows the time needed to secure a fish on the device and the survival
rate of animals kept on the holder for one hour using 3%, 2% and 1% tricaine solutions
for respiratory irrigation. It also shows the weight range and the survival of the fish 24
hours after manipulations.
Animal’s weight ranged from 0.51g to 1.11g. With some practice, the
experimenter needed only about 0.5 minutes to secure the animal into the apparatus.
Apart from those four animals exposed to higher Tricaine concentrations (2%-3%), all
animals survived on the device. Those who survived also remained alive at least for 24h
following restraint. Survival did not depend on the size of the animal.
Defining the Bregma
To be able to create a stereotaxic brain atlas, the exact brain location had to be
projected to a well definable, anatomical landmark, easily seen on the skull. This
definable anatomical landmark is usually seen in mammals as an intersection of the
coronal and sagittal sutures between the frontal and parietal bones, known as the
Bregma,.
The dorsal portion of the adult zebrafish skull also has a well definable
anatomical landmark between the two frontal and pre-parietal bones. This point was used
in our work as the zero point of all measurements and for consistency was named Bregma
as well. The Bregma of the adult zebrafish skull is shown in Figure 4A at the intersection
of the longitudinal and horizontal zero lines. It appears at the apex (marked as a red dot
in Figure 4A) of the V-shaped indention.
Figures 4B and 5 show the brain’s dorsal surface after the removal of the frontal,
pre-parietal and parietal bones. Clear boundaries can be seen between the exposed
forebrain (Figure 4B-I), optic tectum (Figure 4B-II), and cerebellum (Figure 4B-III).
These clear boundaries create a grid assisting in measurements of definable points of
zebrafish brain (Figure 5). All measurements were made in reference to the 2c point of
the grid and data averaged between 10 zebrafish (Figure 4B, Table 4).
The distance between 2a and 2e (the total visible length of the brain) averages
5mm; the width of the dorsal level of the optic tectum (Figure 4B; distance between 1 &
3) averages about 4mm; and the depth at the dorsal level of the bregma averages 3.5mm,
respectively.
21
�The Transposition of the Bregma over the Underlying Brain
The adult zebrafish brain cross-sectional (Figure 6), horizontal (Figure 7), and
sagittal (Figure 8) sections are depicted in relation to the measured Bregma, respectively.
The measures at the periphery of the pictures (same as on Figure 5) are expressed in
millimeters (mm) with tenths of millimeters accuracy.
The optic tectum (a – Figures 6, 7, and 8) and the cerebellum (b – Figures 7 and
8) are the more complex, layered structures in the zebrafish brain. (Post fixation with
osmium tetroxide labels the myelinated fibers black, which contrasts well with tolluidine
blue allowing the ability to see both the cytoarchitectures of the brain as well as the fiber
bundles. This combined staining allows for the observation of the major brain divisions,
their organization into nuclei and lamiae as well as a description of the major tracts and
commeasures.)
IV. Discussion
This study succeeded in creating a specific holding system for adult zebrafish
that (1) can be easily attached to a Kopf’s stereotaxic apparatus widely used for rodent
brain surgery, (2) will keep the fish head firmly fixed with a three-point restraint system
(one rostral and two lateral points) and (3) will allow irrigational respiration of the fish
for as long as needed for a brain surgical intervention. The device was designed using
information published by Aparecida (1998). This author developed a device to
accommodate Gymnotus carpo, a significantly larger fish species. Aparecida also
reported that the device could be used for stereotaxic recording and supplied some
corresponding atlas figures as well. The novum in our device is twofold: (1) it is able to
hold and respire a very small size fish and (2) can fit into an expensive stereotaxic device,
an apparatus that most neuroscience laboratories are using for rodent brain surgeries.
The holding system allows even an inexperienced experimenter to mount a fully
anesthetized fish in less than two minutes. The mounting begins by putting the animal
onto a previously set (adjusted) mouth-piece (first restrain point). The body is then fixed
along its two sides using the sponge paddles (second and third restrain points) in such a
way that the longitudinal axis of the fish remains straight. At this time, the peristaltic
pump, which is connected to a reservoir of water at one end and the mouth piece at other,
is activated. With the help of the adjustable mouth-piece holder, the angle of the head is
positioned dorso-ventrally until the fronto-parietal surface of the skull is
horizontal. The mouth-pipe of the apparatus permits the water to enter the pharynx and
pass across the lamellae of the gills. After which the water drops down into a lower
22
�reservoir leaving the head dry for surgery. Meanwhile, the sponges of the lateral
restraints collect some of the returning water and keep the fish’s body hydrated.
Our experiment demonstrates that zebrafish can be maintained in this apparatus
restrained painless with a continuous irrigation of 1% Tricaine for as long as one hour,
much longer than brain lesion surgery needs. As an immediate use, the device will be
used to prepare a complete adult zebrafish stereotaxic brain atlas. In addition to
anatomical studies, the device can also be used in behavioral studies focusing, for
example, on the visual ability of the fish with optic tectum lesion.
V. Acknowledgments
The authors thank the anonymous donors whose financial support made this
research possible.
VI. References
1. Aparecida S, Corrêaa L, Corrêab FMA, Hoffmanna A. “Stereotaxic Atlas of the
Telencephalon of the Weakly Electric Fish”, Gymnotus carapo Journal of
Neuroscience Methods 1998;84:1-2:93-100.
2. Ballestero RP, Dybowski JA, Levy G, Agranoff BW, Uhler MD. “Cloning and
Characterization of zRICH, a 2',3'-Cyclic-Nucleotide 3'-Phosphodiesterase Induced
During Zebrafish Optic Nerve Regeneration”, Journal of Neurochemistry
1999;72:4:1362.
3. Becker T, Wullimann MF, Becker CG, Bernhardt RR, Schachner M. “Axonal
Regrowth after Spinal Cord Transection in Adult Zebrafish”, The Journal of
Comparative Neurology 1998, 377:4:577-595.
4. Detrich HW III, Westerfield M, Zon LI. “Overview of the Zebrafish System”,
Methods Cell Biology 1999:59:3-10.
5. Espejo, EF. “Selective Dopamine Depletion within the Medical Prefrontal Cortex
Induces Anxiogenic-like Effects in Rats Placed on the Elevated Plus Maze”, Brain
Research, 1997;762:281-284.
6. Henken, DB. “Zebrafish Research: Activities at the NIH”, Zebrafish Science
Monitor, 5, 1998.
7. Kent, GC. Comparative Anatomy of the Vertebrates. 7th edition, William C. Brown
Pub 1992; 231.
8. Knapik EW, Goodman A, Ekker M, Chevrette M, Delgado J, Neuhauss S, Shimoda1
N, Driever1 W, Fishman MC, Jacob HJ. “A Microsatellite Genetic Linkage Map for
Zebrafish (Danio rerio)”, Nature Genetics 1998;18:338-343.
23
�9.
Westfield M. The Zebrafish Book, “A Guide for the Laboratory Use of Zebrafish
Danio* (Brachydanio) rerio”, Eugene, OR University of Oregon 1993.
10. Zon, LI. “Zebrafish: A New Model for Human Disease”, Genome Research.
INSIGHT/OUTLOOK 9 1999;9:2:99-100.
Table 1: Survival of Adult Zebrafish Restrained on the “Holding and Restraining
Plate” and “Respiratory Irrigation System,” for One Hour with Tank Water
Number
Weight (g)
Time to Fix
(seconds)
1
2
3
4
5
6
7
8
9
10
Mean
0.72
0.50
0.98
1.11
0.51
0.47
0.98
0.84
0.71
0.73
0.755
135
78
58
39
80
70
73
64
70
160
82.7
Time of
Restriction
(hours)
1
1
1
1
1
1
1
1
1
1
1
24
Survival on
Apparatus
for 1h
Y
Y
Y
N
Y
Y
N
Y
N
Y
70%
Survival
after 24h
post trial
Y
Y
Y
N
Y
Y
N
Y
N
Y
70%
�Table 2: Survival of Adult Zebrafish Maintained on the Respiratory Irrigator for
One Hour with Tank Water Solutions of Different Tricaine Concentrations.
Number
Weight (g)
Time to Fix
(seconds)
1
2
3
4
5
6
7
8
9
10
11
12
13
14
Mean
1.11
0.53
0.51
0.83
0.71
0.73
0.97
0.73
0.57
0.81
0.60
0.64
0.91
0.79
0.75
30
32
70
80
43
40
30
32
34
21
24
29
36
31
38
Dilution
3%
3%
2%
2%
1%
1%
1%
1%
1%
1%
1%
1%
1%
1%
1.43%
Time of
Restraint
(hour)
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
Table 3: Adult Zebrafish Brain Stereotaxic Legend
1
M
Medulla
2
CB / M
Cerebellum
3
CB 1
Cerebellum Midpoint
4
CB / OT
Cerebellum
5
OT 1
Optic Tectum
6
OT / FB
Optic Tectum
7
FB 1
Forebrain Midpoint
8
FB / OB
Forebrain
9
OB
Olfactory Bulbs
25
Medulla
Optic Tectum
Forebrain
Olfactory Bulbs
Survival
after 24h
post trial
N
N
N
N
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
71%
�Table 4: Average measurements taken from ten zebrafish.
Stereotaxic Parameters of the Adult Zebrafish Brain
AP
ML
DV
Bregma
29.9 mm
11.2 mm
30.9 mm
length
volume
mass
Average
38.6 mm
59.7 L
0.746 g
DORSAL
mm
mm
mm
mm
1
2
3
4
5
6
7
8
9
AP
-2.1
-1.2
-0.4
+0.5
+1.1
+2.0
+2.4
+2.5
+2.7
L(left)
+0.5
+0.6
+0.7
+1.2
+1.9
+1.4
+0.8
+0.5
+0.3
M
11.0
11.1
11.1
11.2
11.2
11.3
11.3
11.2
11.2
R(right)
-0.5
-0.6
-0.7
-1.2
-1.9
-1.4
-0.8
-0.5
-0.3
1
2
3
4
5
6
7
8
9
AP
-3.7
-3.0
-2.9
-1.9
-2.2
-2.3
-3.3
-3.4
-3.5
L(left)
-3.7
-3.0
-2.9
-1.9
-2.2
-2.3
-3.3
-3.4
-3.5
M
-3.7
-3.0
-2.9
-1.9
-2.2
-2.3
-3.3
-3.4
-3.5
R(right)
-3.7
-3.0
-2.9
-1.9
-2.2
-2.3
-3.3
-3.4
-3.5
26
�Figure 1: Overview of modified Kopf’s rat stereotaxic apparatus
A – Independent Adjustable Light Source
B – Holding Plate
C – Collecting Basin
D – Peristaltic Pump
E – Stereomicroscope and Holder
The figure above shows all of the components of the developed stereotaxic apparatus. A
description of all these components can be found under “The Holding Plate and
Respiratory-Irrigating System” of the Results section.
27
�Figure 2: Close up of “holding plate”
A – Rat Mouth Holding Device (where holding plate was mounted)
B – Mounting Screw
C – Hypodermic Needles and Holder
D – One of the Two Restraining Arms with Soft Sponge Lined Paddles
E – Drain Hole
F – Adjustable Mouth Piece Holder
The “holding plate” was mounted to the original Kopf’s stereotaxic apparatus to the “rat
mouth holding device” (A). The “holding plate” is secured to the apparatus by a
“mounting screw” (B). The hypodermic needles are held by a constructed holder (C) and
are used to pinpoint specific regions of the brain for measurement (Figure 5, red dots).
The adjustable “restraining arms” (D) as their name implies, are used to restrain the fish’s
body (at both sides of the fish) to the apparatus. These “restraining arms” are also lined
with soft, spongy foam paddles which keep the fish gently fixed as well as moist to avoid
dehydration of the fish skin while in the device. Water irrigated to the fish to maintain its
28
�respiration, is upheld by the small “adjustable mouth piece holder” (F). The water exits
through the fish gills drops down two “drain holes” (E) into a “collecting basin” below
the “holding plate.” A better view of the “collecting basin” can be seen in Figure 1, A.
Figure 3: Close-up view of zebrafish mounted on stereotaxic apparatus.
Each zebrafish was secured at three points (once at the mouth and twice along their sides)
in their natural position, resting on their abdomen (see figure above). The mouth of the
fish was opened and pulled on a plastic tube connected by the “mouth piece holder.” The
diameter of the tube tightly fits the diameter of the mouth of the zebrafish; therefore, the
zebrafish head is fixed onto the apparatus not only by the paddles located at each of their
sides but also by the “mouth piece” itself. The “mouth piece” is further connected to a
peristaltic pump (Figure 1, D) which irrigates water to the mounted zebrafish. The two
“holding arms,” positioned to secure the sides of the zebrafish, allow room for the gills to
open and close during irrigation.
29
�A
B
Figure 4: Transposition of bregma in relation to unexposed and exposed zebrafish brain.
I – Forebrain
II – Optic Tectum
III – Cerebellum
Figure 4: (A) depicts the bregma (i.e. zero point) location. The bregma is located at the
cross points of the longitudinal and transverse zero line (red dot). At the red dot, note the
V-shape, pointing caudally; (B) depicts the three divisions of the adult zebrafish brain
compared to the location of the bregma (Figure 4, A) as well as the rest of the exterior
portion of the skull including the cranial sutures. All measurements were made in
reference to the 2c point: the distance between 2a and 2e (the total visible length of the
brain) is about 5mm; the average width at the top portion of the optic tectum (distance
between 1 and 3) is about 4mm; the average depth at the level of the bregma is about
3.5mm.
30
�Figure 5 – Parameters of the zebrafish brain in cranium
This figure depicts the 36 points (red dots) of the adult zebrafish brain that are measured
using the stereotaxic apparatus after the bregma (i.e. zero point) location is recorded from
the skull. At each red dot, three planes of measurements (i.e. anterior-posterior, mediallateral, dorsal ventral) can be measured to the tenth of a millimeter precision from the
distance of the recorded bregma (see Figure 4 for bregma location; refer to Table 3 for
abbreviation explanation).
31
�Figure 6 – Cross-Section
Figure 7 – Horizontal Section
Figure 8: Sagittal Section
a – Optic Tectum
b – Cerebellum
Figures 6, 7 and 8 above illustrate the transposition of the brains location in relation to
the bregma. The measurements depicted in the images above represent the average
distances recorded using the stereotaxic apparatus (see Table 4). Note the differences in
complexity between the layers of the optic tectum (a) and the cerebellum (b). This is due
to the light microscopy preparation technique. Post fixation with osmium tetroxide labels
black the myelinated fibers which contrast very well with the tolluidine blue allowing not
only the ability to see cytoarchitecture of the brain, but also the fiber bundles as well.
32
�Section III:
The Social Sciences
�Crossing the Burning Sands: A Social
Psychological Investigation of Hazing
Christianna Gozzi (Psychology)1
Hazing, the initiation rituals of many national Greek social organizations, has resulted in
extreme harm, including hundreds of deaths, in its longstanding tradition. Researchers
have found that the severity of initiation, cognitive dissonance, dependence theory and
social affiliation theory may explain this complex psychological phenomenon. The
current study predicted that participants who believe that they have been specially chosen
to participate in a research study and who partake in a bonding activity will report more
liking for a group than those participants who were neither specially selected nor bonded
to their peers. A pilot study was conducted. All the participants perceived that their
performance in two initiation tasks was contingent upon admission into an attractive
group. Possible alternatives to hazing and theoretical explanations of hazing are explored.
I. Introduction
As individuals cycle through the ceremonies of life, they tunnel through a series
of decorative initiation rituals specific to each culture. Life is, therefore, a chain of
initiations. According to anthropologist Victor Turner (1987), initiation rites signify
changes in states of beings. Bearing in mind that initiation rites are commonplace in life,
they vary in intensity according to the group. For example, the traditional Mexican
quinceañera, is an exciting and innocuous festival that initiates young girls into
womanhood (Vida, 1999). There are, however, unnecessarily violent initiations that are
inexplicably desired and expected by individuals and society at large. For instance,
female genital mutilation is traditional in some cultures, undergone by 100 to 140 million
girls, of either cutting or removing the clitoris and in some cases, stitching the hymen
closed. In societies that support this act, which is banned by the World Health
Organization, it is considered to be a religious requirement that ensures chastity,
cleanliness, and marriage, while preventing promiscuity and excessive clitoral growth
(Skaine, 2005). While female genital mutilation is considered to be inhumane and
1
Research performed under the direction of Dr. Amy Eshleman (Psychology) leading to
the completion of an Honors thesis and a presentation at the 61st Eastern Colleges Science
Conference.
34
�oppressive by human rights groups, many Africans, including women, support the
practice and consider it to be a necessary female rite of passage.
Harmful and severe initiations, much like female genital mutilation, are not
removed from the Western world. Hazing in American Greek organizations provides an
accessible means for studying severe initiation rituals specific to American culture.
Hazing is defined by the Fraternity Executive Association as: “any action taken or
situation created intentionally, to produce mental or physical discomfort, embarrassment,
harassment or ridicule… ” (Nuwer, 1990). Greek rituals almost always involve hazing
despite the threat of disciplinary action.
The term hazing was originally used to refer to British sailors who had
successfully passed the equator. The practice is now illegal in all but seven states, but has
existed in university settings since the twelfth century and in militias and armies since
ancient times. Martin Luther, the founder of Lutheranism, is claimed to have hazed
Wittenberg seminary neophytes by forcing them to wear yellow horns and soaking them
in vats of red wine as a means of symbolically purifying them for induction (Nuwer,
1990, 1999).
The notions of fraternal organizations arrived in the United States in 1776 in the
form of Phi Beta Kappa; a literary society which initially offered men outlets to discuss
the current break from the British Parliament. In a similar literary tradition, the first
sorority was established in 1851 (Robbins, 2004). Fraternity hazing was popularized in
the United States in the 1880s when Zeta Chi members began convincing pledges to stick
their tongues out to be branded. Since the first recorded hazing death in 1838, hundreds
of deaths and injuries have been reported mainly by members of fraternities. Neophytes
have been killed by plummeting to their own death, hit by cars and trains after being
dropped off in the woods blindfolded, shot by an outraged member, asphyxiated after
being buried in a sand grave, drowned in a swimming ritual, overdosed on alcohol, and
frozen to death after being dropped outside on a winter night (Nuwer, 1990, 1999).
The victims of hazing fatalities are sometimes blamed for their involvement in
the rituals. Hazing deaths may be explained by several theories. Ritual may arouse
human’s innate tendency toward violence, enabling members to act according to the
moral standards of the Greek organization and stray from the morays of society as a
whole (Nuwer, 1999). This may be the result of a phenomenon known as groupthink in
which group decisions may become fallible because of mindless conformity, lack of
vigilance, excessive risk taking and severe misjudgments (Nuwer, 2004). Accordingly,
members who act especially violently may be venting their own internal frustrations on
35
�the neophyte, or the pledging process may bring out extreme violence in members who
are undiagnosed as mentally ill (Nuwer, 1999).
Binge drinking may also influence hazing injury by increasing a propensity
toward violence (Nuwer, 1990). In fact, 70% of fraternity members report drinking at
least thirteen alcoholic beverages in a row; while 35% of sorority members claim to drink
between seven and twelve drinks in succession at least three times per week. (Harrington,
Brigham & Clayton,1997)
Aside from the debate concerning the violence of hazing, fraternities have also
been criticized for being racist, classist and sexist. Therefore, the first African American
fraternity was established in 1903 with the intent to vocalize racial solidarity. African
American fraternities are typically reputed to mirror ancient Egyptian secret societies and
emulate traditionally African initiation practices (Brown, Parks & Phillips, 2005).
The hazing epidemic is entrenched in the politics of gender, and as fraternities
and sororities are naturally divided along gender lines, they wittingly and unwittingly
thrust gender issues into the spotlight. For instance, sorority members are expected to
starve and purge themselves into an unrealistic two-dimensional waif standard of beauty
(Robbins, 2004). Some sororities extend bids based on the aesthetics and household
income of the prospective member to ensure the homogeneity of their group (Robbins,
2004; Atlas & Morier, 1994).
Accordingly, fraternity brothers are imparted with a hyperbolic notion of
chiseled hegemonic masculinity that reflects the violence, misogyny, and homophobia
that is endemic to some fraternal hazing (Nuwer, 2004). Violence is indisputably related
to hazing as neophytes are subjected to paddling and forced calisthenics. As overt
aggression and hegemonic masculinity are linked in American culture, the violent nature
of the system tends to be unique to fraternities and is relatively rare in sororities, which
use psychological humiliation as a means for hazing (Wright, 1996).
Furthermore, both male and female members of Greek organizations tend to
adhere to more traditional norms of male dominance and female submissiveness (Kalof &
Cargill, 1991). Misogyny bleeds through the fraternal system as a mechanism to enhance
male superiority (Jones, 2004). Many, while certainly not all, fraternities have been
accused of incredulous acts of gang rape in which women have been raped by up to
eleven fraternity brothers in one evening (Sanday, 1990; Robbins, 2004). Gang rape
reinforces the objectification of women along with diminishing the value of femininity in
American culture. Furthermore, gang rape can be perceived as a homoerotic experience
in which males have sex with each other through the disposable feminine body (Kimmel,
2004).
36
�With such an emphasis put upon female conquest, openly homosexual men have
largely failed to find their way in fraternities. While many openly homosexual fraternity
brothers have found solace in the acceptance of their peers, many closeted fraternity
brothers have found it impossible to reveal their sexuality. Openly homosexual fraternity
brothers have also reported a higher level of abuse and denigration than heterosexual
brothers because of the intense emphasis on masculinity (Windmeyer & Freeman, 1998).
Ironically, there have been cases in which men have reported abusive homosexual acts in
the pledging process. These men have been raped while in bondage and been forced to
give each other oral sex and manual stimulation while reciting the fraternal oath
(Wingate, 1994).
Within most Greek organizations, hazing occurs during what is known as the
pledging process, or a full semester in which the neophyte learns about the organization
and bonds with the members in order to be inducted into the group. The five major
components of Greek rituals are character, scholarship, service, fellowship and religion
(Jones, 2000). The pledging process forcibly disconnects the pledges from their former
social lives and is marked by an emphasized interaction with the Greek organization
(Nuwer, 2004).
Current members test the adaptability and bond of the pledges by physically and
psychologically diminishing their integrity. Some examples of hazing activities include
paddling, calisthenics, whipping, confinement in a small space, branding, required
unflattering uniforms, degrading nicknames, consumption of disgusting food
combinations, excessive drinking, sexual assault and psychological abuse (Nuwer, 2004).
Furthermore, pledges may be prohibited from showering, shaving, brushing one’s teeth,
speaking to outsiders and sleeping no more than the absolute minimum (Wright, 1996).
During the pledging process, hazing reinforces the limbo-like stage in which pledges can
no longer identify with their previous lives but are not yet allowed to identify with the
organization (Leemon, 1972; Turner, 1987).
The last and most strenuous week of the pledging process, known as Hell Week,
marks the culmination of all the hard work and hazing abuse that the pledges have
endured in the previous months. During the final night of Hell Week, many organizations
conduct a ritual in which the pledges are buried or symbolically killed. In sum, the
pledges are physically and psychologically deconstructed, their old identities are
symbolically squelched and they are reborn in the image of their letters (Wright, 1996).
Once the initiation is completed, there is a ceremony called “crossover night” in which
the pledge is inducted and vows to adhere to the conditions of the organization (van
Gennep, 1960).
37
�The Greek organization represents a parental authority that the new member
submissively learns from and serves (Nuwer, 2004). The pledging process is a way of
leaving a legacy without passing on one’s genes; in fact, many organizations assign “big
brothers and sisters” to new members as a way to ease them into learning the behaviors
that will enable them to emulate the social reputation and goals of the organization.
Hazing reinforces the social hierarchy of the organization represented by the superior
current members and the lowly neophytes who bond through their status (Turner, 1987;
Nuwer 1999; Keating et al., 2005).
Despite the encircling controversy over deaths and inhumanity related to Greek
organizations, most Greek members support hazing for several reasons: “You don’t
question it, because the thought never comes to your mind. This is what they always did,
and this is what we do, and they all got through it” (Nuwer, 1990). They may view hazing
as an exciting adrenaline heightening game or a testament to their human will and
strength that links them to a lineage of successful brothers and sisters. Actually, 77% of
fraternity members and 63% of fraternity alumni claim that hazing serves a valuable
purpose and the most common reason given for the purpose of hazing is the construction
of pledge class unity (Baier & Williams, 1983). Accordingly, 65% of fraternity members
do not think that individuals should be allowed into a Greek organization if they do not
want to be hazed (Cokley & Wright, 1995).
Those that haze new members view the process as carrying on a valuable
tradition which aides the group in weeding out undesirable and weak individuals.
Moreover, many Greek organizations stress the secrecy of the process and refuse to
discuss their rituals with any outsiders. The completion of hazing rituals may elicit
feelings of invincibility in the members and create a formidable bond between the
individual and the organization (Jones, 2000).
Pledges, on the other hand, may feel intensely pressured to conform by their
friends and family because they desire friendship and the availability of a large and wellequipped social network. Consequently, enduring the unpleasantness of hazing may
outweigh the possibility of being alone during their college years. In fact, senior Greek
members report increased self awareness, self-acceptance and aspirations than senior
non-Greeks (Hountras & Pederson, 1970).
Considering the violence and secrecy that is symptomatic of hazing, the
pledging process mystifies outsiders. If pledges define the process as real and
inescapable, they will fulfill their roles as servile and easily manipulated followers
(Sweet, 1999). Jones (2000) argues that one cannot simply dismiss the violence of hazing
as inhumane and inexcusable, but understand its social and historical context. Moreover,
38
�once these elements are understood, researchers can begin searching for ways to
ameliorate the injury and loss of life that occasionally occurs during hazing. Furthermore,
the psychological underpinning of hazing may be explained by a combination of
psychological phenomena.
While there is some variation, the majority of psychological literature
demonstrates that the more severe the initiation, the greater the liking for the group
(Feldman, 1977). The seminal study in the psychological research on the severity of
initiation rituals is Aronson and Mills’ (1959) research on the effects of severity of
initiation on liking for a group. The female participants were led to believe that their
admission into a group that was intended to be boring (unknown to the participant) was
contingent upon their performance in a severe initiation or a mild initiation. In the severe
group, participants were required to read an embarrassing and sexually explicit passage,
while participants in the mild condition were asked to read sexually innocent material.
Aronson and Mills determined through the post experiment self-reports that individuals
are more likely to report liking for an unattractive group after enduring a severe initiation.
An experiment by Gerard and Mathewson (1966) supported Aronson and Mills’ (1959)
conclusion that suffering leads to liking through replication, but supplemented the
sexually explicit material with electrical shocks to safeguard against the possibility that
sexually explicit material could arouse the participants and thus create an increase in
liking. Furthermore, they asserted that liking resulted from an inconsistency in the
individuals’ behavior which resulted in cognitive dissonance.
Cognitive dissonance refers to the cognitive inconsistency which results from
undergoing an unpleasant experience (Festinger, 1957). It follows: “I degraded myself to
join a group, therefore this group must be extremely worthwhile.” Cognitive dissonance
frequently occurs outside of conscious awareness, and while it may explain hazing,
individuals seek to avoid the uncomfortable feeling of dissonance through justifying their
behavior by emphasizing the fun and challenging aspects of the process (Festinger, 1957;
Brehm, 1960). While the experimental study of cognitive dissonance has been criticized
for being so intricate that the variables are ultimately confounded, it is also pertinent
because individuals will seek to alter their perception of an aversive and irreparable event
such as hazing (Cooper & Fazio, 1984; Chapanis & Chapanis, 1964).
Schopler and Bateson (1962) demonstrated that severity of initiation increases
liking but disagreed with Aronson and Mills’ (1959) theory that cognitive dissonance was
at the root of this social phenomenon; instead, they posited dependence theory as
responsible for the increase in liking after a severe initiation. Dependence theory states
that individuals will act out the set of behaviors that they have learned to be desirable
39
�when interacting with individuals they are dependent on in order to achieve a desirable
outcome. In other words, pledges are dependent upon current members in order to be
inducted into the organization so they consequently act in a manner that they know will
appease and comply with the member’s wishes (Thibault & Kelley, 1959). Many pledges
and current Greek members support hazing and describe it as a fun and challenging mind
game (Nuwer, 1999). Therefore, in order for pledges to report liking for the Greek
organization, they must perceive the group to be attractive and at least somewhat
meaningful (Hautaluoma, Enge, Mitchell, & Rittwager, 1991).
In addition, individuals who are in degrading situations, much like the pledging
process, or situations in which they perceive that they will fail tend to seek out social
affiliation. Keating, Pomerantz, Pommer, Ritt, Miller and McCormick (2005) found that
individuals who were in discomforting initiation procedures reported higher levels of
social dependency and a more negative mood when left alone than did individuals who
endured a mild initiation. Van Duüren and Di Giacomo (1997) demonstrated that social
support is an essential component of affiliation during debasing experiences which offers
some explanation for the bonding of pledges during hazing rituals.
There has been a significant body of research conducted mimicking hazing
within Greek organizations. Keating et. al (2005) attempted to simulate the Greek
organization selection process and initiation objectives by convincing participants that
they would be performing a series of initiation tasks for upperclassmen researchers and
could be selected to evaluate the performance of other students. Each participant was
brought to the observation room to meet two confederates who acted in a friendly,
outgoing manner. The observation room was made to look like their hang-out place with
comfortable furniture and warm lighting and participants were shown how the
upperclassmen researchers would be able to observe and judge their behavior—which
created a feeling of status, affiliation and privilege. As part of an initiation task, the
participants were asked to explore several items using only their sense of touch and smell
and describe them as creatively as possible. Hautaluoma et. al (1991) created a similar
experiment in which they attempted to create a meaningful group of upperclassmen
researchers and convinced participants that their performance on initiation tasks was
contingent upon acceptance into this group.
The current research takes an innovative approach to hazing while incorporating
established research. It is suggested that participants who have been told by the
researcher that they have been specially chosen to participate in the study in which they
will be eligible to join a desirable group, will report a higher level of liking for the group
than participants who sign themselves up for the study (Hypothesis 1). This element
40
�simulated the selection process of Greek organizations and the elite allure of Greek
organizations and the potential influence that this has on pledges.
Furthermore, considering the research of Van Duüren and Di Giacomo (1997),
participants endured two initiation proceedings 1) a scavenger hunt 2) and creatively
describing unusual combinations of common household items while blindfolded, either
working as a group or individually. Therefore, it was suggested that participants who
completed the initiation proceedings in a group would report higher liking for the group
than those participants who completed the tasks individually (Hypothesis 2).
Finally, it was predicted that participants who were not only specially chosen
but also completed the “initiation rituals” together, would report the highest overall level
of liking as compared with other groups (Hypothesis 3). In order to fully understand the
impacts of hazing rituals, the researcher integrated the methodology of Keating et al.
(2005), Aronson & Mills (1959), Schopler & Bateson (1962), and Hautaluoma et al.
(1991) and added original components to test new hypotheses.
The purpose of the present project was a pilot test to explore the feasibility of
conducting in-depth, deceptive research with confederates in order to capture these
phenomena in a laboratory at a small liberal arts college.
II. Method
Participants
The participants were 14 undergraduates (6 men, 8 women) at Wagner College,
a small Northeastern liberal arts college, who were students in Introduction to
Psychology classes. All participants received research credit for the course. The age of
the participants ranged from 18-22 and they were predominantly of Caucasian ethnicity.
The study was approved by the Wagner College Human Experimentation Review Board
and informed consent was obtained for each participant prior to the experiment.
III. Procedure
The researcher created a 2 x 2 design which comprised four groups that were
labeled as 1) chosen-bonding, 2) chosen-no bonding, 3) not chosen-bonding, 4) and not
chosen-no bonding.
Chosen-Bonding Group
Participants in the chosen-bonding group received an email detailing that they
had been specially selected to participate in a secretive study (see Appendix A). This
served to replicate the rush process and the allure of a secret society that exists in many
41
�Greek social organizations. They were asked to all wear a black shirt to the study (to
create visual conformity). They were each given a nametag with a nickname made of
colored paper (names of cities—to simulate the nicknames that Greek organization
members choose for pledges as a way to reform their identity).
The participants arrived at the laboratory and were greeted warmly by 3-4
confederates posing as upperclassmen research assistants. The laboratory was made to
look like a fun and privileged place to hang out by putting blankets and pillows around
the room and turning on music. Participants were told that their performance would be
monitored by the group and if they performed well during the study, they might be
chosen to assist the research students in future analyses. They were then asked to
complete a demographic questionnaire (see Appendix B).
The first task of the participant group was a scavenger hunt that is not only a
bonding experience, but also an innocuous and fun initiation rite that occurs in many
Greek organizations and is integral to the pledging process. The participants were told
that they must work to find the reward in 40 minutes in order to be accepted into the
group of confederates posing as upperclassmen researchers. The researcher gave the
group of participants an initial clue leading to various clues enclosed in manila envelopes
located around campus which led them to a prize of candy (Appendix C). The total time
to complete the hunt was recorded.
Once the participants returned with the scavenger items, the researcher gave the
participants their candy reward and congratulated them on their job and told them that
since they had done such a good job, the entire group would be chosen contingent on the
next task (“Wow, you guys did such a good job. You were the quickest out of all the
groups before you. We are thinking of taking all you guys if you do really well on the
next task”).
The participants were then asked to sit around the table in the center of the lab.
The goal was to work together as a group and describe the unidentified objects as
creatively as they possibly could by using only their senses of touch and smell. They
were told that the upperclassmen researchers would be observing their responses and
rating them against other groups. They were given 15 minutes to complete the task. This
process represented a more severe initiation process because the participants were asked
to touch unpleasant objects without knowing what they were and felt pressured to
perform well because their performance would be rated by “upperclassmen researchers.”
Once the participants were seated and understood the rules of the task, the
researcher asked them to tie on their own blindfolds (pieces of fabric) and make sure that
they could not see through it. The researcher placed an object in the center of the table
42
�and a rag next to each person’s side (so that each person could wipe his/her hands). The
researcher remained in the room while the participants underwent the initiation process in
order to create a sense of authority that is present in Greek initiation processes. Each
member of the group was asked to touch, smell and describe (1) wet tea bags, (2) oatmeal
with cotton balls, and (3) Jell-O with potato chip pieces. After the descriptions, the
participants were told that they may remove their blindfolds and were given paper towels
to clean their hands if they desired.
Participants then completed a survey detailing their liking for the group (see
Appendix D). The survey used a Likert scale rating system ranging from Strongly Agree
to Strongly Disagree. The researcher thanked the participants for their participation and
discussed any questions or concerns that the participants might have had. They were told
that they would receive an e-mail detailing the results of the study that actually debriefed
them of the true intents of the study. The message was sent after all the data were
collected and participants were invited to contact the researcher to discuss the study.
Chosen-No Bonding Group
Participants underwent the same selection process as the first group. The only
differences were that the participants did not receive nametags, were not asked to wear
black, and endured the initiations individually. Each participant worked alone on one clue
during the scavenger hunt task (they were only given 20 minutes to retrieve the clue
items). After the scavenger hunt, each participant was individually led into a small room
adjacent to the lab in which he/she sat face to face with the experimenter while
blindfolded and used his/her sense of touch and smell to describe the unidentified objects
as creatively as possible. The remaining participants waited in the lab while each
participant underwent initiation procedure individually.
Not Chosen Groups
The third and fourth groups endured the identical procedure as the first and
second groups, respectively, except that they did not receive a special invitation to
participate and signed up for the experiment on their own.
IV. Results
The sample size was too small to accurately test the hypotheses for the pilot test.
The surveys were coded on a 5-1 scale (5 = Strongly Agree and 1= Strongly Disagree,
and 5 = Very Pleasant and 1 = Very Unpleasant). They were scored by calculating four
scores that were labeled as 1) liking, 2) meaningfulness, 3) performance, and 4)
pleasantness. The liking score determined the participants’ liking for the group of
43
�upperclassmen researchers and their desire to be a member of the group. The
meaningfulness score determined how important the group of upperclassmen researchers
was to the participants and whether or not the group meant something to them. The
performance score ascertained how hard the participants worked on the tasks and whether
or not they felt that completing the tasks improved their chances of being accepted into
the group. And finally, the pleasantness score evaluated how pleasurable the participants
perceived the initiation tasks to be. A score was calculated for each participant and
averaged to determine a respective score for each group. The not chosen-no bonding
group liked the group of upperclassmen researchers the most. The bonding-chosen group
finished the scavenger hunt the quickest. The bonding-chosen group also reported the
greatest pleasure in completing the initiation tasks. Finally, the bonding-chosen group
completed the scavenger hunt the quickest out of the bonding groups; while the no
bonding-not chosen group completed the scavenger the quickest out of the not chosen
groups. The means and standard deviations for all groups are depicted in Table 1.
V. Discussion
Due to time constraints and limited resources, it was only possible to conduct a
pilot run of this study. It is not yet possible to perform statistical analyses that would be
meaningful to the hypotheses; therefore, none of the predictions were supported.
Surprisingly, participants who signed themselves up for the study and endured the
initiation tasks individually claimed to like the group of upperclassmen researchers the
most. However, this group was extremely small (N = 2) and the participants happened to
be acquainted with the confederates and may have genuinely liked the confederates, or
felt pressured to report that they did. The pilot study revealed that it might be necessary
for the participants to get to know the group of upperclassmen researchers a little more
before they will report liking for the group.
Participants who were specially chosen and completed the initiation tasks as a
group; finished the scavenger hunt the quickest and took the greatest pleasure in
completing these tasks out of the other groups. These participants may have felt
privileged to have been asked to participate in the study and therefore worked the hardest
on both tasks. These results may also be evidence of dependence theory in that
participants are working hard in order to yield the best possible outcome—or admission
into the group of upperclassmen researchers. Furthermore, the participants in this group
seemed to get along really well with each other and appeared to be enjoying themselves
throughout both initiation tasks. Considering these findings, it was somewhat unexpected
that this group did not all strongly agree to liking the upperclassmen researchers or find
44
�the group extremely meaningful. In fact, they appeared to like each other more than the
group of upperclassmen researchers and may have been just getting through the initiation
tasks in order to receive the research credit.
The pilot test may have uncovered that in order for participants to report liking
for the group of upperclassmen researchers, they must feel more acquainted with the
group. Furthermore, by feeling acquainted with the group of upperclassmen researchers,
they may feel more comfortable reporting that the group meant something to them. It is
hard to expect a participant to report that a group of strangers means something to them,
even if they went through an initiation. Furthermore, the test also may have uncovered
that it is important for the participants to feel bonded to each other in order to perform
their best on initiation tasks.
The pilot test also revealed that participants did not find the smell and touch
activity especially challenging or disgusting, which was the hope of the researcher. While
many participants verbalized their disgust during the task, most reported that they
enjoyed it. Perhaps the chosen-bonding group would have reported liking for the group if
they had reported less pleasantness for the initiation task. Considering these implications,
the pilot test was only capable of capturing initiation tasks that were perceived as fun and
innocuous. However, it is possible that cognitive dissonance may play a role in this. If the
participants were really disgusted by the second initiation task and ashamed of their
involvement, they might report an inflated sense of pleasantness.
The results of the pilot test may expose that it is necessary for pledges to get
acquainted with the Greek organization members and get a sense of the group before they
can really determine whether or not the group will be useful to them. This may explain
the elaborate meet and greet social functions during the rushes of many Greek
organizations. It seems that the selection process gives pledges incentive to do their best
during Greek rituals. Furthermore, it is important in most cases that they will bond with
each other in order to maximize their performance during hazing rituals. And finally,
perhaps hazing does not have to be debasing or disgusting in order for pledges to get
something out of the initiations and bond with their peers.
This pilot study could be greatly improved upon with the simple addition of time
expansion and more participants. Participants would have more time to get to know the
group of upperclassmen researchers. They could come to the lab three or four times and
chat with the researchers individually and build a relationship. In order for the study to be
more psychologically realistic, the laboratory should look more like a dorm room than a
lab, which could be solved by conducting the experiment in a dorm room or coffeehouse.
Participants could meet confederates at their apartments for the experiment. Time
45
�expansion would also allow for longer and more in-depth initiation tasks. Larger
participant groups would allow for the replication of larger pledge classes in order to
understand if the size of the pledge class has any effect on liking.
Furthermore, the confederates should act in a friendly manner when meeting the
participants but in a cool manner when administering the initiation tasks as a way to
simulate hazing. The participants of the current study did not seem to understand the
significance of wearing the same color—this might work best if the experimenter gave
the participants a pledge shirt. Also, giving the participant more incentive to want to join
the group would be helpful such as more research credit and invitations to elite parties
hosted by the group of upperclassmen researchers.
While 47% of fraternity members agree that hazing is a problem on their
campus, it is extremely difficult to eradicate. As examined in the introduction of the
current study, most Greek organization members believe that hazing exists for reasons
that are steeped in years of unquestionable tradition. They also believe that hazing
strengthens new members and testifies to overcoming the challenge of the human
condition. The secretive and sacred nature of ritual has discouraged victims of hazing to
speak up against their organization that may be protected by universities that wish to
avoid controversy (Nuwer, 1999).
Many hazing violators are not prosecuted or are exonerated from the criminal
charges surrounding hazing deaths (Nuwer, 1999). In order to reduce hazing injury,
colleges and universities should adhere to a zero-tolerance hazing policy. Educational
institutions should also consider appointing a specific faculty or staff member to
document hazing complaints, evaluate Greeks and non-Greeks on hazing behavior,
protect those Greek organizations that do not haze, postpone or eliminate rush and bolster
anti-hazing activism from students, staff and faculty (Nuwer, 1990, 1999; Bryan, 1987).
Moreover, Greek organizations should work hard to stamp out violent hazing
and drop archaic principles of racism, misogyny and homophobia. Those members who
are involved in hazing deaths should be held criminally responsible. The PanHellenic
Society oversees the actions of national Greek organizations, and has been fairly
outspoken against hazing, although few Greek organizations actually adhere to antihazing regulations (Robbins, 2004; Nuwer, 1990, 1999).
In many cases, colleges and universities deny the existence of hazing and will do
everything in their power to conceal its existence in order to deflect legal action.
However, many colleges and universities have also attempted to abolish hazing (Nuwer,
1990, 1999). Abolishing the deeply embedded Greek organization that is unique to
46
�American university culture may force hazing underground and make it even harder to
regulate.
In conclusion, increased communication between administration and Greek
organizations would be the optimal plan to eradicate violent hazing. Hazing is an
extremely complicated psychological phenomenon. It is, therefore, hard to achieve
psychological realism within a laboratory setting. The current study sought to eliminate
as many confounding variables as possible, and proved to be an interesting way to study
hazing.
VI. References
1. Aronson, E., & Mills, J. (1959). “The Effect of Severity of Initiation on Liking for a
Group”, Journal of Abnormal Social Psychology, 59, 177-181.
2.
Atlas, G., & Morier, D. (1994). “The Sorority Rush Process: Self Selection,
Acceptance Criteria and the Effect of Rejection”, Journal of College Student
Development, 35, 346-353.
3.
Baier, J.L., & Williams, P.S. (1983). “Fraternity Hazing Revisited: Current Alumni
and Active Members Attitudes Toward Hazing”, Journal of College Student
Personnel, 24, 300-305.
4.
Brehm, J.W. (1960). “Attitudinal Consequences of Commitment to Unpleasant
Behavior”, Journal of Abnormal and Social Psychology, 60, 379-383.
5.
Brown, T.L., Parks, G.S., & Phillips, C.M. (Eds.). (2005). African American
Fraternities and Sororities: The Legacy and the Vision. Lexington, KY: The
University of Kentucky Press.
6.
Bryan, W. (1987). “Contemporary Fraternity and Sorority Issues”, New Directions of
Student Services, 40, 37-56.
7.
Chapanis, N.P., & Chapanis, A. (1964). “Cognitive Dissonance: Five Years Later”,
Psychological Bulletin, 61, 1-22.
8.
Cokley, K., & Wright, D. (1995). “Race and Gender Differences in Pledging”, ERIC
Research Report Accession No. ED 419999.
47
�9.
Cooper, J., & Fazio, R.H. (1984). “A New Look at Cognitive Dissonance Theory”,
Advances in Experimental Social Psychology, 17, 229-266.
10. Feldman, D.C. (1977). “The Role of Initiation Activities in Socialization”, Human
Relations, 30, 977-990.
11. Festinger, L. (1957). A Theory of Cognitive Dissonance. Stanford, CA: Stanford
University Press.
12. Gerard, H.B., & Mathewson, G.C. (1966). “The Effects of Severity of Initiation on
Liking for a Group: A Replication”, Journal of Experimental Social Psychology, 2,
278-287.
13. Harrington, N.G., Brigham, N., & Clayton, R.R. (1997). “Differences in Alcohol use
and Alcohol-Related Problems among Fraternity and Sorority Members”, Drug and
Alcohol Dependence, 47, 237-246.
14. Hautaluoma, J.E., Enge, R.S., Mitchell, T.M., & Rittwager, F.J. (1991). “Early
Socialization into a Work Group: Severity of Initiation Revisited”, Journal of Social
Behavior and Personality, 6, 725-748.
15. Hountras, P.T., & Pederson, L.M. (1970). “Self Concept of Fraternity Members and
Independents”, Journal of College Student Personnel, 11, 46-49.
16. Jones, R.L. (2000). “The Historical Significance of Sacrificial Ritual: Understanding
Violence in the Modern Black Fraternity Pledge Process”, Western Journal of Black
Studies, 24, 112-124.
17. Jones, R.L. (2004) Black Haze: Violence, Sacrifice and Manhood in Black Greek
Letter Fraternities. Albany, NY: State University of New York Press.
18. Kalof, L., & Cargill, T. (1991). Fraternity and sorority membership and gender
dominance attitudes. Sex Roles, 25, 417-423.
