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Ad Astra ● June 2013

Colophon Ad Astra Issue 7, June 2013 Editorial Board Corline Hazenoot Annika Kress Mariska Meijer Esther Mennen Sofie Oosterhuis Hanne Roeland Chelsea Tjin-Kon-Koen Prof. Dr. Henk Meijer Dr. Ernestine Lahey Dr. Rolando Vázquez

Valerie de Koeijer (Editor-in-Chief) Laura van Geuns (Sub-Editor) Ann-Christin Kimmig (Sub-Editor) Bas Tönissen (Sub-Editor) Anneloes Hoff (Secretary) Hans Udo (Treasurer) Lukas Friedrich Hadtstein (Proofreader) Francis Peters (Proofreader) Tajha Chappellet-Lanier Nora Görne Dorothée Grevers

Contributors to Ad Astra issue 7 Prof. Dr. David Aiken Halyna Aleksandrovych Dr. Gerda Andringa Moritz Baumgärtel Prof. Dr. Cees Cornelisse Dr. David Criekemans Dr. John Friedman Dr. Tobias van Gent Dr. Christine Gispen-de Wied

Dr. Alexei Karas Anneline Klijnsma Marianela Lara Sorondo Prof. Dr. Barbara Oomen Dr. Ritstke Rensma Prof. Dr. Henri Schoenmakers Dr. Elmer Veldkamp Dr. Nel Verhoeven

Copy Editing Valerie de Koeijer Typesetting and Design De Drvkkerij |Podium, Karelien van IJsseldijk Photography and Illustrations De Drvkkerij |Podium, Karelien van IJsseldijk Printed by Drukkerij Zoeteweij, Yerseke Ad Astra is published once a year by University College Roosevelt. For submission procedures, please consult our webpage: www.ucr.nl/adastra

Postal Address University College Roosevelt 2


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Ad Astra P.O. Box 94 NL-4330 AB Middelburg The Netherlands adastra@ucr.nl

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Ad Astra University College Roosevelt Undergraduate Journal ● June 2013

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Foreword We proudly present to you the seventh edition of University College Roosevelt’s undergraduate journal, Ad Astra. In this issue we have strived for a balance between academic excellence and accessibility, tailored to an audience with a broad range of interests. This issue features papers on diverse topics; stress, the Christianization of Athens, Fair Trade coffee, USA fourth generation warfare, the ‘small-world’ hypothesis and Australia’s stolen generation. This diverse selection of articles represents University College Roosevelt’s true nature as well as its students. Hereby we would like to thank everyone who has contributed to this new Ad Astra issue, containing the best academic work written at UCR. We would like to thank the student body for their continuing support and the many submissions of papers we have greatly enjoyed reading. The authors featured in this issue have worked extremely hard to make their papers the best they can be, which we greatly appreciate. We would also like to thank all instructors as well as students who have provided us with feedback throughout the complete editing process. Moreover, we would like to thank Prof. Dr. Michael Burke who continues to be an invaluable factor in the organization of the Ad Astra board. Lastly, we would like to thank Karelien van IJsseldijk (de Drvkkery) for her hard work design of this issue. During the past academic year we have been working on professionalizing the organization of Ad Astra. Together with Prof. Dr. Michael Burke who has given us excellent advice, we have achieved a more professional and structured board, learning from past experiences and improving with every step we take. We hope that the academic articles presented in this issue will be of your liking and that you will enjoy reading University College Roosevelt’s finest written work!

The Editorial Board,

Valerie de Koeijer (Editor-in-Chief) Laura van Geuns (Sub-Editor) Ann-Christin Kimmig (Sub-Editor) Bas Tönissen (Sub-Editor) Anneloes Hoff (Secretary) Hans Udo (Treasurer) Lukas Friedrich Hadtstein (Proofreader) Francis Peters (Proofreader) Tajha Chappellet-Lanier Nora Görne Dorothée Grevers

Corline Hazenoot Annika Kress Mariska Meijer Esther Mennen Sofie Oosterhuis Hanne Roeland Chelsea Tjin-Kon-Koen Prof. Dr. Henk Meijer Dr. Ernestine Lahey Dr. Rolando Vázquez

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Contents 10 The Effect of Stress on Error-Making Anton Schreuder, Ivo Kunovski, Louise Beelen & Miguel Vega Prieto Exposure to the stress hormone cortisol can lead to a decline in working memory functioning. Since stress is very present in today’s society, the focus of this study is to research whether due to increase in impulsivity caused by stress subjects are more prone to error making in tasks including the working memory.

26 The Philosophical Schools and the Christianization of Athens Sharon van Dijk Christianity did not take hold of ancient Athens until late in the 5th century. Philosophical schools have been held partly responsible for this phenomenon, however, this is not the only cause. Therefore the current paper focuses on the question: why did Christians have hardly any influence in Athens for such a long time?

36 The Real behind Reality: A Social Critique on the Simulacrum of Modern Time Ingmar Hinz This paper focuses on the coffee industry in South America and depicts the policies, for example in Fair Trade, which seem transparent, but when looking deeper into it, are highly concealed. In this manner the coffee industry is used as an example to illustrate the exploitation of the ‘Third World’ and high levels of consumerism.

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The Elephant against the Tiger: US Armed Forces Adapting to Fourth Generation Warfare – Encountered Problems and Suggested Solutions Bastiaan Dillmann

The United States Armed Forces have been the most powerful military force in the World since World War II. Recently, however, the US Armed Forces have been unsuccessful in several conflicts. This change in warfare has been termed Fourth Generation Warfare. The current paper investigates the problematic aspects and its possible solutions for Fourth Generation Warfare.

65 “It’s not a Small World After All!” – An Empirical Analysis of the Gravity Model of International Trade Joanna Hornik & Koen Maaskant Some scholars argue that due to globalization the effect of distance on trade flows has become smaller in recent decades. Others, however, argue the opposite and do not support this hypothesis. The current study tests this so-called “small-world” hypothesis by analyzing the influence of distance on bilateral trade.

77 Justice in Australia – An Evaluation of Australia’s Unwillingness to Make Up for the Stolen Generation Leonie van Breeschoten Between 1910 and 1970 the Australian government forcefully removed Indigenous Australian children from their families in an attempt to let the Indigenous culture die out. Australia has been unwilling to make up for its actions, and the current paper evaluates this unwillingness and attempts that have been made to compensate.

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Biographies of the Authors 8


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The Effect of Stress on ErrorMaking Anton Schreuder, Ivo Kunovski, Louise Beelen & Miguel Vega Prieto | University College Roosevelt In partial fulfillment of the requirements for SSC 369: Psychobiology taught by Dr. Christine Gispen-de Wied Abstract Impulsivity, under the control of working memory, and stress are phenomena that people experience in their daily lives. Research has shown that exposure to the stress hormone, cortisol, to the brain leads to a decline in working memory functioning. With stress being relatively common in modern living, it was of interest to study the possibility of a direct link between stress and impulsivity. Therefore, the aim of the research was to indicate whether exposure to stress could increase an individual’s tendency to make errors in working memory tasks, due to cortisol inhibition of the working memory. Results showed a limited increase in saliva cortisol after the stress test, with more obvious increases in saliva alpha-amylase, an indicator of sympathetic nervous system activation. Working memory task performance, on the other hand, tended to improve after the stressor. The stress test used in this set-up may not have been strong enough to induce the inhibitory cortisol. Instead the lesser amount of stress may have increased working memory function through the autonomic nervous system. Abbreviations ANS = Autonomic Nervous System CWST = Color-Word Stroop Task ER = Error Rate HPA = Hypothalamus-Pituitary-Adrenal HR = Heart Rate PFC = Prefrontal Cortex RT = Reaction Time

SAA = Saliva Alpha-Amylase SC = Saliva Cortisol SNS = Sympathetic Nervous System SST = Stop Signal Task TSST = Trier Social Stress Test WHO = World Health Organization WM = Working Memory

Introduction The concept of stress is known to hold several characteristics that are important to daily living. On one hand it can be physical or psychological, and on the other it can be labeled as positive or negative. Here physical stressors such as exercise, threaten one’s physical well-being, and psychological stressors threaten one’s health in situations interpreted as threat. In accordance, the differentiation between the positive and negative nature of stress highly depends on the subjective views of the individual that is presented with the stressor, and whether they are in control. For instance exercise is 10


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regarded as a positive stressor, for the reason that the individual has full control over the stressor and its outcome, i.e. he/she is free to stop at will (Fukuda & Morimoto, 2001). In contrast, a life-threatening situation with an uncertain outcome will induce the release of cortisol, due to the generated negative emotions regardless of the metabolic demands (Stark et al., 2006). However, it is important to distinguish between positive and negative stress in experimental settings. In such circumstances positive forms of stress, such as exercise or responding to a cue to receive a reward, generally cause a significantly lower rise in cortisol levels than negative stress, such as the fightor-flight response or responding to a cue to avoid an electric shock (Ellenbogen et al., 2010). Nevertheless, experiencing stress is considered a normal, healthy, and reversible aspect of an organism’s life, as long as it does not persist for extended periods of time (De Kloet et al., 2005). A number of studies have demonstrated that a subject under acute stress shows increased activity of the sympathetic nervous system (SNS) and the hypothalamuspituitary-adrenal (HPA) axis, which in turn affects learning and memory (De Kloet et al., 2005; Stark et al., 2006). Since the SNS is largely regulated by the amide neurotransmitter norepinephrine, known for its role in arousal, the terminal phase of the activation of the HPA axis involves the release of the hormone cortisol from the adrenal cortex (De Kloet et al., 2005). Furthermore glucocorticoid receptors have been found in various areas of the brain crucial for cognition including the hippocampus, amygdala, and the prefrontal cortex (PFC). As an area important for working memory (WM), the exposure of cortisol to the PFC interferes with the performance of this area (Arnsten, 2009). As a result it has been suggested that responders under stress have impaired WM functions (Wolf, 2003). In addition, it has been indicated by a number of studies that stress is indeed manifested in the form of an increased quantity of errors, which a respondent makes when asked to perform on a WM task. However the reason behind the increased number of errors has brought conflicting results among researchers (Qin et al, 2009). Previous research has shown that increasing stress in the form of cortisol can induce increased reactivity leading to more error making (Wahlstro et al., 2002), prolong reaction times (RTs) while still resulting in more error making (Oei et al., 2006; Schoofs et al., 2008), or have no effect on RTs and error rates (ERs) whatsoever (Harris et al., 2010). Since the stress response is largely endocrine mediated, the activation of the autonomic nervous system (ANS) in the form of norepinephrine is much more important during the first few seconds after exposure to a stressor (De Kloet et al., 2005). Due to the slightly longer delay for the endocrine system to take effect, the ANS is crucial to reacting instantaneously to immediate threats. Therefore a stress test is expected to increase a person’s immediate attention and concentration and therefore also the working memory. However, the question here is whether this improvement is still observable once the effects of cortisol are at their peak, i.e. would a downright opposite effect be seen, or would there be some sort of compromise between the two systems? For the purpose of this experiment, the endocrine response was measured by saliva cortisol (SC) concentrations, and the ANS response was quantified by measuring 11


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heart rate (HR) and saliva alpha-amylase (SAA) – an important enzyme in saliva that forms about 40% of the total salivary protein content. Both measures have shown high correlations to norepinephrine secretion (Nater et al., 2009). In terms of WM task performance, an increase in impulsivity was expected to correlate with a shorter RT and an increase in ER. As the endocrine system has more long-lasting effects, it is expected to dominate over the ANS shortly after exposure to a stressor. Therefore it was hypothesized that stress increases impulsivity, making the subjects more prone to error-making in WM tasks. Objectives The primary objective of this study was to investigate the role of stress on undergraduate students, and the way in which this affected academic performance. Although academic performance is not equivalent to the performance of just one cognitive function, the potential link that was decided to study was that of errormaking as a result of losing control of impulsivity. Accordingly the aim of this study was to indicate the possibility that stress exposure decreases the control of impulsivity, and as a result increases an individual’s tendency to make errors. Research Questions The research questions of this study examine the following: (1) does the chosen stress test (explained later) induce rises in SC, SAA, and HR? (2) Is the RT shorter and the ER higher in the stressed condition compared to the non-stressed condition? (3) Are the RT and ER in the stressed condition different right after the stress test compared to 20 minutes after the stress test? And (4) is there a difference in the selfevaluation of stress before and after the stress test? Methods Participants A total of four participants; two male and two female students were recruited from the University College Roosevelt in Middelburg, the Netherlands. Design Each participant’s baseline performance under non-stressed conditions served as his/her own control. The independent variables that were measured are the SC and SAA (two saliva samples before the stress test and four after) as well as HR representing stress levels. The dependent variables were the performances on the SST and CWST (once before the stress test and twice after) representing WM functioning. Instruments Saliva Samples Six saliva samples were taken per subject to measure changes in SC and SAA levels. It must be taken into consideration that it takes about 20 minutes for the SC to appear in saliva. In addition about 90 minutes of rest is required for SC and SAA levels to fall back to pre-stimulation (base-line) levels (Kirschbaum et al., 1993). 12