19. Keating, C.F., Pomerantz, J., Pommer, S.D., Ritt, S.J., Miller, L., & McCormick, J.
(2005). “Going to College and Unpacking Hazing: A Functional Approach to
Decrypting Initiation Practices among Undergraduates”, Group Dynamics: Theory,
Research and Practice, 9, 104-126.
48
�20. Kimmel, M. (2004). The Gendered Society. New York: Oxford University Press.
21. Leemon, T.A. (1972). The Rites of Passage in a Student Culture. New York:
Teachers College Press.
22. Lodewijkx, H.FM., & Syroit, J.M.M. (1997). “Severity of Initiation Revisted: Does
Severity of Initiation Increase Attractiveness in Real Groups?”, European Journal of
Social Psychology, 27, 275-300.
23. Nuwer, H. (1990). Broken Pledges: The Deadly Rite of Hazing. Atlanta, GA:
Longstreet Press.
24. Nuwer, H. (Ed.). (2004). The Hazing Reader. Bloomington, IN: Indiana University
Press.
25. Nuwer, H. (1999). Wrongs of Passage: Fraternities, Sororities, Hazing and Binge
Drinking. Bloomington, IN: Indiana University Press.
26. Robbins, A. (2004). Pledged: The Secret Life of Sororities. New York: Hyperion.
27. Sanday, P.R. (1990). Fraternity Gang Rape. New York: New York University Press.
28. Schopler, J., & Bateson, N. (1962). “A Dependence Interpretation of the Effects of
Severe Initiation”, Journal of Personality, 30, 633-649
29. Skaine, R. (2005). Female Genital Mutilation. Jefferson, NC: McFarland &
Company, Inc., Publishers.
30. Sweet, S. (1999). “Understanding Fraternity Hazing: Insights from Symbolic
Interactionist Theory”, Journal of College Student Development, 40, 355-363.
31. Thibault, J.W., & Kelley, H.H. (1959). The Social Psychology of Groups. New
York: John Wiley & Sons.
32. Turner, V. (1987). “Betwixt and Between: The Liminal Period in Rites of Passage”,
in L.C. Madhi, S. Foster, & M. Little (Eds.) Betwixt & Between: Patterns of
Masculine and Feminine Initiation, (pp. 13-28), La Salle, IL: Open Court Publishing
Company.
49
�33. Van Duüren, F., & Di Giacomo, J.P. (1997). Degrading Situations, Affiliation and
Social Dependency”, European Journal of Social Psychology, 27, 495-510.
34. van Gennep, A. (1960). The Rites of Passage. Chicago: The University of Chicago
Press
35. Vida, V. (1999). Girls on the Verge: Debutante Dips, Gang Drive-Bys, and other
Initiations. New York: St. Martin’s Press.
36. Windmeyer, S.L., & Freeman, P.W. (1998). Out on Fraternity Row: Personal
Accounts of being Gay in a College Fraternity. New York: Alyson Books.
37. Wingate, B. (Ed.). (1994). Hazing: An Anthology of True Hazing Tales. New York:
The Outbound Press.
38. Wright, E. (1996). Torn Togas: The Dark Side of Greek Life. Minneapolis, MN:
Fairview Press.
Appendix A: Email Message to Members of Chosen Groups
March 27, 2007
Hello,
Special opportunity! You are one of very few individuals who have been specially chosen
to participate in my research.
My name is Christy Gozzi and I am senior psychology major. I am conducting a study on
creativity through independent and group tasks and I would like to inform you that you
have been specially selected to participate in this study! Your participation will fulfill the
necessary research credit to successfully complete Psychology 101. Participating in this
study would not only be an extremely educational and fun experience for you but also a
way to get ALL your research credits done at ONE time.
50
�I urge you to participate in this study which will take less than 80 minutes of your time.
Also, if you do decide to participate please remember that you have been specially
chosen and to not share your involvement with anyone. Please let me know if you are
available to participate by TUESDAY, APRIL 3. The study will be conducted on
Thursday, April 12. Please let me know which time slot of 4:15 pm-5:30 pm or 5:45 pm 7:00 pm works best for you. You can contact me at cgozzi@wagner.edu or (203) *******. There are a limited number of slots, so please sign up quickly! You will NOT need
to sign up through Experimentrak. Thank you for your consideration and I look forward
to hearing from you.
Christy Gozzi
Appendix B: Personal Information Sheet
NICKNAME:
AGE:
SEX:
ETHNICITY:
CLASS:
CLUBS/ORGANIZATIONS YOU ARE INVOLVED IN:
Appendix C: Scavenger Hunt Clues
OBJECTIVE: As a team, you must work together to find clues that will direct you to
your reward. You will be timed and have 30 minutes to complete the task. Please bring
all the clues and mentioned items that you collect along your journey back to the
researcher. HAVE FUN!
CLUE #1: Use your head! Find your first clue upstairs in the XX section in the Smartest
place on campus. Write down the names of the two books that the clue was placed
between so I know that you have been here. Proceed to the next spot…
51
�CLUE #2: You are performing well: let this next clue entertain you. Write down the
names of two people starring in the next Wagner College Production (check out the black
& white photos) so I know that you have been here. Proceed to the next spot…
CLUE # 3: Way too many stairs: take an elevator ride all the way up to the best View on
campus for your next clue. Grab a take out menu on your way out, so I know that you
have been here. Proceed to your final clue…
CLUE # 4: Run around: collect your next item where, on a warm day, you may get hit in
the head with a Frisbee or a hackie sack. Bring me back a handful of something green so
I know that you have been here. Please return to the psychology lab to collect your
prize!!
Appendix D: Questionnaire
Bonding Condition
1. I like the group of upperclassmen researchers.
Strongly Agree
Agree
Neutral
Disagree
Strongly Disagree
Neutral
Disagree
Strongly Disagree
Neutral
Disagree
Strongly Disagree
Disagree
Strongly Disagree
2. I would like to be a member of this group.
Strongly Agree
Agree
3. I am important to the group.
Strongly Agree
Agree
4. The group meant something to me.
Strongly Agree
Agree
Neutral
5. Performing my best improved my chances of being accepted into the group.
Strongly Agree
Agree
Neutral
Disagree
Strongly Disagree
Disagree
Strongly Disagree
6. I performed as well as I could.
Strongly Agree
Agree
Neutral
7. Please rate the pleasantness of the scavenger hunt.
Very Pleasant
Pleasant
Neutral
Unpleasant
52
Extremely Unpleasant
�8. Please rate the pleasantness of the creativity exercise.
Very Pleasant
Pleasant
Neutral
Unpleasant
Extremely Unpleasant
9. All the tasks that I completed were worth it.
Strongly Agree
Agree
Neutral
Disagree
Strongly Disagree
10. The tasks bonded me to the other participants.
Strongly Agree
Agree
Neutral
Disagree
Strongly Disagree
No Bonding Condition
1. I like the group of upperclassmen researchers.
Strongly Agree
Agree
Neutral
Disagree
Strongly Disagree
Neutral
Disagree
Strongly Disagree
Neutral
Disagree
Strongly Disagree
Disagree
Strongly Disagree
2. I would like to be a member of this group.
Strongly Agree
Agree
3. I am important to the group.
Strongly Agree
Agree
4. The group meant something to me.
Strongly Agree
Agree
Neutral
5. Performing my best improved my chances of being accepted into the group.
Strongly Agree
Agree
Neutral
Disagree
Strongly Disagree
Disagree
Strongly Disagree
6. I performed as well as I could.
Strongly Agree
Agree
Neutral
7. Please rate the pleasantness of the scavenger hunt.
Very Pleasant
Pleasant
Neutral
Unpleasant
8. Please rate the pleasantness of the creativity exercise.
53
Extremely Unpleasant
�Very Pleasant
Pleasant
Neutral
Unpleasant
Extremely Unpleasant
9. All the tasks that I completed were worth it.
Strongly Agree
Agree
Neutral
Disagree
Strongly Disagree
10. The tasks bonded me to the other participants.
Strongly Agree
Agree
Neutral
Disagree
Strongly Disagree
Author Note
My interest in hazing began when I was a freshman at Wagner College and I witnessed
several of my friends pledge Greek organizations. The psychological components of
hazing have fascinated me for the past four years, and I am grateful for the opportunity to
act upon my academic and social curiosities. I would like to thank the psychology
department at Wagner College for excellent resources and guidance, especially Dr. Amy
Eshleman for being a supportive and diligent coach and Dr. Laurence Nolan for four
years of comic relief and consistent guidance. I would also like to thank Bess Goden and
Ana Culver for their abundant support and compassion, and Phillip Marotta for a shared
love of research, knowledge, and life.
54
�Personal Communication Styles in Organizations
Joseph Pantone (Psychology)1
Communication is an essential component of organizational behavior. Communication in
organizations is interpersonal, involves transmitting messages among employees or
groups of employees. There can be either personal communication or object
communication, the latter being a more dehumanizing form of communication. There are
three major kinds of personal communication styles, Noble, Socratic, and Reflective. In
the present study, employees’ personal communication styles were measured. It was
hypothesized that employees at Beacon of Hope House would have similar scores for all
three communication styles, which indicates that these employees are unaware of their
personal communication styles, which leads to ineffective communication. Results
showed that all employees who participated in the study were classified as having a
Reflective communication style.
I. Introduction
One of the essential features of a successful organization is communication
among employees and groups of employees. Communication can be thought of as the
process by which a person, group, or organization (the sender) transmits some type of
information (the message) to another person, group or organization (the receiver),
(Greenberg, 2003). The communication process can be thought of as a feedback system.
The sender encodes a message and transmits the message through a communication
channel, such as e-mail or memo. The message is decoded by the receiver, who then
provides the sender with feedback. This feedback allows the sender of the message to
determine if their message had been understood properly (Greenberg, 2003).
Schneider et al. (1975) states that all organizations have what is called
interpersonal communication. This type of communication is generally conducted
between peer groups, but it can exist between higher levels of authority and subordinate
levels. Interpersonal communication usually involves work processes, questions, or
training interpretation (Schneider et al.,1975) . Schneider argues that one of the major
problems that occurs in communicating information is distortion, or blocking. Employees
may tend to hear what they want to hear, and this leads to distortion in our ability to
1
Research performed under the direction of Dr. Richard Brower (Psychology).
55
�understand, comprehend, relate, communicate, visualize, and interpret the message
(Schneider et al., 1975). The loss of meaning from one employee to another is known as
entropy. This idea holds that distortion occurs not only in the sender, but in the receiver
as well.
Related to the idea of interpersonal communication is how we treat others when
we are communicating. Kreps (1986) states that there are two types of communication,
personal and object communication. He argues that object communication is insensitive
and demonstrates a lack of respect for another person. This type of communication treats
the receiver as an object, and therefore has a dehumanizing component to it. Personal
communication shows respect for the other person, and treats the receiver as an equal.
This type of communication promotes communicating in an honest and trustworthy
manner (Kreps, 1986).
All of these aspects of communication can be applied to many different
agencies, ranging from financial corporations to social service agencies. Upon observing
communication among employees at Beacon of Hope House, a social service agency
which promotes independent living skills to psychiatric patients, it was noticed that there
was a lack of communication among employees concerning many topics, such as food
preparation and medicine changes for clients. This led to hostility and a lack of
cohesiveness among employees, which created a poor working environment. McCallister
(1994) suggests that there are six personal communication styles, and that employees
with similar communication styles will communicate better than those whose styles are
different. The three main styles are Noble, Socratic, and Reflective. Noble
communication style refers to someone who says what is on their mind without any
reservation. Socratic communication styles refers to someone who likes to argue his or
her point fully. Reflective communication style refers to someone who would rather say
nothing than to hurt someone else's feelings. The proposed hypothesis states that
employees at Beacon of Hope House will have similar measures of these three styles,
which would indicate that they are unaware of their own communication styles, which is
an essential component of effective communication (Greenberg, 2003).
II. Method
Participants
Seven employees from Beacon of Hope House were selected to complete a
personal communication survey. All seven employees were female, and they ranged in
age from 32 to 57.
56
�Materials
An 18-item questionairre, adapted from McCallister (1994), was given to each
employee. The first six items measured an employee's degree of Noble communication.
The second six items measured an employee's degree of Socratic communication. The
final six items measured an employee's degree of Reflective communication. Each of the
three groups of items were scored independently of each other. For example, if an
employee's Noble score was higher than the other two, they would have a Noble
communication style. Each item was answered by participants with either a “yes” or “no”
response.
III. Procedure
Each of the seven employees were asked to complete the 18-item questionnaire
to assess their personal communication styles. For each item, participants were asked to
think of how they actually communicate, rather than what they think they should do.
Participants were given as much time as necessary to accurately assess how they
communicate. Participants were debriefed and informed about what the questionairre was
designed to measure.
IV. Results
Results showed there was a dominant communication style among employees at Beacon
of Hope House, Reflective communication style. The mean score of the Noble scale was
x =2. The mean score of the Socratic scale was x =2.8. The mean score of the Reflective
scale was x =4.28 (see Figure 1). The percentage of "yes" responses for the Noble scale
was 33 percent. The percentage of "yes" responses for the Socratic scale was 47 percent.
The percentage of "yes" responses for the Reflective scale was 71 percent.
V. Discussion
The purpose of this study was to determine employees’ personal communication
styles. It was hypothesized that employees at Beacon of Hope House would have similar
scores on the three scales, indicating that the employees are unaware of their own
communication style, which would lead to ineffective communication. The results of this
study contradicted the proposed hypothesis. Employees at Beacon of Hope House tend to
have a Reflective communication style. Those who have a Reflective communication
style are concerned with the interpersonal aspects of communication. They do not wish to
offend others, and they tend to be great listeners.
57
�McCallister (1994) states that those with similar communication styles tend to
communicate better than those with different communicating styles. This was not the
case in the present study. This is significant because there must be another factor that
could account for the ineffective communication. One possibility could be within each
employee's communication style. Each employee was classified as having a Reflective
communication style. As such, employees may be overemphasizing the feelings and
emotions of others as to not offend them in any way. They may be withholding
information from others, or not interpreting information properly as intended by the
sender because of the fear of causing conflict on the job.
McCallister (1994) points out that it is important to remember that employees
have the potential to use any of the three styles of communication. Relying on one style
all of the time may be counterproductive. Employees may not be getting the proper
information to perform their job properly. In this case perhaps someone with a Noble
communication style would be needed, as they would not have the tendency to filter what
they are thinking and come out and be direct. A possible solution for ineffective
communication would be for employees to synthesize the three styles of communication.
This is a more inclusive way of communicating, and would allow employees to
communicate better with each other, no matter what communication style they may have.
VI. Future Work
One way to improve future studies of personal communication styles would be
to have a larger experimental population. The present study focused on only seven
employees. Another way to improve further research into communication styles would be
to include men in the sample. A sample that includes men would be more representative
than just using women alone. Further research that includes both men and women would
help demonstrate if men would also be classified as Reflective communicators. If men are
shown not to be Reflective communicators, this may give some evidence that Reflective
communicators are generally women.
VII. References
1. Greenberg, J. and Baron, R. (2003). Behavior in Organizations, 8th edition.
Prentice Hall, Upper Saddle River, NJ.
2. Kreps, G. (1986). Organizational Communication. Longman, Wjite Plains,
NY.
3. McCallister, L. (1994). I Wish I’d Said That: How to Talk your Way Out of
Trouble and into Success. Wiley, New York, NY.
58
�4. Schneider, A., Donaghy, W. and Newman, P. (1975). Organizational
Communication. McGraw-Hill, New York, NY.
4.5
4
3.5
3
2.5
2
1.5
Noble
Socratic
Reflective
Figure 1: Mean personal communication style scores for Noble, Socratic and Reflective
measures
59
�The Relationship between Stereotype Threat and
Performance on a Standardized Test: Why Minority
Students Do Not Perform As Well As Caucasian Students
Kim Costa (Psychology)1
Although standardized tests are created by professionals who try to ensure that everyone
has an equal opportunity to excel, African Americans still fall behind their White peers’
scores. Stereotype threat affects a student's performance on a standardized test by
increased anxiety, measured by their blood pressure. As part of a independent t-test, 52
undergraduate college students (27 women, 15 men) were assigned to one of two groups,
where a stereotype threat or no threat stereotype was implemented into the classroom.
The participants were instructed to take a "fake" standardized test, and when completed
their blood pressure was taken. Interestingly, the group with the stereotype threat
implemented had higher blood pressure values than the group without stereotype threat.
I. Introduction
Standardized tests have been used for many years to assess a student's mastery
of skills in a variety of subjects. These tests are created by professionals, who try to
ensure that the tests are non-bias and that everyone has an equal opportunity to excel.
However, research has convincingly demonstrated that minority students, particularly
African- Americans, receive much lower scores than their fellow Caucasian classmates.
A possible explanation of this gap is caused by stereotype threat. Schmader & Johns
(2003) define stereotype threat as, "a phenomenon whereby individuals perform more
poorly on a task where a relevant stereotype or stigmatized social identity is made salient
in the performance situation" (p. 2).
Although all students experience anxiety in school situations, research shows
that students of minority groups suffer from additional anxiety. This increased anxiety
can lead to students devaluing or reducing their identification with academics (Osborne,
1999). Stereotype threat undermines academic performance in two ways. First, it can
interfere with performance by increased anxiety. "In many of the studies, levels of
anxiety (measured by blood pressure), were significantly higher under conditions of
stereotype threat" (Aronson, Fried & Good, 2001). Secondly, stereotype can affect
1
Research performed under the direction of Dr. Richard Brower (Psychology).
60
�performance by disidentification. Aronson et al. (2001) define disidentification as, "the
psychological disengagement from achievement hypothesized to help students cope with
stereotype threat and underperformance in a given domain" (p. 114). College admissions
base their acceptance decisions heavily on the performance of a standardized test, such as
the SAT. Since a gap exists between the performance of Caucasian and African American
students, it is not surprising that less than 10% of African Americans attend a four year
collage. (Good, Aronson & Inzlicht, 2003, p. 646).
Schmader and Johns (2003) found research done in support of the stereotype
threat theory shows that performance differences can be eliminated if the same test is
administered in a stereotype-free environment. Steele and Aronson (1995) found that
African Americans performed worse than their White peers when the task they were
performing was described as a measurement of intellectual ability. On the other hand
when the same task was described as unrelated to intellectual ability, African American
students performed equally to White students. These findings suggest that negative
stereotypes about certain ethnicities can create an extra burden, which can interfere with
the student's performance on a task (Schmader & Johns, 2003).
In many previous studies, researchers have conducted experiments to find
solutions to eliminate the gap in test scores. Good et al. (2003) examined whether
implementing an intervention that addressed possible explanations for academic
difficulty, and beliefs about stereotypes, could reduce the effects of stereotype threat and
thus raise performance. College mentors conveyed messages to seventh-graders which
believed would help alleviate stereotype threats. The college mentors discussed various
issues, which included, adjusting to a new school environment, the expandable nature of
intelligence, and the dangers of drug use. The study was conducted in a rural, lowincome, school district in Texas. One hundred and thirty-eight seventh-graders were
participants, both male and female (Good et al., 2003). The seventh-grade students
underwent the informative program starting in mid-October to the end of the school year
when they took the statewide standardized test, TAAS, in reading and math. Good et al.
(2003) found that by implementing an intervention program, minority students' test
performance increased, comparable to their White peers. These finding were consistent
with their hypotheses. By implementing an intervention program, the performance
differences among White and African American students were eliminated. If the belief of
expandable intelligence, the idea that future and more in-depth learning is possible, is
valued in school systems, standardized testing may be more equitable for students
carrying the burden of stereotype threat.
61
�Schmader and John (2003) found evidence to suggest that stereotype threat
reduces working memory capacity. Schmader and Johns (2003), stated, how their goal
was to examine the disruption of performance by confirming a negative stereotype about
a certain group. Schmader & Johns (2003), define working memory capacity as, "The
type of memory used to retain and manipulate information for immediate or nearimmediate use" (p. 3). The researchers created a stereotype threat based on the
implication that Latinos are less intelligent than Caucasians. The participants were told
that the task was a measurement of general intelligence, and were asked to indicate their
ethnicity on the test. However in the stereotype condition, the researcher informed the
participants that their performance is "highly predictive of performance on intelligence
tests and their performance on the test would be used to establish norms for different
groups" (Schmader & Johns, 2003, p. 10). The results of the study provided evidence for
the hypothesis that stereotype threats reduce memory capacity. When the test was
described as a measure of general intelligence, Latinos recalled fewer words than
Caucasians. However, there were no significant differences in self-reported ethnicity and
test description. Both Latinos and Caucasians felt that the researcher would not score
their test based on ethnicity. When the test was described as a measure of general
intelligence, Latinos reported higher anxiety levels than Caucasians.
The purpose of the present investigation was to see if in fact a relationship
existed between stereotype threat and performance on a standardized test. I wanted to see
if by implementing a threat the student would not perform to their ability because of
increased anxiety measured by their blood pressure. To explore if these two issues were
related a "fake" standardized test was created and issued to two groups of African
American students. One group was given the test, asked to write their ethnicity on the test
to see if it increased anxiety, and told that the test was a non-evaluative problem-solving
task. The other group was given the test, asked to write their ethnicity on the test as well,
and was told that the test was a measurement of general intellectual ability. When the
students completed the task, their blood pressure was measured by a blood pressure
monitor.
I predicted that the group with the stereotype threat in effect would not perform
as well as the participants who were completing the non-evaluative task, because of
increased anxiety measured by their blood pressure.
62
�II. Method
Participants
The participants were 52 African Americans college students (27 girls, 25 boys)
at a liberal art college in Staten Island, N.Y. The participants' ages (M = 20.46, S.D=1.20)
ranged from 19-24. One participant dropped out of the study because of a medical illness.
The participants were recruited primarily from psychology and statistic classes and were
given extra credit in their courses for completing the study.
Design and Materials
A "fake" standardized test measuring math and reading skills was issued to the
participants. A "fake" test was created, since I was interested in increased anxiety rather
than the correct responses on the test. The test consisted of 300 questions, 150 in math,
and 150 in reading. The students were provided with a math formula sheet which
contained formulas that would be used in the test. Some examples include the formula for
area of a triangle and the Pythagorean Theorem. The students were also issued an answer
sheet, scrap paper, a pencil, and a calculator. The students had 3 hours to complete the
test. A blood pressure monitor was also used to take the students' blood pressure upon
completing the task.
III. Procedure
The 52 African American participants were randomly assigned into one of two
groups of 26. Group stereotype was informed that the test was a measurement of general
intellectual ability; where group no stereotype was told that the test was a non-evaluative
performance task. Both groups were assigned to different classrooms and were told that
they were able to leave when they completed the test. Both groups completed the test at
the same time. The groups were assigned to different classrooms, since the stereotype
would be announced verbally. The participants were seated in rows. The researcher
distributed a test booklet, answer sheet, formula sheet, pencil, and calculator to each
participant. The rules of the test included staying in the seat assigned until finished, no
talking, having nothing on the desk except the materials given, and not being able to
leave the classroom until completing the test. The participants were given a time limit of
3 hours to complete the test. The participants were instructed to indicate their ethnicity on
the test in both groups to see if it did increase anxiety. Upon completion of the test, the
researcher collected the materials from each participant; and then took and recorded the
participant's blood pressure. The participants were then thanked and dismissed.
63
�IV. Results
To test the hypothesis that stereotype threat affects a student's performance by
increased anxiety measured by their blood pressure, I conducted a two-tailed independent
group t-test predicting that increased anxiety measured by blood pressure values would
be significantly related to stereotype threat. High blood pressure values were significantly
related to stereotype threat, t(49) = -3.71, p <.01. As depicted in Figure 1, the
participants without stereotype threat blood pressures values (M = 115.73, SD = 22.01)
were significantly lower than those participants with stereotype threat (M = 139.76, SD
= 24.25). As depicted in Figure 1, there is a significant relationship between participants
with stereotype threat and increased anxiety measured by blood pressure values.
V. Discussion
The results of the present study confirm that stereotype threat affects student's
performance by increased anxiety, measured by their blood pressure. There was a
significant relationship between stereotype threat and increased anxiety resulting in
higher blood pressure values.
This evidence links to Aronson and Fried and Good's hypothesis on increased
anxiety. They also found that by inducing a stereotype threat, emphasizing intelligence as
a measure of intellectual ability, or having test takers indicate their ethnicity, significantly
undermined the performance of African Americans. In their study, levels of anxiety
measured by self-report inventories and direct measures of blood pressures were
significantly higher under conditions of stereotype threat.
Although there was a significant relationship between stereotype threat and
increased anxiety, I did not take into account possible medical conditions. If medical
conditions, such as high blood pressure, or if a student was on medication existed this
could have affected the data. Another possible weakness of this study is that since the
participants were college students there was no control of activities that the participants
engaged immediately before their participation. For example, if the participants come
right from the gym an increase in blood pressure would be expected.
If a future study was to be done on a stereotype threat and increased anxiety, the
researcher should make sure that participants do not have any ailments that would affect
the data in any way. Also, the researcher should ask the participants to arrive at the study
earlier so that one can be sure that their blood pressure is at a normal level and is not
increased from any type of exercise or stress.
In the meantime, the present study provides an empirical perspective on
stereotype threat and underperformance caused by anxiety. Although this may be an
64
�ongoing problem, studies have shown that it can be eliminated by administering the test
in a stereotype free environment and establishing the notion that all students have the
potential to succeed.
VI. References
1. Aronson, J., Fried, C. B., & Good, C. (2002). “Reducing the Effects of Stereotype
Threat on African American College Students by Shaping Theories of Intelligence”,
Journal of Experimental Social Psychology, 38, 113-125.
2.
Aronson, J., Lustina, M. J., Good, C., Keough, K., Steele, C. M., & Brown, J. (1999).
“Why White Men Can't do Math: Necessary and Sufficient Factors in Stereotype
Threat”, Journal of Experimental Social Psychology, 35, 29-46.
3.
Good, C., Aronson, J., & Inzlicht, M. (2003). “Improving Adolescents' Standardized
Test Performance: An Intervention to Reduce the Effects of Stereotype Threat”,
Applied Developmental Psychology, 24, 645-662.
4.
Osborne, J. W. (1999). “Unraveling Underachievement among African American
Boys from an Identification Academics Perspective”, Journal of Negro Education,
68(4), 555-565.
5.
Schmader, T., & Johns, M. (2003). “Converging Evidence that Stereotype Threat
Reduces Working Memory Capacity”, Journal of Personality and Social
Psychology, 85(3), 1-22.
65
�160
Mean blood pressure values
150
140
130
120
110
100
90
80
70
60
50
40
30
20
10
0
Without stereotype threat
With stereotype threat
Threat type
Figure 1: The mean blood pressure values depending on whether a stereotype threat was
implemented in the classroom.
66
�Section IV: Critical Essays
�Language and Paralanguage: Music and Art
as Communication in the Law of Love
Valerie O’Donnell (Spanish)1
While languages may differ among nations and peoples, the fact is that we as
human beings are capable of formulating and making abundant use of language to
communicate many things: our needs, our emotions, our darkest fears and deepest
desires. This quality is found across races and nationalities and sets us, as humans, aside
from other members of the animal kingdom. Animals communicate, yes—but as far as
we know, they do not possess a true language, a “formalized code used…to communicate
with one another” (Heward 302). People, on the other hand, have not one language, but
many. The majority of these languages are spoken, and even unspoken linguistic
systems—for example, American Sign Language—contain elements that could be
considered ‘words’. As a result, it is generally accepted that words (spoken, written or
otherwise communicated) are the means by which people express themselves. To carry
this theory one step further, in literature, words are supposedly the only means by which
the author can convey setting, plot, dialogue and character psychology to the readers.
Laura Esquivel disproves this theory in her novel, The Law of Love. Through her use of
music and art in conjunction with written language, Esquivel shows that media other than
written language must be used in order to adequately convey the deep emotional
revelations and psychological responses of her characters.
The Law of Love is known as a “multimedia novel,” packaged with a music CD.
In the novel, characters experience frequent flashbacks to previous lives, “which for the
reader involves examining color illustrations while listening to the CD, then reading the
account” (Martínez 892). This is an interesting decision on the part of the author,
considering that while many books contain illustrations, few have their own soundtracks.
This feature of the novel indicates that it is characteristic of Esquivel’s work to push the
boundaries of literature and the idea of what should be considered a ‘book’—notably in
Like Water for Chocolate and The Law of Love. And yet, while reviews for Like Water
for Chocolate appear overwhelmingly positive, it seems that many critics read The Law
of Love’s risk-taking format as a publicity stunt, or even an annoyance. One such critic,
1
Written under the direction of Dr. Marilyn Kiss (Languages) and associated with the
course SP213/EN213 Hispanic Literature in English Translation.
68
�Evelyn Leeper, says in her review, “Ultimately, I found this book had too much science
fiction to work as a fantasy, too much fantasy to be good science fiction, and too many
gimmicks to work as a novel” (“The Law of Love”). However, it would be a mistake to
assume, as does Barbara Mujica, that “Laura Esquivel is a master of gimmickry…In La
ley del amor the gimmick is music” (Mujica 61), because the use of music to accompany
art and writing in the novel serves a grander purpose than simply pandering to the public
with attention grabbing stunts. The music is in fact part of the novel’s unique
construction, as “complementing this intermingling of media is a blurring of boundaries
between literary genres as the book moves from science fiction to romance and New Age
philosophy” (Taylor 2). Furthermore, without the addition of music and art
in The Law of Love, the story of the characters’ past lives would not come through as
clearly. The artistic and musical components of this multimedia novel are indeed
important means of communication to the reader—so much so, that perhaps they could
even be considered “languages” themselves.
Before one even thinks about the role of art and music in The Law of Love and
Esquivel’s motivation for including them at all, it might be helpful to step down a bit and
look at each genre of music that was included. Consequently, by seeing the ways the
music can be linked to the text, the reader may come to a closer understanding of the
author’s reasons for making the novel into a multimedia experience. When considering
why Esquivel chose to include the particular music found on the CD, one may first
consider the danzones, which are used to set the stage for the chapters they precede. The
words are closely aligned with the story’s action: a chapter about the villainous Isabel is
anticipated by a song called “Mala;” “San Miguel Arcángel” leads into a chapter narrated
by Anacreonte, the protagonist Azucena’s griping Guardian Angel—in short, the song
lyrics correspond directly to what’s going on in the novel. The one exception to this rule
would be “A Su Merced,” which does not precede a chapter but is rather sung by Cuquita
to aid in performing a regression on the ‘spoon’ that registered Citlali raping Rodrigo in
1890. The song itself is about fruit, but the subtext of the song reflects envy, pride—
many emotions found in the story. And the title, translated as “At Your Mercy,” may
signify that Azucena and her companions are at the mercy of Isabel and her minions’
refusal to play by the rules. The operatic interludes from the works of Puccini, on the
other hand, are intended to accompany the characters’ flashbacks, and their significance
is twofold. Firstly, in many cases the arias themselves relate to the flashbacks similar to
the danzones and their chapters. The use of “O Mio Babbino Caro” (literally, “Oh My
Dear Daddy”) starkly juxtaposes scenes of a heartless Isabel bludgeoning her infant
granddaughter Azucena to death, yet also seems oddly appropriate in the context of the
69
�novel—the song is a daughter’s plea to be allowed to marry her sweetheart, while
Isabel’s daughter leaves home to run away with her lover (and stepfather) Rodrigo.
“Nessun Dorma” (“No One Sleeps;” a love aria) is the ironic companion to a 19th
century rape scene. Conversely, the elation of the final scenes where the Law of Love is
finally reinstated is heightened by the jubilant “Diecimila anni al nostro Imperatore!”
(“Ten thousand years to our Emperor!”—perhaps a reference to the return of the
dominion of the Law of Love and Divine Will). In different ways, all of the musical
selections that are included with the book complement the plot, which proves that the
author put thought into her selections, rather than just throwing in random songs
haphazardly for the sake of including music.
On another level, the use of classical music can be traced to Azucena’s work as
an astroanalyst (futuristic psychoanalyst) and the traditional role of instrumental music in
the retrieval of repressed memories and deep-seated emotions in psychotherapy: “The
interplay of pulse and the ‘rhythm of the soul’ together with its realization foster transprocesses and lead to a hypnotic state which forms the basis for further interventions or
self-regulation” (Mastnak 81). Psychologists recognize the transformative and reflective
power of music, and as a result music often has a prominent place in different forms of
counseling and therapy. Even in less specialized fields, music can be found being used to
influence people’s states of mind (think of the soothing music played at nail salons and
yoga studios, where patrons go to clear their minds and relax). Defending her use of
music with her novel in a 1996 interview with Joan Smith, Esquivel claimed that
“because the music causes altered states of consciousness in the characters, I wanted the
readers to share the experiences of the characters as much as possible” (“Love and Other
Illegal Acts”). The central role of music in The Law of Love is notably revealed when
Azucena first realizes that she regressed to a life where she saw Rodrigo, in an altered
state of consciousness induced via a duet from Madama Butterfly: “It had been known for
some time that musical sounds have a powerful influence on the human organism and can
alter psychological states…recently, however, it had been discovered that a single
melody had the power to activate our memory of past lives” (Esquivel 53). This
discovery was an epiphany for Azucena, and it initiated major developments in the plot.
Similarly, the presence of visual art representing the character’s flashbacks is
essential in that it gives concrete images to changes in space, time and reality that could
otherwise confuse the reader. It is rather impressionistic in its style, vividly capturing
individual moments like snapshots and offering a quick glimpse into the moment. By
viewing the pictures, readers are allowed to formulate their own perceptions about the
scene taking place, which in turn creates a feeling of oneness with the work. The reader is
70
�transported to another world as an invisible spectator, a character in the background—a
phenomenon much like the one experienced while reading high-quality prose.
Since the role of music and art in The Law of Love has been established as an
important companion to the written text, it follows to discuss their roles as paralanguages.
A paralanguage could be considered something other than conventional language, written
or spoken, that accomplishes all of the purposes that language addresses—conveying
emotions, relaying information, demonstrating opinions, etc. Artistic media are especially
good at conveying emotions, as can be seen in The Law of Love. Conveying emotion is
one of the most commonly evoked and important roles of language, but some emotions
are too strong, too raw to really come out in words. There simply aren’t words powerful
enough to express, for example, the hatred the female Rodrigo feels for his rapist/brotherin-law Pedro/Citlali, and so the memory of this past life can only be accessed when the
Rodrigo of the present is exposed to classical music. Azucena is familiar with this idea,
due to her background in astroanalysis—as she tells the bureaucrat at COPE, “Oh, it’s not
that I’m interested personally. But in my work as an astroanalyst it’s very useful to be
familiar with music that can induce altered states of consciousness” (Esquivel 51). She is
the one who first realizes the connection between opera and regression to past lives and
thus travels to the black market to buy an illegal CD: “Studies in experimental
psychology…show empirically not only that listeners associate images, feelings and
impressions with music, but also that…there is a convergence of opinion regarding the
experience evoked” (Nattiez 243). The use of music is also at times even more useful for
evoking a story than literary narrative, for “literary narrative is invention, lying. Music
does not lie” (Nattiez 244). The feelings that surface when listening to music, however,
come straight from the deepest recesses of the listener’s very soul; they are completely
genuine.
One characteristic of music that supports the claim of music functioning as a
paralanguage in The Law of Love is the presence of narrativity in musical scores. This
narrativity is not the same as the narrative found in prose; according to Edward Cone, “If
music is a language at all, it is a language of gesture: of direct actions, of pauses, of
startings and stoppings, of rises and falls, of tenseness and slackness, of accentuations”
(Nattiez 245). Music tends to be more abstract than concrete, but “the more
representational the music the more easily are associations allowed, so that many
listeners like to weave emotional dramas into what they hear” (Vernon 124). While music
without intelligible words—or, indeed without words at all—cannot tell a concrete story,
one can distinguish changes in tone and emotion. The rest is left up to the imagination.
Nattiez likens this to the discovery of lovers’ initials carved into a tree: no one can be
71
�sure of the details of the “romance novel” inscribed there, but one can come up with a
general idea and fill in the blanks. What matters most is the reader’s interpretation: “The
freedom of interpretation remains significant, for here the narrative exists only on a
potential level, ‘as a reconstruction by the person to whom the story is told or a projection
by he who relates it…’” (Nattiez 246). In short, “listening to a work, we recognize the
evocation of actions, tensions and dynamisms analogous to those for which the literary
work is a vehicle” (Nattiez 248). Not everyone sees the same thing, but everyone sees
something. This is certainly true during the flashback sequences of The Law of Love;
merely by listening to the music and looking at the pictures, the readers can come up with
their own explanations for the events witnessed, but not every interpretation would be the
same. For example, after viewing Azucena’s regression to the 1985 earthquake where
Isabel killed the infant Azucena, most readers would be able to guess that the baby girl
was first orphaned by some sort of disaster and then killed with a strange purple prism by
an older-looking woman. But the details of the back-story (What caused all of the
destruction? Who is the woman who killed the baby? Why did she do it? What was the
prism for?) vary from person to person, until Esquivel’s written account brings the
individual interpretations together.
Musical and artistic media are commonly used in film to convey subtextual
elements to the plot—for example, to underscore the action and create a mood of
suspense, of fear, of jubilation or of desolation. It is said of The Law of Love that “in its
interactive state, this novel is already nearly a movie” (Coonrod Martínez 893), so it
would seem appropriate that it be accompanied by a ‘soundtrack’. Movie soundtracks, in
their classical use, were not meant “to function in isolation from the rest of the picture”
(Flinn 38), but rather to mix seamlessly with the action and the dialogue to form a single,
narrative entity. This is the role of the ‘soundtrack’ in The Law of Love, for in the
flashback sequences image and sound unite as a single, multifaceted sensory glimpse into
the characters’ pasts. The details are clarified by the written accounts, but Esquivel
reaches the reader’s subconscious through the primal nature of the artwork and music.
One can peruse the visual account of Rodrigo’s murder of Citlali’s baby and midwife
while listening to “Senza Mamma” and without even knowing who the characters are or
the overall significance of the scene, the reader can sense the congruity between image
and sound and figure out that something is very wrong (in the plot, that is). The text that
preceded the flashback, all the way at the beginning of the book, supports what the reader
intuitively felt all along. And one might add that the musical accompaniment of this
scene is particularly good, as the aria used is the lament of a grieving mother of a dead
child, (like Citlali), who asks “Dimmi, quando in ciel potrò vederti? Quando potrò
72
�baciarti?” (Tell me, when will I see you in heaven? When will I be able to kiss you?)
(The Aria Database). In short, this is yet another example of how the music of The Law
of Love tells a story that parallels the text…and of yet another way in which the music
and illustrations perform a function of language by ‘telling the story’, in one way or
another.
Without the addition of music and art, The Law of Love would still be able to
tell the story of Azucena and Rodrigo and the others. Provided the writing was vivid and
engaging, the story that would result would be complete in itself, and probably a good
piece of literature. However, in order to create a truly innovative and appealing piece of
literature, Esquivel would have no choice but to include music and art in addition to
writing, which she did, producing the engaging novel that results. Without these
elements, Esquivel would have created a story that would be functional, but somewhat
one-dimensional and incomplete, because the artistic elements of this novel contribute
experiences that could not be reached through the exclusive use of prose. With the
emphasis on psychology, the unconscious and the power of art to influence human
consciousness in The Law of Love, it is imperative that Esquivel demonstrate this power
of interpretation by actually including art and music in the novel itself. In addition to
supplementing the written text of the novel, the artistic and musical additions act as
paralanguages, mirroring the written language in a more abstract, personal way. They
alternately complement the written language, enhance its power and make up for its
deficits. They fulfill all of the jobs of an orally based language and therefore can be
considered paralanguages in the context of the novel. The result of the combination of so
many different media is a novel that is a full-fledged multimedia experience, drawing the
reader in to do so much more than read: look, listen, imagine. Laura Esquivel, in this
respect, is more than just an author. Through her work with The Law of Love, she
becomes a master craftswoman who takes the raw elements of language, art and music
and turns them into a holistic literary experience.
Works Cited
Esquivel, Laura. The Law of Love, New York: Three Rivers Press, 1996.
Flinn, Carol. “The Most Romantic Art of All: Music in the Classical Hollywood
Cinema”, Cinema Journal 29(1990): 34-50.
Heward, William L. Exceptional Children, Upper Saddle River, New Jersey: Pearson
Prentice Hall, 2006.
73
�Martínez, Elizabeth Coonrod. Rev. of La Ley del Amor by Laura Esquivel, Hispania 81
Dec. 1998: 891-3.
Mastnak, Wolfgang. "Non-Western Practices of Healing-Music and Applications for
Modern Psychotherapy." International Review of the Aesthetics and Sociology of Music
24(1995): 77-84.
Mujica, Barbara. Rev. of La Ley del Amor by Laura Esquivel, Americas 48 Nov-Dec.
1996: 61-2.
Nattiez, Jean-Jacques. “Can One Speak of Narrativity in Music?” Journal of the Royal
Musical Association 115(1990): 240-257.
Peden, Margaret Sayers. “The Law of Love”, NESFA Members' Reviews, 1997, New
England Science Fiction Association, Inc. 17 Nov. 2006
<http://www.nesfa.org/reviews/Leeper/thelawof.html>.
“Senza mamma”, The Aria Database, 16 Nov 2006 http://www.aria-database.com.
Smith, Joan. “Love and Other Illegal Acts”, The Salon Interview, 04 Nov. 1996.
Salon.com. 13 Nov 2006 <http://www.salon.com/oct96/interview2961104.html>.
Taylor, Claire Louise. “Body-Swapping and Genre Crossing: Laura Esquivel’s ‘La Ley
del Amor’”, The Modern Language Review 97(2002): 324-336.
Vernon, P.E. “Non-Musical Factors in the Appreciation of Music”, Musical Times
70(1929): 123-4.
74
�Pedagogical Strategies for
Teaching Science in Secondary Schools
Alexandra Mercil (Biology)1
Although teaching is not an easy task, by following certain pedagogical strategies in a
secondary science classroom the teacher will be able to accomplish his/her main goal—to
promote and ensure learning in an atmosphere conducive to learning. The following are
pedagogical strategies that enhance and ensure learning: Bloom’s taxonomy,
differentiated instruction, constructivism, cooperative learning, the use of technology in
the classroom, activities, assessment, and interventions. Benjamin Bloom formed a
hierarchal system of thought processes. The order from the most basic level to the most
sophisticated level is: knowledge, comprehension, application, analysis, synthesis, and
evaluation. Differentiated Instruction is the method of giving diverse learners suitable
instruction in a diverse classroom. Differentiated instruction takes into account the
theory of multiple intelligences. Constructivism is a strategy that is key in a science
classroom. The basis of constructivism is “hands on, minds on.” Hands-on activities aid
in relating the material being taught to real-life experiences. Cooperative learning
concerns grouping. Grouping allows the students to interact and learn from each other
while helping each other. Groups can be formed according to: level, interests, gender,
etc. Another pedagogical strategy is using technology in the classroom. Technology can
be a useful teaching tool if it is used properly. A main problem in teaching science in a
secondary school is keeping the students interested and motivated. One way to
accomplish this task is by using activities throughout the lesson. The activities should
refer to the topic being studied in order for it to be effective and purposeful. The last two
strategies include assessment and interventions. Assessment allows the teacher and
student to observe that particular student’s development and progress throughout the
school year. The teacher can use formal assessment or informal assessment tools.
Interventions are used when a student needs additional help studying a particular topic.
Interventions can take place between students or between student and teacher. Using
these pedagogical strategies to enhance learning in a secondary science classroom is
beneficial in ensuring that learning is occurring among the students.
1
Research performed under the direction of Dr. Donald E. Stearns (Biological Sciences)
in partial fulfillment of the Senior Program requirements.
75
�I. Introduction
Teaching science in a secondary school can be quite a challenge. However,
there are certain practices a teacher can follow in order to make teaching science both
informative and interesting to the students. Many science classes are taught in a lecturing
format. However, teachers have many more options than just straight lecturing. Two
main challenges teachers face when teaching science is motivating the students and
holding the interests of each and every student. Lecturing tends to not hold the students’
interests for a very long time. Differentiated instruction and cooperative learning have
proven to be very beneficial systems of teaching a class. Differentiated instruction allows
each student to learn according to his/her own learning style. It is the job of the teacher
to tend to everybody’s different learning style. Cooperative learning groups, activities,
and “hands-on” activities are key ways to hold the students’ interest. These methods
enforce active participation in a friendly and comfortable environment. The “hands-on”
activities work to help students really know what science is all about. In this day and age
technology is everywhere. It is in our homes, work, and schools. Therefore, teachers and
students should take advantage of the technology in the schools today. Students can use
technology to research information on the Internet, to write papers, to create fliers, and to
use specific software programs that relate to specific lessons. A teacher should always be
assessing the work of the students. When students need additional help with schoolwork
the teacher should organize peer tutoring programs and small study groups. Although
teaching is not an easy task, by following certain pedagogical strategies in a secondary
science classroom the teacher will be able to accomplish his/her main goal.
II. Bloom’s Taxonomy
Benjamin Bloom created a hierarchal system of learning (Figure 1). He
believed that all learning starts with simple thinking and then the students work up to
complex thinking processes (Handelsman, et al., 11). The lowest level is knowledge.
Knowledge is the most basic level and most questions are asked at this level. At this
level most students are able to memorize information but not fully understand the
material. For example, a student learning goal at this level would be to list the organs of
the digestive system in humans. The next level is comprehension or understanding.