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Therefore samples were collected at baseline (t=0), after the first round of tests (t=30), after delivering the speech (t=45), after the second round of tests (t=60), before the third round of tests (t=75) and after the third round of tests (t=90). Heart Rate Measure In addition to measuring SSC, the HR was measured using a special abdominal strap. The data was automatically transmitted to a computer. Although HR is a secondary determinant of stress, it remains a standard measurement for physiological activity and should correlate to a certain extent with SC and SAA concentrations. Trier Social Stress Test The Trier Social Stress Test, TSST, is a prototypical mental stressor. It was introduced in 1993 as a standardized protocol to induce moderate psychosocial stress in laboratory settings. It is a motivated performance task consisting of a brief preparation period followed by a test period in which the subject has to speak in front of an audience. Typically the TSST consists of a 10-minute preparation time, followed by a 10-minute test period in which the subject has to deliver a free speech, as well as perform mental arithmetic in front of an audience. However, the specific tasks in the TSST can be readily manipulated to increase the difficulty and to alter its positive or negative emotional valence (Kirschbaum et al., 1993). The task combines elements of uncontrollability and social-evaluative threat. Stress involving these two components is associated with the largest HPA stress responses and the longest recovery times. Several independent studies have found that the TSST induces changes in adrenocorticotropic hormone (ACTH), cortisol (saliva and serum), growth hormone, prolactin concentractions, as well as significant increases in heart rate. It was found that the TSST lead to a 2- to 4-fold elevation of SA levels compared to baseline levels. Moreover it is suggested that gender, genetics, and nicotine consumption can influence the individual’s stress responsiveness to psychological stress (Kirschbaum et al., 1993). For this study the participants were instructed to deliver a free speech. A 10 minute preparation time was given, and the possibility to make notes was offered. The audience consisted of approximately 15 undergraduate students and a professor. The subjects had to stand in front of the classroom with a video camera pointed towards them. The notes were taken from the subject upon entrance into the speech room. The audience was instructed to lose interest after 1-2 minutes. After 3-4 minutes, the researcher stopped the speech, mentioning that the subject was unable to keep the audience’s attention. An alternative assignment was given for the remaining time; the subjects were instructed to ‘sell’ a pen to the audience. Stop Signal Task The aim of the SST was to test the participants’ ability to stop an action that has already been initiated. The subject was required to respond as fast as possible to a simple stimulus. On some trials a stop signal, usually a sound, is presented with the stimulus; the subject then attempted not to respond (Eagle et al., 2008). The SST is an 13


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accepted form of measuring impulsivity, specifically in “suppressing prepotent responses and stopping ongoing responses” (Lansbergen et al., 2007, p.34). Although test-retest studies generally report good results, these results may be biased to specific populations (Soreni et al., 2009). The Color-Words Stroop Task In the CWST the subject was presented with words of colors with incongruent ink colors (e.g., the word ‘BLUE’ in red ink). The subject then read out the color of the ink, not the word. It is an interference test renowned for measuring the WM function as well as impulsivity (Alvarez & Emory, 2006). More specifically it measures “interference control” (Lansbergen et al., 2007, p.34). Interference control is the ability to respond to one stimulus while simultaneously being presented with another more automated stimulus. The test-retest reliability of the CWST has been confirmed in healthy humans, as long as there is an opportunity to practice shortly beforehand (Franzen et al., 1987). Forms and Questionnaires An informed consent is a necessity for all experiments using human subjects. In this study it was read and signed by all participants. The informed consent form does not explain the true objective of the experiment, but the subjects were debriefed once the experiment had ended. After the informed consent form was read and signed, three other questionnaires were distributed: The confounding factors checklist took possible confounding factions into consideration. The stress and performance questionnaire was made up of three sections. The first section assessed how stressed the subjects subjectively felt before the TSST; the second assessed subjective stress levels during the TSST; and the third section determined how well the subjects subjectively perceived their performance on the speech task. Lastly, the WHO health questionnaire took possible health related confounding factors into consideration. Procedure The experiment lasted for 90 minutes per subject. One researcher welcomed the subjects and ensured that all forms were filled in; another researcher was responsible for the computer tests and the stress test; the last two researchers were responsible for ‘shadowing’ one subject each in order to collect data and stick to the schedule via specially programmed watches. Saliva samples were collected at regular 15 minute intervals. The first round of tests took place before the speech task, and the second and third rounds took place afterwards. For a detailed schedule, refer to Diagram 1. Diagram 1: A simple scheme of the experiment script

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Results Biomeasures Graphs 1, 2 and 3 show the changes in biomeasures over the course of the experiment. It was observed that there is a significant peak in HR during the TSST (t= 40-45) (Graph 1). The HR starts rising in the preparation phase, and drops after the TSST. Similarly, the SAA levels peak at sample 3 (right after TSST; t=45) for all participants, though with a somewhat meager response from participant 1 (Graph 2). The SC of participant 2 rose 15 minutes after the TSST, which corresponds with the expected outcome as there is a delay of about 20 minutes before the serum cortisol concentrations correlate with SC (Graph 3). The SC of participant 3, however, already began to rise during the preparation phase, whereas participants 1 and 4 showed a steady decline in SC throughout the experiment. The area under the curve values were then calculated for all participants for each biomeasure. These values depict the total output, and make it possible to compare the total changes during the course of the experiment. The results are depicted in Table 1. Graph 1: Heart Rate 130 120 110 100 90 80 70 60

Subject 1 Subject 2 Subject 3 Subject 4

Graph 2: Saliva alpha-amylase (301 dilution) 15


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1000000 800000 600000 400000

200000

Subject 1

0

Subject 2 Subject 3 Subject 4

Graph 3: Saliva cortisol (nmol/l) 35 30 25 20 15 10 5 0

Subject 1 Subject 2 Subject 3 Subject 4

Table 1: Area under the Curve for heart rate, saliva alpha-amylase, and saliva cortisol HR Amylase Cortisol Subject 1 25.82 75244.98 Subject 2 22.68 1360274.18 8.24 Subject 3 20.4 489200.25 7.09 Subject 4 48.55 1016060.62 -

Statistical Analysis The data from the biomeasures were analyzed statistically using the program STATA 11.2. The three variables (HR, SAA, and SC) were correlated to produce a correlation matrix and regression table. Plotting HR against SAA (Table 2, and Graph 4) pointed towards a positive, but not statistically significant correlation. (R2 = 0.068).

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Table 2: Correlation matrix of heart rate, saliva alpha-amylase, and saliva cortisol | HR Amylase Cortisol -------------+--------------------------HR | 1.0000 Amylase | 0.2604 1.0000 Cortisol | 0.0160 0.6555 1.0000

Graph 4: heart rate against saliva alpha-amylase 1250000.00

Amylase

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250000.00 R Sq Linear = 0.068

0.00 20.00

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Perceived Stress When comparing the average perceived stress before (‘feel’) and after (‘felt’) the experiment (Table 3), it was calculated that the average perceived stress rose with 84.44%. Table 3: Average perceived stress levels Feel Subject 1 1,8461538 Subject 2 1,0769231 Subject 3 0,076923 Subject 4 0,4615385 Average 0,8653846

Felt 1,9230769 1,4615385 1,1538462 1,8461538 1,5961539

Test Performance The Color-Word Stroop Task For participants 1, 2 and 4, there is a decline in the number of errors made during the CWST after the TSST (Tests 2 and 3) (Graph 5). Only participant 3 showed an increase in the number of errors after the TSST. Graph 6 shows the mean RT for each participant during each test in responding to the words displayed. Here participant 2 and 4 show a clear decline in RT after the TSST, whereas participants 1 and 3 maintain a stable RT during all CWSTs.

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Graph 5: Errors made in the CWST 10 8 6 4 2 0

Test 1 Test 2 Test 3 Subject Subject Subject Subject 1 2 3 4

Graph 6: Mean reaction times in the CWST 1.2

1

0.8 Subject 1 Subject 2

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Subject 3 Subject 4

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0.2

0 Test 1

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The Stop Signal Task Graph 7 shows the subjects’ performance in the SST where the ER is represented by the response percentage when presented with the stop signal (responding when they should not respond); lower scores indicate less impulsivity, and higher scores indicate more impulsivity. Note that the values tend to be as high as 50%; this is due to the fact that some stop trials are programmed to be almost impossible to react to (due to a very late stop signal). Whereas subject 1 showed no changes in ER across the trials, subjects 2 and 3 showed an increase in ER after the TSST and subject 4 showed improvements after the TSST.

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Graph 7: Response percentage when presented with the ‘stop’ signal 50 40 Test 1

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10 0 Subject 1

Subject 2

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Subject 4

lower percentage = less impulsive (fewer errors) and higher percentage = more impulsive Graph 8 shows the mean stop-signal reaction time, or basically the average amount of time delay between the stimulus and the stop signal required for the subject to inhibit his/her response. A smaller value indicates a faster RT to the stimulus. However, it also indicates that the participant is less likely to be able to inhibit his/her response in time, should he/she be presented with a stop signal (hence increased impulsivity). Graph 8: Mean stop-signal reaction time 400 350 300 250 200 150 100 50 0

Subject 1 Subject 2 Subject 3 Subject 4

Test 1

Test 2

Test 3

Discussion of Results In accordance to the theory that cortisol leads to impairments in WM, it was hypothesized that stress increases impulsivity which in turn leads to more error making in WM tasks. However when taking the results of the experiment into consideration, it appears that the ANS, quantified by HR and SAA concentrations, played a greater role in the stress response than the endocrine system, measured by SC levels. By merely comparing Graphs 1-3, SC does not appear to correlate as well to the other two biomeasures which supports the claim that these biomarkers measure different systems in the stress response. Unexpectedly SC also showed the weakest response to the stress test, with two participants failing to show any rises in SC at all. On the other hand HR and SAA showed an obvious rise during and right after the 19


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TSST. For example Participant 2 had a peak in SAA levels that was about eight times greater than the first baseline sample. This indicates that the activity of the SNS may have played a significantly greater role in the experimental outcomes than the endocrine system. In a study done by Chatterton et al. (1996), significant correlations were found between SAA and norepinephrine, when subjects were exposed to psychological stress. This in turn indicates that alertness mechanisms regulated by the SNS, such as the fight-or-flight response, may be more relevant for the analysis of impulsivity and error making. Presented in Table 2 is a weak positive correlation between SAA and HR and a stronger positive correlation between SAA and SC. It should be taken into consideration though that two of the SC variables were replaced, and therefore the validity of this correlation must be questioned. Secondly, this study employed a regression which is not displayed in this paper. Though one might argue that the causality runs in both directions, it is interesting to investigate the relation between HR, SAA, and SC. As can be observed the significance is extremely low, but this can be attributed to the small number of data points. It was shown in additional graphs that participants 2-4 perceived themselves as more stressed during the TSST in comparison to during rest. Although the TSST may have been able to arouse the subjects, the failure of SC to rise in two of the four participants indicates that this stress test may have not been sufficiently aversive. This can be especially seen in the case of participant 1, since it is the only participant to show a self-perceived indifference to the TSST (Table 3). Interestingly Graph 2 shows that participant 1 also had the smallest rise in SAA levels right after the TSST. This suggests that SAA concentrations may be more dependent on the subjective feelings of stress. In regard to the CWST error making results (Graph 5), none of the subjects showed the expected ER patterns. As it was hypothesized that stress would increase error making, it was expected that the ER would increase right after the TSST (thus in test 2) and then decrease to an intermediate ER value between those from test rounds 1 and 2 in test round 3. The results from the CWST indicate that overall the participants performed better in the second round of tests (immediately after the TSST), than in the first round of tests. Both participant 2 and 4 show even more improvement in the third round of tests, which could be linked to their maintenance of high SAA levels up to the end of the experiment (Graph 2). In addition to that, Graph 6 shows that the RT of participants 2 and 4 show a clear decrease (i.e. a faster RT) in both test rounds after the TSST. The results from the SST regarding error making (Graph 7) showed the least amount of variation between the subjects and the test rounds. Nevertheless, it was observed that participant 1 showed no change in impulsivity across the test rounds, which may be linked to his consistently low SAA levels over time (Graph 2). On the other hand, participants 2 and 3 showed increases in impulsivity after the TSST. These subjects were also the only two subjects who showed increased concentrations of SC in response to the TSST (Graph 3). To further support this observation that cortisol may play a larger role in SST performance (correlating positively with impulsivity), 20


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participant 4 who displayed a decline in impulsivity after the TSST also had the lowest SC levels throughout the entire experiment. Further post-experimental literature research exposed a source stating that that norepinephrine was shown to play a role in WM (Fitzgerald, 2011). According to the study, it was concluded that the increased presence of norepinephrine improved the performance on WM tasks. In this respect the increased levels of SAA in the four subjects when exposed to stress support the importance of norepinephrine in the reduction of ER and RT during the CWST and SST. An extra focus was placed on participant 4 for being a first year student (the other three were all third year students), and therefore probably also the participant with the least amount of presenting experience. Not only did the participant have the highest HR throughout the experiment (Graph 1) but also the weakest endocrine system activation (Graph 3). In regard to the tasks, participant 4 performed best with the lowest ER and clearest decreases in mean RT (Graphs 6). For this case study in particular, it can be concluded that the ANS showed the highest correlation with performance. Also a potential factor is the fact that participant 4 is a female, who have been shown to be less susceptible to declines in WM performance under stress in comparison to men (Wolf, 2003). General Discussion The results overall reject the hypothesis. It was expected that impulsivity would increase in the form of faster RTs and more errors in WM tasks when exposed to stress. This was not the case as although the RTs did improve, so did the ER. This hypothesis was based on literature research stating that cortisol inhibits WM functioning and that cortisol is secreted during stress. Unfortunately it is impossible to conclude whether cortisol does indeed lead to WM inhibition and increased error making. This is because the stressor largely induced ANS activation rather than endocrine system, despite it the expectation being that the endocrine system would dominate, due to its longer lasting effects. Initially two rounds of WM tests (CWST and SST) took place after the TSST separated by 20 minutes in order to determine whether there was a delay in the inhibitory effect of cortisol. However, test 2 (right after the TSST) can be interpreted to represent the more immediate effect of the SNS, whereas the delayed hormonal effect may only take over by the third test round (20 minutes after the TSST). This way of thought complicates matters further as the expected results would then be an improvement in performance in test round 2 and a worsening by test round 3. This pattern can be found in Graphs extra material, though highly inconsistent per each participant. These results fit in the evolutionary model in that it would be highly disadvantageous to be committing more mistakes when exposed to a stressor. The original idea behind the hypothesis was that under stress, brain areas more important for alertness and emotions would be enhanced at the expense of the ability to compute and reason. Assuming that this experiment is valid, this appears not to be the case. The possible confounding factors represent important influences that should be considered when interpreting the experimental outcomes. Primarily it should be 21