Comprehension is when a student is able to explain a topic in his/her own words. An
example for a comprehension student learning goal is students will be able to explain the
functions of the organs of the human digestive system. Next is the application level,
where students are able to apply their knowledge to a particular situation. An example of
a student learning goal at this level would be to understand the relationship between
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�digestion and nutrition. Analysis is the fourth step in the pyramid. This is when students
are able to break down their ideas. An appropriate learning goal here would be to show
the pathway of digestion. The fifth stage is synthesis. At the synthesis level students are
able to build from the ground up. During the digestive system lesson students would, for
example, create a cartoon of the digestive system. The students would have to create a
character eating a talking French fry and throughout the cartoon the French fry could
describe each step of the digestion process. The highest and most sophisticated level is
evaluation. At this level students discuss their view points and answer questions. For
example, after creating the cartoon, the students would present their projects. The
projects would show each student’s take and understanding of the digestive system.
III. Differentiated Instruction
Differentiated instruction is when the teacher divides his/her time and efforts
among many students while giving all of those students worthy time. Differentiated
instruction is giving diverse learners suitable instruction in a diverse classroom. Students
in a differentiated classroom have different learning needs. Assessment is key to
differentiated instruction. The teachers should assess student learning in class
discussions, observations, tests, and projects. By assessing all student work the teacher
will be able to get an overall idea of the students’ needs. Differentiated instruction is
centered on the students and can be used in group, class, and individual instruction
(Tomlinson, 1-8).
Teachers who use differentiated instruction promote learning. By using
differentiated instruction teachers are allowing students to express themselves in ways
that are comfortable and appropriate for them, the students. For example, students might
want to write essays, create a song, or make a painting as an assignment to show they are
learning. This would be beneficial to the student since the student is able to use his/her
skills in order to ensure learning. Students will also be able to express their ideas more
freely this way.
There are many ways to differentiate instruction in the classroom. While
differentiating instruction in the class there should be many different types of activities
during the lessons. The different activities should be engaging. All students learn
differently. Some students may be verbal learners, visual learners, artistically engaged,
and others. These learning styles are biological and are based on features in the brain
(Samples, 2000). Therefore, students should be allowed to express themselves in these
manners according to whatever is more appropriate for them. Instruction should be
created to give meaning and ensure learning. By differentiating instruction among the
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�students’ skills, learning styles and interests the teacher is giving meaning to the lessons
and ensuring learning since the lessons will be geared to fit the students’ interests and
skills.
Differentiated instruction is based on the theory of multiple intelligences. The
theory of multiple intelligences was proposed by Howard Gardner. Gardner believed that
everyone uses seven or more “intelligence,” or learning styles. The seven intelligences
are: linguistic, mathematical, bodily kinesthetic, spatial, musical, interpersonal, and
intrapersonal intelligences (Gardner, 1993). Everyone learns in different ways and at
different rates. All of these intelligences need to be equally valued in the classroom. For
example, in a science classroom to focus on bodily kinesthetic intelligences the teacher
can create a lesson in which the students have to act out mitosis. To focus on the musical
aspect the students can create a musical tape to go with certain scientific processes.
There are many options that teachers have when using differentiated instruction in the
classroom.
There will be times, like in any other classroom, in which the teacher will assign
the students certain work. However, with differentiated instruction there should be some
occasions when the teacher allows the students to select specific assignments for the class
to do. The lessons that are taught should be able to get the students to think critically in
this environment. All assignments the students are given should entail student
understanding and their applying the information in some form. Assignments should be
given to challenge the students. If the assignments are challenging, then the students will
have to use critical thinking to help them complete the assignment. Once the assignments
are graded, the level of difficulty should begin to increase.
Teachers using differentiated instruction have different roles compared with
teachers using traditional methods. Teachers of differentiated instruction do care about
their students’ knowing information; however, these teachers focus on observing and
assessing their students. These teachers are in a way like the students’ coach or mentor.
Teachers of differentiated instruction have many different roles. These teachers must
assess their students constantly and in many different ways. They have to figure out what
each student’s interest and learning style preference is. They must come up with
different activities to help the students gather information, since using one activity all the
time will just become boring for the students and they will lose interest in the lessons.
When teaching in a differentiated classroom the teacher must possess some
leadership qualities that will help him/her successfully teach and work with these students
(Tomlinson, 16-20). The teacher must be organized. The teacher has to be able to look
at students individually and figure out what their interests are and how they learn best.
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�When doing this the teacher has to train himself/herself to not make first impressions
without getting to know the student. The teacher should share responsibility in the
classroom with the students. As a teacher of differentiated instruction he/she works with
students as a class, but also individually. The teacher should want every one of the
students to succeed; for this to happen, the teacher must spend time with the students on
an individual basis.
In a differentiated class the students should be able to “grow” in knowledge,
skills, and dispositions. In a differentiated class the teacher focuses on knowledge, skills,
and dispositions in a separate manner. The teacher might focus on the student’s learning
certain material. Then the teacher might look at the different learning styles the student
possesses and focus on the skills that student will be able to use to succeed. By looking
at the student’s dispositions and values the teacher will be able to get an overall idea of
the student’s character. In the end, knowledge, skills, and dispositions will come together
as one to help the student “grow.”
Differentiated instruction is being able to split the time among all the students
and focus on their different learning styles as an advantage point. The teacher should
incorporate activities that focus on all of the different learning styles. By doing this the
teacher will help the students excel in their strengths and better their weaknesses in the
other learning styles. For example, if the teacher plays a short film during the lesson the
students that are visual learners will succeed and the students that have other learning
styles, such as mathematical and musical will be able to practice and better their visual
skills. Using the natural skills that the students might possess will help them succeed and
feel more comfortable in the classroom. Differentiated instruction also raises students’
test scores and helps students to actively participate in class discussions and activities
(Mastropieri, et al., 2006). All students can learn from one another and all students
should appreciate the diversity among each other.
IV. Constructivism
In the education field there are several theories that support how children learn
best. One theory is constructivism. Constructivism is when knowledge and
understanding are used to make an experience clear. Constructivists feel that children
learn best when they become actively engaged. Students can become actively engaged
through “hands-on” and “minds-on” activities (Glanz, 41). The theory states that
students learn best when they are able to form or construct meanings on their own. This
does not mean that the teacher does not serve as a critical role in the classroom. The
teacher is there to help the students in any way possible.
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�There are certain characteristics that set the foundation for constructivism.
These characteristics include: activating prior knowledge and building on it,
identification of whole major concepts, understanding of new concepts, using knowledge
in school and to solve real life situations, and metacognition. Metacognition is referred to
as knowing what you know. Metacognition is used in learning situations. This concept
involves dynamic control over one’s own thinking. Examples of metacognitive skills
include: observing comprehension, “thinking-aloud,” and planning how one will
accomplish a particular learning task (Wikipedia). William Glasser was a constructivist
who firmly believed in the “hands-on” approach of teaching. William Glasser stated:
“We learn…
10% of what we read
20% of what we hear
30% of what we see
50% of what we see and hear
70% of what we discuss
80% of what we experience
95% of what we teach others.”
There are different teaching tools in constructivism that help students become
actively engaged. The computer and other forms of technology all serve as tools that aid
in this process. By using the computer the students are performing “hands-on” and
“minds-on” activities. Another key point of constructivism is that students learn how to
deal with real-life situations. There are certain computer programs, such as simulation
programs, that can offer students a chance to act like they are part of the situation and
setting of the program they are using.
Laboratory work is also a very beneficial “hands-on” experience that the
students can learn from. Lab work consists of students’ putting their knowledge to work.
Usually once a week students are brought to the lab to practice their skills of information
they learned in the classroom. For example, when students are taught about the systems
of the body a dissection of a frog would normally be completed in the lab class. By
completing the dissection the students are experiencing first-hand what the specific body
parts function as and what they look like. In the seventh grade class in which I was
working, Mr. Vassilatos took the students outside on a nature walk. The students were
learning about different types of plants and, since it was still nice out and Petrides has so
much land, Mr. Vassilatos took the students outside. The students were able to observe
the different trees around the school grounds. Each student had to create a nature walk
journal. In the journal each student wrote about what he/she observed, such as what the
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�tree smelled like, if it had cones, the size and shape of the leaves, and what the bark was
like. The students also gathered leaves from the trees and pressed them in their journals.
Science fairs are also examples of “hands-on” activities (Prattis, 2006). Each
year in the seventh grades the students work either individually or with a partner to create
a science project. The students pick topics that interest them. They are given a few
weeks to perform their experiment and they then have to report their findings. The
students who excel in their presentations move on to citywide and statewide fairs.
During these fairs other students and science teachers are able to observe the projects and
question the student on his/her findings. Science fairs tend to grab the interests of the
students performing the experiments and the students watching the presentations.
V. Cooperative Learning
Cooperative learning concerns the use of grouping in the classroom. There are
different elements that play a role in cooperative learning (Manning, et al., 1991). The
first is positive interdependence. Positive interdependence indicates the success of the
group; the group members have to depend on each other. All group members must
participate. The success of the group is in the hands of the group. The next element is
individual accountability. This is when the teacher makes sure that all students
participate in the assignment. Group processing is the third element. Group processing is
when the group gives feedback on how well the members work together. One
cooperative learning activity is “Simple Jigsaw.” This activity incorporates the three
different elements of cooperative learning. The teacher does the first step of the jigsaw.
The teacher breaks down a specific topic into three-to-five smaller topics. Then the
students are broken up into groups and each member is given one of the three to five
smaller topics. Each member is accountable for researching and reporting the
information they have found on their topic to the rest of the group. The group as a whole
is then responsible for learning and organizing all of the material so it can be presented to
the class.
By participating in cooperative learning groups the students gain better social
skills, which is the fourth element. By contributing in group work students learn respect,
cooperation, and better listening skills. The final element is face-to-face interaction, in
which students interact with one another. Research has proven that cooperative learning
increases self-esteem, causes higher achievement levels, causes an increase in class
participation, and causes greater enjoyment of classes and attending school in general
(Lin, 2006).
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�The groups should always be relatively small, about two to six people in each
group. The teacher can create the groups according to gender, ethnicity, ability, interest,
or just counting off. For gender the teacher can either group the students into groups of
just females, just males, or a mix of both females and males. For ethnicity the teacher
should mix the students so that the ethnicities are different in all of the groups. By
having a few different ethnicities in one group the students will be able to learn from one
another based on different cultures and race. Groups formed according to ability tend to
be the most beneficial. Groups should be formed with students of lower abilities and
students of high achievement levels. By mixing the students in this fashion the higher
achieving students can help the lower achieving students, almost as in peer-tutoring
sessions. Grouping students together based on interests can be an advantage and a
disadvantage. Grouping all of the students with the same interests together can work well
since all the students have a greater chance of getting along. However, the students may
get along too well and they may just be mischievous if they are all seated and working
together. The teacher can also rely on the old system of counting off. For this method
each student would get a number of one through five and then all of the one’s work
together, all of the two’s work together, and so on.
VI. Technology
Throughout the years there have been many advances in technology.
Technology is in our homes, at work, and now even in our schools. Schools have
adopted technological principles. There are computers, printers, software, projectors, and
overhead projectors in many of the schools today. However, not every school takes
advantage of the benefits technology brings. In Oversold and Underused, the author,
Larry Cuban focuses on technology in schools in the Silicon Valley of California. After
doing research from 2000-2001 in preschools, elementary schools, high schools, and even
universities, Cuban found that in many schools, teachers and students have access to
computers; yet, many of the teachers refuse to change their traditional ways and they did
not start using computers (Cuban, 73). Many teachers found that lecturing suited them
better then teaching with computers. This was true for not only schools in California, but
everywhere in the United States. At Petrides, each student and teacher has his or her own
laptop. However, not every student uses his or her laptop. Some students chose not to
use their laptops because they do not want to carry them. The students that do use their
laptops use them to take notes during class. As for the teachers, I have observed that the
only times many teachers have used their laptops is to record grades. Of the four
different classes that I have observed at Petrides, I have seen only one teacher use the
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�computers for group projects and as a teaching tool. In the seventh grade classroom that I
was observing, the students had to create PowerPoint presentations once a month based
on a topic they were studying. The teacher also declared Fridays as technology day and
every Friday the students would research specific topics in class and then use the
projector to display their findings to the entire class.
The number one form of technology that is used in schools is the overhead
projector. The overhead projector is very useful to teachers and is simple to use.
Teachers do not have to put a lot of time and effort into using an overhead projector;
whereas with computers the situation is different.
Larry Cuban (2001) also believes that technology will eventually become a huge
part of the school system. Cuban stated that promoting and using a great deal of
technology in schools will take some time. More and more schools are beginning to have
a greater access to computers and appropriate software. There are many different types
of computer programs that should be used in schools. One such program is a drill-andpractice program. This program serves as a good reinforcement tool in the class, since it
allows students to practice skills they have already learned in the classroom (Roe, et al.,
164). Another beneficial software program is a simulation program. Simulation
programs replicate real-life situations. In science classes these programs can be used to
show and teach virtual dissections. Simulation software allows the students to explore
areas, such as the bottom of the ocean floor or inside of the human body, without ever
going there. This form of software also gives certain situations and laboratory exercises
for the students to work on. Some of these situations include cleaning oil spills, forming
curing strategies for sick animals, and performing research work in distant areas. All of
these situations would be too dangerous for the students to be faced with and impossible
to accomplish in the classroom. Computers can also be used in the classroom to do
research work on the Internet, to make flyers, to write papers, and to create timelines.
With all of the advances in technology today it seems as though the future is looking
bright for technology in schools.
The computer can be a very useful tool in the classroom when used correctly.
Teachers should use software in the classroom that is age appropriate and topic
appropriate. The tutorial and simulation programs are very useful when it comes to
showing the students things they might never see in their lifetime. These programs also
allow students to work with certain materials that they may never have a chance to use
hands-on. Technology is an important tool that students enjoy and can use to their
advantage.
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�VII. Activities
Two of the main challenges of teaching science in a secondary school are
getting the students motivated and keeping the students’ interests. Having the students
perform activities during the lesson will help keep their interests and also help them focus
on specific material. One activity is the double-entry notebook/journal. This activity can
be used a tool to help students understand scientific journal articles. Most scientific
journal articles are not written at a middle school or high school level. Therefore, when
the students are assigned to read these articles it may be very difficult for the students to
actually comprehend what the article is about. To set up the double-entry
notebook/journal each student should fold a piece of paper in half to create two columns.
The first column should be labeled “text” and the second column should be labeled
“response.” In the text column the students are to write down important notes from their
readings. Then in the second column the students should write what each statement
means. They can either write comments, questions, feelings, or even draw an image.
The second column is mainly used to help the students break down and understand key
points in the article. These journals can be shared among students and teacher. The
students should have friendly discussions about what they wrote in their journals. These
discussions would allow the students to share their different viewpoints on the articles.
The discussions would also allow some confusing points to be cleared up; chances are if
one student is confused about a certain point then other students may also be confused.
Students in science classes tend to struggle with the vocabulary of certain
lessons. Many of the students are usually not familiar with the words that are being
taught in middle school and high school science classes. Therefore, “How Well Do I
Know These Words?” is a very beneficial vocabulary tool. The students should fold a
piece of paper into three columns. The first column should be labeled “I need help
finding a meaning for this word,” the second column should be labeled “I think I know
the meaning,” and the third column should be labeled “I know a meaning.” The students
can do this for every chapter they are taught. Whenever they come to a word they do not
know then they should use this table. This table will help keep the students organized
and they can use this as a helpful study tool. The use of this table also allows for the
students to use different processes, such as knowledge and application.
Four corners is a cooperative learning activity. For this activity the teacher
places four different topics in the corners of the classroom. Then the teacher can break
the class up into four groups of about five students in each group. Each group receives a
different color marker and the four groups are to start in different corners of the
classroom. Each group is to write down some information under the topics. This activity
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�is timed. The activity ends when each group has written something on all four pieces of
paper. When the activity ends the group picks a leader to report what the group wrote on
each paper. The following is an example of how this activity can be used when
discussing AIDS. In each corner of the room there will be a transparency with a topic on
the top. These topics include: symptoms, how you get AIDS, treatment, and prevention.
Each group will get a different color marker so the teacher knows what group wrote what.
The students are to use their textbook and/or Internet to obtain information on these
topics. The students will get three minutes at each station to write down as many
different points as they can. When time is up the groups move clockwise to the next
corner. After each group has written on each transparency the transparencies will be
placed on the overhead projector and each group leader will explain what they wrote.
The teacher should help the students if they need it and he/she should fill in any missing
material that the students did not talk about.
The final activity is an activity that is used throughout the entire school year.
This activity is called “metacognitive conversations”(Creech, 2006). This activity
consists of the teacher and student having to “think aloud” when reading graphs, notes,
and lab work. Students would then have to write any questions they have or any topic
area that confuses them in “metacognitive logs.” This assignment would be very
beneficial in a science classroom. “Think aloud” is when the teacher reads through
specific material out loud while explaining it in depth. This technique is very beneficial
to the students since this technique can clear up any confusion one may have. Science
articles and other materials can be very hard to understand if one is not already aware of
the terms. Therefore, if the teacher goes through an article part by part and “thinks
aloud”, the students may understand the key concepts of the part better then if they were
reading it on their own. Once students are aware of how to “think aloud” the class can be
broken up into groups and the students can “think aloud” for themselves, while being
guided by the teacher.
VIII. Assessment
Assessment is a key part of student learning. Assessment allows the teacher and
student to observe the students’ development and progress throughout the school year.
There are many ways the teacher can assess his/her students. There are formal means of
assessment and informal means of assessment. However, whichever form of assessment
is being used the teacher will be able to evaluate the progress and growth of the students’
learning abilities.
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�Standardized tests are an example of formal assessment (Ornstein, et al., 332348). Experts of a particular field of study create the standardized tests. These
standardized tests work to test the students on set material. There are also set ways for
these tests to be graded and interpreted. The material that is on these types of tests is
usually material that should have been taught to the students all year round. The teacher
has a general idea of what the test will be like from previous years of administering the
tests. Therefore, the teacher is able to greatly prepare the students for this test.
Standardized tests are used to measure how much the students have learned throughout
the course of the year. However, standardized tests cannot be the only form of
assessment used in the classroom since there are some students that might do extremely
well in the class; yet, when it comes to a standardized test that student may get too
nervous and do awful. While observing a seventh grade science class at Petrides the
students had to prepare for the state laboratory test. For this test the students had to
complete certain experiments and answer questions following each experiment. In the
lab the teacher, Mr. Vassilatos, had set up four science experiments that resembled what
the test might look like. However, the experiments were not exactly the same since that
is unlawful. The experiments were set up and there were questions that had to be
answered. The students were given a sufficient amount of time to complete and practice
the experiments. Mr. Vassilatos had the students do the experiments over and over, so
that by the time the test came the students were very well prepared. Other examples of
standardized tests include: ITBS, state math and science exams, and the SATS.
Besides formal assessment tools there are also informal assessment tools.
Examples of informal assessment tools include: teacher-made tests, projects, rubrics, and
portfolios. To test specific content knowledge the teacher can create tests. These tests
are developed so the teacher can examine the progress and understanding the students
have concerning a specific topic (Ornstein, et al., 348-349). In the seventh grade class at
Petrides that I had been observing, I have witnessed the teacher give several tests. The
day before each test Mr. Vassilatos gives the class a review. These review sessions
consists of Mr. Vassilatos writing key questions on the board and then going over the
answers with the class. During one of the review sessions Mr. Vassilatos told me to
never give students a test as a form of punishment and to never test the students on
material that has never been taught to them. He said that tests should be given on the
material the students know so that they do well on their test and the test will then act as a
reward. Teachers can also give tests before they start teaching a specific topic, to see if
the students have any prior knowledge in that field of study. These tests should not be
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�graded, yet they should be used only as resourceful tools to help the teacher focus on
what mainly needs to be taught in the classroom (Doane, 2006).
Mr. Vassilatos also assigned the class many projects to be completed during
class time. I have observed the students working on several PowerPoint presentations, in
which the students must create 30 slides on a particular topic. Then after the students
completed their projects they would present them to Mr. Vassilatos, who then graded the
projects. These projects were given to help raise the grades in the class. For
presentations it is helpful if the teacher creates a rubric. A rubric is used to aid in the
grading process. The rubric tells how many points are given to certain material that is in
the project. A rubric gives a detailed description of what should be included in the
project. When the teacher uses a rubric for grading, the rubric should be handed out to
each student before they start their project so that way the students know exactly what is
expected of them. The rubric is a very important and helpful assessment tool.
A final example of informal assessment is a portfolio. A portfolio is a collection
of student works (Ornstein, et al., 393). Each student receives a portfolio in the
beginning of the year and these portfolios are to remain in the classroom. Different
projects, tests, rubrics, and teacher notes are added to the portfolio throughout the course
of the school year. The main purpose of having a portfolio is so that the teacher, the
particular student, the student’s parents, and other authority figures are able to check the
student’s progress and improvement rate.
Assessment is a very important part of the learning process. The main role of
assessment is to check for understanding and see what the students are grasping.
Assessment can be performed through tests, activities, and teacher recordings. There are
many different forms of assessment. In a classroom the teacher should sample different
forms of assessment and see how effective each method is. Once the teacher sees what
forms of assessment works for him/her and the students, those are the methods that
should be used.
IX.Interventions
There will be some instances in which certain students will struggle in school
and need additional support. There are several ways a teacher can intervene and offer the
student extra study help. Some examples of interventions are: teacher-student
conferences, peer tutoring, and individualized tutoring sessions.
Teacher-student conferences are when a teacher and a student meet to discuss
matters associated with school (Daniels, et al., 190-191). During these conferences the
teacher is usually able to learn more about why the student does certain things. The
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�teacher is also able to help the student with certain things and learn more about the
student as a person. In one of the classes that I observed there was a student who was at
risk of being left behind for the third time. Since the teachers did not want to see this
happen again they had a conference with the student. During the conferences the
teachers and the student came to an agreement on what they could do for the student and
what the student could do for the teachers. To prevent this student from failing, the
student had to make copies of all of his tests and notes and give them to each teacher.
Then all the teachers met together and they observed the student’s materials and saw that
he was doing the work and he was trying. By gathering all this material the teachers
agreed to pass the student and he was promoted to the eighth grade.
Peer tutoring and tutoring sessions are relatively similar in that they both
concern tutoring projects for students in hopes that they may excel in an area they
struggle in. Peer tutoring is tutoring between two students in the class. The teacher will
normally assign one student who tends to excel in class to tutor a student who is
struggling. The peer tutoring is performed under the advisement of the teacher. Tutoring
sessions tend to be between the teacher and the struggling students. Tutoring of this
nature can be either individualized tutoring or group tutoring. These tutoring sessions are
at the discretion of the teacher.
X. Conclusion
Teaching science in a secondary school is not an easy task. However, knowing
certain strategies that will enhance the learning process in the classroom is greatly
beneficial to the teacher. Research has shown that differentiated instruction and
cooperative learning can enhance learning by making the school atmosphere more
comfortable for the students. In these settings students are able to actively participate and
enjoy their classes. In a science class it is very important for the students to have “handson” experiences, use technology, and perform other activities. These activities will hold
the students’ interests while also helping them learn difficult material. The teacher
should always assess the students and offer any additional help possible. As much of a
challenge as it is to teach science in a secondary school, the teacher should always want
his/her students to succeed and that teacher should do everything in his/her power to
accomplish that goal.
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�XI. Literature Cited
Creech, J. and Hale, G. “Literacy in Science: A Natural Fit”, The Science Teacher 73.2
(2006): 22- 27.
Cuban, Larry. Oversold and Underused. Massachusetts: Harvard University Press,
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Cuban, L., Kirkpatrick, H. and Peck, C. “High Access and Low use of Technologies in
High School Classrooms: Explaining an Apparent Paradox.”, American Educational
Research Journal 38.4 (2001): 813-835.
Daniels, H. and Zemelman, S. “Why Textbooks are not Enough.” Subjects Matter:
Every Teacher’s Guide to Content-Area Reading. Portsmouth: Heinemann, 2004.
Doane, W. and Rice, R. “Knowing When You Don’t Know”, The Science Teacher 73.4
(2006): 46-49.
Adapted from Gardner, H., Multiple Intelligences. New York: Harper Collins, 1993.
Glanz, J. Teaching 101: Classroom Strategies for the Beginning Teacher. California:
Corwin Press, 2004.
Handelsman, J., Miller, S. and Pfund, C. Scientific Teaching. New York: W.H. Freeman
and Company, 2007.
Lin, E. “Cooperative Learning in the Science Classroom”, The Science Teacher 73.5
(2006): 34- 39.
Manning, L. and Lucking, R. “The What, Why and How of Cooperative Learning”, The
Clearing House 64.3 (1991): 152-156.
Mastropieri, M., Scruggs, T., Norland, J., Berkeley, S. et al. “Differentiated Curriculum
Enhancement in Inclusive Middle School Science”, Journal of Special Education 40.3
(2006): 130-137.
Ornstein, A., Lasley, T. and Mindes, G. Secondary and Middle School Methods.
Boston: Pearson Education, Inc, 2005.
89
�Prattis, J. and Schofield, S. “National Science Week 2006: Hands-on and Interactive”,
Teaching Science 52.4 (2006): 10-11.
Roe, B. and Smith, S. Student Teaching and Field Experiences Handbook, 6th edition,
New Jersey: Pearson Prentice Hall, 2006.
Samples, Bob. “Instructional Diversity”, The Science Teacher 67.1 (2000): 50.
Tomlinson, Carol A. “How to Differentiate Instruction in Mixed-Ability Classrooms”,
2nd edition, Virginia: Association for Supervision and Curriculum Development, 2001.
Benjamin Bloom created a hierarchal system of learning that shows all
learning starts with simple thinking, knowledge, and then the students
work up to complex thinking processes, evaluation.
Figure 1: Bloom’s Taxonomy.
90
�Hiding the Issue: Generation over Race in
Guess Who’s Coming to Dinner?
Holly Walker (English)1
Have you ever watched a movie for its publicized topic, but found it to focus on
something else completely? It might have taken its cue from Guess Who’s Coming to
Dinner (Stanley Kramer, 1967)—one of the most misleading “controversial” movies of
film history. Instead of showing the audience the issues behind interracial marriage in the
1960’s, it shies away from the main topic and instead focuses on the White father figure
and how difficult it is for him to come to terms with his daughter’s impending marriage.
The subject of racism is repeatedly pushed aside, as Matt Drayton (played by the ailing
Spencer Tracy) questions his daughter’s intention to marry. Guess Who’s Coming to
Dinner takes a weak stance on the heated topic of interracial marriage by hiding behind
the issue of the generation gap between parents and their children.
The film was released in 1967, when the Civil Rights Act of 1964 was still new
and many of the audiences in America were still primarily White. The film is criticized in
terms of today’s standards of civil rights, and in comparison to today, the stance is truly
extremely weak. However, there was still a lot of tension between the races. For example,
there was a race riot in Detroit during the summer of 1967. Nonetheless, the movie
received an Academy Award nomination for Best Picture.
The film does not address racism straight on, but instead weaves around it in a
series of polite conversations and strained looks between characters. According to some
critics, “Because of the 1960’s ‘generation gap,’ the film’s message of reconciliation
between the young and old is as central as its message of racial tolerance; in fact the two
are connected” (Vera and Gordon 87). They are connected, but the generation gap takes
the forefront and is the cause of resolution, and that makes the film weaker on race than if
it had faced the heated topic of the time head on. With Sidney Poitier in the film, many
viewers expect there to be a strong stand against the racist views of interracial marriage,
but Poitier’s character barely gets a chance to take one because the other characters are
facing a crisis of change, and do not want to hear what he has to say. Matt implicitly cuts
him off when Poitier’s character, John, begins to tell Matt what he thinks about the
1
This paper was written under the direction of Dr. Kim Worthy (Writing Center) and
Prof. Andrew Needle (Art) for the Freshman RFT: Media and Persuasion.
91
�situation. Poitier is well known for social activism, but he is not given the chance to make
a stance against the stigma of interracial marriage because of the limitation of his
character, and because of the focus shift that takes place when Matt Drayton enters the
film.
John is portrayed as a Black Superman. He is a doctor with many honors and has
accomplished much in his short life span. He is a widower, but still able to love.
However, these attributes of his character considerably weaken the message of the film,
because he had to be raised to that level even to be considered as a suitable husband for a
White woman. Recently there has been research into interracial marriage and higher
education and results state that,
Though further study would be required to provide conclusive evidence, all
indications point to the fact that as Blacks move up the educational ladder they
are more likely to attend schools in which Whites are a majority or are present in
large numbers. More than 80 percent of Black college students attend a
predominantly White institution. These students are far more likely to have
contact with Whites, to make White friends, and to find a non-Black marriage
partner. (Tucker and Mitchell-Kernan)
This explains John’s initial willingness to marry Joanna, though because of the time
period his hesitancy increases once he is faced with her parent’s ideals. Matt has no
problem accepting John as an intellectual equal, and if he had met him through business,
as is shown through their long talk on the terrace that spans many topics. They are the
ones to introduce the generational differences here, when they talk of the young people
and their dancing, and Matt notices that the Black kids are better dancers. This
conversation provides a link between racism and the generation gap; Matt notices the
dance but does not understand. John does, and so he is placed in the middle between the
aging generation and the youth that is portrayed by Joanna and Dorothy, the young Black
assistant to the Draytons’ maid, Tillie. This is also where the focus draws away from
John and Joanna and towards Matt’s displacement in the world he thought he knew.
Unlike Matt, the wives in the movie are more accepting, but only because of the
passion between the John and Joanna. However, besides a kiss shown only through a
rearview mirror in a car, the couple displays very little passionate affection towards each
other. Matt’s wife Christina (Katherine Hepburn) emphasizes that their daughter “Joey”
seems in love with John, but the couple’s screen time together is limited and they are
always very chaste towards each other. The audience has to rely on Christina’s and Mrs.
Prentice’s acknowledgment that there is a strong connection between the lovers, because
there is no visual authentication of the acclaimed ardor. In fact, one suspects it is
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�repeatedly mentioned by the older characters, including the mothers and the priest and
family friend, Monsignor Ryan, because there is no other evidence of it. Yet it is their
“passion” that Matt bases his final decision on. By not showing the intensity of their love
for each other, the film reduces the impact of the message that interracial marriage is
acceptable and right. It is hard to identify John and Joanna as a couple and as usual, with
Hollywood movies of the time, the film dances around the subject of racism. The absence
of passionate embraces between the couple suggests that if John was portrayed as a
sexual being, he would become what American White men supposedly feared—Black
men lusting after White women (a cinematic stigma since D.W. Griffith’s 1915 Birth of a
Nation); however, by reducing his sexuality, the film makes Matt, and White American
viewers, more likely to accept John as a suitable husband for Joanna. John’s character is
essentially castrated by the absence of a sexual presence. Although the film begins to
touch on the subject of sexuality between the couple, it is immediately quieted by Joanna
when she assures her mother that they have not been to bed together yet, because John
did not want to. The first on-screen interracial kiss is severely played down by its
portrayal in the film—as noted above, it is shown through a rearview mirror, much to the
disgust of a White taxi driver.
Tillie is another Black character reduced in importance because she is the single
racist voice, and is the only person on the Drayton side that tells John that he does not
belong because he is going “above himself”. The members of the family ignore what she
has to say, even though it is extremely derogatory to John. She is shown as merely being
“traditional,” preserving opinions of the past. In this regard, she is a mirror to Matt,
except that she is used to portray the dual thoughts of the time period in terms of race:
that Blacks are as racist as Whites, and that Whites are superior to Blacks. In addition,
she is a foil to upper middle-class John as a working class Black woman who speaks with
bad grammar and calls him “boy” when no one else can hear. Her respect for the younger
generation is lacking, and she expresses her thoughts easily. As Matt points out, she “stirs
up a lot of trouble.” Tillie is the only character that does not try to be polite in reaction to
John and Joanna’s relationship. She voices her disapproval to anyone that will listen,
although no one pays any attention. Her remarks are ignored, and Joanna even goes so far
as to laugh it off and say, “I’ve always loved you, and you’re just as Black as he is. Why
would it be wrong for me to love him when I love you?” While this is an obvious salute
to Joanna’s colorblindness, it is a hypocritical approach to Tillie’s character: she is seen
as part of the family, but her voice is largely unheard and her comments are pushed aside.
Tillie’s abuse of John while he is undressed is shot with a high-angle frame, unlike any
93
�other scene in the movie, visually showing her powerlessness, and is one of the few
scenes that show passionate emotions from the characters.
Tillie calls John derogatory names that if said by any other character, would be
considered extremely racist, but these are largely ignored because the only people
witnessing her verbal assault are also Black, and John is too polite to bring it up to the
Draytons. Critic Thomas Wartenburg states that Tillie is the link to the time period:
Ironically, Guess Who’s Coming to Dinner fastidiously avoids contextualizing
its won politics, placing the only two references to the tumultuous racial
struggles of the 1960’s in the mouth of the White couple’s maid, Tillie. Both
comments are sarcastic references to that context (Wartenburg 114).
With the film’s main characters avoiding the issues of the times, the only ways they
connect to the time period are through the most ignored character, and even then they
only make the references to her words in a sarcastic tone. While Tillie is the only person
allowed to make racist comments, she is also the only character that can mention the civil
rights movement without seeming condescending. Tillie is the strongest racist in the film.
The exploration of the generation gap is more thorough than that of interracial
marriage. According to Margaret Mead, generational differences are important. “The
more intense the experience of generational change in the family and of social in new
groups, the more brittle the social system becomes and the less secure the individual is
likely to be” (59). Matt is certainly portrayed as insecure, and the film plays off of the
older audience and their confusion over the changing times.
Matt Drayton is shown as a liberal political activist before he even comes on the
screen, through comments from Joanna and the picture of FDR on his desk placed next to
his wife and daughter, signifying a sense of family connection to the president best
known for liberalism. Matt is presented as intelligent and not the least bit racist. He takes
Tillie’s words of warning to heart when she tells him there is trouble in the house, and
rushes outside to see the problem, indicating that he has complete respect for Tillie as a
human being and not as a servant. His fairness is completely intact during his entrance, as
he greets John cordially after he understands that there is no danger to his family—the
illusion is only shattered once the reality of the situation hits him and he realizes John’s
purpose in his home. He continually loses credibility as a liberal as the movie goes on,
with his comment after backing his car into a young Black man’s car, “What the hell is it
today? Less than 12% of the people in this city are colored people. I can't even have a
dish of Oregon Boosenberry without runnin' into one of them.” His previous standing as a
fair minded and unprejudiced man is compromised by this comment because it illustrates
just how unaffected he was by the civil rights movement, and he becomes exponentially
94
�more irritated the more he is affected. This makes him appear extremely hypocritical,
especially in the eyes of his daughter Joanna, who believed him completely incapable of
having a problem with her marriage. He is persistent in his belief that the marriage will
not work out even after he is provided with evidence by the Monsignor that it is possible
for interracial marriages to flourish, and it is only when he is told that he is too old to
understand how they feel that he changes his mind.
By making Matt hypocritical, the film is suggesting that White liberal men
would change their minds about integration if it occurred in their own homes. Matt is the
main cause of the film’s weak stance on racism. From the moment he enters the film,
there is a shift in focus away from the couple and towards him and his struggle to adapt to
a changing world. The film’s intended climax is Matt’s decision, but by the time he
makes up his mind, John has emerged as a stronger character through the battle with his
own father. Yet Matt undermines John’s transformation from meek to angry by cutting
him off and sending him into the family room to hear his verdict. John obeys, and this is
commented on by critics of the film:
The Black father-son struggle…displaces the primary Oedipal struggle in the
film, which is that of Dr. Prentice versus Mr. Drayton. Dr. Prentice will marry
despite his father’s objections, but he will not disregard Mr. Drayton’s
objections. He gives more weight to the opinion of his prospective White fatherin-law than he does to that of his own [Black] father (Vera and Gordon 94).
Matt is the most powerful character in this film because of the weight he carries over the
prospect of John and Joanna’s marriage. By taking away John’s power, the film weakens
him. While John is obviously more educated, he is helpless by his own making. John
willingly relinquishes his power into Matt’s (older and presumably wiser) hands.
The figure positioning of the Prentices in the car ride home from the airport is
foretelling of the interactions for the rest of the movie. In the back seat, the Prentices are
separated by the younger generation and are put into the background. The Prentices are
not as respected as the Draytons when they are introduced. John is afraid to tell them that
Joanna is White, and so the audience is prepared for their reaction once they do see
Joanna. They are still shown as important, but Joanna and John have the control even
though they are separated by his parents. Mrs. Prentice’s close vicinity to Joanna and her
willingness to start conversation indicates that she could accept Joanna’s place in her life.
Mr. Prentice however, leans away from Joanna, as he did when he first met her in the
airport. Mr. Prentice is a more influential version of Tillie and is another Black racist that
thinks that John is overreaching himself. He is the only person that excites John enough
to make him react. The most passionate scene in the film is when John finally stands up
95
�to his father. This scene is key because it is the climax of the movie, but it barely touches
the idea of racism, although it is still the strongest scene about it. However, it only
involves two Black men, and does not address White racism at all. The only spoken,
accusable racists in the film are Black, and they are effectively silenced by the end of the
movie.
In the beginning of this scene, Mr. Prentice towers above John while he berates
him for the sacrifices that his parents made to make sure he lived a decent life. John is
calm and silent, and does not appear to be affected by his father’s words. When Mr.
Prentice tells John to “stop and think,” John is already in the process of thinking. His
body language is relaxed, but the profile shot of his face shows that he is tense while he
listens to the words of a past generation. He doesn’t look his father in the eye until he is
ready to speak, and his hand gestures are violent, betraying what he’s feeling. When he
finally speaks his mind, he takes the position above his father and gains control.
However, although John has finally become passionate, he backs down when he reaches
his peak, walks away for a minute, and then apologizes. This moment epitomizes the
entire film; it starts to make a point, then backs away and softens the message by hiding
behind the generational issue. This film should be filled with moments of characters
bursting with emotion, but instead takes the polite approach and calms everyone down,
save Tillie, who is ignored.
Dorothy is a minor character, but she serves several purposes. Besides assuring
the audience that John is not solely attracted to White girls, she is another example of
youth that does not notice color, like Joanna. Most of the youth in the film ignore race
entirely, and so the battle of racism falls entirely to the elder generation and diminishes it
greatly. By focusing it in one age group, there is a singular view on it, and the issue
becomes one-dimensional and easily put aside in favor of addressing the difference
between the ages. Dorothy provides a bridge to the outside world of youth by leading the
audience outside to the Black delivery boy, who calls her “doll” and offers her a ride.
However, he turns his back to Tillie and answers her rudely when she comments on the
quality of the meat he delivers. Tillie is automatically the outcast in this scene, and she
looks on disapprovingly when Dorothy leaves with the delivery boy. The elder generation
is thus alienated by their racism, and this is also evident in the drive-through diner scene.
The only instance of a Black man expressing rage against a White man is when
Matt hits the young Black man’s car in the diner parking lot. However, the anger is
clearly not induced because Matt is White, but because he is old. The young man says,
“These old men, they’re senile,” and repeats throughout his fit that Matt is an old man.
The fact that this young man is Black is overlooked because he does not refer to Matt as
96
�White, simply as old, once again focusing the generation gap and ignoring the issue of
racism. The entire diner scene draws away from the intended purpose of the movie and
“who’s coming to dinner,” and brings the focus back to Matt and his struggle with
connecting to youth.
The issue of interracial marriage was and still is an issue that garners strong
reactions from both sides, but this film takes this charged issue of the time and places a
bland, courteous screen in front of it so that most of the dialogue is strained, but calm. As
Vera and Gordon observe, “The only Black rage in the film is Black against Black—
Tillie versus Dr. Prentice or Dr. Prentice versus his father—a convenient displacement”
(96). The film would not maintain its tone if any of the rage was directed towards a White
person, but it would have carried more weight and added realism appropriate to the time
period. When John begins to direct his anger towards Matt, he is cut off by the elderly
White man and ushered in to listen to Matt’s decision in what is called the climax of the
movie. This “climax” carries almost no emotion, other than Matt’s off beat commands to
Joanna to “shut up.” It only reiterates the power that Matt has over the film and its
characters.
Matt holds all of the power at the end of the film where he makes everyone sit
down so they can hear his opinion on the marriage. In this scene he emerges as the fullfledged male patriarch that has absolute say on the ending of the film. At the start, John is
standing with him, but Matt makes him sit down with Joanna, once again taking the
power away from his future son-in-law. When Matt mentions Tillie, he remembers that
she is a part of the family, something that he forgets momentarily while she is in the
kitchen, absent from the film since the Prentices arrived. Even though Matt brings her
into the circle, he keeps her on the outside, so while it is still apparent that though she is a
member of the family, she is lower on the social scale than their possible future in-laws.
As Matt recounts the day’s events, everyone stares back at him without responding. He
has no opposition, and when Joanna ventures to speak to John, he tells her to shut up so
that he can assume the mantle again. He bypasses the talk of racism quite easily by
stating that he was flabbergasted at the marriage, but the only issue that he will actually
respond to is the accusation by Mrs. Prentice that he is a “burnt-up old shell of a man.”
He effectively ends the importance of race in the marriage and instead makes the entire
intended climax of the movie about how he has connected with his own youth once more,
and overcome the generation gap that he has struggled with since his outburst at the
drive-through diner.
Matt in this scene also refutes John’s dependence on his opinion of the marriage,
knocking John down a little more, and says that the only importance is “what they feel,
97
�and how much they feel for each other” even though, as stated previously, there is no
concrete evidence in the film of the level of their passion towards each other. Matt does
not add that John shouldn’t have placed all of the importance on their marriage because
they were a White family with money; that would have connected the film back to the
original issue of an interracial marriage. There is no music in the background of this
scene, and the silence is powerful as everyone waits for what Matt is going to say. When
Matt finally addresses John and Joanna and brings up the issue of racism he says, “But
you’re two wonderful people who happened to fall in love and happen to have a
pigmentation problem.” Even though he is directly talking about their future problems
because of the color of their skin, he still manages to downplay it by calling it a problem.
If he had completely turned around in his opinion about interracial marriage, he wouldn’t
see it as a problem at all. The scene ends happily enough, with tears in the eyes of the
women, and Matt’s gruff call to Tillie about dinner. The build up that occurred for the
entirety of the film is released in an anticlimactic speech that barely addresses the topics
presented at the beginning, and ends up being more about Matt than the problems that the
couple will face.
The film relies heavily on dialogue to push it forward, evident by the lack of
music played in the background throughout. There is only one lyrical song that is present,
an old favorite that is replayed several times throughout the film. It first occurs in the
opening credits and foreshadows the problems the couple will face by the opening stanza,
You’ve got to laugh a little/Cry a little/Sometimes let your poor heart die a little/
That’s the story of/That’s the glory of love.
This song’s repetition gives heightened importance to the fact that John and Joanna have
to “live a little” to have the glory of love, as Matt and Christina have. The opening credits
are accompanied by an upbeat song about love that turn into John and Joanna happily
navigating their way around the airport and weaving between children on the stairs. The
music stops when they arrive at Joanna’s home, and the focus lies on the older
generation. There are only three instances of diegetic music (music coming from within
the story world) used in this movie, and they only occur around young people who do not
show respect to their elders. The young delivery man sasses Tillie when she blames him
for the poor quality of steaks and he takes no responsibility for it. This scene seems out of
place in the movie, in part because of the introduction of such out-of-date music and also
because of the exaggerated youthful attitudes presented. The second occasion of diegetic
music is at the drive-in, where Matt and Christina look completely out of place among
young people eating in the back of their cars. Matt is uncomfortable with the differences
in society outside of his home, and the old-fashioned music adds to the strangeness of the
98
�scene especially because most of the film is strictly dialogue. And lastly, the singer at the
bar where John and Joanna meet her friends also sings about “the glory of love.” Music is
strongly connected with youth in this scene and transcends race. Black and White youth
enjoy the same music, and so they are connected and race is eliminated through music,
but it is completely out of tough with the real music of that generation, which was rock
and roll. The last occurrence of the lyrics is in the closing credits, with a repeat of the
opening song. This repetition is mirrored in John and Joanna’s intent to be married and
Joanna’s certainty that everything will work out because they are in love. The parents,
previously shown in this scene with nondiegetic music, are assimilated into the world of
their children through the old melody about love.
Sidney Poitier gives a reason behind the movie’s direction:
According to Poitier, in 1967 the compromised state of the film industry—and
by implication, American society generally—required the film to proceed by
indirection. Without Kramer’s reassuringly tactful handling, this drama of
interracial love could not have been produced (Wartenburg 113).
This is an interesting take on the movie: that if it had not been made this way it
would not have been made at all. But the question to ask is if it would have been better
not to have been made, or to have waited until later when it could have been made
stronger without having to rely on the generation gap to avoid the issue of racism in order
to gain the film industry’s approval.
Guess Who’s Coming to Dinner starts as a promising movie about the
integration of interracial marriage into the White community, but changes tactics in order
to avoid offending the audience that the film industry assumed was still reeling from the
Civil Rights Act passed only three years prior to the making of the film. The star-studded
cast creates touching moments between the characters, but even though the acting is done
very well, the dialogue between the characters is polite and not to the point. The film
lacks passion entirely, because even when characters are on the verge of breaking the
civility, they are interrupted, either by themselves or a stronger figure. The film ignores
the animosity that might have existed between a middle-class Black family and an upper
middle-class White family, and focuses on pleasantries instead. Generational issues
overshadow the John and Joanna’s marriage, and ignore the impact that their marriage
could have on American society. The movie hides behind comfortable, long-standing
problems in order to avoid confronting what was important to the time period in which it
was produced.
99
�Works Cited
Guess Who’s Coming to Dinner. Dir. Stanley Kramer. Perf. Spencer Tracy, Katharine
Hepburn, Sidney Poitier. DVD. Sony Pictures, 1967.
Mead, Margaret. Culture and Commitment: A Study of the Generation Gap, Garden City,
New York: Natural History Press, 1970.
Vera, Hernan and Gordon, Andrew. Screen Saviors: Hollywood Fictions of Whiteness,
Rowman & Littlefield Publishers, Inc, 2003.