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pointed out that due to practical constraints the sample of participants could consist of a maximum of four subjects. Such a small sample size, although equally representative of the two genders and relatively consistent in age educational background, cannot possibly achieve statistical significance. As such the results of this experiment should not be generalized to the population of University College Roosevelt students. Furthermore it needs to be taken into consideration that three out of the four participants were students in their final year of study. This factor may influence the way the participants reacted to the TSST, since students in their final year are more accustomed to public presentations and speeches. In terms of the participants’ performance on the two tasks after being subjected to the TSST, practice may have played a significant role in the outcomes despite inclusion of practice trials. Thus it is possible that the decrease in ER and RT after the stressor could be attributed to the participants becoming acquainted to the tasks. Another consideration is that the results from the second stress questionnaire (perceived stress during the TSST) may be unreliable due to the fact that the questionnaire was given at the end of the experiment. This time delay forces the subjects to recall how they had felt roughly an hour beforehand, which is probably less accurate than if they had been asked to fill in the questionnaire right after the TSST. Conclusion The aim of this research was to demonstrate whether exposure to stress increases an individual’s impulsivity and tendency to make errors. On the one hand we have seen from the SC, SAA, and HR from each participant that the stressor (TSST) mainly had an impact on the ANS and a lesser effect on the endocrine system. However, the test results from the CWST and SST, show different outcomes than predicted as both RT and ER decreased after the stressor. Therefore these results do not match our working definition of impulsivity, as the ability to stop initiated and ongoing actions and to control interference; RTs should shorten and ERs should increase. Thus we cannot deduce whether the WM was actually impaired by the stress test due to the lack of an endocrine response. On the other hand, due to the known correlations between SAA and norepinephrine, our results suggest that the most likely explanation is that fight-or-flight response was activated to enhance alertness and WM. Another experimental limitation was the number of subjects, which excluded the possibility of obtaining significant results and of generalizing the results to the general population of University College Roosevelt. Also due to our ‘first come- first serve’ policy, the participants were not selected from random sampling. This resulted in three of the four subjects being third years, who might have responded less strongly to the TSST due to having had larger amount of presentation experience, throughout their university career. More subjects should therefore be recruited and by random sampling in future research. In addition, future studies could incorporate different stressors in order to stimulate a larger increase in SC concentrations, in a larger portion of the test subjects despite individual differences. However since the results of this study showed a significant increase in the ANS response, a further research could focus on the effects of fight-or-flight responses on WM. 22


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References Alvarez, J.A., & Emory, E. (2006). Executive function and the frontal lobes: A metaanalytic review. Neuropsychology Review 16(1): 17-42. Arnsten, A.F.T. (2009). Stress signaling pathways that impair prefrontal cortex structure and function. Nature Reviews Neuroscience 10(6): 410-422. Chatterton Jr., R.T., Vogelsong, K.M., Lu, Y.C., Ellman, A.B., & Hudgens, G.A. (1996). Salivary alpha-amylase as a measure of endogenous adrenergic activity. Clinical Physiology 16: 433-448. De Kloet, E.R., Joëls, M., & Holsboer, F. (2005). Stress and the brain: From adaptation to disease. Nature Reviews Neuroscience 6: 463-475. Ellenbogen, M.A., Carson, R.J., & Pishva, R. (2010). Automatic emotional information processing and the cortisol response to acute psychosocial stress. Cognitive, Affective, & Behavioral Neuroscience 10(1): 71-82. Fitzgerald, P. (2011). A neurochemical yin and yang: Does serotonin activate and norepinephrine deactivate the prefrontal cortex? Psychopharmacology 213: 171-182. Franzen, M.D., Tishelman, A.C., Sharp, B.H., & Friedman, A.G. (1987). An investigation of the test-retest reliability of the Stroop colorword test across two intervals. Archives of Clinical Neuropsychology 2(3): 265-272. Fukuda, S. & Morimoto, K. (2001). Lifestyle, stress and cortisol response: Review II. Environmental Health and Preventative Medicine 6(1): 15-21. Harris, A., Waage, S., Ursin, H., Hansen, A., Bjorvatn, B., & Eriksen, H. (2010). Cortisol, reaction time test and health among offshore shift workers. Psychoneuroendocrinology 35: 1339-1347. Kim, M.-S., Lee, Y.-J., & Ahn, R.-S. (2010). Day-to-day differences in cortisol levels and molar cortisol-to-DHEA ratios among working individuals. Yonsei Medical Journal 51(2): 212-218. Kirschbaum, C., Pirke, K.M., & Hellhammer, D.H. (1993). The ‘Trier social stress test’: A tool for investigating psychobiological stress responses in a laboratory setting. Neuropsychbiology 28(1-2): 76-81. Lansbergen, M.M., van Hell, E., & Kenemans, J.L. (2007). Impulsivity and conflict in the Stroop task – An ERP study. Journal of Psychophysiology 21(1): 33-50. 23


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Nater, U. & Rohleder, N. (2009). Salivary alpha-amylase as a non-invasive biomarker for the sympathetic nervous system: Current state of research. Psychoneuroendocrinology 34: 486-496. Nater, U.M., Rohleder, N., Gaab, J., Berger, S., Jud, A., Kirschbaum, C., & Ehlert, U. (2005). Human salivary alpha-amylase reactivity in a psychosocial stress paradigm. International Journal of Psychophysiology 55: 333-342. Oei, N., Everaerd, W., Elzinga, B., van Well, S. & Bermond, B. (2006). Psychosocial stress impairs working memory at high loads: an association with cortisol levels and memory retrieval. Stress 9(3): 133-141. Perret, E. (1974). The left frontal lobe of man and the suppression of habitual responses in verbal categorical behaviour. Neuropsychologia 12(3): 323-330. Perry, J.L. & Carroll, M.E. (2007). The role of impulsive behavior in drug abuse. Psychopharmacology 200: 1-26. Porcelli, A.J., Cruz, D., Wenberg, K., Patterson, M.D., Biswal, B.B., & Rypma, B. (2008). The effects of acute stress on human prefrontal working memory systems. Physiology and Behavior 95(3): 393-289. Qin, S., Hermans, E., van Marle, H., Luo, J. & Fernández, G. (2009). Acute psychological stress reduces working memory-related activity in the dorsolateral prefrontal cortex. Biological Psychiatry 66: 25-32. Rogers, R.D., Sahakian, B.J., Hodges, J.R., Polkey, C.E., Kennard, C., & Robbins, T.W. (1998). Dissociating executive mechanisms of task control following frontal lobe damage and Parkinson's disease. Brain 121(5): 815-842. Soreni, N., Crosbie, J., Ickowicz, A., & Schachar, R. Stop signal and connors’ continuous performance tasks: Test-retest reliability of two inhibition measures in ADHD children. Journal of Attention Disorders 13(2): 137-143. Stark, R., Wolf, O.T., Tabbert, K., Kagerer, S., Zimmermann, M., Kirsch, P., Schienle, A., & Vaitl, D. Influence of the stress hormone cortisol on fear conditioning in humans: Evidence for sex differences in the response of the prefrontal cortex. NeuroImage 32: 1290-1298. Stroop, J.R. (1935). Studies of interference in serial verbal reactions. Journal of Experimental Psychology 18(6): 643-662. Wahlstro, J., Hagberg, M., Johnson, P., Svensson, J. & Rempel, D. (2002). Infl uence of time pressure and verbal provocation on physiological and psychological 24


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reactions during work with a computer mouse. European Journal of Applied Psychology 87: 257-263. Wolf, O. (2003). HPA axis and memory. Best Practice & Research Clinical Endocrinology and Metabolism 17(2): 287-299.

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The Philosophical Schools and the Christianization of Athens Sharon van Dijk | University College Roosevelt In partial fulfillment of the requirements for A&H 274: From Rome to Renaissance: Byzantium and its Neighbours, 300-1453 AD taught by Dr. Helle Hochscheid Abstract It was not until the late 5th century that Christianity took a hold in Athens. Based on archaeological and literary evidence, it is argued that the philosophical schools are mainly responsible for this. Compared to other Athenian aristocrats, the pagan philosophers fared well economically after the Herulian invasion and the raids of Alaric and because they had an economic advantage, these pagans became very influential politically. Although many Christian emperors issued edicts against paganism, they generally did not intervene in Athens because the city did not play an important role in imperial politics and because they acknowledged the significance of paganism for the Greek paideia of which Athens, with its famous schools, had become the ultimate symbol. Christians did not like the pagan nature of Greco-Roman education, but realized that they could not ignore the knowledge of art, literature, science and philosophy the pagan tradition offered if they wanted to be educated. Introduction Athens is not very prominent in early Christian literature. Although Paul came to the city in the first century A.D. and converted a member of the council of the Areopagus, his preaching does not seem to have had a large impact, as there is no evidence for the presence of Christians in Athens for more than two centuries after his visit to the city.1 Funerary inscriptions from the period 284-337 show that Christians were few in that time.2 The Athenian church was represented at the Council of Nicea in 325, but there were only three bishops from all of Greece, out of a total of 317.3 From a later period there are more Christian funerary inscriptions; these contain Hellenic theophoric names, suggesting the conversion of adult pagans between 350 and 450.4 However, there were far more pagan grave markers at this time.5 It seems that churches were only built in the fifth and sixth centuries.6 Up to that time the Christians must have 1

Frantz, 1965, 188 Trombley, 2001, 285 3 Frantz, 1965, 188 ; Makrides, 2009, 51 4 Trombley, 2001, 289 5 Frantz, 1965, 189 6 Frantz, 1965, 194; Camp, 2001, 234-235 2

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met in private houses, suggesting they were neither very rich nor very influential.7 When churches were built they were not built in the city centre, where pagan worship continued unimpeded.8 Eventually pagan temples in the centre of Athens including the Parthenon, the Erechtheion and the Hephaisteion were converted to churches, but these conversions seem to date to the sixth and seventh centuries.9 This raises the question why Christians in Athens had hardly any influence for such a long time. In this paper it will be argued that the reason Athens remained predominantly pagan in the 4th and early 5th centuries was the city’s function as a University town. Literary and archaeological evidence will be considered. Education From literary sources it is clear that Athens was renowned for its schools. The anonymous author of the Expositio Totius Mundi et Gentium, writes in the mid-fourth century: After Thessaly there is the province of Achaea, the land of Greece and Laconia, which abounds in learning but in other respects is not self-sufficient, for it is a small and mountainous province and cannot produce as much grain as Thessaly. But it yields a small amount of oil and Attic honey and it is to be praised for the renown of its philosophy and rhetoric; in other respects not so much.10 Libanius, a pagan rhetorician, writes in ca. 374 BC that when he set out to continue his studies in Athens, he “like Odysseus, would have turned down marriage with a goddess for the smoke of Athens.”11 After his arrival he is disappointed and contrasts the city unfavourably with his hometown of Antioch.12 Nevertheless, his initial feelings about Athens suggest that the prestige of the Athenian schools was widely known and made many a youth dream of visiting the city or studying in it.13 This prestige was closely connected to the prestige of paideia, the Greek cultural education. A person who had achieved paideia had acquired knowledge of and appreciation for the texts and ideas of classical antiquity and was prepared for public life.14 The importance of Athens in the classical past resulted in the city being seen as the ultimate symbol for Hellenic paideia.15 Paganism was one of the factors that linked the city to this past. Continuity of pagan education was important to the philosophical schools because it implied a doctrinal continuity, which strengthened the school’s reputation and added to its authority.16 If a student studied in the same building and used the same texts as

7

Trombley, 2001, 290 Frantz, 1965, 193-194 9 Camp, 2001, 235; Frantz, 1965, 201-203 10 Expositio Totius Mundi et Gentium 52.4-10 as quoted in Watts, 2006, 24 11 Watts, 2006, 24; Wenzel, 2010, 269 12 Wenzel, 2010, 269-270 13 Wenzel, 2010, 266-267 14 Brown, 1992, 56; Watts, 2006, 2 15 Wenzel, 2010, 265 16 Watts, 2005, 288 8

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the great philosophers who came before him, then what he had learned had to be authoritative.17 Because of the schools of philosophy the number of Christians increased very slowly, perhaps with one or two hundred a year.18 Most Athenians of the upper classes were connected with the schools. Therefore almost all the rich were pagans.19 Findings of pottery and epigraphy suggest that the early Christian converts in Athens were mostly urban middle- and lower-class people: artisans, merchants, non-slave labourers and slaves.20 In addition to this, outside of Thessaloniki there were very few monasteries in Greece. Monks played an important role in the spread of Christianity in other parts of the empire and so this must certainly have had an effect, although it is not clear why monasticism did not flourish in Greece. 21 Both these factors imply that Christianity could not spread in a hierarchical fashion in Athens and that may have been one of the reasons why it took such a long time for the religion to gain ground. In general paideia was available only to the higher classes, because only the sons of notables could afford to travel long distances to study at a philosopher’s school.22 The schools may have reinforced the city’s social structure by uniting potentially conflicting groups within the ruling class, such as imperial administrators and provincial notables, giving them a sense of common excellence.23 Although Christians did not like the pagan nature of Greco-Roman education, they did generally not set up their own schools.24 The Christians made use of the pagan school system, because if they wanted to be educated they could not ignore the pagan tradition. There was simply no other tradition that could offer knowledge of art, literature, science and philosophy in the world they lived in.25 Gregory of Nazianzus advises his reader to “pluck the rose but shun the thorns of profane learning”.26 This statement seems to be representative of the attitude of Christians towards the pagan schools.27 Basil the Great also distinguished between the aspects of education that serve to prepare the soul for eternal life with God and the dangerous aspects of education.28 Christians were taught to benefit from the pagan education, but because the content of the pagan books used for teaching was considered to be inappropriate for them, they were discouraged from practicing the teaching profession.29 The Influence of Invasions

17

Watts, 2005, 288 Trombley, 2001, 291 19 Frantz, Thompson and Travlos, 1988, 19 20 Makrides, 2009, 197 21 Gregory, 1986, 235-236 22 Brown, 1992, 39 23 Fowden, 1982, 43; Brown, 1992, 39 24 Beavis, 2000, 416 25 Holder, 1992, 395 26 Gregory of Nazanzius, Poem 2.2.8.60-61 as quoted in Beavis, 2000, 416 27 Beavis, 2000, 416 28 Holder, 1992, 403 29 Beavis, 2000, 416 18