Tucker, M., Mitchell-Kernan, Belinda and Mitchell-Kernan, Claudia. “News and Views:
The Effect of Higher Education on Interracial Marriage”, The Journal of Blacks in
Higher Education, 30 June 1997.
Wartenburg, Thomas. Unlikely Couples: Movie Romance as Social Criticism, Westview
Press, 1999.
100
�Teaching Multiplication and Division
in Fun and Innovative Ways
Erin Volsario (Education)1
Phase 1
Public School 38, the George Cromwell School, is a Region 7 school located in
the suburban section of Midland Beach on Staten Island. Region 7 is comprised of Staten
Island (former District 31) and two parts of Brooklyn (former Districts 20 and 21), and
consists of 133 schools (nycenet.edu). Staten Island, a borough of New York City, is the
smallest and least populated borough (Encarta.msn.com). The borough has a rich
historical background which can be accessed from numerous locales. For example, there
is Historic Richmond Town, the Conference House, the Alice Austen House, Snug
Harbor and The Jacques Marchais Center for Tibetan Art (Encarta.msn.com). The Staten
Island Zoo is often a popular site to visit, as well as the many parks and recreational areas
that Staten Island offers (Encarta.msn.com). In the Midland Beach section, there are
several businesses that could potentially be beneficial to student learning, such as
supermarkets, bagel shops, and restaurants.
Within P.S. 38, the most recent demographics are as follows: 63% White, 28%
Hispanic, 5% Black, non-Hispanic, 4% Asian/Pacific Islander, and less than 1%
American Indian (greatschools.net). According to greatschools.net, the attendance rate in
2006 was 91%, 64% of the student population was eligible for free or reduced-price
lunch, 23% of students had Individualized Education Plans (IEPs), and 6% of students
were English Language Learners (ELL) (greatschools.net). On average, the teachers have
a total of 15 years experience, and an average of 14 years teaching in the district
(greatschools.net). Fourteen percent of the teachers have a Bachelor’s degree, and 86%
have a Master’s degree (greatschools.net). There are numerous programs at the school
both before and after school hours. After school programs include Latchkey, Extended
Day, Art, and Theater. There is an Early Bird Academy that is used for test preparation.
The Parent Teacher Association (PTA) is very active at P.S. 38, and the parent
coordinator is heavily involved with the PTA and its activities (greatschools.net). The
School Mission Statement of P.S 38 is as follows:
1
Written under the direction of Dr. Jennifer Lauria (Education)
101
�The vision of the P.S. 38 Educational Community is to enable the children we
serve to achieve he highest level of their intellectual, emotional and social
capabilities so that they can become life long learners, problem solvers, and
active and productive members in our school and society. The parents, staff and
students of our school believe that as a diverse and collaborative school
community we are dedicated to achieving high standards of academic excellence
for all our students. To this task we commit ourselves to build a school
community that works and learns together to create a nurturing, warm, risk free,
caring environment that promotes a love for life long learning, for risk taking
and inquiry (NYC Public Schools, 2005).
The physical layout of the school consists of the following. After walking in the front
door, one will find the main office on the right, where the principal’s office is located. To
the left is the All-Purpose Room, which functions as a gym and an auditorium. In the
right corridor there are classrooms consisting of grades K-2, the library, and Teacher’s
Lounge. In the left corridor, one will find the lunch room and more classrooms housing
grades K-2. The corridor further to the left leads to the annex building, which contains
grades 3-5. In the annex, there is also a room where reading recovery and other pull-out
services take place, as well as a room for occupational and physical therapies.
In the fifth grade classroom, there are eight tables of 4 students each. Each table
is named after a continent, and the students switch tables at the beginning of each month.
To the left of the classroom door is the meeting area, consisting of a large rug and a dryerase board, as well as a chair for the teacher. Along the wall next to the rug, there are
baskets where the students store many of their books. Above the baskets there are hooks
for the students to hang their coats and bags. There are blackboards on the front and back
walls of the room. There are also various centers, including a Writing Center, a Math
Center, a Science Center, and a Computer Center.
The Flow of the Day is as follows: Word Study: 8:20-8:40; Math Workshop
8:45-9:30; Science 9:35-10:20; Lunch 10:20-11:10; Read Aloud 11:15-12:00;
Independent Reading 12:05-12:50; Writer’s Workshop 12:55-1:45; Prep-Gym/Social
Studies 1:45-2:30. Extended Day is from 2:40-3:17. There are 32 students in Class 5-40.
Four of the students have IEPs, and many of the students have needs that have been
informally addressed. One student’s mother refuses to let him be tested for any type of
disability, but the student clearly has needs that have not been addressed. Some students
do not participate in discussions and are quiet and shy. Other students have difficulty
remaining quiet and attentive during instructional time. Another student has a medical
problem that does not appear to hinder his academic achievement. One group of students
102
�seems to be at risk for academic problems, while another group appears to be at the top of
the class. The classroom environment is extremely structured, with very little idle time.
This helps to minimize behavior problems, since the students are busy at all times. The
environment also fosters independence, responsibility, and respect.
For my teacher work sample, I chose to do a case study. The child I chose to
work with is a male student named Vincent who is having difficulty in math, specifically
in multiplication and division. Whenever he encounters a multiplication or division
problem involving two digits, he becomes very nervous and is unable to think of a
strategy to help him solve the problem. My goal is to teach Vincent strategies to help him
tackle multiplication and division problems, and to have him practice multiplication and
division in fun ways in order to become more comfortable and confident in his math
abilities. I will work with Vincent during Extended Day, which is from 2:40 P.M.-3:17
P.M. I will be working with Vincent Monday through Wednesday.
Phase 2
The final objectives for all of the following lessons are to increase Vincent’s
confidence and strengthen his skills in multiplication and division. The strategies I will
use to teach Vincent include drill and practice, flash cards, and games, including a
computer game, a division game cube, and multiplication bingo. The assessment
strategies include ongoing observation, self-assessment by the student, a pre-assessment
worksheet and a post-assessment worksheet and writing piece.
Lesson # 1
Content Area: Math
Grouping Arrangement: One-to-one
Date: 2/26/07
Grade Level: 5
Lesson Concept: Multiplication of Two-Digit Numbers and Division of Three-Digit
Numbers; correcting problems
NYS Standards (http://www.emsc.nysed.gov/ciai/):
-Standard 3: Operations- Students use mathematical operations and relationships
among them to understand mathematics.
Students:
•
Add, subtract, multiply, and divide whole numbers
103
�•
Develop strategies for selecting the appropriate computational and operational
method in problem-solving situations
• Know single digit addition, subtraction, multiplication, and division facts
-Standard 7: Patterns/Functions – Students use patterns and functions to develop
mathematical power, appreciate the true beauty of mathematics, and construct
generalizations that describe patterns simply and efficiently.
Students:
• Represent and describe mathematical relationships
•
Solve for an unknown using manipulative materials
•
Use a variety of manipulative materials and technologies to explore patterns
I.
Pre-requisite Skills: The student has knowledge of arithmetic operations,
including addition, subtraction, basic multiplication, and basic division, and can
perform the operations.
II. Goal: The student will perform arithmetic problems with minimal assistance.
III. Objectives:
1. The student will be able to multiply two-digit numbers without becoming
overwhelmed.
2. The student will be able to divide three digits by two digits without
becoming overwhelmed.
3. The student will be able to apply various strategies in order to perform
complex multiplication and division problems independently.
IV. Materials:
1. Multiplication Worksheet (pre-assessment)
2. Division problems (from student workbook)
3. Paper and pencil
V. Procedure:
1. Administer the pre-assessment multiplication worksheet.
2. Write the problems that the student performed incorrectly on a piece of
paper and have the student self-correct the problems while guiding the
student.
3. Have the student perform additional problems (division) on a piece of paper
as time permits with guidance.
104
�Lesson # 2
Content Area: Math
Grouping Arrangement: One-to-one
Date: 2/27/07
Grade Level: 5
Lesson Concept: Multiplication of Two-Digit Numbers and Division of Three-Digit
Numbers
NYS Standards (http://www.emsc.nysed.gov/ciai/):
-Standard 3: Operations- Students use mathematical operations and relationships
among them to understand mathematics.
Students:
•
Add, subtract, multiply, and divide whole numbers
•
Develop strategies for selecting the appropriate computational and operational
method in problem-solving situations
•
Know single digit addition, subtraction, multiplication, and division facts
-Standard 7: Patterns/Functions – Students use patterns and functions to develop
mathematical power, appreciate the true beauty of mathematics, and construct
generalizations that describe patterns simply and efficiently.
Students:
• Represent and describe mathematical relationships
•
Solve for an unknown using manipulative materials
•
Use a variety of manipulative materials and technologies to explore patterns
I.
Pre-requisite Skills: The student has knowledge of arithmetic operations,
including addition, subtraction, basic multiplication, and basic division, and can
perform the operations.
II. Goal: The student will perform arithmetic problems with minimal assistance.
III. Objectives:
1. The student will be able to multiply two-digit numbers without becoming
overwhelmed.
2. The student will be able to divide three digits by two digits without
becoming overwhelmed.
3. The student will be able to apply various strategies in order to perform
complex multiplication and division problems independently.
105
�IV. Materials:
1. Multiplication flash cards
2. Division cube game
V. Procedure
1. Administer the multiplication flashcards and record data (i.e. how many
correct/incorrect).
2. Play the division cube game.
Lesson # 3
Content Area: Math
Grouping Arrangement: One-to-one
Date: 2/28/07
Grade Level: 5
Lesson Concept: Multiplication of Two-Digit Numbers and Division of Three-Digit
Numbers
NYS Standards (http://www.emsc.nysed.gov/ciai/):
-Standard 3: Operations- Students use mathematical operations and relationships
among them to understand mathematics.
Students:
•
Add, subtract, multiply, and divide whole numbers
•
Develop strategies for selecting the appropriate computational and operational
method in problem-solving situations
•
Know single digit addition, subtraction, multiplication, and division facts
-Standard 7: Patterns/Functions – Students use patterns and functions to develop
mathematical power, appreciate the true beauty of mathematics, and construct
generalizations that describe patterns simply and efficiently.
Students:
• Represent and describe mathematical relationships
•
Solve for an unknown using manipulative materials
•
Use a variety of manipulative materials and technologies to explore patterns
I.
Pre-requisite Skills: The student has knowledge of arithmetic operations,
including addition, subtraction, basic multiplication, and basic division, and can
perform the operations.
106
�II. Goal: The student will perform arithmetic problems with minimal assistance.
III. Objectives:
1. The student will be able to multiply two-digit numbers without becoming
overwhelmed.
2. The student will be able to divide three digits by two digits without
becoming overwhelmed.
3. The student will be able to apply various strategies in order to perform
complex multiplication and division problems independently.
IV. Materials
1. Paper and pencil
2. Task cards
3. Watch
V. Procedure
1. Have the student make a multiplication grid consisting of 13 boxes across
and 13 boxes down. The first box will be the operation (multiplication: “X”)
and the boxes will be from numbers 1-12.
2. Have the student complete the grid and time the student.
3. Have the student practice division facts using task cards. Separate the
answer cards from the question cards and shuffle them. The student takes a
question card, solves the problem, and finds the answer card. The student
self-checks by turning over the card. If it is correct, the question and the
answer cards will match to form a reward (i.e. sticker, praise).
Lesson # 4
Content Area: Math
Grouping Arrangement: One-to-one
Date: 3/6/07
Grade Level: 5
Lesson Concept: Multiplication of Two-Digit Numbers and Division of Three-Digit
Numbers
NYS Standards (http://www.emsc.nysed.gov/ciai/):
-Standard 3: Operations- Students use mathematical operations and relationships
among them to understand mathematics.
107
�Students:
•
Add, subtract, multiply, and divide whole numbers
•
Develop strategies for selecting the appropriate computational and operational
method in problem-solving situations
•
Know single digit addition, subtraction, multiplication, and division facts
-Standard 7: Patterns/Functions – Students use patterns and functions to develop
mathematical power, appreciate the true beauty of mathematics, and construct
generalizations that describe patterns simply and efficiently.
Students:
• Represent and describe mathematical relationships
•
Solve for an unknown using manipulative materials
•
Use a variety of manipulative materials and technologies to explore patterns
I.
Pre-requisite Skills: The student has knowledge of arithmetic operations,
including addition, subtraction, basic multiplication, and basic division, and can
perform the operations.
II. Goal: The student will perform arithmetic problems with minimal assistance.
III. Objectives:
1. The student will be able to multiply two-digit numbers without becoming
overwhelmed.
2. The student will be able to divide three digits by two digits without
becoming overwhelmed.
3. The student will be able to apply various strategies in order to perform
complex multiplication and division problems independently using
technology.
IV. Materials
1. Computer with Internet access
V. Procedure
1. Access the website coolmath.com. Click on “Math games,” then “The
Timernator!,” then “Division.”
2. Have the student click on facts 0-12, then “Go.”
3. Each time the student enters an answer by typing it in the box, he or she
must press the “???” button.
4. Have student do as many problems as time permits.
108
�Lesson # 5
Content Area: Math
Grouping Arrangement: Small group
Date: 3/7/07
Grade Level: 5
Lesson Concept: Multiplication of Two-Digit Numbers
NYS Standards (http://www.emsc.nysed.gov/ciai/):
-Standard 3: Operations- Students use mathematical operations and relationships
among them to understand mathematics.
Students:
•
Add, subtract, multiply, and divide whole numbers
•
Develop strategies for selecting the appropriate computational and operational
method in problem-solving situations
•
Know single digit addition, subtraction, multiplication, and division facts
-Standard 7: Patterns/Functions – Students use patterns and functions to develop
mathematical power, appreciate the true beauty of mathematics, and construct
generalizations that describe patterns simply and efficiently.
Students:
• Represent and describe mathematical relationships
•
Solve for an unknown using manipulative materials
•
Use a variety of manipulative materials and technologies to explore patterns
I.
Pre-requisite Skills: The student has knowledge of arithmetic operations,
including addition, subtraction, basic multiplication, and basic division, and can
perform the operations.
II. Goal: The student will perform arithmetic problems with minimal assistance.
III. Objectives:
1. The student will be able to multiply two-digit numbers without becoming
overwhelmed.
2. The student will be able to apply various strategies in order to perform
multiplication problems independently during a game (Multiplication
Bingo).
109
�IV. Materials
1. Multiplication Bingo Game (large orange sheet, small, red cardboard circles
for markers, game cards, and game boards)
V. Procedure
1. Distribute game boards and six markers to each player.
2. Decide which type of result will win (i.e. corners, top row only, bottom row
only, entire board)
3. Shuffle the game cards (containing answers) and draw one from the deck.
4. Say the answer out loud, and place the card on the large orange sheet on the
place that matches the card.
5. If a student has the multiplication problem that equals the answer called, he
or she places a red marker on that problem. The first to get the result that
was decided on in the beginning of the game calls “Bingo” and wins that
game.
Phase 3
For the pre-assessment piece, I chose to administer a worksheet of multiplication
problems. I saw that Vincent had difficulty multiplying two-digit numbers. I also looked
in the Pre-Referral Intervention Manual for ideas on how to help Vincent with his math
skills (McCarney, Cummins, and Wunderlich, 2006). During our next session, we went
over the problems he completed incorrectly (see Lesson 1). Vincent was able to identify
his errors and redo the problems correctly. I asked him directly what he felt he had
trouble with, and he stated that division is a problem for him. I picked several division
problems for him to do, and guided him through each step. I felt that the best way of
assessing Vincent’s areas of difficulty was to use his responses in combination with the
previous session’s worksheet.
I wrote the first few problems on a piece of paper and prompted Vincent by
asking him what he would do first. Then, if he made a mistake I first tried to let him
figure it out on his own. If he was really stuck, I told him directly and showed him what
to do. For the division problems involving two digits, Vincent told me that was where he
gets nervous. I told him not to get nervous, just to take it one piece at a time as he does
with regular division problems. I instructed him to see if the number can go into the first
number underneath the division sign, and if not, I told him to go to the next number. For
example, in the problem 315/62, I asked him if 62 can go into 3. It cannot, so then I told
him to go to 31, which 62 also cannot go into. I told him, then, that he had to see how
110
�many times 62 could go into 315. I told him to estimate and perform multiplication on
scratch paper to get the answer.
I began our next session with multiplication flash cards (see Lesson 2). Vincent
did very well with the facts for the smaller numbers (i.e. 1-6). He answered quickly and
with confidence as he looked at the card. However, as the numbers became larger (i.e. 712), he took longer to produce an answer and looked away from the card. This told me
that he needed more practice with multiplication facts for the larger numbers. After we
went through the flash cards, I brought Vincent to the hallway to play with a Division
Cube. The Division Cube is a blow-up square with division facts printed on it. The cube
is thrown back and forth, and wherever the right thumb lands, that is the problem that is
said aloud and solved. The same pattern emerged with the division problems as with the
multiplication flashcards: Vincent’s answers came quickly and confidently for the
problems involving smaller numbers, but he took more time to answer the problems that
used larger numbers. However, Vincent enjoyed this activity and said that it was fun.
During our next session, I decided to use two strategies to practice
multiplication and division (see Lesson 3). First, I told Vincent to make a grid with 13
boxes across and 13 boxes down. In the first box, I had Vincent write a multiplication
symbol (x), and in the other boxes, I had him write the numbers 1 through 12. I told him
that I was going to time him write his multiplication facts, and then he would do it again
and try to beat his own time. This way, he was not competing against another child.
Rather, he was competing with himself and seeing how quickly he could remember his
multiplication facts. My rationale in doing this activity was that if Vincent masters
multiplication, he will find division less difficult. After he finished the grid in 5 minutes
and 12 seconds, I gave him the choice to do it again, or to go to another activity and go
back to the grid. I felt that giving him a choice would empower him and possibly give a
boost to his confidence. The next activity was task cards. I put 14 division problems on
index cards, with the questions on one side and the answers on the other. On the back of
each card, I wrote encouraging statements (i.e. “Way to go!”, “You’re so smart!”,
“Fabulous!”, “Great work!”, etc.) and designs in colorful markers. I cut each card in half,
so that when Vincent figured out the problem and found the answer, he could check his
work to make sure that the statement on the back was complete. I made sure to include a
range of problems, from easy to difficult. I told Vincent not to get nervous if he came
upon a big problem; instead, he should round the numbers and estimate first. For
example, when the problem was 7,566/97, I instructed Vincent to first look at the
problem as 7,000/90, and figure out how many times 90 could go into 700 by doing the
multiplication on scratch paper. Once he figured that out, I told him to use the numbers
111
�from the problem to find the answer. In addition to the encouraging statements on the
back of the cards, when Vincent was able to figure out a difficult problem, I gave him
verbal praise. Vincent seemed to enjoy working with the task cards, and I feel that they
helped reinforce division for him.
Our next session consisted of a technology component (see Lesson 4). I had
Vincent go on the website, coolmath.com, and play a game called The Timernator. This
game can be played in order to practice addition, subtraction, multiplication, and division
facts; however, Vincent played the game only to practice division and multiplication. The
first step is for the child to click the multiplication facts that he or she has already
learned, and in Vincent’s case it was 0-12. The games last for 60-second intervals, and
the player has to answer as many as he or she can. The game indicates how many
questions the player answers correctly and incorrectly. Vincent performed well during the
game. He played 20 division games (see Appendix A), and then asked if he could play
multiplication games, of which he played 4 games (see Appendix B). I asked Vincent
what he thought of the game, and he replied that he liked it and it was “fun.” Vincent
needed minimal support to complete the questions. I tried not to interfere a great deal and
let him play as best he could. Whenever he got a question wrong, the computer would tell
him right away on the screen, and he looked taken aback a bit, and would say things like,
“Oh. Oops.” Vincent seemed to learn from his mistakes and enjoy the activity overall,
and I feel that this was good practice for him.
In our next session, I chose to play Multiplication Bingo (see Lesson 5). I had
Vincent play with 5 of his peers. The materials consisted of a large orange sheet with
products on it, product cards, game cards, and red cardboard circles that served as
markers on the game cards. The game cards had 6 multiplication problems on them.
Whichever product card the caller drew from the deck, he or she placed the card on the
orange sheet. If the players had a problem that was equal to the product card, they put a
marker on that problem. For each game, the players had to try to be the first ones to get a
different pattern on their board. Patterns included the middle two rows, the corners, the
whole board, the top row only, or the bottom row only. During the first few games, I
called the numbers, but then the students took turns being the caller. Vincent performed
well throughout the game. He quickly remembered the multiplication facts on his cards,
and he was always correct when placing a marker on his game board. Both Vincent and
his peers seemed to enjoy the game.
For our next session, I chose to repeat the timed multiplication facts task, as well
as the division task cards (see Lesson 3). This time I already had a grid for Vincent to
write in the multiplication facts while I timed him. Instead of decreasing, the number of
112
�minutes it took for Vincent to complete the grid increased to 6 minutes and 30 seconds.
Vincent seemed disappointed after learning the time it took to complete the grid.
However, I reassured him that it was okay, and we proceeded to the next activity. Using
the task cards is an activity that Vincent enjoys and one that he said is helpful. As he
completed task cards, I guided him through the problems. I told him to remember to
round the big numbers to help him come up with a number to multiply the divisor with.
Some of the cards were very easy for Vincent, and he said “I don’t even need to do work
for this one.” Those were cards such as 63/9 or 64/8. I feel that mixing those questions
with the more difficult ones helps to increase Vincent’s confidence in his own math
abilities. I asked him if he felt any better with the division. Vincent said that when he gets
to dividing 4-digit numbers, he still becomes nervous. I told him not to let those problems
freak him out. Instead, I told him to just focus on the first two to see if the divisor can go
into those. If not, go to the next number, round, and then multiply. Working in smaller
pieces seemed to ease some of Vincent’s apprehensions about division.
For our last session, I chose to administer a post-assessment, which consisted of
20 math problems and a written piece. The post-assessment had both multiplication and
division problems on it, which Vincent completed with no problem. For the written part, I
asked Vincent to write a short paragraph on what he learned and how this time helped
him. He said, “In this time I have learned two big things that I needed to learn. I learned
how to multiply numbers that are big. I also learned how to divide numbers. I used to not
be able to, but now I think I know what I should have from the beginning. I thank Ms. V
for the help she has gave me” [sic] (Student-produced response).
Phase 4
According to the data I have collected, there have clearly been improvements in
Vincent’s multiplication and division skills, as well as an increase in his confidence in his
math abilities. The evidence that supports this conclusion includes the difference between
the number of errors in the pre-assessment as compared to the post-assessment, the
student-produced response, and informal observations. In the pre-assessment worksheet,
Vincent made 6 errors on multiplication of one and two-digit numbers. On the postassessment worksheet, he only made 3 errors, which consisted of one and two digit
multiplication as well as one and two digit division problems. In his student-produced
response, Vincent expressed that he no longer becomes nervous when he encounters
difficult multiplication and division problems. He also articulated the fact that he now can
apply the strategies he needs to complete the problems. Throughout our sessions, Vincent
appeared to become more confident and less apprehensive. Practice, positive
113
�reinforcement, and encouragement seemed to help Vincent overcome much of his
nervousness regarding multiplication and division. Instead of freezing up when he came
to a problem, he would think about what strategy he could use, even sometimes stating “I
don’t even have to do work for this one!” or “This one’s easy.”
Some of the strengths of the lessons include the fact that the instruction was
individually tailored to Vincent’s needs, and the activities were fun, interactive, and
hands-on. Following the first assessment, I went back and had Vincent correct his own
mistakes. I asked him directly what exactly he found difficult about math, and I observed
his demeanor while completing more difficult problems to assess whether he was
becoming overwhelmed or not. I was able to utilize the information I gleaned to modify
instruction and adapt to the student’s needs. I also saw that Vincent was more of a visual
and tactile learner; he needed to see things and actually do it in order to understand them
better. Therefore, I made sure I chose activities that let Vincent become actively engaged
and that were visually stimulating as well. For example, the task cards have reward
stickers and encouraging words on the back that can be seen as soon as the correct answer
card is chosen. In each lesson, I did my best to incorporate activities that were enjoyable
to help Vincent see that math is not as scary as he thought. During my informal
observations, I noticed Vincent smiling and it appeared he liked the activities. When I
asked him what he thought of the activities, he said they were “fun.”
There were some weaknesses that I could have improved upon. After a few
days, I began to run out of ideas on how to make multiplication and division exciting and
fun. Next time I will turn to a colleague and/or a mentor for guidance and additional
ideas. If I taught multiplication and division again, I would use more ways to represent
them visually. I would also relate it to the real-world more, and show the student how
multiplication and division could be used in real-life situations. Word problems would
also be helpful in accomplishing this task, which would also tie in another subject area
(literacy). I also felt that I could have used more time than just the Extended Day to help
Vincent. I could have given him some extra practice to complete at home. My assessment
tools could have also been better. Specifically, I could have asked the student to explain
his thinking on the page, which would have aided him in sharpening his metacognitive
skills.
I found that having high standards for Vincent helped to increase his confidence.
I did not repeat the easy questions merely because I knew he could do them. Rather, I
gradually gave him harder questions to show him what he was capable of. The activities
he liked the best seemed to be the computer game and the task cards. The studentproduced response is evidence that Vincent was an active participant in his learning. He
114
�was able to identify what he had difficulty with before and how much he has improved. I
am proud of Vincent for the progress he made, and I hope that he continues to utilize the
skills he has gained.
Works Cited
“Great Schools: The Parent’s Guide to K-12 Success”, (2007). Retrieved February 10,
2007 from http://www.greatschools.net.
McCarney, S.B., Cummins, K., & Wunderlich. (2006). Pre-Referral Intervention Manual:
Most Common Learning and Behavioral Problems Encountered in the Educational
Environment. 3rd Ed. House, S.M. (Ed.). Hawthorne. Columbia, MO.
“New York City”, (2007). Retrieved February 13, 2007, from http://encarta.msn.com.
“NYC Public Schools”, (2005). 2004-2005 Annual School Report, George Cromwell School.
University of the State of New York, State Education Department. (2007). “Elementary,
Middle, Secondary, and Continuing Education: Curriculum and Instructional Support”,
Retrieved February 13, 2007, from http://www.emsc.nysed.gov/ciai/.
115
�Appendix A
Game Number
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
Number of Questions Right
8
11
13
14
12
17
9
11
14
13
14
15
20
17
19
16
16
17
16
13
Number of Questions Wrong
1
1
0
0
0
0
1
0
1
1
1
1
0
0
1
1
2
0
0
0
Appendix B
Game Number
1
2
3
4
Number of Questions Right
13
18
17
19
116
Number of Questions Wrong
1
0
1
0
�
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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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Wagner College, Staten Island, N.Y.
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Fall 2007
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Volume 6, Number 1
Table Of Contents
A list of subunits of the resource.
Section I: Eastern Colleges Science Conference -- Abstracts -- 2 Comparing Intracardial Perfusion Fixation and Immersion Fixation in the Adult Zebrafish Brain Ultrastructure / Letizia M. Hobbs, Vincenzo DiMaggio, Christopher Corbo, Prof. Linda Raths and Dr. Zoltan Fulop -- 2 Integrating Materials Science into Middle School Science Programs / Kimberly Farrell and Racquel Campo -- 3 Duplications, Position Effect, and the Phenotypic Changes Associated with Bar-Eye Mutations in Drosophila Melanogaster / Irena De Mario and Dr. Ammini Moorthy -- 4 A Statistical Analysis of the Standard & Poor's 500 Index / Maris Reutzel -- 4 Jury Bias: The Effects of Race, Sex, and Physical Attractiveness on Jury Sentencing / Elicia Enriquez and Dr. Amy Eshleman -- 5 Hydrothermal Crystal Growth of ZnO / Jennifer Hart and Dr. Maria Gelabert -- 5 Crossing the Burning Sands: A Social Psychological Investigation of Hazing / Christianna Gozzi and Dr. Amy Eshleman -- 6 Racial Bias: Do We Love Ourselves or Just Hate Everyone Else? / Daniel Bryant -- 7 Virtual Screening and Identification of Small Molecule Inhibitors of the Melatonin Rhythm Enzyme / Margarita Javoroncov , L. Szewczuk, Dr. Surajit Ganguly , Dr. S.A. Saldanha, Dr. R. Abagyan , and Dr. Philip A. Cole -- 8 Cloning jadR1 -jadR2 Intergenic Region Of Jadomycin Biosynthesis Cluster In Streptomyces Venezuelae / Yevgeniy Statnikov and Dr. Roy H. Mosher -- 8 The Effects of Varying Ethyl Alcohol Concentrations on Zebrafish Development: A Morphological Study / Lauren Maltese, Christopher Corbo, Prof. Linda Raths, and Dr. Zoltan Fulop -- 9 Activation of Microglial Toll-like Receptors Increases Uptake & Degradation of Amyloid Beta in Vitro / Emily Babcock-Petrus, Daniel Kerr, Dr. George S. Merz and Dr. Daryl Spinner -- 10 The Relationship between Perfectionism and Sleep Difficulties / Laura J. Kohberger and Dr. Steve M. Jenkins -- 10 Rhodococcus equi: Spore or Non-Spore Former? / Michael Bois, Mouhammed Halwani, Edmond Kurtovic, Dr. Kathleen Bobbitt -- 11 Effect of Various Ethanol Concentrations on the Shoaling Behavior of Zebrafish (Danio Rerio) / Anastasia Kurta -- 11 The Effect of Caloric Density on Conditioned Taste Preferences of Caffeinated Beverages / Alfred Raccuia and Dr. Laurence J. Nolan -- Section II: The Natural Sciences -- Full Length Papers -- 14 Invention and Application of a Stereotaxic Apparatus for Adult Zebrafish Brain Surgery / Letizia M. Hobbs, Edmund C. Jenkins, Christopher P. Corbo, Prof. Linda Raths and Dr. Zoltan Fulop -- Section III: The Social Sciences -- Full Length Papers -- 34 Crossing the Burning Sands: A Social Psychological Investigation of Hazing / Christianna Gozzi -- 55 Personal Communication Styles in Organizations / Joseph Pantone -- 60 The Relationship between Stereotype Threat and Performance on a Standardized Test: Why Minority Students Do Not Perform As Well As Caucasian Students / Kim Costa -- Section IV: Critical Essays -- Full Length Papers -- 68 Language and Paralanguage: Music and Art as Communication in the Law of Love / Valerie O’Donnell -- 75 Pedagogical Strategies for Teaching Science in Secondary Schools / Alexandra Mercil -- 91 Hiding the Issue: Generation over Race in Guess Who’s Coming to Dinner? / Holly Walker -- 101 Teaching Multiplication and Division in Fun and Innovative Ways / Erin Volsario
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Wagner College Forum for
Undergraduate Research
Spring 2008
Volume VI, Number 2
Wagner College Press
Staten Island, New York City
��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 typically subdivided into three sections entitled The Natural
Sciences, The Social Sciences and Critical Essays. The first two of these sections are
limited to papers and abstracts dealing with scientific investigations (experimental and
theoretical). The third section is reserved for speculative papers based on the scholarly
review and critical examination of previous works.
This issue contains several noteworthy papers which encompass a variety of topics
including how children with autism relate to society and the world in which they live and
an analysis of the characters that E.M. Forster created in Howards End. The interested
reader will most certainly enjoy a thought-provoking examination of Julia Alvarez’s
literary works and how she employs characters who develop a feminist-socialist
consciousness in response to a strict patriarchal society. Also, be sure not to miss our
first invited paper which explores the regenerative capacity of zebrafish to gain insight in
the phenomenon of tissue regeneration and ultimately help those suffering from traumatic
brain injuries.
Read on and enjoy!
Gregory Falabella and Richard Brower, Editors
��Section I: The Natural Sciences
Invited Full Length Paper
2
Traumatized Optic Tectum of Adult Zebrafish Develops Embryoid
Neural Structures In Vitro
Christopher Corbo, Frank Garritano, Dr. Geoffrey Church, Prof. Linda Raths and
Dr. Zoltan Fulop
Section II: The Social Sciences
Full Length Papers
28 How Children with Autism Relate to the Social World
Robyn Gold
45 The Effects that Nurse to Patient Ratio Have on Job Satisfaction
Julie Filippini
58 The ‘Virtual’ Self, Imitation, the ‘They,’ and Authenticity in
Childhood
William Jock
Section III: Critical Essays
Full Length Papers
74 Julia Alvarez and the Dominican Republic: Recovering the Female
Voice
Ashley Martin
105 Forster’s Impossible Connections in Howards End
Lauren Fasano
��Section I:
The Natural Sciences
�Traumatized Optic Tectum of Adult Zebrafish
Develops Embryoid Neural Structures In Vitro1
Christopher Corbo (Biology) and Frank Garritano (Biology),
Dr. Geoffrey Church2, Prof. Linda Raths2 and Dr. Zoltan Fulop2
To test the hypothesis of whether mature zebrafish brain tissue has a regenerative
capacity, blocks from different regions of adult zebrafish brains were maintained in
organotypic cultures for 2, 6, 12, 24, 48, 96 hours, 7 and 14 days. The surviving tissue
samples were fixed in 4% paraformaldehyde fixative with 0.25% glutaraldehyde and 4%
picric acid, post fixed in osmium tetroxide and embedded in Durcupan (Fluka). Semithin
(0.5 µm) sections were cut on Sorvall MT2-B ultramicrotome and stained with tolluidine
blue. Sections were analyzed and photographed with Olympus BX40 compound
microscope equipped with a Sony ExWave digital camera using FlashBus and Adobe
Photoshop CS applications. While large number of cells degenerated and died as early as
12 hours, many managed to survive, dedifferentiate, proliferate and migrate to begin
reorganization of the structure. At 96 hours clumps of newly formed cells, resembling
neural-plate-like structures appeared. Similar immature cellular clumps showing different
levels of advancements could be observed in several parts of the investigated blocks,
indicating trials of structural regeneration. These observations suggest that zebrafish
brain tissue maintains regenerative capacity even in adulthood. The authors greatly
appreciate the moral and financial support of their anonymous benefactor.
I. Introduction
Traumatic brain injury (TBI) causes a variety of after effects within the body. TBI
can be minor (also known as a concussion), caused by a weak, direct force to the skull
resulting in nausea, headache, and dizziness and even slight memory loss. Severe TBI is a
physical damage to any part of the brain or spinal cord resulting in loss of function,
paralysis, or death (CDC 2003). TBI is a frequently occurring neurological disorder and
1
Different parts of this work were presented at the 2005 Eastern Colleges Science
Conference (ECSC), the 2005 Metropolitan Association of College and University
Biologists (MACUB) Annual Conference, and the 2005 Sigma Xi Annual Meeting and
Student Research Symposium. At the MACUB and Sigma Xi Conferences, Christopher
Corbo and Frank Garritano earned two Best Presentation Awards. Portions of this material
were used as the basis for Frank Garritano’s and Christopher Corbo’s Senior Thesis.
2
Faculty advisors from the department of biological sciences.
2
�with the continuing increase in industrialization of society, it has only increased and will
continue to increase. At this time there is not a treatment for severe TBI and there are
many people and families that suffer from these disorders.
It has generally been believed in neuroscience research that in adult mammals,
the neurons of the brain have not been able to effectively divide and regenerate (Cajal
1928). These ideas have been in place for over a century since the days of Ramon-yCajal, the father of neuroscience. For this reason, scientists have looked to the lesser
vertebrates including amphibians (Ehrlich and Mark 1977; Esposito et. al. 2002) and fish
(Davis and McClellan 1993; Sharma et. al. 1993; Zupanc 2006; Zupanc and Clint 2003;
Zupanc et. al. 2003), whose brain tissue is capable of regeneration, to gain an
understanding of this phenomenon. Since new interest into stem cell research, neuronal
stem cells have been found even in the adult mammalian central nervous systems that
have the ability to regenerate (Alvarez-Buylla and Lois 1995; Huang and Sato 1998;
Zupanc and Clint 2003). With both the research in the lower vertebrates and the
discovery of the pluripotent stem cells, there is now a rising new hope to possibly treat or
even reverse traumatic brain injury. With this, new interest/research has immerged
concerning the regeneration of the adult central nervous system and with the advanced
technologies available today, different aspects of this regenerative process can be studied.
To study the events that may lead to neuronal regeneration in traumatically
injured adult brain, we maintained blocks of the adult zebrafish optic tectum in vitro for a
period of three weeks. The cellular events were monitored through a time course of
2,6,12,24 hours and 2,4,7,14 and 21 days. We selected zebrafish, Danio rerio, a teleost
fish species that lately has emerged as widely used laboratory animal in neurodevelopmental research (Westfield 1993). Previous research into the adult brains of
different teleost fish species demonstrated high regenerative capacity of their CNS
(Sharma et. al. 1993; Zupanc 2006; Zupanc and Clint 2003). For the organotypic culture
we used a novel method adopted from Tomizawa et al. (Tomizawa 2001) and De Boni et
al. (De Boni et. al. 1976) who used similar techniques to maintain whole zebrafish brain
in ex vivo culture or cultured adult neurons of goldfish, respectively.
II. Materials and Methods
Animals
Twenty-seven fish were used in this study. The animals were maintained
together in a large tank inside the lab. The animals were kept on a light cycle and fed
twice a day. The experimental animals were maintained according to the Zebrafish book
3
�from the zfin website until the surgery was performed to start the culture (www.zfin.com,
Westfield 1993).
Surgical Procedure
The surgical techniques were performed in an aseptic fashion treating all tools
and work area with disinfectant 70% ETOH. This was important in order for the pieces to
not carry over bacterial or fungal contamination into the culture. The fish were
anesthetized with a 4% tricane solution that was made in large, concentrated quantities
that were then alloquatted and frozen. The tools used to remove the brains were removed
with a micro scalpel, fine tipped forceps and an iris scalpel. This surgical procedure was
done in a timely fashion, not exceeding ten minutes to ensure that the cells did not die
before the culture could be started.
After the skull was opened, the brain was cut just below the medulla and lifted
slightly. The brain was removed by grabbing the optic nerve which was the main point of
anchor. The brain was placed in a dish of the culture media to give the cells immediate
nutrience and osmotic conditions. The brains were first cut in the midsagittal plane for
two symmetrical hemisphere pieces which then were cut in coronal plane at the border of
the forebrain/optic tectum. The forebrain was cut midsagittally into its right and left
hemispheres. The border of the optic tectum and the cerebellum were removed from the
skull in such a way that the cerebellar piece contained part of the medulla and the
cerebellum was cut midsagittally into halves. Finally, the two optic tectum hemispheres
were cut in half in the coronal plane ending up with eight pieces per brain. Each of the
pieces was placed into its own chamber of a six well dish in order not to have the pieces
mixed up (the two same side halves of the tectum were placed in the same chamber). The
pieces were then moved to the tissue culture facility. Figure 1 demonstrates how the brain
was cut and organotypically cultured.
Preparation and Maintenance of the Organotypic Culture
The cultures were established in a Laminar flow hood in order to maintain
sterile conditions. The pieces were removed from the six well chambers and placed onto
sterile Millicell tissue culture inserts (cat# PICM03050). These helped to ensure the
proper movement of the media around the tissue. The media recipe was adopted from
Tomizawa et. al. All pieces were placed on the same insert in 6ml petri dish with the two
forebrain at the top, the 4 pieces of tectum under them, and the 2 pieces of cerebellum
under the tectum (the top of the insert where the forebrain is located was labeled with a
notch by a razor). Exactly two milliliters of body temp media was added to the petri dish.
This was important since too much media would kill the tissue. The Millicell insert
4
�helped to keep a thin layer of media over the tissue which was constantly changing due to
capillary action. The cultures were kept in a carbon dioxide water jacketed incubator for
the allotted time according to the time course.
Histotechniques
At the selected time-point, the pieces were immersed into a picric acid fixative,
containing 0.25% glutaraldehyde and 4% paraformaldehyde, for one hour followed by
1% osmium tetroxide post-fixation for another hour. This accomplished the fixation of
both the proteins (paraformaldehyde) and lipids (osmium tetroxide). The picric acid
fixative was chosen due to its low concentration of glutaraldehyde. This fixative is
necessary for electron microscopy analysis but destroyed antigens within the tissue. With
the low concentration used, electron microscopy was possible while much of antigenicity
was maintained in case immunocytochemistry was desired.
The tissues were dehydrated through increasing ethanol concentrations and the
embedding media (Durcupan by Fluka) was infiltrated into the tissue using propylene
oxide. The samples were polymerized overnight in a 70 degree Celsius oven. The
samples were sectioned using a Sorvall MT2-B ultramicrotome using freshly prepared
glass knives. 0.5 micron thick sections (semithin) and were stained with tolludine blue.
The blocks were further trimmed and sectioned on the same microtome with glass knives
for transmission electron microscopy. The ultrathin sections were collected on 200 mesh
copper grids and stained with uranyl acetate and lead citrate.
Light and Electron Microscopy
Semithin sections were analyzed on the BX40 Olympus light microscope
outfitted with a Sony Exwave digital camera. Ultrathin sections were analyzed on a
Philips CM100 transmission electron microscope. Photographs were captured on Kodak
electron microscope film and on the Kodak Megaplus 1.4 digital camera.
Scanning Electron Microscopy
After dehydration (see earlier), some select samples were kept from plastic
embedding for analysis using the scanning electron microscope. The samples were dehydrated
by evaporating propylene oxide from the sample overnight. These pieces were mounted on
aluminum specimen mounts and glued down with silver paint. The mounts were gold coated
for 75 seconds at 10 amps using the Hitachi vacuum evaporator. After coating the samples
were examined with the Hitachi HHS-2R scanning electron microscope. Photographs were
captured using a Polaroid land camera with Polaroid 55 negative and positive 4x5 film.
5
�Squash Preparation
At certain time points, tissue samples were collected and firmly pressed down
onto a slide creating a monolayer out of the surviving tissue sample. After being pressed
down between a piece of parafilm and a slide, the sample was fixed with dry ice and then
paraformaldehyde and stained with tolludine blue, then cover slipped. This method
allowed for the viewing of the interrelationship between the cells that make us the rosette
structure. This same procedure was tried for scanning electron microscopy, but the
preparations were not useful.
III. Results
Light Microscopy
Adult zebrafish brain was able to survive, in our experiment, up to twenty-one
days. Although there are signs of cell death and tissue degeneration in all the investigated
samples, the real finding of this experiment is that the adult neuronal tissue elements are
not only able to survive as long in an organotypic culture setting, but that they actually
begin to regenerate the region.
As early as two hours, some cells in the samples dedifferentiate, assume a round
shape and begin to behave as neuronal tissue precursors such as neuroblast, glioblast and
as precursors for blood vessels and blood cells (Figure 2, 2 hours). Later, beginning at six
hours, these cells tend to aggregate, primarily those which happen to be at the periphery
of the sample or at a region close to neovascularization (Figure 2, 6 hours-24 hours). This
aggregating process lasts about four days when clearly recognizable germanitive layers
can be detected. These germanitive layers show close similarities with such structures
seen in embryonic development of all types of vertebrate brains. Already at four days
some mantel-layer elements can be seen some of which shows morphological features of
migrating neuroblast or differentiating neurons. Such dramatic activity of these cells is
depicted in Figure 2, 4 day embryonic montage.
As a result of these activities, by seven days survival, the formation of the
anatomical units of the tectum, the so called rosettes, begin to form as it clearly could be
seen in squashed preparations (Figure 3, 7 days). Rosettes of a more advanced form could
be seen in relatively large numbers in Figure 4, squashed preparations. It is interesting to
note that in association with the formation of germinal layers as well as with rosette
formations, large granulated cells can always be detected. Also these cells could be seen
in nearly all of the cases of the newly formed blood vessels which seem to be inductive
tissue structures in the formation of the germanitive neuronal layers. Although mitotic
figures could frequently be seen in different locations of the whole sample surface
6
�(Figure 2, 4 days), it is interesting to note that the number of these figures are surprisingly
low as compared to the continuous change of these germanitive layers during the time
course. Since, due to time limitations, we could not check for the proliferative activities
of these cells, we plan to perform a BrdU experiment in the future.
Transmission Electron Microscopy
After seeing such interesting structures and activities in the light microscope,
preparations for the scanning and transmission electron microscopes were analyzed. The
96 hour time point was focused on for this aspect of the study.
Through the ultrathin sections studied in the TEM, the neovascularization was
observed. This was characterized by the endothelial cells forming new blood vessels and
forming blood cells within the lumen of these structures. Around the neovascularization
is various cisternae lined with round blubous cells. There were differences in the electron
density of the cells under the electron microcope characterizing them as different cell
types such as glial cells or neurons for example (Figures 5, 6, 7 and 8). Without
immunochemistry, it is not possible to distinguish which cells are which.
Under the light microscope, the areas of spongy form degeneration seemed to be
just the remaining skeleton of the neuropil. Under the TEM, it was apparent that this was
not the case at all. There are several examples that there were cellularly functional
synapses as well as functioning mitocondria. The synapses area was distinct and the
synaptic vessicles were sharp and easily detected (Figures 9, 10, 11 and 12). With such
defined structures, it is proof of the functionality of the region.
Myelination was easily detected under the electron microscope. New
myelination was seen forming the sheething around what would be an axon. The new
mylein formation is occuring around functioning axons as well. This is characterized by
the microtubuols seen in the axoplasm at high magnifications. If the axon is not healthy,
these structures break down very quickly (Figures 13, 14, 15, and 16).
Scanning Electron Microscope
Samples collected at 96 hour revealed very interesting proof through the SEM
observation. First, the surface of the surviving tissue sample immediately showed cells
covering the surface of the tissue, which was what was seen in the light microcope
semithin sections. These cells formed on the periphery of the samples and grouped
together. Mitotic stages were also observed, but still not seen frequently as stated in the
light microscopy analysis.
7
�Within the areas of surface cells, cisternae were seen in the forming areas
proving that they are forming these ducts into the tissue to help easily supply nutrience to
the lower cells. The cisternae were very numerous on the tissue surface trying to bring in
as much nutrient rich media as possible.