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Gregory argues that the slow spread of Christianity in Athens cannot be explained by the strength of Paganism in the schools, because the schools only had effect on a small group of people.30 However, archaeological evidence shows that there was an uneven recovery after the Herulian invasion in 267 and the raiding of the countryside by Alaric in 396, which appears to have made the philosophers in Athens very influential.31 There is visible proof of the destruction of a large part of the city. The Kerameikos, the district to the south of the Acropolis and the Agora with its great public buildings, were all ruined and would remain uninhabited until at least 400.32 The agora was no longer in use as a public square. 33 However, on the north slopes of the Areopagos and on the south slopes of the Acropolis numerous villas were built in the fourth century. These had marble peristyles, private baths and mosaics and in them collections of sculpture have been found.34 Based on these characteristics the villas have been identified as the homes of philosophers, which served as schools.35 Students who paid the teachers substantial fees returned almost immediately after the Herulian attack, so that schools could be (re)built quite soon.36 These villas suggest that in the second half of the fourth century there was an active community life well above subsistence level, which must have contrasted strongly with the deserted state of other parts of the city.37 In order to be in the Athenian council one needed to be rich, because a substantial public monetary contribution was expected of those holding office.38 Members of the Athenian aristocracy, who did not teach, depended primarily on agricultural estates in Attica for their income, which were destroyed during the invasion of Herulian and the raids of Alaric and needed a long time to recover.39 As a consequence, the economic and political influence of philosophers in Athens seems to have become determinative.40 This is in line with Millar’s finding, based on literary and epigraphic evidence, that the aristocratic families which remained influential after the Herulian attack were teaching families, many of which held priesthoods.41 It also seems to be confirmed in the Life of John Chrysostom, in which the author George of Alexandria points out that in 367 and 368, the city council of Athens consisted almost completely of pagans.42 Pagan Philosophers and Christian Emperors The pagan philosophers heading the schools played a very important role in maintaining pagan worship in Athens as well. Several statues of philosophers have 30

Gregory, 1986, 235 Watts, 2006, 39 32 Frantz, 1965, 189 33 Frantz, 1965, 189-190 ; Thompson and Wycherley, 1972, 24 34 Camp, 2001, 227-228; Thompson and Wycherley, 1972, 211-213 35 Watts, 2006, 41 36 Camp, 2001, 227-228 37 Frantz, 1965, 189 38 Watts, 2006, 28 39 Watts, 2006, 40 40 Watts, 2006, 38 41 Millar, 1969, 16-19 42 George of Alexandria, Vita Chrysostomi, 79. 6-28 as quoted in Trombley, 2000, 295 31

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been found in the temples, showing that they were benefactors of the pagan cults.43 The cult of Athena was particularly important to grammarians and philosophers, because they believed that without the help of this goddess the excellence of the sciences taught in Athens would decline.44 Eunapius in the Lives of Philosophers and Sophists mentions only one Christian, Prohairesios, amongst the Athenian teachers.45 Most of the proconsuls of Achaia in the fourth century were pagan philosophers as well, who did not enforce the laws of the Christians emperors against paganism.46 It might seem strange that Christian emperors did not intervene in Athens, but the city was not close to Constantinople and was not very important in imperial politics.47 Therefore, it was easier for the emperors to cooperate with the pagan local officials. An intervention would be too much trouble and presumably, would not have been very successful.48 The first Christian emperor Constantine did not want to interfere in Athens at all, but favoured the city, accepting the title ‘strategos of Athens’ and granting it an annual distribution of grain.49 During his reign, most of the pagan temples in Athens were renovated, which, like his tolerance of paganism throughout the empire, shows that the emperor did not see paganism as a threat to Christianity. 50 It seems that he was aware that the schools in Athens provided well-educated new recruits for the imperial service and that there were no Christian schools that could do the same.51 He wanted to be looked upon favourably by the aristocracy and wanted to support education, which meant he also had to support paganism.52 Other emperors did not favour Athens in this way. On the contrary, many of them demanded the closure of the Athenian temples.53 An exception is the pagan emperor Julian the Apostate, who studied in Athens and is called a benefactor of the city in an encomium by Mamertinus.54 It has been suggested that he rebuilt the Parthenon.55 Next to Julian and the philosophers some other important local officials were benefactors of the city. In the fourth century Himerius praises Cervonius and Ampelius, both proconsuls of Achaea, in his encomia.56 In the beginning of the fifth century Herculius, the prefect of Illyricum, undertook a building program rebuilding 43

Camp, 2001, 233 George of Alexandria, Vita Chrysostomi, 85 as quoted in Trombley, 2001, 300 45 Eunapius, Lives, 476 ff. 46 Gauville, 2001, 53 47 Gregory, 1986, 235 48 Watts, 2006, 45 49 Julian, Or. 1.6; Frantz, Thompson and Travlos, 1988, 16 50 Gauville, 2001, 54 51 Gauville, 2001, 57 52 Frantz, Thompson and Travlos, 1988, 16-17; Gauville, 2001, 57 53 Next to Constans and Constantius II, Theodosius I and Theodosius II issued edicts against pagan worship in Athens, without much effect. Theodosius II ordered the destruction of pagan temples in 435, but when this was not achieved, he demanded that no pagan sacrifice be made anymore. This decree seems to have been better observed. Valens and Valentinian I, although they were Christians, were tolerant towards paganism. For a more detailed account, see Frantz, Thompson and Travlos, 1988 and O’Donnell, 1979. 54 Frantz, Thompson and Travlos, 1988, 20-21 55 Frantz, 1997, 396-399; Hurwit, 1999, 286 56 Frantz, Thompson and Travlos, 1988, 20-21 44

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the lower city, as becomes clear from an honorific portrait statue that was placed on the Acropolis.57 Judging from this evidence, it seems that in general Athens was dependent on important local officials rather than on emperors for its benefactions. In addition, there was some acknowledgement for the cultural significance of paganism. The Eleusinian Mysteries for example, were allowed to exist until the end of the fourth century because of their ancient origins. There is even some indication that emperors asking for the closure of the Athenian temples were not entirely consistent in their opposition to paganism. In 382 Gratian, Valentinian II and Theodosius I issued a decree which was addressed to Palladius and probably referred specifically to the temple at Edessa. It stated that “the temple shall continually be open… in which images are reported to have been placed which must be measured by value of their art rather than their divinity.”58 Although the decree is not about Athens, it may shed light on another factor that may have caused the emperors not to do more to stop pagan worship in the city. They may have valued the pagan cult statues and the temples as works of art, which were part of the classical tradition of the Empire. The pagan philosophers tried to maintain a good relationship with Christians in the city, because they did not want to draw the attention of the government in Constantinople to local divergences from past imperial edicts against cult.59 This becomes apparent from the way George of Alexandria, writing in the early 7th century, renders the cautionary speech of Demosthenes, who served as the “father of the city” in 367/368: Our revered emperors are Christians and have published edicts that no one sacrifice to any other god than the one Christ whom they worship and believe in. Those who devote themselves to Hellenic worship having learned this accomplish it secretly, and those who do this here, if they become known to the emperors, are ruined and destroyed by them, since they have despised their imperial and inexorable command. Cease, Anthemius, to expatiate at length, lest this discourse reach their worthy ears60 If the gist of this reprimand is historically correct, this passage shows that the Athenians always feared new edicts, even during the lenient reign of Valens.61 It seems more plausible that the author reflects the caution of later times though; the reference to worshipping in secret suggests the passage refers to the time after Theodosius II’s edict against pagan sacrifice. It implies that as long as there were no events that drew the imperial attention to Athens, pagans could carry on their practices unimpeded. Local interactions

57

Hurwit, 1999, 286 Frantz, Thompson and Travlos, 1988, 70 59 Trombley, 2001, 301 60 George of Alexandria, Vita Chrysostomi, 84.11-19 as quoted in Trombley, 2001, 301 61 Trombley, 2001, 301 58

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The pagans wanted to continue carrying out their rites, but were not opposed to Christianity. It should not be forgotten that pagans were very tolerant to other religions, because they believed there were many gods and that alternate forms of worship were possible and could exist side by side.62 It is perhaps this attitude in combination with imperial policy that can explain the archaeological evidence, which suggests that over time the line between Christians and pagans became more and more blurred.63 From ca. 400 a large number of funerary inscriptions are not purely Christian or pagan in nature anymore, but show the mutual influence of the two religions. The inscriptions came to be based more and more on Hellenic models, using both Hellenic and Christian references.64 It seems that because of the anti-pagan policies of Constantius II, who issued an edict that ordered the closing of all the temples, many people accepted Christianity for the sake of political advancement.65 When Julian became emperor, they carried out their pagan practices overtly again and they kept performing these practices after his death.66 Based on Marinus Neapolis’ Life of Proclus, the closure of the Parthenon can be dated to ca. 485/486.67 That the temples could be closed at this time, while the philosophers were still active in the city can perhaps be explained by the shift of authority which took place throughout the empire, from city councils to groups of notables that included bishops.68 Conclusion To conclude, late antique Athens was famous for its pagan schools. A prestigious education at this time could only be based on classical culture and thus on the pagan tradition, because there was no established Christian alternative. The reputation of the Athenian schools ensured Christians as well as pagans wanted to be educated there. The political influence of the pagan philosophers in Athens increased after the Herulian sack, because there was an uneven recovery and the teaching aristocracy recovered relatively quickly. Their influence ensured that pagan worship continued in the city in the fourth and early fifth century, because Christianity was not imposed on a local level; instead pagan worship was supported. Paganism could be maintained in this manner because the emperors did not intervene in Athens and there were few monasteries in the area. Constantine and Julian supported the city, realizing the importance of Athens in providing educated citizens and valuing its classical tradition. Most of the later emperors showed their disapproval of the paganism in the city, but did not take measures to intervene because Athens was not as important as it had been in the past. Their awareness of Athens’ importance in the past may also have played a role in their sometimes lenient attitude towards the city.

62

O’Donnell, 1979, 51 O’Donnell, 1979, 51-52 64 Trombley, 2001, 285-288 65 Trombley, 2001, 301 66 Trombley, 2001, 301; Kaldellis, 2005, 652 67 Marinus, Vita Procli, § 30 68 Whittow, 1990, 9-10; Watts, 2006, 128 63

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Works Cited Beavis, Mary Ann. ““Pluck the Rose but Shun the Thorns”: The Ancient School and Christian Origins.” Studies in Religion 29.4 (2000): 411-423. Print. Brown, Peter. Power & Persuasion in Late Antiquity: Towards a Christian Empire. Madison: The University of Wisconsin Press, 1992. Print. Camp, John M. The Archaeology of Athens. London: Yale University Press, 2001. Print. ---. “Excavations in the Athenian Agora: 2002-2007.” Hesperia 76.4 (2007): 627663. Print. Eunapius. Lives of the Philosophers and the Sophists. Trans. Wright, Wilmer Cave. London: W. Heinemann, 1921. Print. Fowden, Garth. “The Pagan Holy Man in Late Antique Society.” The Journal of Hellenic Studies 102 (1982): 33-59. Print. Frantz, Alison. “From Paganism to Christianity in the Temples of Athens.” Dumbarton Oaks Papers 19 (1965): 187-205. Print. ---, Thompson, Homer A. and John Travlos. “Late Antiquity: A.D. 267-700.” Athenian Agora 24 (1988): 1-257. Print. Gauville, Jean-Luc. “Emperor Constantine and Athens in the Fourth Century AD.” Hirundo 2 (2002):51-61. Print. Gregory, Timothy E. “The Survival of Paganism in Christian Greece: A Critical Essay.” The American Journal of Philology 107.2 (1986):229-242. Print. Holder, Arthur G. “Saint Basil the Great on Secular Education and Christian Virtue.” Religious Education 87.3 (1992): 395-415. Print. Hurwit, Jeffrey M. The Athenian Acropolis: History, Mythology, and Archaeology from the Neolithic Era to the Present. Cambridge: Cambridge University Press, 1999. Print. Julian. Orations 1-5, volume I. Trans. Wilmer C. Wright. Cambridge: Harvard University Press, 1913. Print. Kaldellis, Anthony. “Julian, the Hierophant of Eleusis, and the Abolition of Constantius' Tyranny.” The Classical Quarterly 55.2 (2005):652-655. Print. Makrides, Vasilios. Hellenic Temples and Churches. New York: New York University Press, 2009. Print. Marinus of Samaria, The Life of Proclus or Concerning Happiness. Trans. Kenneth S. Guthrie. Grand Rapids: Phanes Press, 1925. Print. O’Donnell, James J. “The Demise of Paganism.” Traditio 35 (1979): 45-88. Print. 34


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Thompson, Homer A. and R.E. Wycherley. “The Agora of Athens: The History Shape and Uses of an Ancient City Center.” The Athenian Agora 14 (1972): 1-257. Print. Trombley, Frank R. Hellenic Religion and Christianization c. 370-529. Leiden: Brill Academic Publishers, 2001. Print. Watts, Edward J. City and School in Late Antique Athens and Alexandria. Berkeley: University of California Press, 2006. Print. Wenzel, Aaron. "Libanius, Gregory of Nazianzus, and the Ideal of Athens in Late Antiquity.” Journal of Late Antiquity 3.2 (2010): 264-285. Print. Whittow, Mark. “Ruling the Late Roman and Early Byzantine City: A Continuous History.” Past & Present 129 (1990): 3-29. Print.

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The Real behind Reality: A Social Critique on the Simulacrum of Modern Times Ingmar Hinz | University College Roosevelt In partial fulfillment of the requirements for SSC 215 Consumer Society and Media taught by Dr. Rolando Vázquez Abstract This essay grapples with the logic ingrained in corporate social responsibility, Fair Trade and co-optation vis-à-vis the coffee industry. By applying frameworks of social critique on the simulation fashioned by the political economy, the author has attempted to depict the obscured reality behind the contemporary coffee praxis as an example and a symptom of a much larger (neocolonial) malaise. A malaise which, under the current arrangements of the neoliberal edifice, is successful in depoliticizing the unjust relationship between the Northern and Southern hemisphere. Consequently, the systemically violent status quo that evolves from this process of depolitization – in relation to means of production – can be thought of as one that significantly affects the subjectivity of the Western consumer populace, as will be argued throughout this essay. It, on the one hand, attempts to ensure one’s obliviousness towards exploitative means of production partaking in the ‘Third World’, while, on the other hand, supporting one’s proactive attitude towards consumerism. Albeit the situation depicted in this essay is obviously more complex than could possibly be described in one, single account, the aim here is to breach the mechanisms of systemic violence in search for the real behind reality. Introduction In the realm of the political economy, coffee is argued to be “the second most valuable traded commodity after oil” (Ponte, 2002, p. 1101), and produced in over 50 countries, the driving economic force of many developing nations (Newman, 2009; Berndt, 2007). However within the framework of the modern Western society the eminence of coffee is reflected by its consumption driven, hyperreal position along the premises of the public, commercial and private architecture. Hence coffee enunciates a privatized cultural status in the West, understood as the result of process – inherent to liberalism – through which cultural phenomena or “the same sets of beliefs and practices change from a binding power of a collective into an expression of personal and private idiosyncrasies” (Žižek’s, 2009, p. 120). Subsequently, one can argue that coffee is not only consumed as just a commodity or “a daily ritual for subjects under the capitalist demand of productivity and efficiency” (Shih & Chang, 2010, p. 445), but moreover as the effective embodiment of a hyperreal, personal peculiarity. In nuce it is through the consumption of coffee and its image, amongst other commodities, that one is confronted with – and effectively becomes part of – the ideology of capitalism: an ideology in need of the perfect consumer (Salecl, 2011). 36


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The aforementioned taken into account, it appears needless to state that the majority of the Western populace will not ponder over the ambiguous hyperreal – that is, the fetishization of a commodity and its subsequent symbolic detachment from its true or ‘natural’ value (Baudrillard, 2001) – contained in every cup of (branded) coffee. Nor is one made to feel obliged to scrutinize the dim space in which North/South transactions and exploited means of production partake. In line with the aforementioned ideology, it could be stated that one is disinvited to do so. The latter is perhaps best conceived by Baudrillard (2001), according to whom ‘the simulacrum is never that which conceals the truth – it is the truth which conceals that there is none. The simulacrum is true’ (p. 169). Hence, one lives through an ideological simulation created to conceal a double ‘truth’. Namely, that one is subject to a continuous process of hyperreal seduction, desire, production and accumulation, designed to result in the consumption of a certain commodity – in this respect, coffee. And furthermore that one, through the orchestrated occurrence of endless attempts to satisfy one’s unabated desires, is disinvited to challenge the exploited means of production so pervasive under global capitalism. Consequently, the rhetoric of the simulacrum – that is the ‘truth’ concealing process – could be read in terms of systemic violence, portrayed as the invisibility which “sustains the very zero-level standard against which we perceive something as subjectively [overtly] violent” (Žižek’s, 2009, p. 2). Hence by encouraging the individual to regard the simulacrum as the zero-level standard – and to subsequently regard any deviation from this standard as an alien practice – the system attempts to uphold its own self-evidence. When met with resistance, for instance with the NGOs which attempted to facilitate Fair Trade within the coffee supply chains, the actors who depend on the self-evidence of the capitalist ideology will in turn attempt to restore the equilibrium in favor of multinational corporations, as will become evident throughout this essay. The content of this essay aims to depict the concealed liaisons of power that contribute to the persistency of hyperreality and inequality fundamental to the contemporary society and coffee industry. To achieve this, the author will grapple with the ‘distorted and unjust’ (MacDonald, 2007, p. 794) mechanisms of control grounded in Nestlé’s socially responsible praxis in Guatemala (Latin America), as well as with the depoliticization of Fair Trade arrangements through co-optation. By applying the critique enunciated by Baudrillard, Bauman, Mignolo, Žižek and Salecl, the author will furthermore argue that the injustice inherent to the coffee industry is but a symptom of a much larger malaise: a structural complexity which, over the course of centuries, has come to dominate Western thinking and acting, subsequently depoliticizing and retarding any attempt made to mediate its influence on those subordinate to its powerful subjugation. Fair Trade: Cause and history The antecedents of Fair Trade gradually emerged against the backdrop of neoliberal economic supremacy subsequent to the Second World War (Fridell, 2006; Nicholls & Opal, 2005): a model through which world trade was liberalized to enhance economic growth on a global scale. Fundamental to the success of neoliberal capitalism was the assumption that greater prosperity would be acquired by decreasing the governmental influence on economic actors (ibid), thereby establishing the principles for a selfregulating market through which “corporations, rather than the state, [became] the dominant political and economic organizations in society” (Jaffee, 2012, p. 96). Through this course of events, Western corporations were invited to transgress the globe more freely in pursuit of new grazing fields and profit maximization (Bauman, 37


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2010), consequently securing and fueling the thriving Western consumer culture (Nicholls & Opal, 2005). Although the coffee industry was already subject to exploitation prior to the implementation of capitalism as the global economic system, noticeably under the process of colonization (Shih & Chang, 2010), one can argue that the emergence of (neoliberal) capitalism opened up the option for more effective and perhaps more exploitative means of production in general (Bauman, 2010). This means of exploitation transgressed the bodily and effectively took hold over the mind (Chomsky, 2013), although physical exploitation and slavery are still common under the capitalist order, as portrayed by conflict mineral mines of the Republic of Congo (Eichstaedt, 2011). Further depictions of such means are offered by, but not limited to; the obsession with – and control over – productivity and efficiency at the work place, frequent media reports on exploitative working conditions at manufactory plants, such as Foxconn and Amazon, and the emergence of a climate wherein “the opportunity to be ‘exploited’ in a long-term job is experienced as a privilege” (Žižek, 2012, p. 8). Signs of exploitation are also apparent in the coffee industry (Jaffee, 2012; Nicholls & Opal, 2005), where ‘the ‘Big Five’ transnationals – Nestlé, Kraft, Procter & Gamble, Sara Lee, and Tchibo – controlling 69 percent of global roasted and ground coffee sales (Jaffee, 2012, p. 105) - have obtained profits of billions at the cost of millions of farming families in the coffee industry during economic crises, though, as will follow, mystified and sugarcoated by a wide range of corporate social responsibility. Though distinct in nature, the aforementioned incidents share common ground, for the intertwined logic of ‘the ‘spirit’ of [Renaissance] epistemology (Mignolo, 2011, p. 183), or the heritage of rationalization, and “the ‘spirit’ of economy” (p. 183), or accumulation-driven capitalism, are arguably both part of the genealogy of their occurrence. The intertwined constitution of the former and latter logic, in turn, gave way to perhaps one of the key elements of exploitation along the supply chains of production, also portrayed by the coffee industry: namely “the expendability of human lives” (p. 184), or the creation of human waste (Bauman, 2010), which consequently gave rise to the commodification and consumption of human lives for the common good of accumulation and the consumer society. With the hierarchical relationship between the consumer and the consumed came the “juncture between the cultural and the political, the global and the local, and the colonizer and the oppressed” (Shih & Chang, 2010, p. 446), which nowadays constitutes the dim space in which North/South transactions partake. Demystifying this space reveals a juncture that involves a lack of access to (financial) markets, credits, resources, information flows, and legal systems (Nicholls & Opal, 2005) of which coffee farmers suffer on a global basis: A space challenged by the emergence of Fair Trade. Early, rigorous attempts to improve the position of coffee farmers date back to the 1960s (Jaffee, 2012; Jaffee, Kloppenburg & Monroy, 2004), but it was not until the late 1980s that the first independent fair trade label Max Havelaar, in its contemporary form, emerged on the consumer market. In 1988 the Dutch NGO Solidaridad introduced the label Max Havelaar to target the aforementioned malaises within the coffee industry (Jaffee, 2012). Max Havelaar, a designation grounded in the work of the author Multatuli (Nicholls & Opal, 2005) who “represented an ethical, anti-colonial voice that stood up for the oppressed” (Zook, 2006, p. 1170) in the Dutch Indies, established itself as a certified seal that could be obtained by “any brand that met its criteria of fairness” (Jaffee, 2012, p. 103), conceptualized as: payment of a firm floor or base price representing a ‘fair wage’ for smallholders; 38


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Repayment or credit to farmers in advance of the harvest, to avoid indebtedness; an additional premium payment to be used for social development projects; and long-term trading relationships with democratically organized producer cooperatives or associations (p. 103). Inspired by the impetus of Max Havelaar, 19 additional fair trade initiatives swiftly followed suit throughout Western society (Nicholls & Opal, 2005), resulting in the development of the FLO (currently Fair Trade International) in 1997 (Jaffee, 2012): the universal overarching organization under which the aforementioned initially independent fair trade initiatives, together with the licensing body Transfair USA (currently Fair Trade USA), regulate the global authorization of Fair Trade labels in order “to pool certification and marketing resources amongst consuming countries” (Nicholls & Opal, 2005, p. 11). Accompanied by the establishment of the FLO was the introduction of the omnipresent Fair Trade seal as the symbolization of certification as an aggressive and mainstream marketing principle (Tellman, Gray & Bacon, 2011), by which ‘Fair Trade gained substantial market share in the early 21st century’ (p. 108), leading to the embedment of Fair Trade labels in a diverse range of consumer goods (Jaffee, 2012). Aided by the standardization of Fair Trade under the unifying structure of the FLO (Jaffee, 2012), the label gained considerable popularity throughout recent years as a ‘counter hegemonic social movement’ (Lyon, 2007, p. 242) which attempts to offer an alternative consumer choice (Nicholls & Opal, 2005). As such, Fair Trade attempts to retard “the conventional agro-food system and its exploitative relations of production” (Lyon, 2007, p. 242) by ‘offer[ing] the most disadvantaged producers in developing countries the opportunity to move out of extreme poverty through creating market access (typically to Northern consumers) under beneficial rather than exploitative terms’ (Nicholls & Opal, 2005, p. 6). Fair Trade attains to this goal by relaying on four universal and fundamental principles:    

‘Direct purchasing from producers. Transparent and long-term trading partnerships. Agreed minimum prices. Focus on development and technical assistance via the payment to suppliers of an agree social premium’ (p. 33).

These principles are in turn attained through its core-principle certification process (Brendt, 2007), coordinated by the FLO (Valkila & Nygren, 2009), which symbolizes the guarantee of ‘trading partnership based on dialogue, transparency and respect’ (Bacon, 2005, p. 500): a process of which an example is depicted in figure 1. Translated into concrete results, the Fair Trade principles have led to, amongst others, the constitution of fixed price premiums for products which “[hedge] against swings in market prices” (Berndt, 2007, p. 2), access to credit in order to stimulate the further development of plantations, the establishment of fair conditions of employment, health safety and freedom of child labor, and access to the exchange markets (Valkila & Nygren, 2009).

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Figure 1. Fair Trade certification process as developed by TransFair USA (Nicholls & Opal, 2005, p. 134).

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The depoliticization of ethicality: Co-optation Hitherto, the emergence of Fair Trade has partially (Jaffee, 2012) altered the debate on trading relationships between the Northern and Southern hemisphere, resulting in the unavoidable recognition that Fair Trade has indeed attained to “standards of minimum pricing, credit provision, adequate working conditions, and progress toward social and community development goals” (Geiger-Oneto & Arnould, 2011, p. 276-77), within and without the coffee industry (Nicholls & Opal, 2005). Nonetheless, borrowing from the lessons on totalitarianism (Žižek, 2009), which remind one that “the fight against the external enemy sooner or later always turns into an inner split and the fight against the inner enemy” (p. 113), it is perhaps here that it is utterly crucial to remain focused on the real behind reality (the simulacrum), which at this stage is the emergence of co-optation as the depoliticization and deradicalization of ethicality for the grand purpose of corporate survival (id est, profit maximization). The depoliticization of Fair Trade’s ethicality occurred subsequently to the onset of frictions between the left-liberal alliance within the Fair Trade organization (Jaffee, 2012), id est, between ‘mission-driven’ (p. 107) companies and those “attracted by fair trade’s profitability as a small niche market” (p. 107). According to Jaffee, these frictions had been instigated, in part, by “the professionalization of fair trade organizations [under the FLO], and also in part [due] to the adoption of a more formal, international certification model” (p. 103). In nuce, the organizational future of Fair Trade was now at stake, as efforts were made to develop a universal vision based on the scramble of coalescing the various, initially independent – and thus holding different visions – alternative trade organizations, supplemented by FLO attempts to ‘increase the volume of fair trade sales through conventional retail venues and under existing commercial brands [for instance, the aforementioned ‘Big Five’], as opposed to the alternative trade groups that had dominated fair trade thus far’ (p. 104). Hence, by endeavoring to increase Fair Trade sales through the conventional market, accompanied by the process of unification, Fair Trade as a whole had put itself in a perilous position. Once the Samaritan of ethicality, Fair Trade was yet obliged to cooperate with the adversary – which ultimately set the stage for the corporate actor’s compromise vis-à-vis ethicality (co-optation) – in return for Fair Trade’s central position within the framework of the conventional market economy. Thus put ruthlessly here, by allowing the aforementioned course of events to occur Fair Trade has sold its soul to the devil. The process of co-optation – portrayed by Trumpy (2008) as “a corporate target’s ability to maintain SMO [Social Movement Organization] support without acquiescing to SMO demands” (p. 480) or “the ability of a corporate target to bring the interests of a challenging group into alignment with its own goals” (p. 480) – operates as a strategy by which “[c]orporate firms can […] defuse the threats [lower the standards] that regulation – even in the form of private, voluntary product certification – would represent to their commercial practices and profit margins” (Jaffee, 2012, p. 110). Hence, a climate wherein “[f]irms that choose to engage with such regulatory regimes have a structural interest in rewriting the ‘rules of the game”’ (p. 110). Concretely this indicates the establishment of a new strategy that allows corporations to deradicalize Fair Trade measures and, hence delimit ethicality as the primary substance of a trade relationship. What occurs is the application of a keen formula through which “the formal authority [Nestlé] retains the power and is able to dissolve its relationship with the co-opted party [FLO; Fair Trade] at any time, and presumably will do so as soon as this partnership is no longer in its interest” (Trumpy, 2008, p. 488). 41