On a broken surface of the sample, the spongy form degeneration was able to be
seen displaying the various empty spaces as well as the outlasting cells, the cells which
survived and did not migrate to the periphery. This was a fortunate find since the
breaking of the dried tissue samples does not always work as desired.
IV. Discussion
Contrary to much of what was believed in the past, there is an adult neuronal
system that has the ability to regenerate. The original purpose for this experiment was to
gather control data for a hormesis study using ethyl alcohol to see if the system was able
to survive longer in culture with the alcohol treatment as opposed to without. It was an
interesting discovery that even without the alcohol treatment, the tissue not only had
surviving cells, but these cells were also able to differentiate and develop into new
embryoid structures in the in vitro model.
In the earlier time points, between two and twelve hours, there was a high level of
death forming the spongiform regions of each sample. Those cells which did not die off did
one of two things. The cells either stayed in place and survived or seemed to change in
shape, becoming rounded and migrating to the periphery of the sample. Those cells which
stayed in place are the enduring cells while the cells which migrate to the surface of the
structure are the surviving cells. The enduring cells are for some unknown reason able to
survive in the tissue. The surviving cells are the more interesting because they migrate in
order to reach the nutrient rich media on the periphery. This allows them to be able to
divide and form the large groups of cells seen on the periphery after twelve hours. In the
later stages, mainly 48 hours and longer, these groupings give rise to the embryoid bodies.
Since these cells are forming new embryonic structures, it can be believed that
these cells are a form of adult progenitor cell (Kuo et. al. 2003). These adult stem cells
seem to be able to dedifferentiate and then form the necessary cells to reorganize the
brain. This can be seen in the formation of new cells including neuronal cells, endothelial
cells, as well as blood cells within the endothelial lumens. It is impossible to distinguish
between the different neuronal and glial cells of the brain without immunocytochemistry.
The electron microscopy helps support what was seen in the light microscope. The
higher magnification proved that the axons as well as the synapses are still functioning
(Benbassat and Spira 1993; Tonge et al. 1998). The images seen in the figure 16 shows
8
�complete functional units of axons and synapses. This proves that the structures are able to
survive and still function. Most likely, the connections of the neurons are not at all viable, but
it is promising to see these structures still present. This proves that these are not just random
cells, but in fact they are cells that are connecting with each other and communicating signals.
One rare finding or rather lack of finding is the presence of mitosis. With the visual
increase in cell numbers, there is a relatively small number of mitotic figures seen within the
samples. There has to be some form of explanation for this, but it is not yet known.
For future research, the laboratory hopes to add immuncocytochemical tests in
order to see what cells are neurons and what cells are glia. An immuno label specific for
progentitor cells will also be experimented with. BrdU will also soon be applied in order
to study the cell division of these cells as well as statistic evaluation of both cell
proliferation and embryoid bodies (Faiz and others 2005). The ethyl alcohol study talked
about earlier has also been started and preliminary data anlysis has begun.
V. Conclusion
Through this experiment, there is definite proof that there are vertebrate adult
systems that are able to regenerate. This could lead to helping find a cure for many of the
severe traumatic brain injury cases that effect so many people and their families all over
the world. This could provide a nice model for the study of a regenerating brain and the
functions as well as the effects of adult progenitior cells. There is still work to be done,
but this is a good model to begin looking at the cellular specific events.
VI. References
1.
Alvarez-Buylla A, Lois C. 1995. “Neuronal Stem Cells in the Brain of Adult
Vertebrates”, Stem Cells 13(3):263-72.
2.
Benbassat D, Spira ME. 1993. “Survival of Isolated Axonal Segments in Culture:
Morphological, Ultrastructural, and Physiological Analysis”, Exp Neurol
122(2):295-310.
3.
Cajal SR-y, Javier DeFelipe, Edward G. Jones, R. M. May, . 1928. Degeneration and
Regeneration of the Nervous System, New York: Oxford University Press.
4.
CDC:2003. Report to Congress on Mild Traumatic Brain Injury in the United States:
Steps to Prevent a Serious Health Problem. Atlanta, GA: National Center for Injury
Prevention and Control, Centers for Disease Control and Prevention.
9
�5.
Davis GR, Jr., McClellan AD. 1993. “Time Course of Anatomical Regeneration of
Descending Brainstem Neurons and Behavioral Recovery in Spinal-Transected
Lamprey”, Brain Res 602(1):131-7.
6.
De Boni U, Seger M, Scott JW, Crapper DR. 1976. “Neuron Culture from Adult
Goldfish”, J Neurobiol 7(6):495-512.
7.
Ehrlich D, Mark RF. 1977. “Fiber Counts of Regenerating Peripheral Nerves in
Axolotls and the Effect of Metamorphosis”, J Comp Neurol 174(2):307-16.
8.
Esposito B, De Santis A, Monteforte R, Baccari GC. 2002. “Mast Cells in Wallerian
Degeneration: Morphologic and Ultrastructural Changes”, J Comp Neurol
445(3):199-210.
9.
Faiz M, Acarin L, Castellano B, Gonzalez B. 2005. “Proliferation Dynamics of
Germinative Zone Cells in the Intact and Excitotoxically Lesioned Postnatal Rat
Brain”, BMC Neurosci 6(1):26.
10. Huang S, Sato S. 1998. “Progenitor Cells in the Adult Zebrafish Nervous System
Express a Brn-1-Related POU Gene”, Tai-Ji. Mech Dev 71(1-2):23-35.
11. Kuo HC, Pau KY, Yeoman RR, Mitalipov SM, Okano H, Wolf DP. 2003.
“Differentiation of Monkey Embryonic Stem Cells into Neural Lineages”, Biol
Reprod 68(5):1727-35.
12. Sharma SC, Jadhao AG, Rao PD. 1993. “Regeneration of Supraspinal Projection
Neurons in the Adult Goldfish”, Brain Res 620(2):221-8.
13. Tomizawa K, Kunieda, J., Nakayasu, H. 2001. “Ex vivo Culture of Isolated Zebrafish
Whole Brain”, Journal of Neuroscience Methods 107:31-38.
14. Tonge D, Edstrom A, Ekstrom P. 1998. “Use of Explant Cultures of Peripheral
Nerves of Adult Vertebrates to Study Axonal Regeneration In Vitro”, Prog
Neurobiol 54(4):459-80.
15. Westfield M. 1993. The Zebrafish Book, A Guide for the Laboratory Use of
Zebrafish Danio* (Brachydanio) Rerio. Eugene, OR University of Oregon.
10
�16. Zupanc GK. 2006. “Neurogenesis and Neuronal Regeneration in the Adult Fish
Brain”, J Comp Physiol A Neuroethol Sens Neural Behav Physiol:1-22.
17. Zupanc GK, Clint SC. 2003. “Potential Role of Radial Glia in Adult Neurogenesis of
Teleost Fish”, Glia 43(1):77-86.
18. Zupanc GK, Clint SC, Takimoto N, Hughes AT, Wellbrock UM, Meissner D. 2003.
“Spatio-Temporal Distribution of Microglia/Macrophages during Regeneration in the
Cerebellum of Adult Teleost Fish, Apteronotus Leptorhynchus: A Quantitative
Analysis”, Brain Behav Evol 62(1):31-42.
A
B
C
Figure 1 – Surgery and Cultivation of the Organotypic Culture
11
�In the two and six hour photographs, cell clusters are beginning to form in an already dead
tissue and migration is beginning to the periphery of the tissue. In the 12, 24, and 2 day
samples, cell clusters are becoming larger and new cells are forming. The large montage is
of an embryoid body forming within the four day sample. Notice the forming blood vessel
with blood cells in the lumen just at the surface of the pseduostratified embryoid layer. The
four photographs on the bottom are of various regenerative events of the four day sample.
The first is neovascularization, the second is cell clustering, the fourth is mitotic figures, the
fifth is mast cells and the last in a brown byproduct in the area of regeneration.
2 hours
6 hours
12 hours
24 hours
48 hours
4 days
4 days
4 days
4 days
4 days
10 µm
4 days
Figure 2: Light Microscopy Analysis of Surviving Tissue Culture
12
�The upper photographs are depicting the events seen in the tissue pieces after seven days of
survival in culture. The first, third, and fourth photographs are showing large groupings of
cells. The second image is showing forming rosettes. Notice the spiral formation the cells
are taking. The bottom photograph is a montage depicting a squash preparation showing
the relationship of the cells in a rosette formation.
15 µm
7 D A Y S
Figure 3: Light Microscopy of Seven Day Old Surviving Tissue
13
�The photographs on the side are depicting the events occurring the fourteen day surviving
sample. The first photograph is depicting the mast cells which are repairing the tissue.
The second photograph is depicting the spongy-form degeneration becoming again a
more dense neuropil. The third photograph is of cells regenerating an area around a
cisternae. The fourth photograph is of forming myelin sheathing. The upper montage is of
an entire sample showing all the mast cells present. The other two are of a squash
preparation and the forming rosettes, getting more complex as compared to the seven day
sample.
1
4
D
A
Y
S
Figure 4: Light Microscopic Analysis of Fourteen Day Surviving Tissue Samples
14
�*
Lumen
n
*
Figure 5:Neovascularization. This newly formed capillary (open arrows) is found in the
region of surviving neuropil (asterisk). The nucleus of the endothelial cell is marked with
(n). In its neighborhood the nucleus of a large granulated cell can be seen (arrowhead)
together with some granules (small arrows).
15
�c
*L
*
c
n
Figure 6: A blood vessel (black asterisk in the lumen, L) with red blood cells (white
asterisk) is surrounded by several dedifferentiated cells (arrows) and the neuropil (n) with
cisternae (c).
16
�L
V
*
*
*
*
*
*
Figure 7: Group of newly formed cells in the neighborhood of a blood vessel (V; L).
While there are two distinct types of nuclei, compact dark (white asterisks) and large pale
(black asterisks), it is impossible to distinguish them as neurons or glial cells with this
technique.
17
�C
C
C
*
*
C
Figure 8: Neuropil. Typically there are large cisternae (c) in the neuropil surrounded by
extremely large cells (white asterisks) containing different types and size granules (small
arrows) resembling mast cells. These cells are also readily stained with tolluidine blue in
semithin sections.
18
�c
c
c
c
Figure 9: A low magnification overview of the surviving neuropil showing numerous
large and medium size cisternae (c). Note the black granules distributed throughout the
micrograph believed to be associated with the above mentioned mast cells.
19
�m
m
m
m
m
m
Figure 10: A larger magnification of the neuropil showing mitochondria (m) and several
synapses (arrows)
20
�*
*
*
*
Figure 11: Synaptic glomerulus. Note the gear-like appearance of the electron-dense
dendritic region (not labeled) associated with several synapses (arrows) from different
axons (black asterisk) that look electron-lucent.
21
�Figure 12: A large magnification micrograph of an axo-axonic synaptic complex (arrows)
typically found in the neuropil.
22
�Figure 13: An episode of myelinization.
23
�cc
Figure 14: Another episode of myelinization (arrows). Note the mitochondria (empty
arrows) next to a cisterna
24
�*
*
*
*
Figure 15: Low magnification overview of a neuropil region with longitudinally cut
myelinated axons (white asterisk)
25
�A
A
Figure 16: A myelinated axon at the region of the node of Ranvier (arrows). Note the
microtubules (small arrows) in the axoplasm (A).
26
�Section II:
The Social Sciences
�How Children with Autism Relate to the Social World
Robyn Gold (Psychology)1
This paper discusses the ways in which children with autism relate to the social world.
Previous findings indicate that autistic children lack a theory of mind; the ability to
understand the intentions, feelings and beliefs of others. Research has also shown that
autistic children have deficiencies interpreting the emotions of others. Connections are
drawn between previous research and observations of children with autism recorded
during a 100 hour internship at an elementary school. Since the underlying causes are
still unknown, further studies of autism and possible interventions are necessary.
I. Introduction
Autism is a pervasive developmental disorder that affects an individual’s social
capabilities. Throughout a 100 hour internship at Brooklyn Blue Feather Elementary
School (BBF), I noticed the ways in which children with autism relate to others and the
world around them are very unique. For the most part, lower functioning children with
autism kept to themselves and were very easily frustrated. They also tended to need
much more sensory stimulation than the higher functioning children. Although they were
much more verbal, many higher functioning children with autism spoke out of turn about
very random things. They also interacted inappropriately with others. Several of them
did not seem to understand the difference between their own thoughts and feelings and
the beliefs and emotions of others. Over the past 70 years, these unique ways in which
children with autism relate to the social world have been studied tremendously.
II. Literature Review
Kanner (1943) first described autism as a unique and “peculiar” disorder. He
also believed that the disorder is more common in males. Kanner’s case studies of eleven
children began around 1938 and then were followed up in 1971. He found that the first
noticeable symptoms consist of slower behavior development. He also stated that the
children he studied had all shown “extreme aloneness” and did not respond appropriately
to the “outside world” (Kanner, 1943).
1
Research performed under the direction of Dr. Miles Groth (Psychology) in partial
fulfillment of the Senior Program requirements.
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�As it is generally agreed upon today, Kanner believed that autistic individuals
relate to people and objects in the same manner; they lack proper “affective contact”
(Kanner, 1943). In his follow up study, some participants were employed and attempting
to live a normal life, whereas others had been put in a psychiatric hospital (Kanner,
1971). He ultimately decided that even after a 30 year history of autistic individuals, they
still require further study. He also believed that the eleven individuals did not provide a
comprehensive representation of autism as a whole.
In earlier years of study, research of autism focused primarily on the relationship
between intelligence and social ability. Alpern (1967) was one of the first people who
attempted to measure the functioning of autistic children. Children with autism had
previously been deemed “untestable” because many of their disabilities, such as a lack of
interpersonal motivation, could not simply be identified with an IQ test (Alpern, 1967).
He also claimed that poor attention span is a major characteristic of both infants and
autistic children. Alpern developed tools to directly and accurately assess cognitive and
social development in autistic children. Using a modified infant intelligence test and
parent reports concerning social abilities, he determined that children with autism can, in
fact, be evaluated.
DeMyer et al. (1974) published a study based on Alpern’s previous findings.
Since autistic children were no longer considered “untestable,” DeMyer et al. aimed to
measure their IQs in relation to the severity and treatment outcomes (DeMyer et al.,
1974). DeMyer et al. indicated that autistic children do not trust others. They believed
that if this “distrust” could be eliminated, the child’s intelligence would inevitably
improve because he or she would be more willing to mimic others’ behavior (DeMyer et
al., 1974). Using situations such as ball play, conversation, and role play, they found that
children who were more withdrawn demonstrated lower performance on developmental
tasks.
Before the 1980s, there had been very few experiments regarding the autistic
child’s ability to understand the emotional expressions of other people (Hobson et al.,
1988). Hobson et al.’s (1988) two part experiment was based off of Kanner’s (1943)
original idea that individuals with autism lack appropriate “affective contact” with other
people. They studied the perception of both emotion and identity in adolescents who
were either autistic or “non-autistic” (Hobson et al., 1988).
Three types of photographs were used in this experiment; either the whole face
was shown, the mouth had been blanked out, or the mouth and forehead (including most
of the eyebrows) had been blanked out (Hobson et al., 1988). Using one of the three
types, sixteen photographs of two men and two women were shown to participants.
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�These photos displayed four different emotions; happy, unhappy, angry and scared.
Participants were asked to match their photos to target photos of two men and two
women showing the same four emotions.
For the identity recognition part of the first experiment, the experimenter
showed target faces of two men and two women with neutral expressions (Hobson et al.,
1988). The experimenter then gave the participants photographs of the same four people,
who were all showing unhappy faces. The adolescent’s task was to match their
photographs with the same person in the target photos. They were then asked to match
four happy faces, followed by four angry faces and then followed by four scared faces to
the neutral target faces.
The second experiment took place just a few days later. Every aspect was
exactly the same with the exception of one major component. Rather than showing the
photographs to each participant right side up, as they had done a few days before, they
now showed them upside down. This was done to further investigate the degree to which
autistic adolescents are able to recognize emotion. Results showed that in comparison to
clinically normal individuals, autistic adolescents were less able to distinguish emotion
and identity in each condition. The autistic adolescents were actually better able to match
their photographs with the target photographs when they were presented upside down. It
was unclear, however if the adolescents with autism were judging based on emotion, or
simply “matching abstract patterns” (Hobson et al. 1988). Therefore, it may be hard to
conclude the extent of their difficulties in understanding emotion from this study alone.
Sigman et al. (1992) also studied the relationship between emotion and children
with autism. They focused specifically on interpretations of negative emotions made by
autistic, clinically normal, and mentally retarded children. They hypothesized that
autistic children would show “less affect and behavioral or empathetic response” to the
negative emotions of adults (Sigman, 1992). Sigman et al. tested the responses of each
child to the distress, fear and discomfort of others.
To test the child’s responses to the distress of others, the mother pretended to hit
her finger with a hammer for 30 seconds. She was trained by the experimenter to
demonstrate facial and vocal expressions of distress without using words (Sigman et al.,
1992). After a 10 second neutral period, the mother would then show her child that her
finger did not hurt anymore. To test the child’s responses to the fear of others, a small
electronic robot was used. When the robot entered the room, both the parent and the
experimenter showed expressions of fear for 30 seconds, followed by neutral expressions
for 10 seconds. To test the child’s responses to the discomfort of others, the adult
pretended to feel sick. In one condition, after the parent and child played with toys for
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�three minutes, the parent lay down on a couch, close her eyes and pretend to feel
discomfort for one minute. After three minutes of play in the second condition, the
experimenter pretended to feel ill and lay down on the couch for one minute.
Results of this study show stronger evidence than Hobson et al. (1988) of the
emotional difficulties found in individuals with autism. In each situation, the autistic
children did not look at the adult showing negative emotions. On the other hand, the
normal and mentally retarded children were much more attentive (Sigman et al., 1992).
The autistic children seemed to ignore the adult and appeared to be less concerned. This
seems to support Kanner’s (1943) idea that autistic children relate to people and objects
in the same manner.
Baron-Cohen, Leslie & Frith (1985) defined autism as an inability to understand
and cope with the social world. Although DeMyer et al. believed that the majority of
autistic children are “mentally retarded,” Baron-Cohen et al. argued the IQ of children
with autism was not the sole explanation for their social impairments.
The ability to understand others’ intentions and beliefs has been identified as a
“theory of mind” (Baron-Cohen et al., 1985). This usually appears when the child is
about two years of age, which happens to be right around the time when autism is first
diagnosed. A theory of mind is impossible without the ability to form “second-order
representations;” the ability to understand the beliefs of others (Baron-Cohen et al.,
1985). Without these second order representations, the child becomes socially
incompetent and shows a lack in pretend play (Baron-Cohen et al., 1985). Baron-Cohen
et al. hypothesized that autistic children lack the ability to know what other people know,
want, feel or believe; in short, they lack a theory of mind.
The abilities of children with autism were compared to clinically normal
children, and children with Down Syndrome. The procedure consisted of a scenario that
required children to understand others’ beliefs. Two dolls, Sally and Anne, were shown
to the children individually. Sally placed a marble in her basket and proceeded to leave
the area. Anne then transferred the marble to a box. When Sally came back, the
experimenter asked the belief question, “Where will Sally look for her marble?” (BaronCohen et al., 1985). If the children pointed to the original location of the marble, they
were able to understand Sally’s false belief. On the other hand, if they pointed to the
current location, they were unable to understand the doll’s false belief (Baron-Cohen et
al., 1985). Two control questions, “where is the marble really? (the reality question)” and
“where was the marble in the beginning? (the memory question),” were also asked
(Baron-Cohen et al., 1985). This precaution was taken to verify that the children’s
answers were not completely arbitrary. The scenario was then repeated in the same
31
�manner; however the new location of the marble was the experimenter’s pocket rather
than Anne’s box.
Every single child who participated in the study answered both the reality
question and the memory question correctly. The imperative factor in determining
whether or not the children had a theory of mind was dependent upon their answers to the
belief question. About 85 percent of the clinically normal children and the children with
Down Syndrome answered the belief question correctly. It can be inferred that those
children do, in fact, have a theory of mind. An astonishing 16 of the 20 autistic children
who participated in the study answered the belief question incorrectly. The autistic group
consistently pointed to where the marble really was rather than where Sally would be
inclined to look. The results of this study showed that, in general, autistic children do not
have a theory of mind.
Perner et al. (1989) also studied theory of mind in relation to children with
autism. They agreed with the findings of Baron-Cohen et al. (1985) regarding the
Sally/Anne experiment and suggested that autistic children’s inability to understand
others’ false beliefs is due to an “unexpected change in the world” (Perner et al., 1989).
Their study consisted of three main objectives; to test the autistic child’s false belief, to
study their ability to recognize mental states excluding false beliefs, and to find out if
there is a relationship between theory of mind and the communication skills of autistic
children. Perner et al. hypothesized that autistic children would be unable to identify
others’ mental states. Children with autism and children with specific linguistic
impairments participated in this study (Perner et al., 1989). The experimenters used three
different tasks to assess the children individually; a communication test, a false belief test
and a knowledge formation task.
In the communication test, the main experimenter told each child that she would
be hiding items from the other experimenter in two separate boxes. In each condition,
one item was more appealing than the other. In the first condition, the second
experimenter would not know what item was in either box. After entering the room, he
asked the children what was in the box without directly looking at either one. As
predicted, the children consistently mentioned the more appealing item first. In fact,
many had to be prompted to tell the experimenter what was in the other box. In the
second condition, the experimenter showed knowledge of where the more appealing item
was and needed to be told what and where the other item was. The second condition was
used to test the child’s ability to understand what the experimenter needed to know.
Unlike the linguistically impaired children, the autistic children did not understand this
32
�“principle of relevance to others” and repeatedly pointed to the box containing the more
appealing item (Perner et al., 1989).
In the false belief test, the main experimenter showed each child a box of candy
and asked what was inside. To the child’s surprise, when the experimenter emptied the
box, a pencil fell out onto the table. The experimenter put the pencil back in the box and
asked the child two questions; “what’s in here?” and “when I first asked you, what did
you say?” (Perner et al., 1989). The experimenter told each child that she was going to
do the same exact thing to the next participant. She then asked the child what the next
participant will think is in the box. Nineteen of 23 autistic children answered the
prediction question incorrectly (Perner et al., 1989). Results of this test proved to be very
similar to the Sally/Anne experiment performed by Baron-Cohen et al. (1985). For the
most part, the autistic children believed that the next participant would know that there
was a pencil in the box. On the other hand, all but one of the children with specific
language impairments answered the prediction questions correctly. These results show
that this deficiency is specific to children with autism.
In the knowledge-formation task, children were shown a variety of objects in a
box. The experimenter discretely took one of the objects and put it into a cup. The child
was shown the object, but the second experimenter was not. The child was then asked
“does [the second experimenter] know what I put into the cup?” “Why does [he] not
know that?” “Do you know which object I put into the cup?” and “Why do you know
that?” (Perner et al., 1989). About two-thirds of the participants were unable to explain
why they knew what was in the cup but the second experimenter did not.
These findings strongly support the hypothesis that autistic children do not have
a theory of mind. It was also noted that the inability to understand what others know,
think or believe is not due to “mental retardation or memory failure” (Perner et al., 1989).
Perner et al. believed that these results suggest that autistic children are unable to
understand how “mental representations are causally related to the world.” In comparing
autistic children to linguistically impaired children, they found that the lack of theory of
mind in children with autism is not strictly due to an inability to communicate.
Towards the very beginning of the 21st century, autism became more commonly
known as a spectrum disorder. Research regarding the relationship between theory of
mind and autism began focusing on the development of the child. Around this time
period, the differences in the effects of the level of functioning on theory of mind were
being explored as well.
Steele et al. (2003) investigated the developmental change in theory of mind
among autistic children over the course of one year. The purpose of their study was to
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�determine whether or not autistic children would be able to show changes in theory of
mind ability over time. They also considered that these developmental changes could be
due to various levels of functioning.
Children with autism were briefly tested on cognitive abilities and language.
They were primarily assessed based on their performance on ten theory of mind tasks
(Steele et al., 2003). To accommodate different developmental levels, these tasks were
divided up into three sections; early, basic and advanced. The early level consisted of a
desire and pretend task and was used to determine that each child had simple mental
concepts (Steele et al., 2003). The basic level included tasks similar to Baron-Cohen et
al.’s (1985) Sally/Anne experiment and Perner et al.’s (1989) false belief tasks. The
advanced level was comprised of tasks that assessed more complex social and cognitive
concepts (Steele, et al., 2003). These tests included things such as “second-order false
belief, lies and jokes, traits, and moral judgment” (Steele et. al., 2003). The children
were judged using a point system, starting with the easy level and working up to
advanced, to determine where their strengths and weaknesses were. Children were then
tested one year later in the same exact manner. Steele et al. found that children with
autism do, indeed, show significant developmental change in theory of mind over the
course of one year. This suggests that although a lack of theory of mind is one of the
major characteristics of individuals with autism, they can be taught to develop their skills
over time.
Frith et al. (1991) studied the cognitive basis of autism. They suggested that
since this disorder does not have a single biological origin, there must be a cognitive
deficit that leads to the differences in an autistic child’s development (Frith et al., 1991).
As previous researchers had speculated, they believed this deficiency had to do with a
lack of theory of mind. Frith et al. agreed with Baron-Cohen et al. (1985) in that autistic
children lack the ability to properly develop second order representations. They stated
that this was in no way due to a problem in perception, memory or communication (Frith
et al., 1991). In their literature review, Frith et al. showed that many other studies had
found very similar results. They believed that there is an unknown missing ability
causing an inability to form second order representations. They also argued that it is
necessary to continue research of autism.
Yirmiya et al. (1998) analyzed the results of 40 earlier studies to compare
differences in theory of mind abilities of individuals with autism, individuals with mental
retardation and normally developing individuals. This investigation compiled the results
of Baron-Cohen et al. (1985), Perner et al. (1989), Frith et al. (1991), and many more.
Yirmiya et al. (1998) studied two central aspects of the relationship between theory of
34
�mind and autism. First, they wanted examine whether the deficit in theory of mind
occurs solely in individuals with autism. They also wanted to identify the underlying
reason for the striking differences between individuals with autism, mentally retarded,
and normally developing individuals in their performance on theory of mind tasks
(Yirmiya et al., 1998).
Results of their meta-analyses showed that although individuals with autism
show a more severe impairment in theory of mind, they are not the only group with this
deficit. A lack of theory of mind is also commonly seen amongst individuals with severe
mental retardation (Yirmiya et al., 1998). Just as Frith et al. argued in 1991, Yirmiya et
al. (1998) concluded that autism still requires further study to determine the underlying
cause of the inability to form second order representations, and consequently a theory of
mind.
It has been generally accepted that children with autism are unable to understand
the mental states of others, and even of themselves. Fisher & Happé (2005) explored the
relationship between executive function and theory of mind in children with autistic
spectrum disorder. The term executive function is used to describe “cognitive control,”
or the capacity to control and use their own mental abilities in an appropriate manner
(Fisher & Happé, 2005). This includes processes such as planning and achieving goals,
inhibition, abstract thinking, and coordination. The purpose of their study was to
determine the extent to which children with autism can be taught to pass theory of mind
tasks using executive function training. Tests concerning general abilities primarily
consisted of language and verbal abilities. Theory of mind assessments were based off
various past experiments including Baron-Cohen et al.’s (1985) Sally/Anne task and
Perner et al.’s (1989) false belief tasks. Executive function tasks consisted primarily of
guessing games and tasks regarding the sequencing of numbers and letters. Children
were then randomly assigned to receive either theory of mind training, executive function
training or no intervention at all. Results showed that after receiving the intervention
programs, children were able to learn how to pass false belief tasks. Interestingly,
training in executive functioning did not improve children’s performance in executive
function tasks; rather it enhanced their abilities in the theory of mind tasks. The children
who did not obtain any intervention ended up showing little to no progress in these areas.
Using false belief and executive function tasks, similar to Fisher & Happé
(2005), Pellicano (2007) also assessed the links between theory of mind and executive
function in autistic children. Results were very similar and showed that there is a very
strong relationship between these two processes. She ultimately concluded that in order
35
�to enhance autistic children’s theory of mind, it is necessary to provide them with
executive function training.
Lee et al. (2007) argued that stereotypic behavior and impaired social interaction
are the central characteristics of autistic children. They stated, however, that the
relationship between these two characteristics has rarely been studied. The four main
purposes of their study were to find out if increased peer interaction would result in
decreases in stereotypic behavior, to assess whether peer-initiation intervention would
affect motor and or oral stereotypic behaviors, to determine if the effects of peerinitiation intervention could be used in a variety of settings and if so, they wanted to
know if effects of generalized intervention result in similar effects on reducing
stereotypic behaviors in different settings (Lee et al., 2007).
The behavior of children with autism or other developmental disabilities was
studied in a special education classroom. Observations focused on each child’s initiation
towards peers, response to peers/teacher prompts, interaction, motor and oral/vocal
behaviors, and stereotypic behavior in free play sessions (Lee et al., 2007). The
researchers studied effects of training and intervention methods on peer social interaction.
Results showed that at first the children with autism did not engage in any social
interaction whatsoever. However, after training and intervention, the percentage of time
in social interaction increased. Lee et al. also concluded that stereotypical behavior was
not consistently affected by social engagement. Stereotypical behavior did, on some
occasions, tend to decrease as a result of peer interaction, however it never disappeared
completely. Regardless of how much these intervention methods may improve, it is
unlikely that they would ever fully eliminate the stereotypical behavior of children with
autism. To this day, it is still unknown whether or not researchers will ever get to the
root of this disorder.
III. Observations
I interned at Brooklyn Blue Feather Elementary School (BBF) for 100 hours.
BBF is funded by AHRC, The Association for the Help of Retarded Children. This
school provides opportunities for individuals who either have pervasive developmental
disorders, health impairments, Emotional Disturbance, or other multiple physical
handicaps. Children who attend BBF are between five and twelve years of age and about
90 percent of them have been diagnosed with autism. Research has portrayed autism as a
spectrum disorder, however seeing it first hand was an incredible, eye opening
experience.
36
�I observed several counseling sessions with Courtney, the school psychologist.
In one of the sessions, we pulled two seven year old boys out of their regular classrooms.
Courtney encouraged each of them to introduce themselves properly to me. Even after a
few prompts, they did not look directly into my eyes when talking to me. Courtney
mentioned to me that the objective of the session with these two students was teamwork.
Her primary goal was to make each child aware of one another. She asked them if they
wanted to go outside or stay inside in her office. One of them, student B, wanted to go
outside and one, student C, wanted to stay inside. She tried to teach them about the
importance of compromising; however, they both did not seem to understand. Courtney
said that since student B wanted to go outside and student C wanted to stay inside, we
would split the session in half. When we got outside, Courtney told them that if they play
together, they could play whatever game they wanted to on the playground. It was
almost impossible to make them aware of each other. When they were on the
playground, they split up and ran in opposite directions. Courtney and I ran after each
student and encouraged them to talk to each other to find out which part of the
playground the other one wanted to play on. They seemed to follow directions; however
it was unclear if they understood why they were asked to play together as they have
preferred to play alone.
The second half of the session was spent inside. Courtney asked that they both
agree on a game to play. After quite a few disagreements, they decided that they wanted
to play with toy cars. Student B lined the cars up and all student C wanted to do was
crash into them with one of his cars. Courtney told him that he could only crash them if
he lined up cars that student B could crash into. She said he also had to ask student B if it
would be ok with him to crash into his cars. Student C still continued talking about
crashing into the line of cars student B was making. Courtney reminded student C that he
needed to wait for his friend so they would be able to crash the cars together. Student C
could not wait any longer and started crashing into student B’s cars. Student B then took
one of his cars and crashed the rest of them with student C. When the session was over,
they then cleaned up the cars and Courtney and I brought them back to their classrooms.
I observed another session with student B and student C a few weeks later. We
played a board game with different situations to choose from on each square. They both
function at very similar levels so this game seemed to be very beneficial. Many of the
questions consisted of age appropriate skills they should be aware of such as, “where do
you look when you are talking to someone?” Many of the situation cards had different
answers to choose from, such as “A) look at their shoes, B) look out the window, C) look
into their eyes, and D) look at your friend on the other side of the room.” Both of the
37
�students answered several questions correctly. Courtney whispered to me that a reason
for their correct answers may be because teachers have told them over and over again
how to act appropriately. She said she still does not think they understand why their
answers are correct. I was curious so after one of the situation cards, I asked student B
why he chose the answer, “look into their eyes.” He hesitated and said he did not know.
Courtney prompted and encouraged him but he still did not seem to understand why it
was the right answer.
In another counseling session, I observed two different seven year old boys. We
went up to Courtney’s office and asked them to pick out a game together. They picked
the game “Guess Who?” Courtney made up the object of the game, since neither of them
fully understood the rules. She told them the goal was for one student to pick a card with
a picture of a face on it and the other student would have to pick the matching face from
his board. Instead of following directions, they kept helping each other find the card they
had picked. Although they were not doing exactly what Courtney had asked of them,
they were working together. After playing that for a while, they picked another game I
had never seen before. The main object of the game was matching colors. It seemed that
they had played this game many times before. They showed me how to play and asked if
I would play with them. I sat down next to them and we played that game until the end
of the school day. We then took the boys back to their classrooms.
In one of the classrooms, a boy, student D, walked in late and went to sit down
at his desk without saying anything. The teacher reminded him that it was polite to say
good morning to the class. The class said good morning and the teacher asked student D
how he was supposed to respond. Student D hesitated and then, in a quiet voice, said
‘good morning class’ while looking at his desk. The teacher reminded him that it was
polite to speak up and look at his classmates when he’s talking to them. He looked up
and said good morning again in a louder voice.
I also experienced a tour of the school with a prospective parent and her son.
Her son was a five year old and had been diagnosed with Down Syndrome. His speech
was very limited but he seemed to be a very happy child. We walked around the school
and looked in some of the classrooms. The mother explained to Margaret that her son
has very bad behavioral episodes because he gets frustrated when he cannot
communicate. Margaret assured her that the teachers in this school work on sign
language with some students and many parents find that extremely effective in managing
behaviors. We stepped into one of the classrooms and the child seemed to get very happy
and excited. The teacher in the class came over to him and asked if he wanted to play for
a few minutes. The boy nodded and followed the teacher over to a few of the students in
38
�the classroom. The students in the classroom were playing with blocks and the boy
seemed to get very shy all of the sudden. A boy in the classroom, a higher functioning
child with autism, went up to the prospective student and said, “you can come play with
me” and gave him a hug. The mother looked very happy and said to me that this school
seemed like the perfect place for her son. After the tour was over, the mother thanked
Margaret for her time and said that she hopes the school can find a place for her son.
In another session with Courtney I observed two six year old boys. Their main
goal was teamwork and Courtney explained to me that one of the boys, student G, had
very low self esteem and the other boy, student H, was scared of everything. She told me
that by pairing them together, she could ask student G to demonstrate something on the
playground, such as climbing on the monkey bars, and show student H that it was not an
impossible task. This, she said, would enhance student G’s self esteem. It would also
show student H that climbing the monkey bars was not as scary as he had thought
because student G was able to do it.
I was also able to observe a counseling session with my supervisor, Margaret,
the school social worker. Margaret’s major concern with the nine year old child I
observed was impulsivity. Margaret and the student played the game “Guess Who?” He
seemed to be a higher functioning student than the students who played the same game in
a counseling session with Courtney. Margaret’s primary goal was to be able to play the
game straight through. Unfortunately, he had a lot of trouble sitting down in one place
for any length of time. Every couple of minutes or so, he would have to get up and run
around the room. Margaret kept reminding him that when we play games, we are
supposed to sit nicely in our seats. He seemed very social but constantly needed to be
refocused. He asked Margaret for hints about her character until he was able to guess it.
When Margaret said he was right, he got extremely excited and jumped up and down.
In one of the classrooms I observed, a nine year old boy, student O, walked past
me to get a piece of paper from the computer station. The teacher, Adam said that he
should say excuse me. Student O said “excuse me, lady.” Adam asked what he should
ask me if he does not know my name. Student O turned to me and asked what my name
is and then said his name back to me and gave me a hug. Adam whispered something in
his ear and student O turned to me again and said, “Sorry, can I have a hug please?” I
said of course and thanked him for asking me nicely; he gave me another hug. Adam told
me that he was working a lot on saying please and thank you with student O.
I also observed two five year old male students, students S and T in a counseling
session with Courtney. Student S has been diagnosed with autism and student T is
diagnosed with Emotional Disturbance. Student T has severe learning disabilities,
39
�attention difficulties and behavioral issues. Courtney introduced both of the students to
me and we went up to her office. She brought over a poster with several different faces
displaying different emotions to the table next to the two boys. Under each face, a piece
of paper was taped over the word describing the emotion. She went back and forth
asking each child how the person in the picture was feeling. Interestingly, student T lost
focus very easily but consistently answered the majority of them correctly. Student S, on
the other hand, did not. Student S confused a lot of the faces such as unhappiness, anger
and fear. Courtney and I had a hard time getting through to him. Although we were
explaining the differences in their faces, student S did not seem to understand what the
difference was in how they were feeling. Courtney told me that she does not feel these
students should be in the same group, partly because of these differences in their abilities.
Student S had previously been in sessions with another boy with autism who was recently
put in a new school. Courtney said that unfortunately it seems as though student S can
memorize what emotions look like but, as with many other autistic children, it is unclear
if he will ever really understand the deeper meaning.
I was also able to observe two nine year old higher functioning boys with
autism, student U and student V. I had seen them in a classroom before so I was excited
to see them in a counseling session. They decided they wanted to play Battleship. They
set up the game by themselves and I sat next to student U and Courtney sat next to
student V to help them. They did not seem to understand the concept of the game;
student U would hit a ship on student V’s board but would not know where he would
have to guess next to sink student V’s ship. Regardless of how many times I explained to
student U that he should guess the boxes directly surrounding the one he hit, he still
continued to guess only along the very edges. Courtney said he may have a hard time
following each row and column to the middle of the board. This continued throughout
the game. They did not end up finishing before the end of the session so they just packed
it up and Courtney and I brought them back to their classroom.
In another counseling session with Courtney, I observed a very low functioning,
nonverbal boy with autism. Courtney told me that it is hard to counsel a nonverbal child.
She gave him markers and blank piece of computer paper. He scribbled on the paper
aggressively. After each line he drew, all he wanted to do was smell the marker. He
seemed to be getting frustrated when Courtney would tell him he could not smell them;
the markers could only be used for drawing. This indicated his need for extra sensory
stimulation. For the remainder of the session, we took him to the sensory room. He ran
around a lot at first but we calmed him down and took him over to the rocking chair. He
seemed to like the vibrations. He then went over to another chair that was next to a
40
�bunch of strings of light that were hanging on the wall. All he wanted to do was pull on
them. Courtney made sure that he did not pull too hard and put them in his face. The
lights in his face seemed to calm him down.
IV. Connections between Research and Observations
Throughout the 100 hours I interned at BBF, I noticed that many of my
observations related to research in this area of study. For example, Kanner (1943)
believed that autism is more common in males. I found that the majority of students I
observed at BBF were males. Kanner also stated that children with autism exhibit
“extreme aloneness” and tend to respond inappropriately to the world around them. I saw
this in many of the counseling sessions I observed. For instance, student B and student C
were not cognizant of each other and did not interact appropriately. In addition, they
rarely looked directly at another person when being spoken to unless they were told to do
so by an authority figure. My observations of students B, C, D, and O lead me to believe
that they understand how to follow directions but cannot fully comprehend why they are
asked to perform certain tasks.
In the classrooms I observed, I noticed that all of the teachers treated every
student as if they were a normally functioning child. I can, to some extent, agree with
Alpern (1967) and DeMyer et al.’s (1974) argument that there is some sort of a
relationship between IQ and social functioning. After seeing children with autism in
several different classroom settings, I noticed that, just as Alpern (1967) had claimed, the
majority of the autistic students have a very hard time paying attention. I also found that
there seemed to be significantly more advanced learning taking place in the higher
functioning classrooms than in the lower functioning ones. I believe this could be due to
a wide range of variables such as verbal ability or attention. I do not agree with DeMyer
et al.’s belief that it is strictly due to their social capabilities.
Hobson et al.’s (1988) and Sigman et al.’s (1992) studies regarding the
emotional intelligence of individuals with autism were similar to the counseling session I
observed with student S and student T. Hobson et al. (1988) found that it was unclear
whether or not participants were able to distinguish emotions or if they were just
matching based on similarities in the pictures. Interestingly, the child with autism,
student S, seemed to have much more difficulty than the other child with Emotional
Disturbance, student T, in recognizing emotion. In Sigman et al.’s (1992) experiment,
rather than showing children with autism pictures, they had a parent act out negative
emotions. They found that children with autism were, for the most part, unable to
41
�interpret the negative emotions of others. I happened to notice that student S confused
more of the negative emotions than of the positive ones.
According to Baron-Cohen et al. (1985), Perner et al. (1989), Frith et al. (1991),
and Yirmiya et al. (1998), children with autism are unable to understand the feelings and
beliefs of others. These researchers believed that autistic children do not have a theory of
mind. In many of the counseling sessions I observed, I found that children with autism
have a hard time relating to their peers. It is probable that these researchers would argue
that the inappropriate interactions between student B and student C are due to a lack of
theory of mind. As I observed these two students in their counseling sessions, it was
clear that they did not take each other’s desires and beliefs into account. I do not agree,
however, with the comparisons made between children with autism and children with
Down Syndrome. In observing and interacting with a boy who has Down Syndrome
during a tour of the school with Margaret, I noticed that although he was nonverbal, he
seemed to be very social. I think that it is important to compare children with autism to
clinically normal children to get a sense of theory of mind abilities and I do not see any
reason why children with Down Syndrome should be thrown into that mix.
Although I was only at BBF for a few months, I agree with Steele et al. (2003)
that it is possible to teach children with autism how to develop theory of mind skills over
time. Fisher & Happé (2005) and Pellicano (2007) explored the relationship between
executive function training and theory of mind. Executive function was described by
these researchers as the ability to control and use one’s own mental abilities in an
appropriate manner. They found that in order to enhance an autistic child’s theory of
mind, it is imperative to provide them with executive function training. After observing
various classrooms and counseling sessions, I found that all of the authority figures in
this school work extremely well with this particular population of children. Even over a
short period of time, I could see a number of students gradually becoming higher
functioning individuals.
In addition, I also agree with Lee et al. (2007) in that it is important to use peer
intervention with autistic children. In my observations, I found that children with autism
relate more comfortably to authority figures. Although reasoning behind this is unclear, I
think it is necessary to encourage these children to step outside of their comfort zone and
interact more with their peers. I believe that counseling sessions at BBF are very
beneficial to these students because they are able to interact with each other. With
Courtney as the mediator, counseling sessions seem to be effective in teaching proper
social skills.
42
�V. Discussion
I found a great deal of similarities between observations at BBF and research of
autism. Observations of several counseling sessions with Courtney strongly supported
research regarding theory of mind in children with autism. As Baron-Cohen et al. (1985)
and Perner et al. (1989) found, the majority of autistic children seem to be unable to form
second order representations. It is still unclear, however, why a select few autistic
individuals were able to pass the false belief tasks. I feel that more research should be
focusing on those individuals rather than confirming what we already know; that the
majority of individuals with autism do not have the ability to form second order
representations.
I also agree with the ideas of Sigman et al. (1992) and Hobson et al. (1988) in
that children with autism have difficulties interpreting the emotions of others.
Throughout my experience at BBF, I found that children with autism can not always
comprehend how another person is feeling. My observations strongly support research
regarding emotional intelligence in autistic children.
Although a great deal of progress has been made over the past 70 years, several
aspects of autism are still unknown. For example, we still do not know the underlying
causes of this disorder. There could be biological factors that make an individual more
susceptible to exhibiting symptoms of autism. On the other hand, it could be due to
social interactions occurring before two years of age. I believe that it is a combination of
both. I think that there is a biological predisposition that makes an individual more prone
to the disorder; however interactions with parents and surrounding individuals very early
in an infant’s life could be the determining factor in whether or not the infant develops
autism. The combination of a biological and socialized basis for this disorder may be the
reason why there is such a broad spectrum. As many researchers have claimed, I believe
that further studies of autism and possible treatments or interventions are still necessary.
VI. References
1.
Alpern, G. (1967). “Measurement of ‘Untestable’ Autistic Children”, Journal of
Abnormal Psychology, 72(6), 478-486.
2.
Baron-Cohen, S., Leslie, A., & Frith, U. (1985). “Does the Autistic Child have a
‘Theory of Mind’?”, Cognition, 21(1), 37-46.
3.
DeMyer, M. (1974). “The Measured Intelligence of Autistic Children”, Journal of
Autism & Childhood Schizophrenia, 4(1), 42-60.
43
�4.
Fisher, N., & Happé, F. (2005). “A Training Study of Theory of Mind and Executive
Function in Children with Autistic Spectrum Disorders”, Journal of Autism and
Developmental Disorders, 35(6), 757-771.
5.
Frith, U., Morton, J., & Leslie, A. (1991). “The Cognitive Basis of a Biological
Disorder: Autism”, Trends in Neurosciences, 14(10), 433-438.
6.
Hobson, R., Ouston, J., & Lee, A. (1988). “What's in a face? The Case of Autism”,
British Journal of Psychology, 79(4), 441-453.
7.
Kanner, L. (1943). “Autistic Disturbances of Affective Contact”, Nervous Child, 2,
217-250.
8.
Kanner, L. (1971). “Follow-up Study of Eleven Autistic Children Originally
Reported in 1943”, Journal of Autism & Childhood Schizophrenia, 1(2), 119-145.
9.