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However, it appears not in Nestlé’s interest to disregard the current Fair trade arrangement, as co-optation, at time of underlined signification of corporate social responsibility (Jaffee, 2012), might very well offer access to a novel consumer niche, namely that of the ethical consumer. Though it is of importance to scrutinize this instance even further, since as North (2008, cited by Jaffee, 2012) notes; co-optation “can go a long way to polishing even the worst corporate image” (p. 110). The latter paradoxically indicates the total redundancy of any analysis vis-à-vis Nestlé’s attempt to penetrate the ethical consumer market, as this will not prove to be the sole purpose of its Fair Trade alignment, nevertheless perhaps at most a minor profitable addition. The role of grand mean is instead reserved for wiping clean the exploitative historical image of the corporation – through just a hint of Fair Trade – since the outcome of this process will secure even greater future benefits than a niche market alone: the restoration of a once distorted equilibrium by the emergence of Fair Trade, as will be illustrated throughout the following sections. Guatemala: The land of coffee, suppression and Nestlé Situated in the northwest of Central America, Guatemala is globally known as the seventh largest coffee producing nation, accounting for 4% of the coffee exchange revenues within the confines of the neoliberal market economy (Klefbom, 2002), and the largest (specialty) coffee supplier in Central America (Brendt, 2007). However, Guatemala is simultaneously marred by a history of large scale human rights violations, which have left lasting imprints on social relationships. Although through its fertile grounds and extensive mineral stocks, it has the potential of becoming a wealthy country, it is in need of internal and political stability, and highly dependent on foreign investments to accumulate wealth (Klefbom, 2002). Since the 1980’s the country is argued to be mainly dependent on coffee revenues, reflected by the understanding that approximately 26% of its export rates rely on the coffee industry (Madjidi, 2005). Western governments (Chomsky, 2013), together with major companies such as Nestlé, tend to benefit from that predicament. The Swiss conglomerate Nestlé is regarded as one of world’s most influential beverage companies (Metzger, Nunnenkamp & Mahmoud, 2010). According to its management (Nestlé, 2002), the enterprise dominates the industry as a key player in the assembly of coffee, cacao and dairy products. In order to attend to the great economic demand in the West, Nestlé employs 220,000 workers, of which approximately 48 percent are employees “located in developing countries, even though these countries represent less than a third of the sales” (p. 9). In the last decade, the corporation has recommenced its focus on South and Central American countries (Nestlé, 2006b): an area which “continues to produce more than twice as much coffee as the rest of the world combined” (Topik, 2000, p. 227). Nestlé (2006b) recognized that investment in countries such as Guatemala is a fruitful asset to future developments, since it presents producers with all ingredients needed to guarantee good quality commodities. Consequently, Nestlé has heavily invested in the coffee, cacao and dairy industries of territories ranging from Austral American to Mexican regions, signified by the omnipresence of factory plants (72) on South and Central American territory. Its pervasiveness which offers employment to an astonishing 38,000 factory workers and 650,000 indirect employees (2006b), of which approximately 29,000 farmers are occupied in the Central American coffee industry. Based on the understanding that Guatemala is the primary coffee producing region in Central America (Brendt, 2007), accompanied by the statistics provided by Nestlé 42


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(2006b), one can logically derive that the majority of these 29,000 workers are currently employed in Guatemala. Reflecting on Guatemala’s historical perils (Lyon, 2007) and current scramble for the accumulation of wealth and development, it has not escaped Nestlé’s (2006b) attention that in the prime-time of corporate social responsibility and Fair Trade, ethical trade relationships deserve special attention. Therefore the company has attained to Fair Trade certification, accompanied by the development of new methodological guidelines to enhance the standards of living of ‘[p]articipating coffee growers’ (p. 19), by allowing them to ‘receive no less than 75% of the export value of the coffee’ (p. 19). Consequently Nestlé has implemented a renewed framework of shared values, together with a variety of contextual investments (2006a), which both the Guatemalan society and Nestlé (in theory) profit from. The previously mentioned contextual investments have been established to “tie local needs and opportunities to [Nestlé’s] business objectives” (Nestlé, 2006b, p. 4; emphasis added). These ‘local needs’ are conceptualized in Nestlé’s Millennium Goals (2006a), which are in turn based upon the Millennium Goals of the United Nations, however these are edited to suit its business objectives. According to Nestlé (2006b, 2011), Guatemala benefits greatly from the new approach taken in recent years. By this approach Guatemalan smallholders do not only receive fair prices for the commodities they produce (Nestlé, 2006b), based on the price minimum estimation of $1.21 (excluding premiums; Brendt, 2007; Geiger-Oneto & Arnould, 2011), but moreover enjoy the privilege of being subject to corporately funded sustainable development programs (Nestlé, 2006a, 2006b). Examples of such programs are the construction of school buildings (Nestlé, 2006a), and the eradication of hunger by means of “industrializing the developing world” (p. 7). Through these means Nestlé markets itself as an ethical brand which profoundly acts in the interest of coffee producing countries, as is shown in various documentations (2002, 2006a, 2006b, 2011). It attempts to penetrate and dominate the global exchange market by merging a first world, and profitable, business approach with a friendly and social attitude. Nonetheless it remains difficult to objectively verify Nestlé’s aforementioned investments, since there are little objective sources available that confirm these benefits for the Latin American workers or communities in general (Utting, 2009). However, what is known is that if ‘the world’s largest coffee trader’ (Jaffee, 2012, p. 95) had indeed opted for the establishment of a true Fair Trade relationship between the Developing and First world, subsequent to its incorporation into the Fair Trade climate after the Millennium celebration, its Fair Trade revenue would not have “represented only .0025 percent of [its] total coffee volume” (p. 106) by 2008. And although “Nestlé had promised to increase fair trade sales volumes over time” (p. 106), the deputy director of the Fair Trade Foundation “acknowledged in 2010 that the firm had so far failed to do so: “we have got an agreement about continued increase, we’ve got targets, [but] they’re not legally enforceable” (p. 106). Hence, research conducted on Fair Trade is currently more skeptical regarding the long-term benefits for farmers (Berndt, 2007). It is increasingly viewed as a mere ‘Band-Aid solution to the problems a deficient institutional structure creates in coffeeproducing countries’ (p. 2); a Band-Aid solution which moreover seems to come at a high price, both in the long and short-term. Accusations made towards Fair Trade seem to confirm that Fair Trade is only accessible to small landowners, which “are not the poorest segment of the coffee industry – seasonal workers are” (p. 27). It excludes workers who are being employed on coffee plantations (MacDonald, 2007) and workers who hold a permanent employment on a farm (Berndt, 2007), meaning that 43


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Fair Trade only encompasses (democratic) cooperatives. In order to receive the Fair Trade label, these cooperatives have to pay a subscription between $2,000 and $4,000 accompanied by additional fees for mandatory annual inspections. In addition smallholders are obliged to reorganize their business in accordance to the norms of Fair Trade legislations (figure 2).

Figure 2. The costs of switching to Fair Trade (Brendt, 2007, p. 25). Since smallholders are often not able to pay the Fair Trade fees and the accompanied reorganization of their business, many farmers are discouraged to participate in Fair Trade, and are thus excluded from fair treatment. Furthermore, to be eligible to receive Fair Trade credit smallholders first have to participate in the program for 4 subsequent years (Utting, 2009). Consequently only 2.21% of the coffee produced in Guatemala is produced under the Fair Trade label (Berndt, 2007). Hence, benefits remain scarce under the high membership costs. Additionally, whereas exchange-grade coffee in Guatemala is being exchanged for $1.03 per pound, Fair Trade coffee is sold for a fixed floor price of $1.36. According to the logic of Fair Trade organizations, this results in a $0.33 profit for the craftsman or smallholder. However, the aforementioned organizations draw a faulty comparison, since the main coffee produced in Guatemala is specialty coffee (exchanged for $1.33) and not exchange44


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grade coffee. Thus the actual profit made is only $0.03. Taking into consideration the actual profit made with Fair Trade coffee, it seems unlikely that profit is large enough to significantly contribute to the independent development of the country as such indicating a long-term dependence on foreign conglomerates as Nestlé. Since Fair Trade alone cannot considerably contribute to independent social development as such, the concept is vulnerable to violations by companies as Nestlé who are in need of polishing their corporate image through co-optation. Consequently Fair Trade might as ‘applied’ by Nestlé, be just a new leash around the necks of farmers in order to maximize the company’s control over the subjects working at the coffee supply chains. The question that remains is whether the abovementioned description is just a perverse atomized case of exploitation within the framework of a normally ethical institutional order? Or is it but a symptom, an indication of the real behind reality? Real behind reality: The systemic violence of the capitalist simulacrum Depicted above is the vernacular of the modern political economic simulacrum (Baudrillard, 2001): a self-sustaining entity which deradicalizes any critique and action undertaken to counter its systemically violent core (Žižek, 2009), “as to disprove the claims that say that there is no outside to modernity, to capitalism, to globalization” (Vázquez, 2011, p. 42), functioning as a zero-level principle against which all alternatives are compared (Žižek, 2009). In accordance with this logic Fair Trade – initially implemented to establish a righteous trading relationship between Northern consumers and Southern producers – has arguably become part of the system’s interior through co-optation. The deradicalization of Fair Trade has thereby facilitated – rather than forestalled – the option to exploit producers within the premises of the coffee industry and beyond, and has therefore become a vehicle through which capitalism can effectively regain its power. In this respect Fair Trade embodies the desired double function inherent to the simulacrum; it on the one hand offers an (illusionary) alternative to those consumers who deem ethicality important, while on the other hand attempting to conceal that there is yet another reality behind its phantasmal and ethical image. Consequently the consumer is disinvited to question the authority of the system, for the systemic violence ingrained in the simulacrum constitutes a closed and orchestrated circuit of acceptance. By conforming to this logic the consumers are thus successfully condemned to the margins of hyperreal consumption, where they may reside – or consume – in oblivion. The role currently bestowed on Fair Trade is to facilitate this process. Moreover one can state that the same logic partakes in the realm of corporate social responsibility, wherein the contextual investments made by Nestlé (2002, 2006a, 2006b, 2011) distort the ‘true’ image of reality. With regard to Nestlé’s above depicted praxis one can detect significant similarities with – though in a different context – the Structural Adjustment Programs (SAPs) in Africa, as implemented by the International Monetary Fund and the World Bank. As argued by Ferguson (2006), the latter programs are, in theory, implemented to offer developing nations the opportunity to obtain loans against low interest rates – comparable to Fair Trade credit – thereby enabling these nations to enter the international economic market. In order to receive a loan, developing nations are obliged to meet the conditions set out by both the International Monetary Fund and the World Bank and are required to implement policy changes in accordance with these conditions touching upon but not limited to, the topic of privatization. In nuce, the grand purpose of the SAPs is to boost developing economies by putting a greater emphasis on production and trade with the 45


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West. Not openly mentioned are the apparent side-effects of the SAPs, which include the increased Western economic and political influence over the continent of Africa, the increased and long-term dependency of African countries on the previously stated institutions, and the safeguarding process of African resources under the watchful eye of Western conglomerates and NGOs. Ferguson concludes that the conditions accompanying the aforementioned loans and subsequent policy changes are in practice designed to meet the business and political objectives of the much more powerful Western societies. The current perils vis-à-vis the conflict mineral mines in the Republic of Congo, as described by Eichstaedt (2011), are self-explanatory examples. In nuce by means of ensuring the strong relationship between SAPs and Western business political objectives, it could be argued that Western societies effectively remain in control over the African continent and its resources; a process which could be regarded as a neo-colonial praxis. The course of events set out by Ferguson (2006) indeed bears a remarkable resemblance with the contextual investments made by Nestlé (2006a,b), which seem grounded in the same, previously explained logic vis-à-vis SAPs. Translated in terms that fit the scope of the current paper, it could hence be argued that Nestlé’s aforementioned business objectives are mostly aimed at safeguarding Nestlé’s control over the coffee supply chains in countries like Guatemala, especially when taking into consideration the fact that Nestlé’s management decides on the rules and conditions of contextual investments and Fair Trade applications. Furthermore the system’s acceptance of the logic inherent to this form of corporate social responsibility surpasses Žižek’s (2009) notion of systemic violence, since it is here that the rhetoric of neo-colonialism enters the equation. From a decolonial perspective it might be argued that developing the regions, including Guatemala, on which Western nations and the consumer culture thrive – a praxis conducted from a Western angle on Western terms – closely resembles a novel and more subtle form of colonialism, in which the subject is no longer physically subjugated by an obvious actor or nation but rather enslaved – mentally or physically – by the subjective ideology and ‘truths’ practiced by Western actors. This is a truth according to which certain nation states are underdeveloped and in need of civilization; a rhetoric invented by the West (Mignolo, 2011; Said, 2003). The phenomenon that, in this respect, is subject to decolonial critique, is the manner in which capitalism at large (Mignolo, 2011), accompanied by SAPs and contextual investments “is posited by the believers to be the only possible option” (p. 83); a ‘truth’ to which developing nations should or are forced to confirm. The first step in conceiving possible solutions to this predicament, is to “[decolonize] Western epistemology” (p. 82), which does not imply “rejecting Western epistemic contributions to the world” (p. 82), but rather “to strip it out of the pretense that it is the point of arrival and the guiding light of all kinds of knowledge” (p. 82), to which subsequently equally valuable options might be perceived. Regarding the aforementioned incidence, it appears that the Western consumer society and its populace face a ‘blind spot’; the inability (or the disinclination) to perceive the ‘true’ destructive nature of the forces that rest within the simulacrum and edifice of (neoliberal) capitalism and to perceive options beyond the rhetoric of the latter. The successful constitution of this inability could be portrayed as the real strength of the current economic and social arrangements and perhaps the driving mechanism behind the simulacra of capitalism and the consumer society. Its ideology is so strong that each time the neoliberal capitalistic edifice spins out of control – recently with the emergence of the Wall Street crisis (Bauman, 2010) – political leaders and 46