Lee, S., Odom, S.L. & Loftin, R. (2007). “Social Engagement with Peers and
Stereotypic Behavior of Children with Autism”, Journal of Positive Behavior
Interventions, 9(2), 67-79.
10. Pellicano, E. (2007). “Links between Theory of Mind and Executive Function in
Young Children with Autism: Clues to Developmental Primacy”, Developmental
Psychology, 43(4), 974-990.
11. Perner, J. (1989). “Exploration of the Autistic Child’s Theory of Mind: Knowledge,
Belief, and Communication”, Child Development, 60, 689-700.
12. Sigman, M. (1992). “Responses to the Negative Emotions of others by Autistic,
Mentally Retarded, and Normal Children”, Child Development, 63, 796-807.
13. Steele, S., Joseph, R., & Tager-Flusberg, H. (2003). Brief report: Developmental
Change in Theory of Mind Abilities in Children with Autism, Journal of Autism and
Developmental Disorders, 33(4), 461-467.
14. Yirmiya, N. (1998). “Meta-Analyses Comparing Theory of Mind Abilities of
Individuals with Autism, Individuals with Intellectual Disability and Normally
Developing Individuals”, Psychological Bulletin, 124, 283-307.
44
�The Effects that Nurse to Patient
Ratio Have on Job Satisfaction
Julie Filippini (Nursing)1
The current nursing shortage has brought topics to the forefront that the medical
community can no longer ignore. With this shortage comes increased stress on nursing
professionals, increased nurse to patient ratio, and decreased level of care. These factors
are major contributors to dissatisfaction within the nursing profession. The aim of this
non-experimental study was to measure the level of job satisfaction of nurses with regard
to the nurse to patient ratio. Registered Nurses (RNs) in one hospital located in the
metropolitan area of a New York City were asked to complete an anonymous job
satisfaction questionnaire. The questionnaire consisted of two sections (A and B).
Section A consisted of seven socio-demographic items and section B consisted of six
positively stated items that were answered utilizing a five-point Likert scale. The
questionnaire addressed the effects of time allocation for completion of nursing care,
staffing of nursing units, level of care given to patients, job satisfaction, job satisfaction
as pertains to nurse to patient ratio, and morale of nurses.
I. Introduction
The nursing shortage is real and because of this, nurses are taking on roles and
responsibilities that they previously did not know. The steady progression toward
ambulatory surgery, as well as the push to get people out of the hospital as quickly as
possible, leaves the hospitals laden with the very sick and critically ill. However, even as
these new trends take hold, there are no provisions being made to help the nurses’ deal
with bigger case loads that stem directly from the nursing shortage.
Not long ago in California, state legislatures recognized this same conundrum
and decided to tackle the issue. The initiative was so strong that today, California
mandates have been set and on a typical Medical-Surgical floor, the nurse to patient ratio
is 1:5, respectively. New York, on the other hand, does not require such standards and
dealing with the nursing shortage has compromised the quality of care. To this, nurses
take issue.
1
Research performed under the direction of Dr. Lauren O’Hare (Nursing) and associated
with the course Nursing 400 Nursing Research.
45
�If there is ever hope that the nursing profession can overcome this shortage, then
the factors that continue to make nursing unappealing professionally need to be identified
and then addressed. The purpose of this study was to determine if nurses would be more
satisfied with their jobs if they had fewer patients to care for. It is a pertinent study today
as there is an overwhelming sense of dissatisfaction within the nursing profession as well
as a decrease in morale. The nursing profession often gets overlooked as a potential
profession and the lack of morale of current nurses is not encouraging. If simply
decreasing a case load can achieve job satisfaction, increase the morale of the nurses, and
increase quality of care, then it would be prudent to implement appropriate ratio
mandates on a state level.
II. Research Question and Hypothesis
Is there a relationship between nurse to patient ratio and job satisfaction? Increasing the
nurse to patient ratio will increase the job satisfaction in the nursing profession.
III. Review of Literature
As it is a well known fact that hospitals are currently run like big businesses and
that the salaries of nurses comprise the largest part of hospitals budgets, it is no surprise
that the nursing departments are the areas that get streamlined most often when the
budgets are renewed (Gale, 2004).
For years cuts in hospital nursing budgets have lead to a widening nurse to
patient ratio. Complaints from nurses resonated as they became overworked and
underpaid. Budget cuts have a direct affect on the quality of care, staff morale, job
retention, and malpractice (Callaghan, 2003). Yet in the end, these latter issues become a
heavier cost to the hospital than the reprieve that the original cuts in the nursing
department may have given.
In 1999, California State Legislature passed the Assembly Bill 394, which
established a minimum nurse to patient ratio in three acute settings: acute care general,
specialty, and psychiatric (Doering, 2003). This was the first time in health care history
that these standards were addressed and set ratios became mandatory. However, these
mandates were specific to only California. While other states have adopted the idea of
set nurse to patient ratios since, New York has yet to succumb to this notion. While New
York does implement suggested ratios depending on acuity (e.g. a 1:2 nurse to patient
ratio in ICU) the range for a typical medical-surgical floor in New York can still be from
5-9 patients per nurse and most often it is the heavier caseloads that the medical-surgical
nurses are caring for.
46
�A study conducted in 2002 suggested that lower nurse to patient ratio was
associated with an increase in job satisfaction and a lower burnout rate. With an increase
in job satisfaction, there is an increase in the quality of care that a patient receives,
leading to a better patient outcome. Inversely, the same study found that for a nurse with
a caseload of 4 patients, adding additional patients to this load would increase the risk of
death, for surgical patients, by 7 % with each additional patient (Aiken, Clarke, Sloane,
Sochalski, and Silber, 2002 a, b). So, nurses are torn between responsibility and
accountability giving them a decreased amount of time with each patient and
consequently decreasing the quality of care.
Despite the paramount importance of the quality of care, this study focused
specifically on the correlation between nurse to patient ratio and job satisfaction because
evidence has proven when job satisfaction improves, so does quality of care. In this
study nurse to patient ratio (independent variable) was the indicator for job satisfaction
(dependent variable).
IV. Methods
This was a non-experimental, quantitative research study that was conducted by
using a sample of Registered Nurses at a medium sized urban hospital in New York City.
A five- point Likert Scale questionnaire was distributed to nurses on the Medical-Surgical
floor. The questionnaire had two sections (A and B). Section A (page 12) consisted of
seven socio-demographic items, specifically, gender, age, marital status, if the nurse had
children, number of years nursing, employment status, and shift. Section B (page 13-14)
consisted of six positively stated items that asked questions pertaining to job satisfaction,
such as, “I am satisfied with my current job”; “I am satisfied with the level of care I give
my patients”; “There is a sufficient amount of time to complete job requirements during
the shift”; “There is sufficient staffing throughout the shift”; “The current morale of the
nurses is generally high”; and “Decreasing the patient workload would make my job
more satisfying.” Sample participants filled out the questionnaire and researcher
collected the questionnaire once the participant was finished. A statistical analysis of the
results was conducted once the results were collected.
V. Results
Of the total 30 registered nurses that were surveyed, all returned a completed,
legible survey. As displayed on the Graph 1, 11 nurses were 20-29 years old, 6 nurses were
30-39 years old, 6 nurses were 40-49 years old, and 7 nurses were 50+ years old. A
disproportionate amount of the nurses who were surveyed, 80%, were female, leaving the
47
�male nurses to encompass only 20% of the results. 47% of the nurses were married and
53% were unmarried, while 53% had children and 47% did not. As one can see on Graph
2, a large portion of the nurses surveyed, 14 out the 30, had been practicing 1-5 years, while
3 out of 30 had been practicing 6-10 years, 3 out of 30 had been practicing 11-15 years, 4
out of 30 had been practicing 16-20 years, 1 out of 30 had been practicing 21-25 years, and
5 out of 30 had been practicing 26+ years. 97% of the nurses surveyed worked full time,
while 3% worked part time. As well, 60% of the nurses who were surveyed worked the
morning shift, 10% worked the evening shift, and 30% worked the overnight shift.
Graph 1: Nursing Demographics
Pie Chart 1 exemplifies the job satisfaction of the nurses who were surveyed. For the
statement “I am satisfied with my current job”, 3% of the nurses reported that they strongly
disagreed, 17% disagreed, 13% were neutral, 50% agreed, and 17% strongly agreed. For
the sake of determining a general sense of agreement with this statement, combining the
“strongly agree” with the “agree” categories on the Likert scale yielded a combined 67%
who were currently content with their profession. Because this is such a high proportion, it
is a very good indicator that fewer issues would need to be addressed in order for their job
to become even more appealing.
48
�Graph 2: More Nursing Demographics
Pie Chart 1: Satisfaction with Current Job
49
�Pie Chart 2 shows the distribution percentages related to the nurses’ satisfaction
with level of care that they give to the patient. For the statement, “I am satisfied with the
level of care I give to my patients”, 3% strongly disagreed with this statement, 17%
disagreed, 3% were neutral, 47% agreed, and 30% strongly agreed. Again, combining
the “strongly agree” and the “agree” categories to determine a general sense of agreement
with this statement will produce a combination of 77% who agreed that they give an
appropriate amount of care to their patients. This is also a positive indicator that the
patients’ needs are being met. As level of care can be correlated to time issues, it is
apparent that the nurses on this unit, in this hospital, have enough time to manage their
caseload.
Pie Chart 2: Satisfaction with Level of Care Given
Pie Chart 3 represents the distributed percentages related to the nurses’ feeling
about the amount of time they have to complete their job requirements. For the
statement, “There is a sufficient amount of time to complete job requirements during the
shift”, 0% strongly disagreed, 20% disagreed, 30% were neutral, 40% agreed, and 10%
strongly agreed. A combination of the “strongly agree” and the “agree” categories
generates a 50% agreement to this statement, which supports the previous statement that
there is enough time to fulfill the needs of the patient.
50
�Pie Chart 3: There is a Sufficient Amount of Time
to Complete Job Requirements during Shift
Pie Chart 4: Sufficient Staff during Shift
51
�Pie Chart 4 illustrates the nurses’ opinion about sufficiency of staffing. For the
statement, “There is sufficient staffing throughout the shift”, 10% strongly disagreed,
37% disagreed, 23% were neutral, 23% agreed, and 7% strongly agreed. Interestingly, if
the “strongly agree” and the “agree” categories are combined, a total of only 30% of the
nurses agreed that there was enough staffing on the unit. This seems to be in direct
contrast to the two previous statements. If the nurses stated that they have enough time to
complete their job and they are satisfied with the level of care that they give to their
patients, then it would seem that there is sufficient staffing on the unit.
Pie Chart 5: Current Morale of Nurses is High
Pie Chart 5 exemplifies how the nurses view the current morale of nurses. For
the statement, “The current morale of the nurses is generally high”, 10% strongly
disagreed, 33% disagreed, 20% were neutral, 30% agreed, and 7% strongly agreed.
Between the “strongly agree” and the “agree” categories, only 37% of the nurses agreed
that the nursing morale was high. This means that 63% either disagreed or were neutral,
indicating a need for improvement in this area.
Pie Chart 6 represents the correlation between patient caseload and job
satisfaction. For the statement, “Decreasing the patient workload would make my job
more satisfying”, 0% strongly disagreed, 7% disagreed, 10% were neutral, 50% agreed,
and 33% strongly agreed. Even with the high percentage of participants reporting a
52
�satisfaction with their job as well as with their level of care for the patient, an
overwhelming percent, 83% combined between the “strongly agree” and the “agree”
categories, felt that a decrease in caseload would indeed make their job more appealing to
them. This is a very strong indicator that tackling an issue as simple as caseload could
indeed improve the job satisfaction of these nurses and consequently could improve
retention and morale.
Pie Chart 6: Decreasing Patient Caseload Would Make my Job More Satisfying
VI. Discussion
The findings of this study suggest that nurses would be more satisfied with their
present job if their patient caseload was decreased. The importance of the study was to
determine factors that can improve the job satisfaction for the nursing profession so that
quality of care for patients, job retention, and the morale of nurses can thereby be
enhanced. Aiken, et al (2002) conducted a similar study which came to a comparable
conclusion. While this particular study simply set out to determine if caseload could
improve the nurses’ perception of their job, Aiken’s results went as far as to correlate the
increase in caseload to an increase in patient deaths. Therefore, the problem stretches
beyond contentment with a job, it becomes a matter of life and death. If a nurse is
incapable of adequately caring for the patient because of the size of the caseload, then
certainly increasing caseload is counter effective, regardless of the nursing shortage.
While this study did uncover the fact that nurses decidedly would prefer a
smaller caseload, this does not mean that the number of patients that a nurse is caring for
53
�is the primary reason for satisfaction or dissatisfaction with the job. There is an indefinite
number of questions that could have been asked in order to determine additional criterion
that could improve the nurses’ perception of the job, however, it was the researcher’s sole
purpose to ask about caseload as that also affects the patient through the quality of care.
Therefore it is impossible to state that by simply decreasing the caseload each nurse
would then be happy.
Because the research only used nurses from a telemetry unit of one urban
hospital, it is impossible to determine if the results would have been the same if the study
had included hospitals across the United States and from every type of specialty unit.
The typical nurse to patient ratio on this particular telemetry unit is 6:1, which is not the
standard on every unit, in every hospital. Therefore the results can not be reflective of
units where the ratio is higher or lower. As the sample studied was from a single small
urban hospital and sample size was small, it may not be a good representation of the
population being studied, therefore it may not have had good generalizability. The fact
that only 20% of the population that was surveyed was male, does not give a good
representation of the male nurse population.
As well, the ethnicity of the nurses surveyed was not considered on the survey
so that it does not give good evidence regarding specific ethic groups and the nursing
profession. The method that was used to collect the data was a Likert scale and may not
have accurately described how a subject felt about a particular statement, which may
have lead to an inaccurate answers to questions asked. The questionnaire was also
written by researcher and no pilot study was done prior to this study in order to accurately
compare similar studies to this study. Therefore it doesn’t give a consistency from
previous research to this research.
A few subjects remain to be explored from this research project. The first is
how to improve the morale of the nurses as nearly two-thirds of the nurses surveyed
stated that they either were neutral or disagreed with that the morale of nurses is high.
Often times, if the morale of the employee is high, then they are more apt to enjoy their
work, perform better and more efficiently, and remain in their job. Conducting a study
that could identify factors that could raise morale could help the nursing profession by
increasing job satisfaction.
Additionally, determining where there is a lack of sufficient staffing needs to be
addressed as well since 70% of the nurses surveyed decidedly determined that there was
insufficient staffing on the floor. If nurses are able to do their job requirements in a
timely fashion and the level of care that they are giving to the patients is satisfactory, then
research needs to be done in order to determine which area is lacking staff.
54
�Job satisfaction remains a strong indicator of how a person will perform their
job. Finding a method to determine what makes the overall nursing profession more
content will affect many other aspects of the profession. When strong correlations
between an increase in job satisfaction and an increase in patient health exist then
research efforts will be made to determine the factors that increase job satisfaction. If
efforts aren’t made to determine these factors, then the job satisfaction, nursing morale,
the nursing shortage, and thereby the health of the patient will continue to deteriorate
until there is a crisis. The reparation would be easier to achieve at this point rather than
in a crisis, thus research should be conducted sooner rather than later.
VII. References
1. Aiken, L., Clarke, S., Sloane, D., Sochalski, J., & Silber, J. (2002). “Hospital
Nursing Staff and Patient Mortality, Burnout, and Job Dissatisfaction”, Journal of
American Medical Association, 288, 1987-1993.
2.
Callaghan, M. (2003). “Nursing Morale: What is it like and Why”, Journal of
Advanced Nursing, 42, 82-89.
3.
Doering, L. (2003). “California's AB 394: The Two Sides of Mandated Staffing
Ratios”, Intensive and Critical Care Nursing, 19, 253-2565.
4.
Gale, T. (2004). “Nurse to Patient Ratios in American Health Care”, Nursing
Standard, 19, 33-38. Retrieved June/July 26, 2007.
5.
Lang, T., Hodge, M., Olson, V., Romano, P., and Kravitz, R. (2004). “Nurse-Patient
Ratios: A Systematic Review on the Effects of Nurse Staffing on Patient, Nurse
Employee, and Hospital Outcomes”, The Journal of Nursing Administration, 34,
326-337.
6.
Wilson, P. (Ed.). (2006). Department for Professional Employees: The Cost and
Benefits of Safe Staffing Ratio. Retrieved June 26, 2007, from www.dpeaflcio.org
55
�Survey A: Demographics
Please circle correct answer
1. What is your gender?
Female
2. What is your age range?
3. Are you married?
20-29
Yes
4. Do you have children?
Male
30-39
40-49
50 +
No
Yes
No
5. How many years have you been practicing as a Registered Nurse?
1 - 5 years
6 - 10 years
11 - 15 years
6. What is your Employment status?
7. What shift do you work?
16 - 20 years
Full time
Morning
21 - 25 years
26 + years
Part time
Evening
Overnight
Survey B: Job Satisfaction
1. I am satisfied with my current job.
1
strongly
disagree
2
disagree
3
neutral
4
agree
5
strongly
agree
2. I am satisfied with the level of care I give to my patients.
1
strongly
disagree
2
disagree
3
neutral
4
agree
5
strongly
agree
3. There is a sufficient amount of time to complete job requirements during the shift.
1
strongly
disagree
2
disagree
3
neutral
4
agree
5
strongly
agree
4
agree
5
strongly
agree
4. There is sufficient staffing throughout the shift.
1
strongly
disagree
2
disagree
3
neutral
56
�5. The current morale of the nurses is generally high.
1
strongly
disagree
2
disagree
3
neutral
4
agree
5
strongly
agree
6. Decreasing the patient workload would make my job more satisfying.
1
strongly
disagree
2
disagree
3
neutral
4
agree
57
5
strongly
agree
�The ‘Virtual’ Self, Imitation, the ‘They,’
and Authenticity in Childhood
William Jock (Psychology)1
The existentialists argue against the classical conception of self, suggesting a “virtual”
self that is indistinguishable from the world. Maurice Merleau-Ponty outlines the
development of the child in his or her perception of others that leads to this distinction
and gives the child a sense of self. Martin Heidegger describes how the indefiniteness of
self and others initiates an “averaging out” of all others and assimilation into a prejudiced
“theyness,” as he calls it. In the case of “Digby” we will observe how the child develops
a “virtual” self through imitation and struggles to have an authentic view of the world
while an institutionalized “theyness” is imposed upon him in school.
I. Introduction
I am interested in the concept of self in regards to its objectivity, duality, and its
distinction from the world. Existentialism denies all of these properties of self, leaving us
with a kind of ‘virtual self’ (Merleau-Ponty, 1960), subjective, indivisible, and
undistinguished from its world. Since it is in childhood that one is first and most
dramatically confronted with these existential issues, I have chosen to focus on the child
in his or her understanding and misunderstanding of him or herself.
Objectivity, Mind and Body, The World, Others
The mind-body problem and the distinction between self and world seem to be
rooted in the problem of objectivity. The body is easily misconceived as objectively
present in the world. It seems to be less doubtful than the mind. However, as MerleauPonty (1960) points out, one is in the ironic position of only being able to observe others’
whole bodies, while viewing one’s own requires a mirror. Our sensations, perceptions,
thoughts, and feelings may be private and unique to us, but it is perhaps because of this
that they are avoided altogether by many psychologists in favor of more “objective”
aspects of human existence. For one, it is not always easy to distinguish between the
sensation, perception, thought, and emotion, and also we do not have the benefit of
1
Research performed under the direction of Dr. Miles Groth (Psychology) in partial
fulfillment of the Senior Program requirements.
58
�another’s confirming observation. Jung (1958) does not want to give precedence to the
body either, asserting that “the connection with brain does not in itself prove that the
psyche is an epiphenomenon” (p. 57). However, Jung perpetuates another classic
prejudice of psychology that so called “inner” experience is somehow a better
representation of self than so called “external” experience. The existentialists find this
equally as problematic as the behaviorist prejudice that “external” experience is somehow
objectively observable. Laing (1960) thwarts the latter by asserting that “confining
oneself to objectively observable behavior is impossible” (p. 32). Then he approaches
the problem of the mind’s precedence. In schizophrenics he observed dissociation
between body and mind, as they posited the mind as the “true” self. He sees this as an
attempt to deal with one’s anxiety over understanding the world, not an exclusive trait of
psychosis. This anxiety is addressed by most existentialists and is considered to be an
inevitable outcome of one’s confrontation with his or her “nothingness,” as Sartre (1943)
termed it. It is difficult to have a conception of self when there is nothing constant or
definite about one’s being. Awareness of this inconstancy and indefiniteness makes one
insecure, which easily explains the desire to objectify oneself. Heidegger (1927) explains
that this aspect of being necessarily implies an objective meaning of being. Such
objectification is a way of avoiding the confrontation with nothingness and establishing a
self that is ‘something.’
For the existentialists, internal experience and external experience cannot be
separated from one another, so of course neither can be objectively observed, nor can
either one produce a genuine representation of the person. The world as a whole
influences the way one thinks; what one thinks oneself to be is no exception. Everything
in one’s world represents who one is; it is what one is. One cannot either observe others
objectively, be observed objectively by others, or objectively observe oneself. For a
distinction between internal and external experience to be possible, a separation between
oneself and the world would have to be possible, which, the existentialists hold, is not.
Heidegger (1927) was the first to assert this, contesting that the self is no more
objectively present than the world. To grasp oneself is to grasp the world, but, as we
have seen, we inevitably prefer to understand ourselves in objective terms. Further, since
“the world is always already the one I share with others” (p. 111), one cannot be
separated from others either. Without these distinctions one is left with a ‘virtual’ self—
subjective, indivisible into mind and body, and indistinguishable from the world and
others in it—onto which he or she posits an objective meaning. There is no self
essentially, only virtually.
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�Imitation, Perception, Distinction and “Becoming”
Merleau-Ponty (1960) says one is undifferentiated from others early in life, so
how does he account for the future distinction? From the phenomenological perspective
that consciousness is always directed towards things in the world, he explains a process
of “becoming” where one adopts the conducts of others “because they are themes of
possible activity for my own body” (p. 117). This reflects Heidegger’s (1927)
understanding of the world as “thematic,” where we encounter others in “modes of
existence,” not just arbitrarily acting. Indeed, there is no such thing as arbitrary action.
Meaning is a precondition of any action. Merleau-Ponty also focuses on perception to
explain the distinction between self and others. First, one senses his or her own body and
then perceives it. Only later does he or she sense the other and then perceive him or her.
While one, as we mentioned before, can only see the others’ body in its entirety and not
one’s own, one only recognizes parts of the others body initially. One then relates the
other’s body parts to his own, initiating a distinction. Distinction is in full effect once the
child perceives the other’s body as a whole. “At six months,” says M-P (which I will
refer to him as from now on), “at last, the child looks the other child in the face, and one
has the impression that here, for the first time, he is perceiving another” (p. 125). At
three years, “the indistinction between myself and others is at an end” (p. 153).
The classical view of psychology holds that the mind is in a similarly peculiar
position as the body, though its position is just the opposite: one’s mind is present to
oneself, but impenetrable to others. We have showed how existentialism opposes this,
arguing that there is no self distinguishable from others, let alone a self divisible into
mind and body. If there is no distinction within one being, then there is no distinction
between beings, since they are themselves indistinguishable. M-P provides support for
this by developing the process of imitation or “becoming” mentioned earlier. When one
imitates the other’s conduct, one cannot feel what the other is feeling nor can one see
oneself the way one sees the other. Given this, one would have to perceive the other’s
conduct visually, translate it into a “personal motor language” (p. 116), and project a
meaning onto it. For M-P, this is too contrived. He prefers the phenomenological
perspective that consciousness is always directed at the world. Our conducts are the
manifestations of our consciousnesses meeting each other in the world. In this sense,
everything that we can consider our own was already in the world and still is. Any action
one “makes” is not really made at all, but relived through him or her, having been
adopted from the world. Conversely, if an action is already in the world for one to adopt
but remains in the world once he or she has him or herself acted it out, one is not really
adopting it and one cannot consider it his or hers. Still, from the very first gestures
60
�mimicked in infancy to a profound thought in adulthood, one believes something to be
his or hers when he or she is really only taking hold of something that is always and
already in the world. Even the meaning applied to it, though it is unique to each person,
is based on his or her history of experiences, which came from the world. One takes, not
makes, a position in the world. While distinguishing ourselves from the others we are
essentially connected to, we are, paradoxically, establishing our selfhood through their
conducts, which are already here and now. Therefore, to say we are establishing selfhood
is a misconception, especially given everything we have already determined about self,
namely its virtuality. We are not really establishing anything, but rather we exist in
different modes of being, through this imitative process that M-P calls “becoming.”
The “They” and Authenticity
While one distinguishes oneself from others as an attempt to affirm a self,
according to Heidegger one also, paradoxically, synthesizes his or her self with others for
the same ends. As it is, the other is no more definite than the self. Because of this, one
easily objectifies others, averaging them out into a single “they,” as Heidegger (1927)
terms it. In this manner, every other is like the next. Existentially they serve as the
“they” and you and I include ourselves within this mode of being. In this sense we are
not existentially ourselves, but others. The perceived benefit is a given self. One
surrenders his or her understanding of the world to the limited interpretations and
possibilities of the “they,” ignoring the phenomenon of the world. One surrenders his or
her possibilities of being to the definiteness of the “they,” ignoring his or her
responsibility. To exist in this mode of being is what Heidegger calls “inauthenticity.”
We exist in this mode of being already and, for the most part, always.
When comparing Heidegger’s understanding of the “they” to the previously
outlined understanding of the “virtual” self indistinguishable from others, it seems we are
“already and always” in a double bind. However, like the paradox between the
indistinguishable being-in-the-world and the imitating being, this issue should come to
light. If we are essentially indistinguishable form one another, how do we avoid living in
the mode of others? For one, living in the mode of others is not the same thing as living
among others, for living in the mode of others requires an averaging out of the others.
Earlier I paraphrased Heidegger in saying, “to grasp oneself is to grasp the world.” Since
others are in the world, to grasp others is to grasp oneself. There is nothing inauthentic
about living among others, since it is the nature of the world of existence. Living by
others, on the other hand is inauthentic. To be authentic, then, would be to seek an
understanding of the world without ignoring the phenomenon of the world, without
61
�ignoring possibility, without objectifying self, world, or others, without accepting the
“they”’s limited understanding of the world. This doesn’t mean, however, seeking one’s
“own” understanding of the world, since that would imply a distinction between self and
world. Rather, this means seeking understanding in general. In this sense, we are not in
a double bind, but a damned difficult situation.
The Case of “Digby”2
My first meeting with Digby told me I would be observing him more closely
than other students. He was the only one not sitting on the steps where the children are
dropped off in the morning. He was leaning against the railing with a stick in his hand,
which I figured wouldn’t be okay with the teachers, but I didn’t say anything right away.
I said “That came from a tree,” and he showed me exactly where he found it. He told me
that part of the stick had broken off, and then started swinging it. I said, “Please don’t
swing the stick,” and pointed out the thorns on it. He said, “I see them.” A GA (graduate
assistant) came over and told him to find another stick, and he said he liked the one he
had. She said, “Come on, we’re not going to play with that stick anymore,” and took it
from him. He only said, “Okay.”
Later that day he had the “job” of counting the children at “circle time.” As he
went around, counting, he included the “teachers” (graduate assistants and observers like
myself). Our teacher, “Mrs. Hutchinson” said calmly, “Digby, just count the children,
not teachers.” He only increased his pace and enthusiasm. She said it several more
times, which didn’t deter him. He pretended not to hear. Then Mrs. Hutchinson said,
“Okay Digby, you have to stop. You didn’t do the job right.” Without asking what he
had done wrong, he quickly and very seriously said, “No. I’ll do it the right way this
time.” His response implies that though he had acted as if he hadn’t heard her initial
warnings, he knew he was doing the wrong thing.
Next week, Digby was asked to sit on his “bottom” (he was kneeling) at circle
time. He asked insistently, but not angrily, “Why?” He knew many of the answers to the
questions asked about the story read in circle time. He is otherwise difficult to get a
response out of. He has a glazed over look in his eyes, though he isn’t what you might
consider “spacey,” or “slow.” He doesn’t smile, but squints curiously. That day during
cleanup time, I was squatting, picking up blocks while Digby stood next to me with the
pirate ship. I felt a block hit my shoulder. I said, “Who’s throwing blocks?” He didn’t
look up from the pirate ship. He threw another block a moment later while I was
2
The names of all of the individuals referred to in this study have been changed.
62
�watching, and I said, “Don’t throw the blocks. Hand them to me.” He said, “But I’m
throwing them so you can catch them.” I said, “You have to make sure I’m looking.” I
turned away and Digby handed me a block.
Later that day, at circle time, everyone was seated on the floor except Digby,
who was in a rocking chair next to the circle. One of the GA’s asked, “Is everyone
seated? Digby?” He responded, “I have a comfortable seat.” Mrs. Hutchinson said,
“You need to sit on the floor.” He said, “Why can’t I have a comfortable seat?” She
said, “Because your comfortable seat is on your bottom,” and trailed off with, “like the
other children.” He sat down on the floor apart from the others and wasn’t close enough
to see the activities, so I asked him if he wanted to move closer. He didn’t respond. I
backed away and he eventually came closer, but took his time in doing so. When the
children were supposed to turn around to see the “Jobs” chart, he was lying on the ground
facing the other way. Mrs. Hutchinson read each job and waited for the person whose
name was next to it to raise his or her hand. She got to Digby’s job and Mrs. Hutchinson
had to say, “Someone isn’t looking.” He acknowledged this, but took his time turning
around, even when she finally asked him personally to do so. His job was “Weather
person,” which entails describing what the weather is for that day and picking the
appropriate clothes for a Velcro doll. He tried to say it was raining when it was sunny,
and asked why he couldn’t dress the doll himself.
During the pledge of allegiance that day, Digby didn’t face the flag or put his
hand over his heart like other children. When asked to do so he asked “Why?” Mrs.
Hutchinson responded, “Because we are lucky to live in America, because we’re free
unlike some other countries.” After saying the pledge, they always sing a song, “Flag of
America.” Digby made silly noises to the rhythm of the song, sticking his tongue out and
shuffling closer and closer to the flag. The line leader for the bathroom picked a friend
and each person afterwards did the same. Digby was the only one left when it was Ana’s
turn to pick a friend. When he lined up behind her he put his hands on her shoulder like a
conga line, and she said calmly several times, without turning around, “Don’t touch me,”
but he didn’t acknowledge it. I went over to him and said, “She asked you not to touch
her, so don’t.” He looked off into space and took his hands off of her. Then he walked
towards me, staring wide-eyed and muttering. I directed him back to his spot in line.
At lunch the same day, Wesley started crying and said, “Digby kicked me.”
Everyone had fallen silent. Mrs. Hutchinson asked Digby why he had kicked Wesley.
Digby replied, “He said he wanted to eat my food. She said, “It doesn’t matter what he
said, you don’t kick him.” Digby said, “Sorry,” robotically. Then Wesley said, “He said
a bad word.” She asked what word. He said, “He called my food seafood.” Mrs.
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�Hutchinson told Digby not to make fun of people’s food. She asked Digby what he had
said about Wesley’s food. Digby replied, “Nothing. I think he’s faking. I’m telling you.”
He went right up to Wesley’s face and said, “Sorry,” but he didn’t look sympathetic or
annoyed—his expression was practically emotionless. He was still eating when most
people finished and started growling to himself. A GA said, “Stop making those noises.
You’ll choke.” Digby replied, “I’m a monster.” I wonder if the teachers thought so too,
or if Digby actually felt like one.
Next week, Digby and I were making “cookies” out of the play-dough. He said
we needed to trim the “excess” off. He “fed” me one and when it brushed my lip, he
asked, “Did you lick it a little?” I said, “Not on purpose. It just touched my lip.” As I
took notes, he kept bringing me “vanilla wafers,” and I would pretend to eat them. Each
time he came over he would be more excited about the game. He didn’t want to stop. At
circle time, the children shared the apples they had brought into class, describing a few
distinguishing properties about their apple. Digby was last to share his and he kept
describing new things about it and the teachers had to ask him several times to put it
away. During free time, Digby hit Liu on the head, and when he was scolded, he gave an
excuse, as he often does. He was told, “It doesn’t matter. We don’t hit anyone on the
head, no matter what.” He walked over to Liu, put his face right up to his and said, “I
apologize.” When he sat down for circle time he said, “We don’t hit little kids,” and I
said, “We don’t hit anyone.” At circle time Part Two he said, “I’m going to sit here,” and
placed himself away from the group. He wasn’t facing the right way at one point, and
Mrs. Hutchinson asked him to face forwards. He took his time turning around, and he
probably would have prolonged it even further if she had asked him more than once. He
had pretended not to hear at first, but when he realized people weren’t paying attention to
him, he faced the right way.
One day on the way inside from the playground, some jackets were unclaimed
on the picnic table. I held them up and Dani, Digby, and Kelly identified them as theirs.
Dani told me to take hers in, and I said, “No, it’s yours. I’m just going to leave it out
here. She said, “Okay,” and took it. Digby wouldn’t take his at first either and told me to
carry it. I also threatened to leave his outside, but he didn’t respond, so I just draped it
over his head. He said “I’ll just leave it on my head, then.” Later in the week, we sang
songs about Halloween at circle time. Digby was running in and out of the circle. He
was asked several times to stop and finally when he was threatened with a timeout in his
cubby he stopped and said, “I was floating like a ghost.”
Next week, Digby said, “Play Legos with me,” while I was playing with
someone else. I said, “If you ask me, I’ll come over in a second.” He walked away and I
64
�continued playing. He came back and said, “Can you come play Legos with me? There,
that was a second.” “Okay. I’ll be over in a minute.” A little later, he came back and
said, “Okay that really was a minute.” I said, “All right, I’ll be over in a second, minute.
I mean, I’ll be over in a little bit.” He said, “Okay.” I went over shortly after, because he
was patient. He grabbed some Legos from Keith, and I said he had to ask first. The next
time he grabbed some Legos from Keith, he asked as he was doing it. I said, “He’s using
those.” He went over to Keith then, and said, “Excuse me ‘Keiths,’ I need those blocks.
They have faces on them,” which they did. I told him it didn’t matter, Keith was using
them. Later, Liu’s father, who was a firefighter, came in to talk about fire safety. Digby
wouldn’t stay seated. He kept going up to the firefighter to touch different things on his
belt or helmet. The firefighter let Digby wear the helmet, and as Digby swaggered a
little, he said, “You can let go.” He strained to stand up straight and when the firefighter
took his helmet back, he asked, “Heavy, right?” Digby responded, “No. It was very
light.” Kelly asked many questions about fire and was very longwinded. This upset
Digby, who was waiting for his turn. He groaned and walked over to her, putting his
hands in front her face as if to block her words. She didn’t notice until the teacher told
Digby to stop. We had all been laughing a little until then.
During circle time that day, Mrs. Hutchinson went through the “jobs” on the
Jobs board and skipped “Count the children,” because there was no name next to it.
Digby interrupted and said, “Who’s going to count the children?” She just moved on.
We sang the song “Here we are Together,” and went around the circle for the kids to sing
their own name. Digby hid behind me. When it got to his name Mrs. Hutchinson said,
“Digby I need to see your face.” He said, “But I’m hiding my face.” She said, “But I
want to see your face. I like you.” He said, “You don’t want to not see me face?” He
was standing at this point off a little way from the circle. She said, “No. Come sit
down,” and asked to him to say his name. He looked off stubbornly, not wanting to, and
then after a few beats he yelled his name. Usually she would have told him to say it
nicely, but she just moved on. Later in circle time he looked over at me and crossed his
legs like mine. We wrote a letter to the firefighter to thank him for coming, and Mrs.
Hutchinson asked at the end if there was anything else we should tell him. Digby said,
“Liu loves his dad,” and suggested this several times, so she could hear it.
Digby would never sit with the other children on the steps where they were
dropped off in the morning. One particular day he finally listened when I asked him to sit
down, but he sat behind the others where the stairs come to a platform. I said, “That’s
fine,” because it was the most you could get him to do. He said, “No. I’m laying down,”
but I didn’t want to play games with him. Then he called me an “A-blip” and asked me if
65
�I knew what that was. I said, “No,” and he said, “It’s a type of bomb.” I said, “I didn’t
know that,” and he said, “I was joking. It’s a joke.” He asked me again if I knew what
an “A-blip” was, and I said, “A type of bomb.” He said, “No. It’s a type of nut. I’m just
joking.” I asked if he made that up. He said, “Yeah.” At circle time he wanted to sit
behind Mrs. Hutchinson, but was told he couldn’t. She shared music instruments with
the class and Digby was trying to take some from her. When she finished explaining
what they were she allowed the students to play with them, but Digby didn’t want to
anymore.
Digby doesn’t usually like playing with the other students. This day was no
exception. When Josh followed me over to the Lego table where I had been playing with
Digby, Digby tried to take things from him. Josh would say, “No! I’m using that!” so I
didn’t have to say anything to Digby. Digby would ask, “Why?” and Josh would say,
“’Cause I want to put that there.” Then Digby told Josh he was building “stupid stuff,”
and knocked it over. Several times Josh said to him, “I’m not stupid.” I didn’t intervene.
One of the GA’s asked Digby to come over to the crafts table to work on something.
Digby said, “Why?” She said, “Because I want you to.” He said, “But I don’t want to,”
not whining, just matter-of-factly. She said, “But you have to.” At lunch that day, Digby
said, “I’m going to sit here away from everything. I don’t want to sit with the kids.”
Mrs. Hutchinson said, “Your friends will miss you.” He said, “No, they won’t.” She
said, “Come sit next to Liu.” He said, “I don’t like Liu. He’s mean. He knocks down
my blocks sometimes.” Mrs. Hutchinson said, “He won’t be mean now.” Digby sat
down, and said “Don’t look at me,” pushing Liu’s face away. I said, “He can look at
whoever he wants.” He said, “He was staring at me.” I said, “Don’t push his face.”
Next week, during the pledge of allegiance Digby was standing off away from
the others. Mrs. Hutchinson walked over to him to tell him to move and he said, “I’m
watching the flag from here.” She said, “Stand in the group. We do things as a group.”
He asked, “Why?” She said, “That’s the way we do it.” Next day, we read a story about
a coyote that turned purple. At the end the coyote got his “sandy coat” back, but a boy
turned purple. Mrs. Hutchinson asked the class, “How would you feel if you turned
purple?” No one said anything, but Digby was thinking and then said coyly, “Purple.”
Next week I walked into the classroom and Digby walked up to me shaking a puzzle. He
asked several times, “Am I a noisy kid?” I finally said, “Yes, sometimes.” He kept
doing it, so I walked away. I looked over a few moments later and he was putting it
together. Later I played play-dough with him, but he told me, “No, we don’t flatten.
We’re going to do it the noisy way.” He banged on it with a hammer and I said, “Okay,
well not too loud.” I would tell him to stop when it got too loud and he would listen.
66
�When someone else at the table said, “It’s going to be an awesome Halloween,” he said,
“It’s going to be a ridiculous Halloween.” He likes to demonstrate his vocabulary. One
day he had been building a house out of Legos and was describing the drainage system of
the bathtub and the “high definition” television.
As usual, Digby had trouble during the pledge this day. He walked towards the
flag, saluting frantically, but they aren’t supposed to salute until the end of the song,
“Flag of America.” Mrs. Hutchinson grabbed him by the arm and pulled him next to her.
He kept saluting. We sang the song and on the last line, “A salute I give to you,”
everyone saluted. Digby kept saluting and said, “I can’t stop.” Next week, Digby was
playing in the sandbox and so were Akim and Josh. The latter two are inseparable.
Digby started involving Josh in his little game, for the most part arbitrarily—it could
have been anyone. Akim was jealous though, and started saying to Digby, “You can’t be
my best friend.” Digby didn’t look up. If he heard, he didn’t care. I intervened and
asked Akim why he was saying this. He said, “Digby didn’t make anything for me.” I
don’t think Digby had made anything for Josh. He definitely wasn’t trying to manipulate
Josh’s and Akim’s friendship, but Akim started proclaiming, “We don’t like Digby.
Nobody likes Digby.” He directed this at Josh, but Josh wasn’t paying attention.
Eventually Josh said, “Yeah, we don’t like Digby,” but then kept playing with Digby
while Akim watched. Digby didn’t seem to care about this. He didn’t look up from his
game once. I said, “We don’t talk to each other like that. We’re all friends.” Another
intern told Digby he was getting sand on his coat. The more she commented on it, the
more ways he found to get sand on himself. She asked, “Don’t you want to be clean and
not smell bad?” He said, “No, I want to be dirty.” One of the GA’s intervened and
asked, “What about your mom? What would she say?” He paused and said, “She would
just say, ‘Take your coat off.’”
Next week, at the lunch table kids were pointing at the alphabet characters on
the wall and laughing. They would say, for example, “Look at Mr. D. He’s a cow.”
Digby wasn’t taking part until the teachers discouraged it. Then he started making loud
laughing noises. He wasn’t even looking at the alphabet characters. A GA said, “Settle
down,” and Digby said, “Let’s settle up.” He started making outrageous high-pitched
noises and the kids started laughing harder, but not at him. I said, “Digby, stop,” and he
said, “But I’m making them settle up.” They were quiet now, but he said, “Look at Mr.
J,” and started making outrageous squealing noises. They all started laughing. A week
later, Digby was sitting outside of the circle again, and Mrs. Hutchinson asked him to
conduct one of the Thanksgiving songs we were singing. She told him he had a lot of
power as the conductor, telling the kids when and when not to sing. I was nervous to see
67
�what he would do, but he didn’t abuse it. Later in the day, however, he had to be
threatened several times with a timeout. I wasn’t sure if he would care, but he would
freeze and his eyes would get wide at the threat.
Next week, Digby noticed a piece was missing from a puzzle that some other
kids were playing with. He spent the rest of puzzle time dragging me around the room
looking for “clues,” calling it a “kooky mystery.” He would find a toy that wasn’t in its
place and say, “I found the tenth clue.” When it was time to clean up he kept finding new
clues. I said, “It’s time to clean up. That’s enough.” He said, “Okay. Remember, we’re
on the twenty-third clue.” He kept reminding me during circle time and I had to tell him,
“That’s enough.” He leaned against me, laid his head in my lap, and talked to himself,
not paying attention to the activities. He tried to sit in my lap and I pulled him off, but he
fell back and hit his head. It was loud, so Mrs. Hutchinson noticed and asked Digby if he
was alright. He told her, pointing to me, “He did it.” She said, “No. You did it because
you weren’t doing the right thing. I asked Digby if his head hurt, but he said, “No.” He
hid behind me for a bit, but I ignored him and when I looked over a little later he was
paying attention to the story.
Next week, Digby played in the kitchen with another student and pretended
nicely. In circle time he made noises while the kids said their names for the “Here we are
Together.” Mrs. Hutchinson stopped and said, “You’re being rude.” He stopped, but
then continued again quietly. When it got to him he only said louder, “Boob!” or
“Boop!” She said, “Okay. Sit in your cubby.” He said, “No. I’ll stop.” She said, “No,
you need to sit in your cubby and think about it.” Next day, he played with blocks and
Kyle helped. He wasn’t very encouraging of Kyle’s suggestions though. He said he was
making a “race.” One of the GA’s asked, “A racetrack?” and he said, “No, a race.” I was
standing next to him and he told me, “You have to get across that line,” and started
running. I ran after and got across at the same time, but unlike many kids, he actually
said, “We made it across at the same time.” He followed it up, however, with, “But I’m
the boss, so let’s get that straight.” He made me watch his “race” while he was away. I
couldn’t the whole time, so when he came back it was messed up. He said, “Come on,
let’s rebuild it.” Kyle wanted to help, and I asked if he thought that was okay with
Digby. He said, “Digby said I could.” Kyle is still a new kid at this point. At one point
as they were playing, he had his arms around Digby’s waist. Digby broke away from him
without saying anything. Kyle said to me as he walked by after Digby, “I love him.”
During cleanup time, a disagreement happened between Akim and Digby. Before anyone
sat down for circle time, Josh hugged Akim and Kyle and said, “We’re friends.” They all
said, “Yeah,” and Akim said, “But not Digby.” Kyle echoed him. When everyone was
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�seated except Digby, he said to one of the GA’s, “That’s the kid,” and walked right up to
Akim and tapped him on the head. Akim said, “He’s bad. He pointed at me.” Digby
said, “He’s the meanest kid.” Akim said, “No, he is,” and it went back and forth like this
until Mrs. Hutchinson intervened. Digby kept saying it, and a GA said, “No!” right to
him, but he only said it more quietly. Mrs. Hutchinson lectured the whole class about
being friends and told Akim to apologize to Digby. He said it angrily and Mrs.
Hutchinson said, “That didn’t sound like you meant it.” Digby said, “Yeah. He did mean
it. He meant nothing.” At lunch time Digby told each GA that came in that Akim was
being mean to him “all day.” Mrs. Hutchinson said, “Digby. Stop it. What? So you and
Akim said mean things to each other once?” He said, “He was mean to me for no
reason.” Akim said, “He pointed at me.” Digby kept calling him mean. Mrs.
Hutchinson said, “Digby! Digby! It’s over now. We’re all friends, right?” Digby
shrugged his shoulders.
II. Discussion
Merleau-Ponty’s process of “becoming” was confirmed by some of the
observations of Digby. While he spoke of a “high-definition” television, for example, he
must have heard that at home and was imitating the words of his parents. He probably
doesn’t know what that means in terms of technology, but it had its own meaning for the
purposes of his Lego home. Also, Digby’s vocabulary is higher than the other children,
but I wouldn’t necessarily conclude that he is “brighter” or more intelligent than any of
them. Perhaps he has more aptitude for learning, but in terms of his vocabulary it is just
something he has imitated from others. The words are not his, nor are their meanings
consistent with the source’s meaning. In the “race” he built, the teacher attempted to
correct him, but the “correct” word, “racetrack” meant nothing to him. In the “thematic”
(Heidegger 1927) world of his existence “race” applied to what he was doing. Perhaps at
some point he will adopt the word racetrack and posit it to this meaning. While he has
obviously imitated certain conducts of others, he has resisted others, as in this racetrack,
but also in the American Flag. It doesn’t mean anything to him and he isn’t going to
adopt the meaning of pride. Other children are more willing to. What is intriguing about
Digby is he seems to recognize much of the activities in school as arbitrary. I wonder if
he will eventually feel pressure to conform, or if he will continue to recognize the absurd
in life and come to appreciate Camus and Sartre someday.
From the beginning Digby questioned the purposes of many activities, and while
some may merely consider him a disruptive child, I wonder if his resistance of what he
deems as meaningless is a sign of authentic being. Has he simply made the “deliberate
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�decision to do everything alone” (Mearleau-Ponty, 1960, p. 52) because he is in a crisis,
as Merleau-Ponty has observed in children of this age group? Or is he legitimately
resisting the mode of being which Heidegger calls the “they,” in favor of a grasp on the
world? Instances such as his insistence on walking with the “not heavy” firefighter’s
helmet support the former, but the sincerity and seriousness that accompanied each
“Why?” he asked sway me towards the latter. One could tell he was making actual
judgments and not necessarily just trying to get attention.
I felt conflicted trying to discipline Digby when his questioning didn’t have a
legitimate answer. I didn’t want to be responsible for enforcing the “they” on his being.
Sometimes, however, I found myself answering as Mrs. Hutchinson inevitably would,
“That’s what we do.” But who is this we? It is not a definite subject. It is precisely what
Heidegger maintains as the averaging out of others. It’s the fail-safe of such questioning,
because it absorbs Digby’s responsibility to his potential of being. “You can’t do this,
because we don’t do it. You’re one of us, aren’t you?” and that’s that. He will inevitably
exist in the mode of the “they” within this school system. He tries to resist it as far as he
can, but when threatened with a timeout in his cubby, “theyness” won out. Any time he
was scolded for “not doing the right thing” he gave an excuse. He wasn’t doing the
“wrong” thing, existentially, but it conflicted with the “they.”
What is so attractive about childhood when looking at this concept is that we can
observe such unbridled resistance to “theyness,” because the consequences are by no
means harsh. Perhaps the most compelling moment of authenticity with Digby was when
he had felt threatened by Akim and when Mrs. Hutchinson tried to change his way of
understanding the situation. Her reasoning didn’t suffice because it didn’t apply to his
being, but to the “they.” She couldn’t convince him that everything was suddenly okay
because, “we’re all friends.” He has no legitimate reason to believe he is a part of this
enforced friendship. I don’t blame him for shrugging his shoulders.
Given the ‘virtual’ self and Merleau-Ponty’s explanation of our objectification
and distinction of self and others and the imitative nature of childhood, is pre-school
system actually detrimental to a child’s understanding of the world? The child is
vulnerable to accepting what his or her teachers tell him or her. The child is still
connected with the reality of subjective meaning and we enforce a false objective
meaning onto his or her understanding of the world. This is bound to nurture the anxiety
over nothingness that we discussed in the introduction. The school system feels the need
to impose these meanings on the child in order to keep them in line, when those in charge
don’t even necessarily believe them. Is there any way around imposing a “theyness?”
Heidegger would most likely say “no.” Is there at least a better way? Exploring the
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�existential understanding of self and its implications on authenticity in childhood have
proven useful for reconsidering the way we educate the youth who are just “becoming.”
Perhaps we will find a way to create a more authentic way of being, by intervening, or
not intervening, in the child’s development.
III. References
1. Heidegger, M. (1996). Being and Time. (J. Stambaugh, Trans.). Albany: SUNY
Press. (Original work published 1953).
2. Jung, C. G. (1958). The Undiscovered Self. (R. F. C. Hull, Trans.). New York:
Mentor.
3.
Laing, R. D. (1960). The Divided Self. London: Tavistock.
4.
Merleau-Ponty, M. (1964). The Primacy of Perception. (W. Cobb, Trans.). Chicago:
Northwestern University Press. (Original work published 1960).
5.
Sartre, J. P. (1956). Being and Nothingness. (H. E. Barnes, Trans.). Boulder:
University of Colorado. (Original work published 1953).
71
��Section III: Critical Essays
�Julia Alvarez and the Dominican Republic:
Recovering the Female Voice
Ashley Martin (English)1
“The night we fled the country, Papi,
You told me we were going to the beach,
Hurried me to get dressed along with the others,
While posted at a window, you looked out
At a curfew-darkened Ciudad Trujillo
Speaking in worried whispers to your brothers,
Which car to take, who’d be willing to drive it,
What explanation to give should we be discovered…”
Julia Alvarez expertly depicts the sheer terror which she felt upon fleeing her
homeland in this excerpt from “Exiles.” The poem, a component of the poetry book El
otro lado, describes the moment in which Alvarez’s family fled the Dominican Republic
in 1960 to escape the tyranny of Rafael Leonídas Trujillo. Alvarez’s father had been
involved in an unsuccessful underground plot to topple the horrid dictator and the family
just barely escaped to the safety of the United States. This evening, which represents a
monumental turning point in the life of an innocent Dominican girl, serves as a major
component of Julia Alvarez’s career as a contributor to Latina literature. Through this
brief poetic recollection of the eve on which Alvarez left the Dominican Republic,
significant social truths concerning the Dominican identity are revealed; an identity that
Alvarez embodies in her literary voice. These ideals include the exposition of a distinct
patriarchal strain that runs through the very core of Dominican culture. This ideal of
patriarchy is displayed in Papi’s forceful and controlling voice as his family is forced to
flee the country. More significantly, this brief poem exhibits the patriarchal tendencies
which pervade the political atmosphere of the Dominican Republic as Trujillo is depicted
as a supreme authority figure who is feared by all who surround him. Even at her young
age, Alvarez recognizes the tyrannical nature of Trujillo’s rule, which later contributes to
the subject matter and thematic choices of many of her literary works. Specifically, three
of Alvarez’s novels present these ideals concerning patriarchal tendencies with respect to
1
This honors thesis was written under the direction of Dr. Marilyn Kiss (Languages) in
partial fulfillment of the Senior Program requirements.
74
�the family environment and the political atmosphere of the Dominican Republic.
Alvarez’s best known novel, In the Time of the Butterflies, explores the heroic resistance
of the legendary Mirabel sisters, known as Las Mariposas, who are murdered for their
opposition to Trujillo’s patriarchal regime. Alvarez’s How the Garcia Girls Lost Their
Accents documents one family’s immigration to the United States from the Dominican
Republic and the way in which their cultural ideals are altered when placed in an
environment that differs from their homeland. Finally, In the Name of Salomé tells the
story of Salomé Henríquez Ureña, the poet laureate of the Dominican Republic and her
daughter Camila’s struggle to find her identity within her estranged native culture.
In reference to Alvarez’s literary work, critic Jacqueline Stefanko eloquently
articulates a fundamental purpose of Julia Alvarez as a writer. As Stefanko remarks,
“poetry and stories of U.S. women of color are repeatedly about writing, about access to
the power to signify” (51). This notion that Latina writing exists as an avenue for change
to occur is particularly related to Alvarez’s writing, especially concerning the
transcendence of cultural constraints. Undoubtedly, the novels of Julia Alvarez expose
various cultural truths which exist in the Dominican culture and contribute to the creation
of Alvarez’s strongly Latina narrative voice. This Latina voice is adopted by individuals
who were “silenced for centuries by a patriarchal Latino culture, as well as the
historically male-dominated literary world” as they express the complexities of the LatinAmerican culture (Sirias 13). Such patriarchal cultural truths are fundamental to the
development of characters, setting, plot and narrative structure, as demonstrated by In
The Time of the Butterflies, How the Garcia Girls Lost Their Accents and In the Name of
Salomé. Specifically, these aspects of Dominican culture are primarily concerned with
the concept of patriarchy both within the family, the government and society in general.
This concept of patriarchy is closely correlated with the idea of machismo, which is
defined as an arrogant attitude that considers men superior to women: “The concept of
machismo connotes a man’s strength, bravery, power, and importance. These qualities
represent the embodiment of the ideal male within a patriarchal society” (Sirias 79). Each
of these novels skillfully weaves opposing machismo and feminist ideals in such a way as
to expose the true nature of patriarchal tendencies in the Dominican society. Such
patriarchal ideals, which exhibit man’s superiority and bravery, perhaps have stemmed
from the spiritual rape and conquest of Latin America (Mirandé 35). This alternate
philosophy regarding the concept of machismo is articulated by renowned philosopher,
poet and Nobel Laureate, Octavio Paz and his own belief that:
machismo developed as Mexican men found themselves unable to protect
their women form the Conquest’s ensuing plunder, pillage and rape. Native
men developed an overly masculine and aggressive response in order to
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�compensate for deeply felt feelings of powerlessness and weakness.
Machismo, then, is nothing more than a futile attempt to mask a profound
sense of impotence, powerlessness, and ineptitude, an expression of weakness
and a sense of inferiority (Mirandé 36).
Such an alternative philosophy concerning machismo is remarkably displayed in
each of Alvarez’s novels as she exposes the true nature of patriarchal constraints in the
Dominican Republic.
As is demonstrated in Alvarez’s works, particularly these three novels, the
author’s native culture is dominated by this sense of macho patriarchy. Through the
crushing political oppression of Trujillo’s regime, this patriarchy is blatantly negative.
This same patriarchy yields less severe consequences when viewed through the context of
familial relationships, but nonetheless pervades to the very root of Dominican society.
As Stefanko quotes concerning Alvarez’s works, “The patriarchal confines of the family
and the church are placed in direct connection to the patriarchal and totalitarian
functioning of the state, establishing a relationship between feminism and socialism”
(59). Though such deeply rooted tendencies are engrained into the backbone of
Dominican society, Alvarez creates characters who fight this patriarchal oppression. In
doing so, Alvarez reveals a stirring portrait of the innate capacity all individuals possess
to be liberated; a capacity which all possess, but which few fully realize.
The history of the Dominican Republic is one of tragic instability and frequent
oppression. As is articulated in Alvarez’s In the Name of Salomé, “in fifty years, we’ve
had over thirty different governments. Again and again our dreams are destroyed”
(Salomé 300). This tragic reality encapsulates the political instability which the
Dominican people have endured throughout their history. A major component of this
political turmoil can be attributed to the United States intervention in the Dominican
Republic which occurred from 1916-1924, as it capitalized on the fragile nature of the
Dominican government. Seizing the opportunity to control economic facets of this
neighboring country, “defenders of the protectorate justified it by pointing to the
country’s history of political violence and instability” (Caldor xii; Gonzales 69). During
this eight-year occupation, the Dominican culture was markedly altered due to the
influence of U.S. troops and institutions. Paramount among these alterations was the
creation of institutions and organizations which were intended to maintain control of the
Dominican people. As Gonzales states in reference to this notion of control, “The
occupation’s lasting legacy was the national police. As soon as they landed, the marines
set about building a modern force that could control the population permanently” (72).
The national police, known as the guardia, would prove to control the Dominican people
with devastating consequences for a number of decades. Continually operating under the
76
�pretense of noble intentions, the guardia gloried in the absolute power they had over the
inhabitants of an entire country. As Fifi Garcia remarks about her memory of the
Dominican Republic, “the property would be overrun by the guardia in ‘routine searches
for your own protection’….As for the violence around us, the guards’ periodic raids, the
uncles whose faces no longer appeared at the yearly holiday gatherings, we believed the
national slogan – ‘God and Trujillo are taking care of you’” (Garcia Girls 226-227).
Such a statement illuminates the extreme patriarchal sentiments upon which the entire
infrastructure of Dominican politics is built as Trujillo emerges as a divine authority
figure, capable of employing guardia to fulfill his every desire.
Rafael Leonidas Trujillo’s rise to power in Dominican politics is directly
correlated with the United States occupation of the country and the establishment of the
national police force. As a former security guard at a sugar plantation, Trujillo was
noticed: “American commanders, impressed by the young man’s intelligence and
leadership ability, promoted him rapidly through the ranks” (Gonzales 72). With his foot
in the “door of political power,” Trujillo quickly gained total control of the country,
proclaiming himself president in 1930. Described as a “genius of power,” Trujillo’s
regime was characterized by corruption and brutality as he seized complete control of his
people through the employment of fear (Crasweller 4). This fear was constructed to pit
Dominican against fellow Dominican: “No man could know whether his neighbor, or his
lifelong friends, or even his brother or son or wife, might inform against him…Everyone
feared. No one trusted anyone” (as cited in Gonzales 117). In reference to this drive for
complete power invoked through fear, Crasweller states, “The extraordinary need for
adulation and for the proliferation of his name reflected…his knowledge of the political
uses of vanity and adulation” (74). Such a statement exposes the striking sentiments of
machismo that Trujillo possesses as a Dominican patriarch, as the Dominican authority
figure. Abelardo R. Nanita, Secretary of the President, articulates this notion of divinity
and supreme authority in his 1957 Biography of a Great Leader. This biography, written
at the height of Trujillo’s reign of corruption expresses the sheer glorification which the
dictator enjoyed as “father of his country” (104). Nanita declares, with painfully flowery
diction that this beloved “father” has restored a magnificent sense of peace to the
tumultuous Dominican government; “Blessed be a thousand times this Peace created by
Trujillo and eternal glory to the powerful hand that has brought it about!” (105). This
declaration exposes a strong notion of patriarchal power, as Trujillo, and his people as
well, regard this leader as an authority in possession of total power. Alvarez is adeptly in
tune with this concept of Trujillo’s deification as “dangerous, the same god-making
impulse that had created our tyrant” (as cited in Rich 169). Clearly, Trujillo’s firm belief
77
�in masculine power, which placed him as the over-arching father of all other Dominicans,
resulted in the creation of a cultural environment that promoted patriarchal ideals.
Though Trujillo’s regime was characterized by severe brutality and corruption,
the dictator himself possessed various insecurities that weakened the image of the
ultimate authority figure that he desired to portray. Any ruler can espouse fear in his
people and gain control through the employment of horrendous torturing of innocent
individuals. But what can such a ruler do when his people unite in an effort to combat
this oppression? Alvarez’s In the Time of the Butterflies explores the story of the
Mirabel sisters, who serve as a stirring example of Dominican resistance to the
oppression of Trujillo. This novel reveals that the true nature of Trujillo’s power is
revealed as the feminine resistance of the Mirabel sisters provokes the insecurity of this
tyrannical dictator. As these sisters, known throughout the underground as Las
Mariposas (the butterflies), combat the oppression of Trujillo’s regime, the dictator
himself “confides to one of his sycophants that only two problems remain to be solved;
the Catholic Church and the Mirabel sisters” in his achievement of total power over his
country (Diedrich 69). During November of 1960, “incensed by the opposition of these
attractive women whom he would have preferred as bedroom conquests, Trujillo
instructed Johnny Abbes Garcia [head of the secret police] to ‘terminate the Mirabel
problem’”(Diedrich 69). This order was fulfilled on November 25, 1960 as the Mirabel
sisters returned from a routine visit to their imprisoned husbands in Puerto Plata. On
their descent from the mountain prison, their jeep was ambushed by secret police and the
Las Mariposas were executed along with their driver. “The lifeless, bloodied bodies of
the three women and the driver were dragged out of the field and thrown into their jeep.
The jeep was driven to the edge of a precipice and hurled over” in Trujillo’s attempt to
explain the deaths as a tragic accident. This brutal slaughtering of innocent individuals
was intended to alleviate the thorny resistance to oppression that the Mirabel sisters had
forced into the dictator’s side, thus restoring El Jefe’s (The Boss) absolute authority.
However as historian Bernard Diedrich notes:
the cowardly killing of three beautiful women in such a manner had a greater
effect on Dominicans than most of Trujillo’s other crimes. It did something to
their machismo. They could never forgive Trujillo this crime. More than
Trujillo’s fight with the Church or the United States, or the fact that he was
being isolated by the world as a political leper, the Mirabels’ murder tempered
the resolution of the conspirators plotting his end (Diedrich 71-72).
Thus, the legacy of the feminine resistance of the Mirabel sisters effectively reverses the
patriarchal constraints of Trujillo’s dictatorship thereby illuminating the inherent
weakness of such a patriarchal façade.
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�Each of Alvarez’s three novels exhibits the negative effect that the Trujillo
regime has on Dominicans as characters either flee from the country to escape his
tyranny, or in the case of the Mirabel sisters, suffer the ultimate consequence; death. The
influence of Trujillo’s patriarchal and absolute rule is disclosed immediately in In the
Time of the Butterflies as Dedé Mirabel remembers a scene from her childhood. As the
Mirabels relax quietly on their porch one evening, the high-minded teenage Minerva
makes a remark about the Dominican political environment. To this Papi Mirabel
responds “a little loudly” that Trujillo is in need of assistance in terms of ruling the
country (Butterflies 10). Dedé’s memory following this remark encapsulates the sheer
terror that El Jefe maintains in his country as she states: “Suddenly the dark fills with
spies who are paid to hear things and report them down at Security. Don Enrique claims
Trujillo needs help in running this country. Words repeated, distorted, words recreated
by those who might bear them a grudge, words stitched to words until they are the
winding sheet the family will be buried in when their bodies are found dumped in a ditch,
their tongues cut off for speaking too much” (Butterflies 10). In spite of the cloak of
brutality which is draped over the country by Trujillo’s rule, Dominicans must broadcast
their undying devotion to their great leader should they wish to remain safe from the evils
of the regime. This notion is articulated by Minerva as she describes the national
atmosphere during her time at school in 1944. As she refers to the new history book,
“with a picture of you-know-who embossed on the cover” she receives at the beginning
of the school year Minerva states, “Our history now followed the plot of the Bible. We
Dominicans had been waiting for centuries for the arrival of our Lord Trujillo on the
scene. It was pretty disgusting” (Butterflies 24). Minerva’s acquired understanding of
the true atrocities of Trujillo’s regime exists as the foundation for her attainment of a
feminist socialist consciousness as she matures into a rebellious young Dominican.
Minerva Mirabel’s resistance to the political oppression of Trujillo’s
government is best expressed through her actions at the Discovery Day Dance, which
serves as a critical point in Minerva’s movement of resistance to this cruel dictator. The
scene of the Discovery Day Dance takes place in one of Trujillo’s magnificent mansions
where all of the wealthy and dignified Dominicans in the area have gathered to celebrate
Columbus’ discovery of the New World. In reality, this event is simply another occasion
during which Trujillo will be honored as the saintly and heroic ruler of the Dominican
Republic. Trujillo, who has clearly taken a physical liking to Minerva, requests that she
dance with him, which initiates an uncomfortable exchange of words between the
rebellious Mirabel daughter and El Jefe. As they dance, Trujillo attempts to seduce
Minerva as he specifically voices his desire to “conquer this jewel [Minerva] as El
Conquistador conquered our island” (Butterflies 99). The dictator’s use of the word
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�“conquer” highlights the extreme machismo sentiments he possesses in terms of the sense
of power and control he associates with his romantic relationships. Trujillo continues to
over-step his boundaries as Minerva narrates the conclusion of their dance: “He yanks me
by the wrist, thrusting his pelvis at me in a vulgar way, and I can see my hand in an
endless slow motion rise –a mind all its own –and come down on the astonished, madeup face” (Butterflies 100). This profound incident marks the beginning of Trujillo’s
formulation of dislike and fear concerning the opposition which Minerva and the other
Mirabel sisters begin to voice in resistance to his regime. This literal slap in the face
which Minerva bestows upon El Jefe serves the figurative purpose of awakening his
awareness to the complex network of resistance which exists under his very nose.
Essentially, Minerva’s shocking blow represents a blatant statement of resistance from
the Dominican people who are tired of the silence and fear in which they live under the
regime of this horrendous dictator. Clearly, the distinctly patriarchal characteristics of
Trujillo’s rule provoke opposition from not only the Mirabels, but also the entire country,
as Dominicans struggle to break free from the confines of El Jefe’s tyranny.
Throughout each of the three novels discussed in this study, Alvarez skillfully
weaves the customs and patriarchal tendencies of families into a commentary on the way
in which these ideals penetrate the Dominican home environment. An integral aspect of
each familial environment is the notion of masculine superiority, which is related to the
concept of machismo. In each of the families Alvarez portrays, the father figure exists as
the unquestionable authority figure who should be honored and respected for his duties as
the protector and provider of the household. In In the Time of the Butterflies, the
character of Papi Mirabel exemplifies this typical role of the family patriarch in regards
to his attitudes and actions. Early on in the novel, it becomes clear that Papi Mirabel is
ashamed of his failure to produce a male offspring, which negatively affects his selfconcept in light of the macho Dominican culture. As Alvarez provides a description of
each of the four Mirabel daughters, she refers to the youngest, Maria Teresa, as Papi’s
“final desperate attempt at a boy misfiring” (Butterflies 8). In an effort to “save his
masculinity” and produce male offspring, Papi Mirabel breaks the ties of family loyalty
and proper moral conduct when he engages in extramarital affairs with a female worker
on his plantation.
As Papi attempts to produce male lineage with his “family on the side,” Minerva
inadvertently discovers his secret while on a “getaway rampage” though the plantation
(Butterflies 85). Already in a frantic state concerning her father’s meddling with private
letters she received from the well-known political agitator, Lío Morales, the uncovering
of this affair is not taken lightly. As Minerva notices her father’s Ford parked outside
one of the huts of his campesino workers, she observes four young girls standing outside,
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�“staring with their Mirabel eyes” (Butterflies 85). It takes but a second for Minerva to
compile the evidence and conclude that these girls are indeed her stepsisters as she
questions the eldest, “Who is your father? Do you have a brother?” (Butterflies 86). To
this reply Minerva notes, “It was delicious revenge to hear them murmur, ‘No señora.’
Papa was not going to get the son he wanted, after all!” Such a reaction indicates the
tremendous significance which is associated with bearing male offspring and exposes the
nature of patriarchal ideals with respect to Papi Mirabel and his family.
To demonstrate further the influence of patriarchal ideals regarding Papi’s affair,
the conversation between Papi and Minerva in which he provides an explanation for his
misdoings is particularly significant. When Minerva questions him for a reason why he
pursued these extramarital relations, Papi Mirabel replies, “cosas de los hombres; things a
man does” (Butterflies 92). Minerva’s narration of this moment goes on to comment on
Papi’s explanation by exclaiming, “So that was supposed to excuse him, macho that he
was!” (Butterflies 92). Such a statement is indicative of the machismo belief that men are
entitled to certain actions for which they are excused due to their superior gender.
In the aftermath of this crushing discovery, the Mirabel women struggle to
reconstruct the image of their father, the supposed anchor and ultimate provider of the
family. In particular, Minerva and Mami emerge from this incident with an altered
understanding of the Mirabel patriarch. During another heated debate concerning his
affair, Papi violently slaps Minerva as he declares, “‘That’s to remind you that you owe
your father some respect!’” (Butterflies 89). Such a declaration is Papi’s obvious attempt
to cling to his machismo ideals of honor and male superiority. However, Minerva’s
revelation which occurs after this blow is extremely revealing of the true motives of
Papi’s words and actions. As Minerva describes her newfound understanding, “It hit me
right then and there, it hit me harder than his slap: I was much stronger than Papa, Mama
was much stronger. He was the weakest of all. It was he who would have the hardest
time living with the shabby choices he’d made” (Butterflies 89). Minerva’s statement
signifies that the patriarchal ideal upon which Dominican society is built is to some
degree a façade behind which resides a complex network of feminine strength.
Such an environment of blurred gender roles is revealed through the character of
Mami Mirabel in her response to her husband’s adultery as well as in her role in the
household and family. As Minerva noted, Mami was “much stronger than Papi,” which
contradicts the image of patriarchal power that Papi has painted of himself. However,
specific examples exist within the novel that demonstrate that Papi does not always “wear
the pants” in the Mirabel household. The first instance of Mami’s superior role
concerning family decisions occurs early in the novel when the issue of the daughters
attending boarding school is raised. Mami was strongly in favor of the girls enrolling,
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�presumably due her desire for her children to be literate, unlike herself. However, Papi
resists with the vague argument, “What’s wrong with us” [like we are] (Butterflies 12).
Ultimately Papi “caved in, but said one of us had to stay to help mind the store. He
always had to add a little something to whatever Mami came up with. Mami said he was
just putting his mark on everything so no one could say Enrique Mirabel didn’t wear the
pants in his family” (Butterflies 12). Such a statement bears the implication that Papi’s
role is inferior to Mami’s, but must exist behind the façade of male patriarchy and
dominance. Additionally, Mami’s clout in decision-making is expressed when Papi is
arrested by Trujillo’s SIM. While Papi “nods absently” voicing pathetic excuses, Mami
valiantly proclaims, “If he goes, I go” (Butterflies 103). Clearly, in crucial times of
decision, Mami is the Mirabel parent who asserts herself and maintains her powerful
voice. In response to Mami’s courageous offer to be condemned with her husband, Papi
nods, “looking like he’ll agree to anything” (Butterflies 103). Again, Papi demonstrates
an inferior familial position, which contrasts with the patriarchal ideals and superiority he
generally expresses.
Through the depiction of the character of Patria in In the Time of the Butterflies,
Alvarez also displays the patriarchal norms in Dominican culture. In reference to her
marriage, Patria states, “Like every woman of her house, I disappeared into what I loved
coming up now and then for air. I mean, an overnight trip to my girlfriend’s, a special set
to my hair, and maybe a yellow dress” (Butterflies 148). In such a statement, Alvarez
portrays Patria as a Dominican woman who allows herself to be drowned in the
patriarchal ideals of her society, only surfacing for a few feminine luxuries. Throughout
Patria’s portion of the novel, she repeatedly refers to the macho nature of her husband,
Pedrito and her submissive role in their marriage. For example, Pedrito vulgarly refers to
the nature of the couple’s afternoon “siestas” in front of their teenage children, Nelson
and Noris, which displays his macho tendencies. Clearly, the influence of macho ideals
not only affects the physical aspects of her marriage environment but also manifests itself
inside her mind, resulting in her skewed and inferior sense of identity.
Additionally, Pedrito possesses a profound pride in his patrimonio, the land he
farms, which has belonged to his family for three generations. Pedrito assumes that his
son, Nelson, will follow in his footsteps, which Patria knows to be against the eldest
son’s wishes. However, initially, Patria refuses to argue with Pedrito because doing so
would be harmful to his self-concept and pride in his patrimony. In this way, Patria
demonstrates her submissive role and compliance with the patriarchal tendencies of her
family environment. Though here “patriarchal indoctrination causes her, at first to accept
the belief that women should not be involved in public affairs of politics,” Patria
eventually affirms her commitment to the liberation of her country from the patriarchal
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�oppression of Trujillo. (Stefanko 60). This adjustment is verified when the Mirabel
sisters become involved in the underground movement to remove Trujillo, causing
Patria’s inferior role to morph into one of decisive power over her husband. When Patria
informs Pedrito that she has joined her sisters in the resistance, he replies with fury
stating, “Your first responsibility is to your children, your husband, and your home!”
(Butterflies 166). It is at this climatic moment that Patria asserts herself as a superior
power as she states, “I wanted to hurt the man in front of me. And so I told him. His first
born did not want his patrimony. And what was more, I knew for a fact that he [Nelson]
was already in the underground with his uncles” (Butterflies 116). Upon hearing this,
Pedrito succumbs to the wishes of his wife and allows the family’s involvement in the
underground movement. Pedrito’s hasty reversal suggests that perhaps his demonstrated
dominance in the familial environment was less substantial than he led others,
specifically Patria, to believe. Similar to the dynamic of Papi and Mami Mirabel’s
marriage, Patria and Pedrito appear to exhibit the same network of feminine strength
behind a front of male superiority.
As the Mirabel sisters begin to carry the revolutionary torch following
Minerva’s lead, they approach Dedé with an invitation to join the underground
movement. However, as Stefanko concisely quotes concerning Dedé’s character, “she
chooses to remain loyal to tradition, standing by her husband and his decision to remain
disengaged from the political sedition” (60). This loyalty to traditional patriarchal values
is represented repeatedly as Dedé defers responsibilities and decisions to her husband,
Jaimito. When her sisters ask for permission to use Dedé’s farm as a secret meeting
location, she responds that she must first ask Jaimito. As a rebuttal to the disappointed
reaction she receives from her sisters, Dedé retorts, “What? I should go over Jaimito’s
head? It’s only fair. He’s the one farming the land, he’s responsible for this place”
(Butterflies 176). Dedé’s statement of her inferior role in the household confirms her that
notion that patriarchal ideals are embedded in her own concept of self. The excessively
patriarchal personality of her husband also contributes to Dedé’s submissive state of
existence, which is demonstrated profoundly in the naming of their children. Each of
their five boys bears the name of Jaimito, differing only by middle name. Clearly,
Jaimito is the man of the family, a role which he obviously exaggerates due to the
feminine environment in which he was raised. The only son of eight children, “Jaimito
had taken the man-of-the-family role with a vengeance. Even his mother said he was
worse than Don Jaime [his father] had ever been” (Butterflies 187). In light of this overly
macho atmosphere, Dedé finds herself lost, unable to escape the familial restraints which
bind her. She gives this as a reason, when asked why she did not unite with her sister’s in
their cause: “Back in those days, we women followed our husbands. Such a silly excuse”
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�(Butterflies 171-172). Similar to the manner in which Patria escapes the patriarchal
confines of her family environment, Dedé also realizes that she must escape; however,
for Dedé, this realization comes too late.
In How the Garcia Girls Lost Their Accents, Alvarez’s depiction of Papi Garcia
reveals similar macho tendencies. The father of four girls, the patriarch of the Garcia
family is continually reminded of the characteristics of his offspring with the popular
exclamation, “All girls, no boys!” (Garcia Girls 40). In Alvarez’s native culture, not
having a son is a sign of weakness, as is expressed by Mami’s apologetic reply to the
popular comment, “No. Just the four girls” (Garcia Girls 41). Alvarez, in a narrative
section about the Garcia family, comments, “No one really knew if he [Papi] was secretly
displeased in his heart of hearts that he had never had a son” (Garcia Girls 40).
However, the apologetic response of Mami Garcia seems to answer such a question, as
the fundamental truths about Dominican culture are revealed through her feelings of
inadequacy. As is demonstrated by the significance of macho ideals throughout this
novel, Alvarez provides a clear portrayal of a culture which is deeply rooted in
patriarchal principles.
In addition to the patriarchal ideals displayed in How the Garcia Girls Lost
Their Accents, Alvarez also makes statements concerning the way in which these values
are altered when characters leave the Island for America. In this novel, characters adjust
to certain principles as a result of their assimilation into a new American culture. For
example, the actions of Cousin Mundin, who is around the same age as the teenage
Garcia girls, exemplify this notion of altered patriarchal ideals in America, as compared
to the Dominican Republic. One of the Garcia girls, Yolanda, remarks on Cousin
Mundin’s behavior as she states, “‘When he’s in the States, where he went to prep school
and is now in college, he’s one of us, our buddy. But back on the Island, he struts and
turns macho, needling us with the unfair advantage being male here gives him’” (Garcia
Girls 127). Similarly, the once feisty and rebellious Fifi Garcia, retracts backwards into
an identity of submission when she is sent from America to live on the Island for a year
as punishment for her feminist behaviors. Here she surrenders to the patriarchal culture
and her new fiancée, “letting him tell her what she can and cannot do” (Garcia Girls
120). In constructing such characters, Alvarez emphasizes the significance of patriarchal
ideals in her native culture as they contrast decidedly with the more liberal backdrop of
the American culture.
In the Name of Salomé also displays the intense patriarchal tendencies upon
which the foundation of Dominican culture rests. Both Salomé’s father and her husband
Pancho exhibit severe examples of machismo with respect to sexuality and assumed male
superiority. From an early age, Salomé is introduced to her father’s macho nature as he
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�bluntly educates her on the roles of men and women in sexual relationships. As Papi
drunkenly quotes to the teenage Salomé, “women age from the bottom up, men from the
bottom down” (Salomé 55). Such a statement encapsulates the offensive manner in
which gender distinctions are referred to by males such as Papi. Similarly, concerning
the negative response Salomé receives from the public for the passionate nature of her
poetry she questions, “Why was it all right for a man to satisfy his passion, but for a
women to do so was as good as signing her death warrant?” (Salomé 144-145). This
inquiry provides a poignant example of the inequality which exists concerning gender
roles in familial and social environments. In a similar manner, Pancho speaks to the
household with a privileged and superior tone, which is reflected in his response to the
family’s rearrangement of hired help. When Pancho’s preferred maid is relocated to the
family’s beach house, he protests, “But who will serve me breakfast?” a statement which
painfully portrays his typically macho expectations (Salomé 99). Additionally, in the
wake of Salomé’s illness, an argument ensues between Pancho and Salomé’s doctor
concerning which treatment is best for her tuberculosis. As Salomé describes this
argument, it becomes clear that macho ideals have eclipsed the true purpose of the
discussion. She comments, “the two doctors were engaged in a medical cockfight of
sorts. Both had forgotten about me” (Salomé 261). By referring to the argument as a
“cockfight,” Alvarez, through the voice of Salomé, is effectively commenting on the
notion of male dominance which exists in the culture of her homeland.
Finally, the failure of Pancho and Salomé’s marriage is also directly related to
patriarchal ideals of male superiority. Similar to Papi Mirabel’s affair with his campesina
mujer, Pancho also seeks external satisfaction when studying in Paris. Upon returning to
the island, Pancho expects Salomé to simply disregard his extramarital affairs, a
demonstration of his macho ideals. However, Salomé will not accept his excuse, will not
exonerate him upon the grounds of his gender. Rather, she states with conviction, “Your
room is down the hallway. From now on, you go your way, and I go mine” (Salomé
256). Such an example of feminine convictions exposes a crucial point in life of Salomé
as she begins to escape the confines of the patriarchal society in which she was
previously bound.
In addition to the prominent patriarchal characters of Papi and Pancho, In the
Name of Salomé provides a broader example of a patriarchal community through the
description of characters and events. One such example occurs when Salomé visits a
poetry meeting at a rich Dominican household. Prior to the meeting, Salomé is coached
regarding proper female etiquette in social settings. She states, “Of course, women
guests are not allowed to participate in the discussion. I’ve been told to keep my mouth
shut unless asked ‘And what does the fair sex have to say about the future of fatalism’”
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�(Salomé 129). Clearly, the expectations of female involvement in the Dominican social
environment are closely aligned with patriarchal tendencies of male superiority. To
further display this sentiment, Salomé’s description of the welcome given to her by the
host of the party is particularly revealing of this patriarchal code of conduct: “Don Noel,
looking every inch the paterfamilias, offered us each an arm, but at just that moment, the
minister of culture and his wife arrived…We found our way to the spot where some of
the older ladies seemed to be congregating, and sat down wordlessly” (Salomé 129). This
seemingly trivial action succinctly identifies a critical issue in the Dominican culture: in
a society with a patriarchal foundation, women are briefly appreciated and regarded, but
ultimately are pushed aside to fulfill their silent roles as the inferior members of their
society.
As is clearly demonstrated throughout these three novels, Alvarez creates
characters who expose the patriarchal values of the Dominican society and the way in
which these values affect and hinder others. Specifically, Alvarez seeks to display the
connection between these patriarchal values and the creation of a feminist-socialist
consciousness. As women in her novels “shape their identity and negotiate the
vicissitudes of love,” so too are they forced to “respond to social and cultural forces”
(Simon 232). The creation of such an environment that combats the oppression of
traditional patriarchal forces is best demonstrated by characters in In the Time of the
Butterflies due to the inherently political nature of the plot. In this novel, “each of the
Butterflies represents a different facet of the political awakening of the Dominicans to the
evils of Rafael Trujillo’s dictatorship, as well as their need to foment a revolution” (Sirias
58). Through deliberate character development Alvarez skillfully portrays this gradual
realization of the extreme patriarchal oppression which exists in their society. In Part one
of the novel, the four Mirabel daughters are examined within the context of their
childhood and adolescence, as each matures and becomes aware of society outside of
their family. As Alvarez progressively heightens the political abrasiveness of the plot,
characters’ “eyes are opened, through various events, to the cruelty and injustices of
Trujillo’s dictatorship. Each sister, on her own, but with Minerva as catalyst, comes to
the painful awareness that Dominicans live in terror of their own government” (Sirias 5556). The development of Minerva’s character particularly reflects the struggle against
patriarchal oppression as she voices a resound opposition to the conventional constraints
into which she was born.
Minerva’s voice of opposition is first expressed in Dedé’s introductory passage
as she strongly declares her ideals to the family. In response to Mama’s anti-feminist
remark “Just what we need, skirts in the law!” Minerva objects; “It is just what this
country needs. It’s about time we women had a voice in running our country” (Butterflies
86
�10). Following Dedé’s section, Minerva’s narrative moves on to describe the maturation
of herself and her sisters. Through her opening lines, Minerva sets the tone for the
feminist-socialist consciousness as her voice is the first to emerge from oblivion
(Stefanko 59). This opening begins with Minerva’s memory of watching her rabbits in
their pens. She recalls feeling sorry for the creatures, confined by their wired prison-cage
and likens herself to the same sense of confinement. However, upon opening the cage
door in attempt to free one rabbit, it refuses to budge. Minerva’s response, “Silly bunny.
You’re nothing at all like me,” (11) exemplifies the notion that she is not confined by the
oppression of her character or gender. Such a realization of self-assertion and liberation
is absolutely crucial in Minerva’s development of a feminist-socialist consciousness.
Following the example of the caged bunny, Minerva then moves on to equate this
allegory to her escape from her family’s estate to boarding school. She reflects, “And
that’s how I got free. I don’t mean just going to sleep away school on a train with a
trunkful of new things. I mean in my head after I got to Immaculada and met Sintia and
saw what happened to Lina and realized that I’d just left a small cage to go into a bigger
one, the size of our whole country” (Butterflies 13). Such a statement effectively links
Minerva’s childhood to the awakening of political knowledge which will dictate her
adulthood as Alvarez foreshadows the impending events which will thrust Minerva onto
the stage of political activism.
Upon entering Immaculada, Minerva is confronted with several ideas and
occurrences which forever alter her perception of the world in which she lives,
specifically with respect to Trujillo’s regime. Minerva’s prior respect for her country’s
dictator quickly turns to hatred through the stories of two classmates, Sintia and Lina.
Sintia, dubbed a “charity-student,” emerges as Minerva’s first and closest friend in
Immaculada. Minerva soon becomes aware that Sintia’s apparent poverty is a result of
Trujillo’s destruction of her family. Although reluctantly at first, Minerva exhibits
growing hatred and disbelief as Sintia tells the horrid story of Trujillo, who is responsible
for the deaths of multiple uncles and her brother. This knowledge signifies Minerva’s
definitive entrance into the realm of political activism as she now comprehends the truths
of Trujillo’s tyranny and oppression. This coming of age is reinforced by the arrival of
Minerva’s “complications” on the eve that Sintia tells her story: “This event significantly
coincides with the process of de-mythification of Trujillo,” as Minerva has reached a
crucial juncture in her life (Zakrzewski 105). Furthermore, these physical and mental
complications that Minerva experiences that evening “invoke the complications of
knowledge and power within the context of Trujillo’s repressive regime” (Stefanko 59).
Essentially, the acquisition of this new knowledge presents Minerva with the complex
dilemma as opposition of Trujillo can have dangerous consequences. Nonetheless,
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�Minerva, the “uncageable bunny,” is prepared to take this dangerous step into political
activism. This preparation is further solidified when Minerva’s schoolmate, the beautiful
and elegant Lina, becomes one of Trujillo’s mistresses. “Used and abandoned, Lina ends
up locked away in a mansion behind iron gates,” which demonstrates Trujillo’s repulsive
patriarchal liberties. In Minerva’s eyes, “Lina’s story reinforces the enmeshing of
sexuality with issues of knowledge, power and politics, thus securing a foundation for
Minerva’s feminist-socialism….She also begins to engage in a critique of the government
and the record of history that seeks to deny her memories of ‘herstory.’ This critique
quickly leads to involvement in politically subversive activities” (Stefanko 59). As a
result of these transformative events in Minerva’s adolescence, she later moves on to be a
stronghold of underground resistance to the Trujillo regime, which ultimately results in
her imprisonment and murder.
Minerva’s interaction with her father’s “second family” also signifies important
alterations in her feminist-socialist consciousness. Upon first discovering that Papa has
been unfaithful, Minerva reacts malevolently, as she is unable to accept her father’s
betrayal. However, in the midst of her resentment, Minerva steps in to assist Papa’s other
family when he is imprisoned. As she delivers the weekly paycheck to their mother,
Minerva questions her: “The girls are not in school are they? May I enroll them when I
get back? You know as well as I do that without schooling we women have even fewer
choices open to us” (Butterflies 105). Though she could feel spiteful towards Papi’s
“family on the side,” Minerva recognizes the extreme importance of assisting her
stepsisters. Papi later question Minerva as to why she reacts so kindly to her stepsisters
to which she replies, “Things a woman does” (Butterflies 92). This response imitates
Papi’s macho explanation for why he engaged in his affair; “things a man does.” It is
with this simple phrase that Minerva reveals the complex network of feminine strength
that exists in her country even as a patriarchal facade casts its shadow on all inhabitants.
While Minerva Mirabel exhibits traits of political activism and resistance of
oppression from an early age, the other Mirabel sisters acquire this activism in a more
gradual manner as they mature in this turbulent time in Dominican history. The eldest
Mirabel sister, Patria, is portrayed initially as the steadfast religious sister who operates
within the prescribed gender roles of the Dominican culture. In contrast to Minerva’s
approval of the underground movement to remove El Jefe, Patria comments: “I couldn’t
understand why Minerva was getting so worked up. It’s dirty business, that’s why we
women shouldn’t get involved” (Butterflies 51). Clearly, the patriarchal confines of the
Dominican culture contribute to the suppression of Patria’s desires to resist the political
oppression of Trujillo’s regime. However, Patria soon reaches a revelation in which she
acquires the necessary strength and awareness to firmly establish her position as a resistor
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�of Trujillo as she joins Minerva in the underground movement. As Patria examines a
picture of the hated dictator, she realizes, “My family had not been personally hurt by
Trujillo…But others had been suffering great losses. There were the Perozos, not a man
left in the family…I had heard, but I had not believed” (Butterflies 53). From this point
on, Patria displays an alternative awareness of her position within the paradigm of the
Dominican culture as she sympathizes with the underground movement, thus acquiring
her feminist-socialist voice. A second revelation occurs when Patria embarks on a
religious retreat that serves as the catalyst that confirms her metamorphosis from
shackled housewife to political activist. During this retreat, Trujillo orders the military
to attack a unit of rebellious citizens who had been hiding in the mountains near the town
in which the retreat took place. As bombs are exploding in a harsh interruption of the
church retreat, Patria notices several boys from the underground movement running
towards her in their desperate attempt escape. Patria’s painful account of this gruesome
incident reveals her final revelation as she states: “I could see them clearly; their faces
bloodied and frantic…the third kept on running towards us. I looked in his face. He was
a boy no older than Noris [her daughter]. Maybe that’s why I cried out, ‘Get down son!’
His eyes found mine just as the shot hit him square in the back. I saw the wonder in his
young face as the life drained out of him, and I thought, Oh my God, he’s one of mine!”
(Butterflies 162). In response to this occurrence, Patria emerges on the stage of political
activism as she explicitly states that “coming down the mountain, I was a changed
woman” (Butterflies 162). Patria displays her altered sense of feminist-socialist
consciousness as she declares, “I’m not going to sit back and watch my babies die, Lord,
even if that’s what You in Your great wisdom decide” (Butterflies 162). Such a
statement, which reveals resistance not only to the political patriarch, Trujillo, but also to
God, the “ultimate patriarch,” is indicative of Patria’s escape from the confines of
patriarchal culture as she joins Minerva in the growing network of outward feminine
strength in the Dominican Republic.
The transformation of the youngest Mirabel sister, Maria Theresa, is perhaps the
most drastic of all the sisters as she emerges from utter naivety to embrace the
atmosphere of political activism. This is partially due to Maria Theresa’s young age,
thereby rendering her outside of the realm of understanding the atrocities of Trujillo’s
regime. This childhood naivety is displayed in Maria Theresa’s diary as she voices her
admiration of her nation’s president; “I am taking these few minutes to wish El Jefe
Happy Benefactor’s Day with all my heart. I feel so lucky that we have him for a
president. I am even born the same month he is. I keep thinking it shows something
special about my character” (Butterflies 37). This statement not only exemplifies the
deification which applies to the country’s view of Trujillo, but also demonstrates the
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�ironic idea that Trujillo is possessing of an admirable character. As history has proved,
and Maria Theresa later discovers, such a naïve conception of the Dominican leader is
utterly erroneous. As Maria Theresa utilizes her journal as a means by which to develop
her identity, she becomes progressively less naïve, particularly with regards to the
patriarchal culture in which she resides. As she becomes aware of the evils of Trujillo’s
patriarchal regime, Maria Theresa struggles to maintain a positive image of her familial
patriarch, Papi. However, upon Papi’s death, Maria Theresa becomes aware of her
father’s extramarital affairs and alternate family, which serves as a crucial point in her
development of a feminist-socialist consciousness. Again, this is revealed through her
diary as she comments on her father’s mistress: “I can’t believe she came to the funeral
mass with her girls, adding four more slaps to her big blow. I hate men. I really hate
them” (Butterflies 118). This incident marks the juncture between naivety and
maturation as Maria Theresa surfaces from the depths of cultural oppression and begins
to assume her place alongside her sisters in their resistance to Trujillo. This revolution is
gradual; as Maria Theresa expresses her approval of Minerva’s political activism, she
mentions that she herself “would never take up a gun” (Butterflies 123). Later, as Maria
Theresa is living with Minerva and her family, she discovers the truth about her sister’s
recent secretive actions: “Manolo and Minerva have explained everything. I told
Minerva right out, I wanted to join. I could feel my breath coming short with the
excitement of it all. I don’t want to be babied anymore” (Butterflies 142). Once again,
Maria Theresa’s journal entries demonstrate her development of a feminist-socialist
consciousness as her shifting attitudes and ideals are displayed. Ultimately, Maria
Theresa assumes the nickname of Mariposa #2 as she devotes herself entirely to the
underground movement, to which she surrenders her life in pursuit of liberation.