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prominent economists display the obscene tendency to fight the failures of capitalism by implementing even more capitalism, until the onset of the next crisis appears at the horizon. A strategy which also holds in the rhetoric of co-optations for the implementation of Fair Trade, SAPs and contextual investments. Maldonado-Torres (2004) describes this phenomenon in precise terms, though in a different context, when treating the work of Frantz Fanon. He argues that: The forgetfulness of the damned is part of the veritable sickness of the West, a sickness that could be likened to a state of amnesia that leads to murder, destruction and epistemic will to power – with good conscience (p. 36). The latter touches precisely upon the intangible contours of the simulacrum. However, it metaphorically indicates the state of mind, the Western inability, to comprehend in what way the Western populace contributes to the vicious cycle of capitalism’s edifice, the maintenance of the simulacrum and corporate imperialism, and the subsequent suffering of the other – as just another commodity, or dispensable human waste (Bauman, 2010) – through the supply chains of for instance the coffee industry. This course of events is met with the introduction of more capitalism as the salvation of its concrete failure – without attempting to open up the space for alternative options. The inability to visualize the constitution of alternatives is, however, part of the simulacrum itself. The latter might be perceived as an example of the deadlock of free choice (Žižek, 2009), or rather forced choice (Salecl, 2011). One is made to believe that free choice, present in the abundance of commodities and freedom of speech, is all-encompassing, understood through the course of events that every choice connotes with a degree of freedom and that it is ultimately up to the discrepancy of the subject to do as they wish. Nonetheless, as free choice is ordered by the rhetoric and rules of the current edifice and consumer society, the options perceived within and the alternatives to the system are all but free choices (Žižek, 2009). Hence, the vacuum or code (Baudrillard, 2001), manifested by the simulacrum is complete, operating as a self-determining, universal entity (Žižek, 2009). What is of importance here is the recognition that the praxis inherent to capitalism and its actors is one that brings to light the parasitic predisposition of neoliberal capitalism (Bauman, 2010), as well as its relentless efforts to obfuscate the reality surrounding the abyssal-line of the commodity production and consumer seduction. A metaphor in need of revision as capitalism consists of more than just parasitic predispositions. It functions as a virus, gradually taking hold of its victim while being able to mutate in accordance with accusations made towards its unjust character. A practical example of this capacity is co-optation. Žižek (2009), however argues that regarding capitalism as a ‘gigantic parasite’ (p. 10) is too simplistic, for the ‘ideological abstraction’ (p. 10) of capitalism has much larger implications. The problem with the aforementioned ideology lays “not only in our financial speculators’ misperception of social reality, but that it is ‘real’ in the sense of determining the structure of the material social processes” (p. 10-1). This is the real behind reality conceived in Lacanian psychoanalytic terms, wherein “‘reality’ is the social reality of the actual people involved in interaction and in the productive processes, while the ‘real’ is the inexorable ‘abstract’, spectral logic of capital that determines what goes on in social reality” (p. 11). As depicted above it is in the supply chains of coffee which acts as a “window that reveals the mechanisms of power” (Shih & Chang, 2010, p. 445) and 47


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through the hyperreal of Fair Trade that the Real effectively subjugates the reality of both the producer and the consumer. Concluding remarks This essay has grappled with the deradicalization of Fair Trade and the emergence of corporate social responsibility in the coffee industry by taking Guatemala as an example. The critique delivered based on the writings of Baudrillard, ŽiŞek, Bauman, Salecl and Mignolo, attempted to reveal the highly interconnected and complex mechanisms of power that partake in the exploitative means of production of coffee and its consumption within the premises of the Northern hemisphere. What has been revealed is precisely that the logic ingrained in (neoliberal) capitalism and the consumer society has given way to the construction of the hyperreal consumption of coffee and the Fair Trade image, and to the development of the contemporary simulacrum, which presently acts in order to conceal the real which in turn has profound effects on the reality of both the producer and the consumer within the realm of the coffee industry and beyond. A concluding remark in this respect should be concerned with a request to open up the space for future alternatives to the aforementioned interwoven set of predicaments. Although difficult to perceive, the lesson forwarded by Mignolo should be carefully scrutinized, for stepping back and conceiving that the systemically violent simulacrum is an option amongst many others is perhaps the way to breach the simulacrum. This necessary step might eventually give way to an alternate reality for those who work at the utter end of the supply chains, may it be in the coffee industry or elsewhere. The task now is to put this one step forward.

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References Bacon, C. (2005). Confronting the coffee crisis: can fair trade, organic, and specialty coffees reduce small-scale farmer vulnerability in northern Nicaragua? World Development, 33(3), 497-511. Baudrillard, J. (2001). Selected writings (2nd ed. by Poster). Cambridge: Polity Press. Bauman, Z. (2010). Living on borrowed time. Cambridge: Polity Press. Berndt, C.A.H. (2007). Does fair trade coffee help the poor? Evidence from Costa Rica and Guatemala. Mercatus Policy Series, (11), 1-34. Chomsky, N. (2013). Power systems: Conversations on global democratic uprisings and the new challenges to U.S. empire. London: Penguin Books. Eichstaedt, P. (2011). Consuming the Congo: War and conflict minerals in the world’s deadliest place. Chicago: Lawrence Hill Books. Ferguson, J. (2006). Global shadows: Africa in the neoliberal world order. Durham: Duke University Press. Fridell, G. (2006). Fair trade and neoliberalism: Assessing emerging perspectives. Latin American Perspectives, 33(6), 8-28. Geiger-Oneto, S., & Arnould, E.J. (2011). Alternative trade organization and subjective quality of life: the case of Latin American coffee producers. Journal of Micromarketing, 21(3), 276-290. Jaffee, D. (2012). Weak coffee: Certification and co-optation in the fair trade movement. Social problems, 59 (1), 94-116. Jaffee, D., Kloppenburg, J.R., Monroy, M.B. (2004). Bringing the “moral change” home: Fair trade within the North and within the South. Rural Sociology, 69(2), 169196. Klefbom, G. (2002). The volatile coffee price and its effects on Guatemala’s economy. Retrieved (28th of April, 2012) from: http://epubl.ltu.se/1404-5508/2002/069/LTUSHU-EX-02069-SE.pdf Lyon, S. (2007). Fair trade coffee and human rights in Guatemala. Journal of Consumer Policy, 30(3), 241-261. MacDonald, K. (2007). Globalising justice within coffee supply chains? Fair trade, Starbucks and the transformation of supply chain governance. Third World Quarterly, 28(4), 793-812. Madjidi, M. (2005). Sustainable coffee certification programs and coffee cooperatives in Guatemala: a small-scale producer perspective. Retrieved (22nd of April, 2012) from: http://dspace.royalroads.ca/docs/handle/10170/449 49


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Maldonado-Torres, N. (2004). The topology of being and the geopolitics of knowledge: Modernity, empire, coloniality. City, 8(1), 29-56. Metzger, L., Nunnenkamp, P., & Mahmoud, T.O. (2010). Is corporate aid targeted to poor and deserving countries? A case study of Nestlé’s aid allocation. World Development, 38(3), 228-243. Mignolo, W.D. (2011). The darker side of Western modernity: Global futures, decolonial options. Durham: Duke University Press. Nestlé S.A. Public Affairs. (2002). The Nestlé sustainability review. Retrieved (10th of March 2012) from: http://www.nestle.com/Common/NestleDocuments/Documents/Reports/CSV% 20reports/Environmental%20sustainability/Sustainability_review_English.pdf Nestlé S.A. Public Affairs. (2006a). Nestlé, the community and the United Nations Millennium Development Goals. Retrieved (9th of March 2012) from: http://www.nestle.com/Common/NestleDocuments/Documents/Library/Docum ents/Corporate_Social_Responsibility/UN-Millenium-Development-GoalsJan2006.pdf Nestlé S.A. Public Affairs. (2006b). The Nestlé concept of corporate social responsibility. Retrieved (9th of March 2012) from: http://www.fsg.org/Portals/0/Uploads/Documents/PDF/Nestle_Corporate_Socia l_Responsibility_in_Latin_America.pdf Nestlé Nespresso S.A., Corporate Communication (2011). Helping farmers improve their business skills in Huehuetenango, Guatemala. Retrieved (22nd of April, 2012) from: http://www.nespresso.com/ecolaboration/uk/en/article/8/1722/helpingfarmers-improve-their-business-skills-in-huehuetenango-guatemala.html Newman, S.A. (2009). Financialization and changes in the social relations along commodity chains: The case of coffee. Review of Radical Political Economics, 41(4), 539559. Nicholls, A., & Opal, C. (2005). Fair trade: Market-driven ethical consumption. London: Sage Publications Ltd. Ponte, S. (2002). The ‘latte revolution’? Regulation, markets and consumption in the global coffee chain. World Development, 30(7), 1099-1122. Said, E.W. (2003). Orientalism. London: Penguin Books. Salecl, R. (2011). The tyranny of choice. London: Profile Books Ltd. Shih, Y., & Chang, C. (2010). The sweet and bitter of drips: Modernity, postcoloniality, and coffee culture in Taiwan. Cultural Studies <--> Critical Methodologies, 10(6), 445456.

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Tellman, B., Gray, L.C., & Bacon, C.M. (2011). Not fair enough: Historical and institutional barriers to fair trade coffee in El Salvador. Journal of Latin American Geography, 10(2), 107-127. Topik, S.C. (2000). Coffee anyone? Recent research on Latin American coffee societies. Hispanic American Historical Review, 80(2), 225-266. Trumpy, A. (2008). Subject to negotiation: The mechanisms behind co-optation and corporate reform. Social Problems, 55(4), 480-500. Utting, K. (2009). Assessing the impact of fair trade coffee: towards an integrative framework, 86(1), 127-149. Valkila, J. & Nygren, A. (2009). Impacts of fair trade certification on coffee farmers, cooperatives, and laborers in Nicaragua. Agriculture and Human Values, 27(3), 321-333. Vázquez, R. (2011). Translation as erasure: Thoughts on modernity’s epistemic violence. Journal of Historical Sociology, 24(1), 27-44. Žižek, S. (2009). Violence: Six sideways reflections. London: Profile Books Ltd. Žižek, S. (2012). The year of dreaming dangerously. London: Verso. Zook, D.C. (2006). Searching for Max Havelaar: Multatuli, colonial history, and the confusion of empire. MLN, 121(5), 1169-1189.

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The Elephant against the Tiger: US Armed Forces Adapting to Fourth Generation Warfare â&#x20AC;&#x201C; Encountered Problems and Suggested Solutions Bastiaan Dillmann | University College Roosevelt In partial fulfillment of the requirements for A&H 279 Western Way of War taught by Dr. Tobias van Gent Abstract The United States Armed Forces have been the most powerful military force in the World since the Second World War. However, they have been unsuccessful in numerous conflicts that involved unconventional forms of warfare. Fourth Generation Warfare, a term coined by Lind in 2004, summarizes this change in war. The dominance of non-state actors and their fighting style have left the US incapable of using their military might and thus challenges the success of the Armed Forces. This paper investigates the aspects of Fourth Generation Warfare that are problematic for the US and examines possible solutions to these problems. Introduction During the Vietnam War, the US army was the most powerful military force in the world. Yet, its might was insufficient to defeat the forces of Northern Vietnam and the southern communist resistance, the Viet Cong (Ahlberg et al, 2003). The US was unrivalled in firepower, but was not challenged in direct battle. Instead, the Vietnamese hid in the jungle and amongst the citizens, making them all but impossible for the US armed forces to find and destroy (Ahlberg et al, 2003). Vietnamese leader Ho Chi Minh described the Vietnamese strategy as follows: "If ever the tiger pauses, the elephant will impale him on his mighty tusks. But the tiger will never pause and the elephant will die of exhaustion" (Ho Chi Minh from Ahlberg et al, 2003). Indeed, the Vietnamese avoided the tusks of the elephant and struck from blind angles and at night, wearing down the American military and negotiating an eventually beneficial peace. Numerous militant groups, most recently in Iraq and Afghanistan, have both earlier and later employed this strategy. This paper investigates the reasons for the inability of the US military of dealing with this type of warfare and offers several suggested solutions. 1. Fourth Generation Warfare 53


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The strategy, used by the Vietnamese, is an example of a new form of warfare that has been gaining importance since the Second World War. Lind and colleagues (1989) introduced this concept as the fourth generation of warfare. De Russy, from Clarke (2003) summarizes fourth generation warfare as follows: Fourth Generation Warfare is characterized by a lack of definable battlefields, by groups acting not necessarily under the direct control of a foreign government, and by its transnational nature. It does not rely on massed manpower, massed firepower, or maneuver, as in, respectively, First, Second and Third Generation Warfare (De Russy, from Clarke, 2003). Fourth generation warfare, or 4GW, first and foremost indicates the movement away from state-monopolized violence, to violence employed by non-state militant groups such as the Viet Cong, Al-Qaeda, the Taliban, etc. (Lind, 2004 & Bennow, 2008, Clarke, 2003). These groups also employ an entirely different strategy in warfare. Spinney writes the following about the adversaries faced in fourth generation warfare: They usually present few, if any important targets vulnerable to conventional attack and their followers are usually much more willing to fight and die for their causes. They seldom wear uniforms and may be difficult to distinguish from the general population. They are also far less hampered by convention and more likely to seek new and innovative means to achieve their objectives (Vest, 2001). Where the older generations of warfare relied on large, decisive pitched battles, nonstate actors tend to rely on guerilla tactics and psychological warfare in 4GW, hiding between citizens, or in the countryside. This means that finding and eliminating 4GW 'warriors' is virtually impossible as long as the population supports them (Williamson, 2009, Bennow, 2008, Vest, 2001, Lind, 2004, Petraeus, 2006 & Curtis, 2005). Van Creveld (1991) offers an explanation for the development of unconventional warfare: So expensive, fast, indiscriminate, big, unmaneuverable, and powerful have modern weapons become that they are steadily pushing contemporary war under the carpet, as it were; that is, into environments where those weapons do not work, and where men can therefore fight to their hearts' content (Van Creveld, 1991, pp. 31). World powers have become so strong military-wise that opponents to their ideologies or actions have moved toward the adoption of a type of combat that the power of these countries does not dominate. Fourth generation warfare provides this type of combatâ&#x20AC;&#x201D;no targets are presented for the military might of an opponent and instead of decisive combat, the tendency to war-weariness of their home front is utilized to wear them down into defeat (Van Creveld, 1991, Ewans, 2005, Petraeus, 2006, Curtis, 2005 & Lind, 2004). 2. Problems of the US Armed Forces in Fourth Generation Warfare The United States has not been able to fully achieve strategic success in war fought in fourth generation warfare (Lind, 2004, Murden, 2005, Sharma, 2007 & Vest, 2001). 54