Known as the “sister who survived,” Dedé Mirabel presents an alternative
example of a Dominican female acquiring a feminist-socialist consciousness. Though
Dedé makes steps towards freeing herself from the patriarchal shackles of her marriage,
she ultimately “remains loyal to tradition, standing by her husband and his decision to
remain disengaged from the political sedition” (Stefanko 60). During the passages in the
novel in which Alvarez describes the teenage years of the Mirabel sisters, it is evident
that Dedé possesses a traditional understanding of her role as a female in the Dominican
culture. This is expressed in Alvarez’s description of the teenage Dedé: “Truly she has
always considered sports – like politics – something for men” (Butterflies 69). Dedé’s
conventional sense of female inferiority is questioned when she becomes aware that Lío
Morales, the man to whom she feels romantic attraction, is in fact an enemy of the state.
Previously unaware of Lío’s political beliefs Dedé states that she “didn’t know Lío was a
communist. She had assumed such people would be self-serving and wicked. But Lío
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�was a fine young man with lofty ideals and a compassionate heart. Why then, Minerva
was an enemy of the state. And if she, Dedé, thought long and hard about what was right
and wrong, she would no doubt be an enemy of the state as well” (Butterflies 75). Such
a revelatory passage exposes a shift in Dedé’s ideals with regards to the acquisition of a
feminist-socialist consciousness. However, for Dedé, an awareness of the need to break
the confines of a patriarchal culture never transforms into a concrete resolve or sense of
action, as she chooses not to join her sisters in their underground movement. Following
an argument with her intensely patriarchal husband, Dedé is presented with an
opportunity to leave the constraints of her marriage and participate in the revolutionary
cause to which she has already internally committed herself. When faced with the
prospect of actually taking part in the cause, Dedé crumbles, but not because of her
failure to transcend the patriarchal restrictions of her culture. Dedé states, “Jaimito was
just an excuse. She was afraid, plain and simple” (Butterflies 184). To further
demonstrate the fear which Dedé possesses in terms of liberating herself she remarks,
“The problem is when I open my eyes and see for myself” (Butterflies 189). Again, the
notion is presented that Dedé’s failure to act against the oppression of Trujillo’s regime is
an inherent component of her character, not the result of her submission to traditional
roles of women in a patriarchal society. Though Dedé wishes she could be brave and join
Las Mariposas in their resistance to oppression, she is unable to access the inner strength
necessary to resist despite the obvious negative consequences of participating in the
underground movement. However, Dedé bravely emerges from the tragedy of her
sisters’ deaths as she “recognizes courage as her responsibility to narrate and renew the
story of Las Mariposas” (Stefanko 60). Just as Trujillo fed the revolutionary fire with his
execution of the Mirabel sisters, the retelling of their story places their legend in a role of
continued importance in the Dominican quest for liberation. As a survivor, the story that
Dedé tells “embodies the feminist-socialist paradigms her sisters generated in their
politically subversive activities, thus establishing the resistant and liberatory power of
narrative” (Stefanko 60). Essentially, since Dedé can tell the story of her sisters, their
sacrifice was not in vain as their legend continues to have real power in the world today.
This notion of the power of writing to convey worldly truths and initiate change is an
essential goal of Alvarez’s works.
In How the Garcia Girls Lost Their Accents, the four daughters also redefine
their cultural identities when in America as they make steps towards escaping the
patriarchal confines of their native culture. In contrast to a sheltered life on the Island
complete with restrictions and chaperones, the Garcia girls quickly adopted cultural
tendencies that would be inconceivable in a patriarchal Dominican society. Instead of the
Island life, “with chaperones and icky boys with all their macho strutting and unbuttoning
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�shirts and hairy chest,” the Garcia girls learned to love their new and more liberated
existence (Garcia Girls 109). This cultural revolution is displayed as Yo Garcia describes
her sisters’ actions when in boarding school: “We learned to forge Mami’s signature and
went just about everywhere, to dance weekends and football weekends and snow
sculpture weekends. We could kiss and not get pregnant. We could smoke and no great
aunt would smell us and croak. We began to develop a taste for the American teenage
good life, and soon, Island was old hat, man” (Garcia Girls 108). Yo’s statement reveals
a liberation of sorts, as the Garcia girls recognize their freedom and ability to transcend
the strict patriarchal restraints which had once bound them. However, this newfound
freedom is a bit overdone, which is demonstrated in Mami Garcia’s discovery of Fifi’s
bag of marijuana. Though the girls have begun to assert themselves as strong individuals
in society, capable of making their own choices, they are not exempt from the negative
consequences of these choices. Mami punishes Fifi by forcing her to spend a year on the
Island with her aunts, but does not inform Papi of the cause of this punishment. This
failure to recognize the male as the authority figure demonstrates a significant alteration
in the family dynamic of the Garcia family: “Mami asked us not to tell Papi unless we
wanted wholesale Island confinement. It’s possible that Mami had her own little
revolution brewing and didn’t want to blow the whistle on her girls and thus call attention
to herself” (Garcia Girls 116). Thus, each of the Garcia women exhibit liberatory
behaviors in America as Alvarez exposes an alternative picture of the role of women in
Dominican macho society.
In contrast to the amplification of patriarchal ideals when characters return to the
Island in Garcia Girls, the evolution of Mami Garcia in America demonstrates a sense of
feminist awareness; her own “little revolution” (Garcia Girls 116). In contrast to her
daughter Fifi’s backwards movement when she leaves America for the Island, Mami
exhibits a positive, forward movement in America as she breaks through the macho
constraints which held her captive before her immigration. In America, Mami begins
educating herself in such areas as real estate and business management as she dreams of a
“bigger-than-family-size life” (Garcia Girls, 116). In this way, Mami Garcia is
redefining her identity to transcend the patriarchal ideals with which she was forced to
comply back on the Island. Instead of yielding to a continued patriarchal family
environment in America, Mami takes some of the control away from Papi, especially in
the issue of whether or not to return to the Island once the political atmosphere stabilizes.
Despite Papi’s desire to return to his country, Mami approaches such a return with a
combative attitude: “She did not want to go back to the old country where she was only a
wife and a mother (and a failed one at that, since she had never provided a required son).
Better an independent nobody than a high-class houseslave” (Garcia Girls 144). As is
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�made evident by her thoughts, Mami has invented a new sense of cultural identity, one
which is no longer founded solely upon masculine and familial principles, but rather on
the capacity all individuals possess to succeed regardless of gender. Just as las
Mariposas break their prescribed gender roles and attempt to break free from their
patriarchal constraints, so too does Mami Garcia as she extracts herself from a previously
submissive familial role. Such liberation is indicative of a shift in the patriarchal
foundation of Dominican culture as an intricate network of feminine fortitude and
independence is exposed.
Salomé Ureña also exhibits the acquisition of a feminist-socialist consciousness
in In the Name of Salomé as her revolutionary poetry “seizes the imagination of a
shackled nation” (Salomé 358). As Salomé matures, she becomes aware of the acute
political dilemmas which exist in her homeland and she develops her poetic voice as a
means by which to express the oppression which she and fellow Dominicans are
enduring. At first hiding behind her pen-name, “Hermanita,” Salomé develops her
feminist-socialist consciousness and reveals her true identity to the Dominican people to
whom her poetry is directed. Salomé describes a decoration ceremony in which she is
proclaimed the poet laureate of the country, which exposes vital revelations with regards
to the place of the female poet in the patriarchal network of Dominican society. Salomé
depicts the scene of this celebration as she remarks, “Lines from the poem were recited
back to me. I bowed my head, acknowledging the applause….and a man’s voice cried
out, ‘What a man that woman is!’ It was meant to be a compliment, I suppose”
(Butterflies 141). Salomé’s internal reflection following this cry from a man in the crowd
demonstrates her altering sentiments concerning her identity as a female in a culture
which is rooted in machismo ideals. That Salomé recognizes that being referred to as a
man is intended to be a compliment, but refuses to accept this notion, indicates that she is
emerging from the shackles of the patriarchal culture in which she resides. As the
creation of poetry sparks Salomé’s awareness of the need to transcend the patriarchal
constraints of her culture, she takes steps towards the betterment of the female condition
in her country. Primary among such efforts is the establishment of a school for girls in
which Salomé and her sister, Ramona, provide the gift of literacy to young Dominican
girls. These young girls, who otherwise would be educated in such things as dinner
etiquette and sewing, are provided with an academic curriculum as the country moves
closer to the eradication of gender inequalities. Just as Minerva and the Mirabel sisters
encourage their stepsisters from Papi’s “other family” to attend school and become
literate, Salomé, with the opening of her school, recognizes that education will be the
crucial gateway through which such equality can be accessed in the Dominican Republic.
In this school that Salomé opens, “girls are encouraged to read, think, and start asking
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�‘unsettling questions.’ Besides her career as a poet, Salomé believes that as an educator,
she is also working to change the world” (Simon 233). This belief in the power of
education to break the patriarchal constraints which suppress women in the country is
also demonstrated in Salomé’s relationship with the youthful Tivista, whom she employs
as a maid. When Salomé discovers the young woman is attempting to teach herself how
to read, she encourages her: “Please continue, you are doing just fine!” (Salomé 266). To
this Tivista responds, “Ay, Dona Salomé, if my father finds out…” which indicates that
in the traditional patriarchal culture of her country, it is considered rebellious, even sinful,
for a woman to be educated. In reference to this idea of the silencing of women’s voices
and opinions in the Dominican Republic, Sirias comments on the effect the novel will
have amongst Latinas and other women: “It is the story of a renowned Dominican poet
and her daughter who speak on behalf of an entire population that historically has been
without a voice. That Julia Alvarez tells their story at all constitutes a significant victory
for Latinas” (143). Reaching out against this oppression, Salomé portrays a passionate
commitment to education through her encouragement of Tivista and the students in her
school. Salomé views such an education as the avenue by which to escape the
patriarchal confines of her native culture and find the resounding voices of the women
who were silent for so very long.
In addition to the depiction of the life of Salomé Ureña, In the Name of Salomé
contains a narrative portrayal of her daughter, Camila, who struggles from patriarchal
oppression even as she teaches literature in the United States. Camila, who leaves her
country in her teenage years, spends a lifetime teaching students at a small university in
the Northeast. It is during this time in the United States that Camila develops a new set
of moral standards that contrast with the strictly patriarchal beliefs of the Dominican
culture from which she fled. Perhaps the most profound example of this redefinition of
cultural values is the romantic relationship Camila initiates with her female colleague,
Marion. Such a relationship clearly places Camila on the outskirts of cultural
appropriateness in terms of what is expected of women in her native culture. Marion,
who represents a voice of feminism that beckons to Camila, thrusts her ideals concerning
equality onto this impressionable young Dominican. Camila recalls Marion’s response to
her native culture during a visit both of them took to the Island: “Somebody has to tell
these women that they are now living in the twentieth century!” These robust ideals that
Marion encourages Camila to adopt are not considered acceptable by Camila’s family.
Camila describes the painful nature of her relationship with Marion as a “constant tug of
war, caught as she was between her wild friend and her family, trying to keep the peace”
(Salomé 76). However, as is demonstrated by her lack of communication with her family
and her continued relationship with Marion through adulthood, Camila has effectively
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�escaped the traditional constraints of the Dominican culture, emerging with a profound
sense of personal feminine strength.
The narrative that Camila Ureña provides throughout In the Name of Salomé
also provides a commitment to education similar to that of her mother’s in terms of a
belief in the supreme power of education to break free from the limitations of the
Dominican culture. Camila, who spends the majority of her life educating wealthy and
privileged individuals at an American university, arrives at the realization that her gift of
education is much needed in her native country. At the age of sixty-two, she returns to
her homeland, and begins to educate the youth of her country as she finally realizes that
individuals must not escape their country in order to provide a movement of resistance.
Just as the Mirabel daughters remained in their country and fought against the patriarchal
oppression of Trujillo’s regime, Camila returns to her country in order to combat the
cultural oppression which persists. Surely, as Camila, Salomé and the Mirabels
understood, the key to change lies within the hearts and minds of the people and their
active resistance to the injustices which exist in the country. Camila articulates her
newfound sense of activism in her native country as she refers to the education of her
“young compañeros:” “The real revolution could only be won by the imagination. When
one of my newly literate students picked up a book and read with hungry pleasure, I
knew we were one step closer to the patria we all wanted” (Salomé 347). This statement
reveals the same commitment that Salomé possessed in her belief in education as the key
through which true equality could be made available in the Dominican Republic. Though
in the United States Camila was able to adapt her cultural identity to include aspects
which were not permissible in her native culture, she returns to her country strengthened
by these ideals and committed to the eradication of such patriarchal confines. In the final
scene of the novel, Camila encourages a young, illiterate boy to trace the name on her
mother’s grave, which is symbolic of the continual legacy of Salomé. Camila remarks of
this experience: “Together we trace the grooves in the stone, he repeating the name of
each letter after me. ‘Now you do it by yourself’ I say. He tries again and again, until he
gets it right” (Salomé 353). As is displayed by this touching scenario, Camila has
adopted the flame of educational activism that her mother ignited decades ago in an effort
to escape the limiting constraints of the culture into which she was born.
Clearly, in each of these three novels, Alvarez has created female characters
who expose the complex network of feminine strength and resistance to oppression which
exists amongst individuals in the Dominican culture. This creation of a sense of feministsocialist consciousness takes the form of political resistance in the case of the Mirabel
sisters, as well as social oppression regarding the Garcia girls and Salomé. This
development of active resistance and feminist consciousness is expressed not only
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�through the content of these novels, but through the narrative techniques that Alvarez
employs. Charlotte Rich, in her article concerning Alvarez’s narrative methods pinpoints
polyphonic narration as a superb vehicle through which the theme of resistance to
oppression is addressed. In addition, Rich states concerning Alvarez’s technique: “Other
formal qualities of the novel coincide with the fragmentary, diverse nature of its
polyphony: its mixed genres, from prose to graphic representations, and the chronological
disorder of the novel, which moves back and forth between the present and various points
in the past” (171). Specifically, Alvarez’s utilization of polyphonic narration further
confirms the notions of feminine resistance that her characters acquire throughout their
individual struggles. This narrative technique is classified as a compilation of multiple
narrative voices and is displayed in all of Alvarez’s novels. Each novel is divided into
episodic chapters told from the point of view of individual characters. This technique
creates “an intimate, immediate sense of the lives of the characters,” thus providing a
level of depth and connectivity that is not available through traditional monophonic
narrative form. As Rich states, “the most obvious manifestation of polyphonic
consciousness is the differing voice of the sisters, which cumulatively evoke the
experience of living under a political dictatorship in a way that transcends the narrative of
each individual voice” (166). In particular, Alvarez’s construction of multiple female
voices reveals a pattern concerning the acquisition of a feminist-socialist consciousness.
In each of these three novels, the shift from third to first person narrative is consistent
with each individual’s attainment of political and social awareness. In this way, Alvarez
effectively utilizes the power of writing in order to demonstrate the effects of feminine
resistance to the patriarchal confines of the Dominican culture.
Polyphonic narration is critical to the overall political message of In the Time of
the Butterflies as the altered political stance of characters is demonstrated through their
shift in narrative form. Such polyphonic narration “renders the form and discourse of the
text itself metaphoric of the novel’s central thematic focus: the Mirabel sisters’ work of
resistance against a totalizing force, the dictatorship of Rafael Trujillo” (Rich 166). It is
not a surprise that the character of Minerva Mirabel, known for her rebellious and
feminist personality, presents the first and most obvious example of a shift from third to
first person narrative. Minerva, “the most educated and overtly political of the four
sisters” reveals her resistance to oppression early on, which is exposed through her
adoption of the first person narrative (Rich 166). As opposed to the third person narrative
which characterizes the voices of her sisters in the beginning of the novel, Minerva
displays a strong sense of identity and conviction to the underground movement.
Therefore, Alvarez constructs Minerva’s voice to mimic this possession of a strong
96
�feminist-socialist consciousness as she eagerly joins the battle against the oppressive
Trujillo.
The youngest Mirabel, Maria Theresa, is the second sister who shifts her
narrative stance and speaks in the first person. This shift is consistent with the order in
which the individual Mirabel sisters joined the underground movement. Maria Theresa,
the second sister to commit herself to the resistance of Trujillo, presents her altered sense
of political activism through the employment of first person narrative. Again, this shift in
narrative stance is indicative of the acquisition of a more robust political voice as Mate
also exhibits her resistance to the patriarchal oppression of Trujillo’s regime.
Furthermore, the utilization of polyphonic narrative with respect to the development of
Maria Theresa, emphasizes the diverse viewpoints of each of the different sisters, as her
undying hopefulness contrasts with the Minerva’s bold voice and Dedé’s submissive
silence. Specifically, “Maria Theresa’s optimistic voice speaks alongside her sisters,
creating a polyphony that traces the experience of political oppression from the varied
perspectives of those whom such tyranny usually silenced” (Rich 168). In this way,
Alvarez demonstrates her adept ability to convey social truths and combat oppression
through utilization of specific narrative techniques.
In terms of the characters of Patria and Dedé in In the Time of the Butterflies,
Alvarez exercises narrative liberties in the development of the distinct literary voice of
each. Each of these Mirabel sisters is characteristically submissive in terms of their
adherence to the cultural constraints of the Dominican society. Thus, much of their
narration is conveyed through the third person narrative stance, indicating that they have
yet to achieve the profound feminist voice of strength which Minerva and Mate
demonstrate. However, as Patria experiences her revelation during the religious retreat,
she alters her ideals and joins her sisters in the underground movement to topple Trujillo.
In a reflection of this altered state of political activism, Patria gradually adopts the first
person narrative stance in a manner similar to that of Minerva and Maria Theresa. To
further illustrate this shift in consciousness, Rich remarks, the voice of Patria is
“temporally unified and highly episodic” as each narrative vignette “illuminates the
nature of her psychological growth” (167). Patria herself reflects upon her growing
strength as she remarks, “I got braver like a crab going sideways. I inched towards
courage the best way I could, helping out with the little things” (Butterflies 154). Thus,
“the episodic nature of Patria’s narrative epitomizes her incremental growth from
submissiveness and fear to the courage to take part in a movement that she never would
have predicted herself as joining” (Rich 167). Similarly, the narration of Dedé, the
“sister who survived,” represents a related shift in narrative stance as she too struggles to
escape her submissive state of existence in Dominican society. Only in the epilogue of
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�the novel, which takes place long after the murder of her sisters, does Alvarez adjust the
narrative perspective of Dedé to speak in first person rather than third. This alteration
signifies her development from uncertainty to a proclaimed acceptance of her role as the
sole survivor of Las Mariposas. In the final words of Dedé’s epilogue, she comes to
realize the supreme potential of words as a means by which to understand what her
sisters’ sacrifice meant and can continue to mean to the Dominican people. Dedé reflects
upon a memory of her family sitting on their front porch and remarks: “I’m thinking that
something is missing now. And I count them all twice before I realize –it’s me, Dedé, the
one who survived to tell the story” (Butterflies 321). In this way, Alvarez employs the
first person narrative to Dedé’s epilogue in order to convey her acquisition of an
affirmative voice through which Las Mariposas resistance to oppression can continue to
resonate.
Throughout How the Garcia Girls Lost Their Accents, Alvarez employs
narrative techniques similar to those employed in In the Time of the Butterflies, as
displayed through a nonlinear plot line and use of polyphonic narration. In this novel,
each chapter is its own mini-story, told by an individual character, which at first appears
to dissolve any sense of unity that the novel may possess. However, careful
consideration of the diverse narrative voices presented in the novel yields a collective and
balanced representation of one Dominican family’s experience as immigrants in the
United States. Just as the varied perspectives of the Mirabel sisters reflect the acquisition
of a feminist-socialist consciousness with respect to narrative stance, so too do the Garcia
girls exhibit their altered states of consciousness through their narrative portrayals. In
this novel, Yolanda is the first Garcia girl to engage in the first person narrative, which
demonstrates her attainment of a specifically feminist voice as she combats the cultural
oppression which she endures as a sheltered Dominican teenager in the United States.
Additionally, Yolanda is the only character who uses the first-person viewpoint more
than once, indicating her position as the dominant character in the novel who takes the
most pronounced leap outside of the boundaries of the traditional Dominican culture.
With respect to Mami Garcia’s escape from the confines of the repressive
culture into which she was born, she reasserts her identity in America in a way which
exhibits her strength and equality as a female. This is expressed through Alvarez’s
narrative techniques as she constructs Mami’s voice to speak in first person throughout
the chapter entitled “Mami, Papi and Yoyo.” The title of this chapter reveals the three
central figures who are involved in this episode that depicts an argument between
Yolanda and her father, and Mami’s role as the conciliator. The chapter begins with
Mami’s point of view in the first person narrative, but shifts mid-way to reflect Yolanda’s
point of view (Sirias 22). As Mami Garcia asserts her role of authority in the family in
98
�their new home in the United States, she voices her opposition to the traditional
patriarchal dominance of her husband. As Mami Garcia invents a new sense of identity
in her new home and extracts herself from her previously submissive familial role, this
awakening of feminine strength is transferred onto her daughter, Yolanda. Of this Sirias
observes, “The interplay illustrates how, at the conclusion of the chapter, the mother will
pass on the torch of creativity to her daughter, who is on her way to becoming a writer”
(22). Again, Alvarez illuminates the power of writing to signify as the pen emerges as
Yolanda’s primary weapon, which she uses to transcend the patriarchal and genderrelated confines of the culture into which she was born.
Polyphonic narration is also employed throughout In the Name of Salomé, which
perhaps displays Alvarez’s most unique experimentation with narrative structure in any
of her novels to date. In this novel, “Alvarez exhibits complete mastery over the plan,
design, scheme, and patterns,” as she presents yet another non-linear plot told from the
perspective of multiple voices (Sirias 120). Unlike In the Time of the Butterflies and How
the Garcia Girls Lost Their Accents, this novel employs only two narrative voices which
alternate from chapter to chapter; that of Salomé Ureña and her daughter, Camila Ureña.
Alvarez constructs this non-linear novel so that, with respect to time, “the chapters
narrating Salomé’s voice move forward and chapters dealing with Camila’s life move
backwards” (Sirias 121). Thus, Salomé’s narrative chapters depict a chronological
pattern of her aging, whereas the narration of Camila travels in a reverse-linear pattern,
culminating with her earliest childhood memories. In terms of narrative stance, In the
Name of Salomé exposes a similar function regarding first and third person narration as is
displayed by the Garcia girls and the Mirabel sisters. Salomé’s character exhibits a
profound sense of political activism, which is displayed by her nationalistic poetry and
her commitment to the education of women in her country. In order to display this strong
feminist-socialist consciousness, Alvarez chooses to tell Salomé’s story from the first
person narrative perspective. Due to this narrative perspective, Salomé’s internal ideals
and emotions are poignantly reflected through her voice, with which the audience is able
to identify. In contrast, the timid and uncertain character of Camila is presented in the
third person, which results in a certain sense of distance as she is “observed rather than
sharply sensed” (Simon 235). Much of Camila’s narrative serves the purpose of a selfanalysis as she travels back in time to discover the cause of her depression and uneasiness
with respect to her identity as a Dominican. Finally, in the epilogue, Camila’s narration
returns to present time as she describes her return to her native country. Here, Camila’s
narrative perspective shifts to the first person, which symbolizes her attainment of a
distinct voice as she assumes her place in Dominican culture. Previously unable to
incorporate her feminist-socialist consciousness into a life in her own country, Camila
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�concludes her tale as a transformed individual, which is skillfully reflected in Alvarez’s
narrative technique and writing process. In essence, Alvarez manipulates traditional
narrative conventions in this novel that can be described as an “ardent testimony to the
power of the deftly wielded pen” (Simon 235).
As is clearly evident throughout Alvarez’s distinguished literary work, the
process of storytelling is intimately connected with the author’s desire to express vital
truths concerning the world in which she lives. Alvarez has signified story-telling as a
“moral force,” which can be implemented in order to make actual changes in the reversal
of debilitating social trends such as the patriarchal strains in Dominican culture. This
idea of the moral force of storytelling was engrained into Alvarez’s literary perspective at
a young age with her introduction to the story of Scheherazade in The Thousand and One
Nights. This notorious tale of Scheherazade’s scheme to escape the tyranny of the Sultan
bears striking similarities to the reign of Trujillo in the Dominican Republic and
Alvarez’s literary opposition to the atrocities that he thrust upon his people. Alvarez
writes of this: “By the end of her storytelling marathon, Scheherazade had managed not
just to transform the Sultan from a dangerous tyrant to a penitent, wise ruler but also to
save herself and the women in her kingdom. That’s quite a testament to the political
power and moral force of storytelling!” (Alvarez “Ten Commandments” 42).
Undoubtedly, this tale from childhood has influenced Alvarez’s concept of her writing’s
purpose in the world as she employs her “deftly wielded pen” in a battle against many of
the injustices she observes in the world around her. With a belief in the moral force of her
storytelling, Alvarez locates unique literary angles through which she will deliver her
message. As displayed in the distinctive narrative techniques and topic selection, Alvarez
demonstrates this devotion to observing the world through a critical and unconventional
lens. Of this Alvarez states, “Unusual perspectives are often what I write about. A
duality that I hope in the writing transcends itself and becomes a new consciousness, a
new place on the map, a synthesizing way of looking at the world” (Simon 232). To
further elaborate upon this sense of duality which Alvarez has described, she comments,
“In fact, what I love about stories is that they work precisely by being multifaceted, by
exploring paradox and contradiction, by allowing competing claims of many truths”
(Alvarez “Ten Commandments” 37).
This reference to the multi-faceted and contradictory nature of her writing
illuminates a crucial element of Alvarez’s career in terms of the non-political stance that
she assumes in spite of her overtly political themes and novels. Though her novels
repeatedly examine complex political issues such as the regime of Trujillo and the
political relationship between the United States and the Dominican Republic, Alvarez has
painstakingly assembled her novels in such a way that political judgment is not passed;
100
�problems are merely exposed to the reader who can then formulate his or her own
opinion regarding the political concerns which have been introduced. Just as Alvarez has
subscribed to the notion that storytelling is a moral force, she also recognizes the danger
in utilizing such stories to advance an agenda or particular theory. Concerning this
notion, Alvarez firmly declares: “There’s a need to tell a story; not solve a problem, but
to see it clearly” (Asch 49). Surely the process of storytelling is vital in the recovery of
the feminine voice in the midst of an oppressive culture, which is demonstrated in
Alvarez’s stirring themes concerning the resistance to patriarchal constraints in her
novels. Specifically in In the Time of the Butterflies, “the liberatory power of speaking
out in response to a dictatorship that attempted to silence all resistance” signifies the
extreme influence of storytelling as a “moral force” and an agent of change in the world
(Rich 172). However, in such a testament, Alvarez does not intend to declare a
conclusive judgment concerning the political and social landscape of the Dominican
culture. Rather, she tells this story with the intention of exposing the nature of her native
culture and addressing the various injustices which she perceives to exist. With regards
to this distinct non-political and anti-agenda stance, Alvarez notes: “We are not
advocates for any group; our job is to state the problem correctly, to keep a clean
windshield, to tell the truth, manifold and one” (Alvarez “Ten Commandments” 39).
Thus, Alvarez’s novels seek to expose specific truths regarding the culture of her
homeland without providing a message which is preachy or demonstrative of a distinct
theoretical stance.
Just as Alvarez herself remarks about her devotion to the exposition of a
political problem in order to “see it clearly” as opposed to attempting to solve it, the same
notion holds true to the idea of feminism as displayed in her novels. While it is clear that
there exist many instances of patriarchal dominance in the politics and family
environment of her native culture, Alvarez explicitly intends only to describe such
cultural trends as obvious truths which pervade her native culture. As Silvio Sirias states
in a criticism of Alvarez’s literary work regarding this concept of feminism:
The narrative expresses few opinions regarding machismo. The
preponderance of the evidence indicates that the world she writes about, the
culture that she presents to us, is out of balance. Latin American society, as
portrayed in the novel, is overwhelmingly controlled by men. The reader
cannot help but notice this even in the most superficial of readings. The
Dominican-American author leaves it up to the reader to choose how to react
to the sexism that is so pervasive in the book [How the Garcia Girls Lost
Their Accents] (48).
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�As is demonstrated by Sirias’ analysis of this notion of feminism,
Alvarez does not subscribe to this particular theory, nor does she attempt to
preach a feminist message to her audience. Rather, she “tells the story clearly”
as she exposes the multi-faceted and contradictory nature of the Dominican
culture and allows the reader to determine for his or herself the way in which a
possible solution may be approached.
Alvarez has remarked concerning the literary process: “The best part
of the story is that we all have access to the power in the meaning-making,
story-telling Scheherazade’s of the books we read and the books we write”
(Corpi 198). Surely through novels like In the Time of the Butterflies, How the
Garcia Girls Lost Their Accents, and In the Name of Salomé, Alvarez creates
stirring and profound statements through which readers can access a certain
level of power of meaning as it applies to the real world in which he or she lives.
Alvarez reveals with shocking clarity, as well as complexity, the entrenched
injustices that permeate Dominican society. This “preponderance of evidence”
to support the notion of patriarchal dominance, as well as the uncovering of a
complex network of female strength speaks truths about the utter inequality
which exists within Dominican culture. In her creation of characters who escape
the confines of their patriarchal culture, Alvarez reveals the innate capacity
which all individuals possess to succeed and obtain their own, distinct voice:
“That is why the success of Julia Alvarez’s writings, and those of other U.S.
Latinas, have such great significance and resonate so strongly –they speak for an
entire population that historically has been without voice. Herein lies the
genuine triumph of the Garcia sisters [the Mirabel sisters, Camila, Salomé]:
their stories are heard” (Sirias 45). For it is in the telling of the story, in the
remembrance of the valiant struggles of others against oppression, that such
battles assume meaning and initiate real changes towards the achievement of
equality for all individuals.
102
�Works Cited
Alvarez, Julia. El otro lado. New York: Plume, 1996.
- - -. How the Garcia Girls Lost Their Accents. New York: Plume, 1992.
- - -. In the Name of Salomé. New York: Plume, 2000.
- - -. In the Time of the Butterflies. New York: Plume, 1995.
- - -. “Ten of My Writing Commandments”, English Journal 88 (1998): 36-41.
Asch, Kim. “Two Homes, One Heart: Fiction Forms the Bridge between Home and
Heart”, Middlebury Magazine Fall (2000): 46-51.
Caldor, Bruce J. The Impact of U.S. Intervention: the Dominican Republic during the
U.S. Occupation of 1916-1924. Austin: University of Texas P, 1984.
Corpi, Lucha. Máscaras. Berkeley: Third Woman, 1997.
Crasweller, Robert D. Trujillo: the Life and Times of a Caribbean Dictator. New York:
Macmillan, 1966.
Diedrich, Bernard. Trujillo: the Death of the Dictator. Princeton: Markus Wiener, 2000.
Espaillat, Arturo. Trujillo: the Last Caesar. Chicago: Henry Regency Co., 1963.
Gonzalez, Juan. Harvest of Empire. New York: Penguin, 2000.
Nanita, Abelardo R. Trujillo: the Biography of a Great Leader. New York: Vantage P,
1957.
Rich, Charlotte. “Talking Back to El Jefe: Genre, Polyphony, and Dialogic Resistance in
Julia Alvarez's In the Time of the Butterflies”, Melus 27 (2002): 165-183.
Simon, Linda. “Poetry and Patria”, The World & I 15 (2000): 232-243.
Sirias, Silvio. Julia Alvarez: A Critical Companion. Westport: Greenwood, 2001.
Stefanko, Jacqueline. “New Ways of Telling: Latinas' Narratives of Exile and Return”,
Frontiers (1996): 50-69.
Zakrzewski Brown, Isabel. “Historiographic Metafiction in the Time of the Butterflies”,
South Atlantic Review: the Publication of the South Atlantic MLA 64 (1999): 98-112.
103
�Works Referenced
All Night Bodega. Dir. Felix Olivier. Perf. Jaime Tirelli. Xenion, 2002.
Nueba Yol. Dir. Ángel Muñiz. Perf. Luisito Marti. Argentina: ATP, 1995.
Alvarez, Julia. A Cafecito Story. White River Junction: Chelsea Green, 2001.
- - -. Before We Were Free. New York: Laurel-Leaf, 2002.
- - -. Homecoming. New York: Plume, 1984.
- - -. How Tia Lola Came to Stay. New York: Dell Yearling, 2001.
- - -. Yo! New York: Plume, 1997.
Jameson, Fredric. “Third-World Literature in the Era of Multinational Capitalism”,
Social Text 15 (1986): 65-88.
Diaz, Junot. Drown. Riverhead: New York, 1997.
In the Time of the Butterflies. Dir. Mariano Barroso. Perf. Salma Hayek. Miramax,
2001.
Martinez, Elizabeth. “In the Time of the Butterflies Book Review”, The Progressive, July
1995: 39-42.
Mujica, Barbara. “In the Time of the Butterflies Book Review”, Americas (English
Edition) Mar. 1995: 60.
Nueba Yol. Dir. Angel Muniz. Perf. Luisito Marti. Argentina: ATP, 1995.
Picazo, Rolando Costa. En el tiempo de las mariposas. Rolando Costa Picazo. Buenos
Aires: Editorial Atlántida, 1995.
Pritchett, Kay. “In the Time of the Butterflies Book Review”, World Literature Today
Sept. 1995: 789.
Sommer, Doris. One Master for Another: Populism as Patriarchal Rhetoric in Dominican
Novels. Lanham: University Press of America, 1983.
104
�Forster’s Impossible Connections in Howards End
Lauren Fasano (English)1
E.M. Forster, before even beginning the text of Howards End, writes “only
connect…” on the title page. Is this to be a goal of the characters he creates, or is it a call
to humanity in general? If we are all to connect, the boundaries of sex, race and class
would cease to exist as dividing forces. Forster, through his creation of three families that
each embody and represent the morals, aspirations, and relationships to the material
context of their respective social classes in London, indirectly asserts that this unified
existence could never be possible. The nature of each family is too finely ingrained to
ever connect completely with households so radically different from their own.
Each household’s relationship to their homes is actually the truest measure of
their ability to connect with others. The families’ interactions are a microcosm of society
at large. The cold and materialistic Wilcoxes, exempting Ruth, see their houses are mere
representations of wealth and affluence. There is no warmth in their regard towards the
walls and furniture they spend their imperialistically acquired money on. In that same
respect, their personalities are similarly aligned: they are ingrained to view themselves
superior, and treat others as disposable. The Wilcoxes, demonstrated especially by Henry
and Charles, have less than a passing interest in others and their opinions. The Schlegels
see their home as a representation of themselves and an emblem of their past, but they are
only leaseholders, and in time they must search for another house, another representation,
and are incapable of doing so. They fiercely cling to what they know while professing an
ability to adapt. The Schlegels do not understand those who do not see the world as they
do, and are unable to adjust, even though they claim a desire to understand. The Basts are
barely scraping by financially, and their dark, cramped flat is representative of the
fleeting nature of their survival. Leonard strives to read and culture himself into higher
status, hating his surroundings, his poverty, and those who recognize it. The Basts do not
have the luxury of investing emotion into places that are mere shelters as opposed to real
homes. Likewise, Leonard and Jacky are shady and mistrustful even when others, like the
Schlegels, claim to be sincere. In Forster’s treatment of all three families, values are
never discussed outside the context of relationships to living space. Could we see Henry
1
This paper was written under the direction of Dr. Ann Hurley (English) and associated
with the course EN211 British Literature Survey.
.
105
�Wilcox in Leonard’s basement apartment any more than we could see Leonard relaxing
in the Schlegels’ parlor? The boundaries are too stiff, the differences too vast. The
inability to connect is irrefutable. The only place where the suspension of these limits
exists is Howards End- but is this Forster’s sarcasm or his utopia?
The dynamics between the characters provide insight into Forster’s actual
intentions. Leonard Bast is most easily regarded as a victim in Howards End. Ridiculed
by the narrator, treated as more of a social project than a human by the Schlegels,
indifferently encouraged by Henry Wilcox’s advice to give up a secure job, and
ultimately dying of a “weak heart”, Leonard is a tragic figure. From the beginning of the
novel, the reader is aware that Leonard can never become anything other than what he
already is. Forster’s narrator treats him callously, almost cruelly, in the comments he
makes about him having “a half baked mind” in believing he could “come to Culture
suddenly” (38-39). Daniel Born, in his article “Private Gardens, Public Swamps:
Howards End and the Revaluation of Liberal Guilt”, points out Forster’s famous
disavowal: “We are not concerned with the very poor. They are unthinkable…” (34). Is
this mindset the reason for the narrator’s treatment of everything related to Leonard as
pathetic? Most telling is the description of the apartment Leonard lives in: “what is
known to house agents as a semi-basement, and to other men as a cellar” (36). Born
claims in his article that Forster belongs to that class of “other men” who look
disdainfully upon the Basts’ condition. It seems more likely, however, that it is actually
Forster’s created narrator who regards Leonard as so unbearable. If Forster hated the
poor, the novel would be unable to serve the role that it does. The narrator’s voice seems
to be the creeping voice of the growing middle class, who can’t bear those above and
below them.
The scene in which the Schlegels start a discussion over the dispensation of
imagined millions to the poor strikes a chord with Born, who finds that scene to be the
clearest reminder that Howards End “is about the rich and the poor, and that for all their
talk, the Schlegel sisters are finally allied with the former” (150). He believes that since
this group of women even has the time to imagine ways to distribute wealth proves how
well off they really are, and how incapable they are of understanding Leonard Bast, his
marriage, his tenuous grip on culture, and his lifestyle in general. The Schlegels mistake
their pity for Leonard as a desire for friendship. They naively believe that Leonard will
feel comfortable among them, and cannot imagine how he does not.
The Schlegel sisters appear to be opposites, but are similar in their inability to
connect. From the beginning, Helen is portrayed as an impulsive, foolish, beautiful foil to
her practical, reasonable, plain older sister Margaret. Helen’s fleeting nature is
106
�encapsulated in one of her descriptions by the cutting narrator: “She and the victim
[Leonard] seemed alone in a world of unreality, and she loved him absolutely, perhaps
for half an hour” (250). It is amusing to read, but cruel in application. Helen wants to help
in the moment, but ultimately her pity fades and she returns to her comfortable life. Later,
Helen’s impulsiveness comes across even clearer in her physical expression of sympathy
towards Leonard that results in her pregnancy. “Leonard seemed, not a man, but a cause”
(246). Margaret, at least on first glance, seems controlled and reliable, but upon
inspection is emotionally cold and actually hypocritical. She constantly discusses
connection, establishing the link between inner and outer life, and abolishing the
differences that separate people; yet she is rather too unmoved by humanity throughout
the rest of the novel to support her words. “The more people one knows, the easier it is to
replace them….I quite expect to end my life caring most for a place” (102). This
comment fits in well with Margaret as the spiritual heir of Mrs. Wilcox, but where does it
substantiate her claim to desire a united humanity? Her spoken motto is unity, her
unspoken one is disengagement. Margaret pities Leonard, but urges Helen to forget him:
“Don’t drag in the personal when it will not come. Forget him” (336). Born points out
“the frequent chill Forster puts in Margaret’s voice….how can her rhetoric of connection
be reconciled with such coldness?” (157). It is Margaret who is most commonly
identified with the call of “only connect…”, yet it is she that remains so disconnected.
Margaret did not even particularly connect with Ruth Wilcox while alive; she remained
more of an enigma to Margaret than a friend. It is through Howards End that Margaret
connects with the idea of Ruth, rather than the person.
The Schlegels may treat Leonard as a charity case, but Henry Wilcox cannot
even be bothered to remember him or his situation. Henry’s advice cost Leonard job
security and money he could not afford to lose, yet Henry remained unaffected when
reminded of his blunder. Henry Wilcox does not care one bit about Leonard, cannot be
moved to sympathy for him, and even goes so far as to say there was no way his
company would hire him either. To a reader, the Wilcoxes immediately come off as hard,
cold, and unmovable; there will be no big change in the nature of Henry or Charles
Wilcox, there is nothing to explore in their personalities. They are capitalists and
imperialists, only concerned with those who can help them better themselves. Alex
Zwerdling, in “The Novels of E.M. Forster”, elucidates the Wilcoxes’ role in the novel,
making it clear that Forster has no illusions about them: “The Schlegels are of the past
and are rapidly being replaced by the Wilcoxes …who are essential to life. They have an
attitude which gets things done…in the world of the Schlegels nothing ever ‘happens’ at
all” (178). Zwerdling is absolutely solid in his claim that the Schlegels get nothing done
107
�in their lives: when it comes down to their true demonstration of character, their house
situation, they never can quite decide anything. Henry Wilcox moves the Schlegels to
action, having them to rent one of his houses, which is demonstrative of his attitude
towards living space: property as useful, not meaningful. In his article entitled “Forster’s
Metaphysical Novel” Cyrus Hoy refers back to Helen’s initial perception of the
Wilcoxes: “I felt for a moment that the whole Wilcox family was a fraud, just a wall of
newspapers and motor cars and golf clubs, and that if it fell I should find nothing behind
it but panic and emptiness” (27). The Schlegels believe staunch practicality will leave a
person feeling empty in life, will leave a house void of memories, will leave nothing of
any emotional value. This is the masculine element, Hoy points out, which Margaret is
missing (132). Margaret, for all her talk of inner life, admires the capability of the
Wilcoxes. Her desire to be like them cannot overshadow her inability to ever be like
them. She wishes to connect, but they are unwilling and she is inherently incapable of
closing the gap between them.
Each character’s nature is clearly mimicked in their treatment of their homes:
Leonard eagerly clambering for some sort of security; Margaret and Helen, so eager to
understand, yet incapable of saving the world or even making a valiant effort; Henry
Wilcox, calculating and unapologetic. It is only in the farmhouse called Howards End
that these three families see unity. Pat Hoy, in “The Narrow, Rich Staircase in Howards
End”, sees the resolution of the novel as all the people involved “seeking a real home in
the midst of chaotic change, something luminous and permanent. Howards End became
that sacred place” (230). Conversely, and more believably, Daniel Born notes “that
Forester interrupts his final scene with awareness of the encroaching London mass
suggests he is not entirely happy with this one sided vision of serene, private, poeticized
culture”. Howards End is not the utopia; people have not torn down their boundaries. It is
only in the final scene at Howards End where the Schlegels, Wilcoxes, and baby Bast
cease to exist as representations of differing ideals. They are people who have endured
twists of fate that have enabled them to temporarily come together. The scene is too
idyllic, the peace too absolute. Disconnection is inevitable.
The boundaries that separate any person from another exist solely in their minds.
Perhaps if they were physical boundaries, they would be easier to destroy. Culture, class,
sex, and race ingrain a sense of who is alike, and who is not. For Forster’s characters,
these distinctions not only shaped their perceptions, but their emotional states and their
treatment of material possessions. They became their own boundaries, playing inwards
on their inabilities instead of seeking to surpass them. Leonard tried so hard to become
respected as cultured, but constantly reiterated his unworthiness, his sense of not
108
�belonging. It was mirrored in his regard for his own living space: it felt alien to him.
Margaret and Helen, claiming to be able to adjust to different people, and treat them as
equals, could not even maintain Leonard as a friend, they saw him as a charity case. In
the same respect, they could not let go of Wickham Palace, even though they professed a
desire to acquire a new house. Mr Wilcox would not attribute emotional attachment to
any property, refusing to see land as more than anything to own and use, which is the
same attitude he has towards people. In the last scene at Howards End, the three families
are together. It is only in this remarkable place , pervasive with the earthy spirit of Ruth
Wilcox, that this tenuous connection can exist. The sense of impending doom is tangible,
however, and the return to the divided world, Forster proves, is inevitable.
Works Cited
Born, Daniel. “Private Gardens, Public Swamps: Howards End and the Revaluation of
Liberal Guilt”, NOVEL: A Forum on Fiction, 25.2 (1992): 141-159.
Hoy, Cyrus. “Forster’s Metaphysical Novel”, PMLA, 75.1 (1960): 126-136.
Hoy, Pat C. “The Narrow, Rich Staircase in Forster’s Howards End”, Twentieth Century
Literature, 31.2/3 (1985): 221-235.
Zwerdling, Alex. “The Novels of E.M. Forster”, Twentieth Century Literature, 2.4
(1957): 171-181.
109
�
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Volume 6, Number 2
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Section I: The Natural Sciences -- Invited Full Length Paper -- 2 Traumatized Optic Tectum of Adult Zebrafish Develops Embryoid Neural Structures In Vitro / Christopher Corbo, Frank Garritano, Dr. Geoffrey Church, Prof. Linda Raths and Dr. Zoltan Fulop -- Section II: The Social Sciences -- Full Length Papers -- 28 How Children with Autism Relate to the Social World / Robyn Gold -- 45 The Effects that Nurse to Patient Ratio Have on Job Satisfaction / Julie Filippini -- 58 The ‘Virtual’ Self, Imitation, the ‘They,’ and Authenticity in Childhood / William Jock -- Section III: Critical Essays -- Full Length Papers -- 74 Julia Alvarez and the Dominican Republic: Recovering the Female Voice / Ashley Martin -- 105 Forster’s Impossible Connections in Howards End / Lauren Fasano
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