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The main involvements have been Vietnam, Afghanistan, and Iraq (twice), and in none of these did the US manage to achieve the goals set out at the start of the conflict (Lind, 2004, Benow, 2008, Kaplan, 2008, Petraeus, 2006 & Ewans, 2005). Lind et al. (2004) consider this to be due to the old fashioned military doctrine of the US, according to them, best classified as second generation warfare as invented by the French during the First World War: [...] a solution in mass firepower, most of which was indirect artillery fire. The goal was attrition, and the doctrine was summed up by the French as, "The artillery conquers, the infantry occupies." Centrally-controlled firepower was carefully synchronized, using detailed, specific plans and orders, for the infantry, tanks, and artillery, in a "conducted battle" where the commander was in effect the conductor of an orchestra (Lind, 2004). Lind notes that aviation has replaced artillery as the main source of firepower, but that the doctrine is otherwise unchanged (Lind, 2004). After WWII, the US Army did not adopt the Blitzkrieg tactics of the Germans, known as third generation warfare (Lind, 2004). The description of fourth generation warfare given by Spinney indicates why a second-generation approach is unsuitable—there is no enemy to target with mass firepower and the control, plans, and orders make the force slow to respond to changes (not unlike the metaphorical elephant of Ho Chi Minh) (Lind, 2004 & 1989, Curtis, 2005, Murden, 2007, Kaplan, 2008, Van Creveld, 1991 & Vest, 2001). In the words of Army Colonel Linder: "All the guns in the world cannot prevent an IED (Improvised Explosive Device) from exploding" (Kaplan, 2008). The US Armed Forces also have a tendency to increase resistance in combat areas due to their military culture of force. Lind states the following: "[We] separate ourselves from the population and intimidate them with our firepower" (Lind, 2004). The way US Armed Forces treat (defeated) enemies also adds to the problem: Humiliating the defeated enemy troops, especially in front of their own population, is always a serious mistake but one that Americans are prone to make. [The] ‘football mentality’ we have developed since World War II works against us (Lind, 2004). These approaches increase resistance as it simultaneously creates a barrier between the US Forces and locals and makes the locals feel vengeful toward the US Forces. This means that it makes the population less willing to accept the US as legitimate and more willing to take up arms against it (Benbow, 2008). Notable examples of US misconduct are the scandal at Abu Ghraib in Iraq, which made Iraqi citizens more hesitant to accept the US as an improvement to the old Saddam Hussein regime and the massacre at My Lai (Kaplan, 2008, Petraeus, 2006 & Ahlberg et al., 2003). Because of these actions, which alienate locals from the occupant, resistance fighters will be more resilient and more citizens will be driven to the resistance (Rozeff, 2006, Murden, 2007 & Benbow, 2008). These problems in effectiveness converge into the lowering of morale of the soldiers and especially of the citizens back in the USA, at the home front. If the Armed Forces are incapable of delivering quick and promising results, the population starts to suffer 55


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from 'war weariness' and gradually retracts its support except if clear national security is involved. Because the United States is a democracy, continuing a war in a period of declining war support is an electoral liability and is something the administration tends to be hesitant about (Murden, 2007, Curtis, 2005 & Williamson, 2009). The United States is thus unable to keep up ineffective military campaigns for extended amounts of time. Initial failure to achieve improvement is not tolerated by the people, and thus not by the governmentâ&#x20AC;&#x201D;the high command of the armed forces. Because of its government structure, the US Armed Forces cannot afford losing men, money and time by dealing with these problems (Kaplan, 2008). A final limitation to the US Armed Forces is that of international law and the Geneva Convention. Although massacring civilians and torturing captives could, according to some, be efficient methods of combating insurgency, these measures are not part of the arsenal of the US because of these limitations (Benvenisti, 2012). Some, such as WWII and Cold War Air Force General (as well as vice president candidate in 1968) Curtis Lemay have argued to ignore these limitations, as insurgents tend not to uphold them either, and because using torture to discover hidden bases and civilian attacks to scare the population into helping could be effective (Rozeff, 2006 & Ahlberg et al., 2003). It is doubtful that resorting to torture and decimation would constructively help, as it is also certain to undermine home front support and increase the fervor of resistance fighters (Rozeff, 2006, Lind, 2004 & Ewans, 2005). Still, the restriction international law presents to the military is something command has to take into account when determining strategies and tactics. 3. Adapting the US Military to Fourth Generation Warfare Van Creveld considers unconventional warfare to be the end of the Von Clausewitzan paradigm that has been dominating warfare over the last hundreds of years (1991). Apart from some of the famed concepts that have become inapplicable to this form of warfare, such as the concentration of forces and the theory of the culmination point, Van Creveld (1991) and Gorka (2010) argue that the traditional trinity of war has changed:

56


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Table 1: Gorka, S. L. V. (2010). The age of irregular warfare: so what? Joint Force Quarterly 58, 3rd quarter 2010. Retrieved from: http://www.ndu.edu/press/lib/images/jfq-58/JFQ58_3238_Gorka.pdf This means that not only the face of war, but also its underlying concept, has undergone a complete revolution, and therefore an entirely new approach to war is necessary (Lind, 2004, Van Creveld, 1991 & Gorka, 2010). If one still considers the strength of the trinity to be the strength of the war effort, instead of weakening citizen support and governmental reason while destroying the military effort, one should focus on reducing global sympathy and, if possible, the legitimacy in the ideology. But this should be done without inciting global sympathy or sympathy in the country itself, as this would increase the strength of the war effort. Defeating the threat group has become much more difficult because their level of warfare, so far it is military, is such that finding and destroying them, especially through classical military organization, is exceptionally difficult (Gorka, 2010). The problems the US military has been experiencing in fourth generation warfare can essentially be split up into two categories. The first can be considered the attitude and behavioral changes necessary to limit the extend of fourth generation warfare. The other relates to military adaptations the US military could make, modernizing the doctrine of warfare, to be able to effectively respond to contemporary threats posed by fourth generation warfare. These changes are based on the new trinity presented above, where each transformation should enable a more effective approach to reducing each of the three aspects of fourth generation warfare. 3.1 Attitude Changes 57


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"The local population has to see the army as a friend rather than just another armed group" (Kaplan, 2008). As noted by Lind (2004) and Benbow (2008), the US military has been unable to adopt an attitude in fourth generation warfare that reduced the desire of the insurgents to fight back. Winning the support of the civilians as a strategy was first adopted by President Lyndon B. Johnson in the Vietnam War, who declared that the only way to win the conflict was to "Win the hearts and the minds of the people" (Ahlberg et al., 2003). Although the US did not manage to achieve strategic success in the Vietnam War, the reasoning behind it holds in every conflict where insurgents rely largely on support of the population to be able to fight or to avoid detection (Lind, 1989, Lind, 2004, Rozeff, 2006, Benbow, 2008, Kaplan, 2008 & Ewans, 2005). Thus, an attitude change has to be aimed at getting local citizens to like and trust the US and its military considerably more than they do now. Furthermore, the US has to help rebuild the areas in which they are involved in conflict to ensure there are no economic reasons for fighting. As Captain P. Mann of the US Army observes: With high inflation and little trade it actually makes sense economically to be an insurgent. You have to make the insurgency very unattractive for people not acting from religious motives (Kaplan, 2008). By providing a strong economy, the amount of people that fight in the resistance is minimized and their popular support will be small, allowing the US to eventually wear them down. Without broad popular support, a fourth generation insurgency cannot persistâ&#x20AC;&#x201D;among other reasons due to lack of hiding places and supplies (Lind, 2004, Kaplan, 2008, Petraeus, 2006 & Ewans, 2005). The goal of these development and trust-building operations is to weaken all three aspects of the new warfare trinity. It should encourage sympathy of the US Forces, thereby decreasing sympathy for the resistance (both nationally and internationally) and it should reduce the size of the non-state actor resistance. The resistance will seem less attractive because better alternatives are provided to the people, weakening their will to fight (Gorka, 2010). To achieve a level of trust, the forces deployed in combat areas need to integrate with the local people as much as possible (Lind, 2004). In this way, they can find out what is going on at the level of the citizens and figure out what is necessary to win their support. This citizen support will influence both global sympathy and the size of the insurgency (Gorka, 2010). If these concerns are then acted upon by the US Armed Forces and USAID, the US development organization responsible for militarilycoordinated development aid (Kaplan, 2008), as has been experimented upon in Iraq, it should be possible to gradually build a basis of support among the population (Kaplan, 2008). Army Colonel Linder states the following: I shall improve morale. People attack me with stories about Abu Ghraib and the fact that a large number of Philippine civilians were killed by Americans a hundred years ago. These are actions that I cannot defend. But I can answer that my troops can build a school, or that through a medical aid program we can cure the cleft palate of a little girl, while the troops of Abu Sayyaf 58


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and Jemaah Islamiyah can only offer a suicide belt. I build my fortress on actions, because I know the approval of the people is the strongest protection I have (Kaplan, 2008). If the US were to show a truly positive attitude and seek to prove to every civilian that the statement of Colonel Linder is true, then the resistance would quickly decline (Kaplan, 2008 & Lind, 2004). Examples of this can be seen in the Iraqi city of Mosul and the Philippine Island of Jolo, where a coordinated approach of development aid, implemented by Special Forces together with USAID, has managed to almost pacify the area as people lose the urge to fight the US (Kaplan, 2008). Essentially, US Forces will require a complete paradigm shift as to what war entails. While in the past it used to be purely about combat, which is still seen in the US military culture, focus will have to shift from seeking combat to avoiding combat (Lind, 2004). Lind suggests that it has become important to make sure that the administration is not destroyed in an initial invasion, as it was in Iraq and Afghanistan. Instead, the state needs to survive institutionally intact and then be convinced to work on the side of the US. In this way, there is still a convincing actor with a legitimate claim to a monopoly of violence. A local government is much more likely to raise support among the population than the US, as an overseas military giant, adhering to values and a religion the population does not approve of, necessarily lack popular legitimacy (Lind, 2004, Benvenisiti, 2012 & Benbow, 2008). This limit to destructiveness is something that is completely out of line with the second generation warfare doctrine of the US Forces as of current (Lind, 2004). As an approach that is based on total war against opponents on which this is completely irrelevant, the military, as well as the individual soldiers, go into conflict areas wanting to fight a war (Kaplan, 2008). They are, however, no longer fighting a war, but protecting and facilitating a rebuilding operation (Kaplan, 2008 & Lind, 2004). The US Armed Forces have to accept that the Von Clausewitzan trinity of war has changed (Van Creveld, 1991 & Gorka, 2010). 3.2 Structural Changes Van Creveld (1991) considers the organizational structure of the US military to be very much unsuitable to unconventional or fourth generation warfare: ... there are solid military reasons why modern regular forces are all but useless for fighting what is fast becoming the dominant form of war in our age.[...] In Vietnam, the US and ARVN vastly outnumbered the communist forces, but three-quarters of American troops were in support functions. 'At the place where it mattered, in the jungle, the number of "maneuver battalions" actually available was about equal on both sides (Van Creveld, 1991, p. 29 & p.30). These support functions, Van Creveld indicates, are mostly involved with supporting firepowerâ&#x20AC;&#x201D;the air force and artillery, for instance. This matches the French doctrine of second generation warfare as described by Lind (2004)â&#x20AC;&#x201D;massive firepower support and minimal focus on face to face operations to limit casualties as much as possible. The failure of these conventional approaches mainly stems from the fact that fourth generation fighters do not present themselves as a target. Counter-insurgency warfare 59


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requires military strategy and tactics that are completely different: the centralized firepower of the US military apparatus cannot be directed and is thus largely useless (Lind, 2001 & Van Creveld, 1991). Even in scenarios where it can be directed, such as the initial invasion of Iraq, the sheer strength of the military forces destroys so much (in an institutional, as well as, the conventional sense) that it creates problems in the pacification process (as it destroys, for instance, government institutions) (Lind, 2004). Van Creveld blames the adherence to Von Clausewitz as the reason for Western inertia in adapting to fourth generation warfare: "If any part of our intellectual baggage deserves to be thrown overboard, surely it is not the historical record but the Clausewitzian definition of war that prevents us from coming to grips with it" (Van Creveld, 1991, pp. 58). Historical record here indicates historical problems in unconventional warfare since the Second World War. If the units in support role are reduced, the US forces can, as Van Creveld indicates, instead deploy more front line combatantsâ&#x20AC;&#x201D;something that is currently rare in US military organization, but will have to be introduced, as it is practically the only method feasible in fighting in fourth generation warfare (Lind, 2004). To be able to succeed in fourth generation warfare, military units should be able to respond quickly and individually to the unexpected threats fourth generation warfare pose, instead of waiting for headquarters approval and fire support. Over the ~20 years since Lind and Van Creveld wrote their works, this has to some extent led to an increase in the use of Special Operation Forces in combat areas (Kaplan, 2008 & Lind, 2004). These highly trained elite solders (such as the Green Berets or the Navy SEALs) are capable of individually dealing with threats and have more liberty in tactics determination than regular armed forces. In this way, they can operate without constant contact to their headquarters (Kaplan, 2008). However, their reaction speed is still limited by tight hierarchical control on the actions of all military. If certain special operations units were given the training and the authority to judge situations without management approval and were allowed to proceed without fire support, response times could be significantly decreased. Therefore, these soldiers could be able to inflict more damage to insurgents in reaction to insurgent actions (Kaplan, 2008 & Lind, 2004). In such a scenario, these units would no longer rely on fire support, they would instead have to take initiative and be able to function fully independently of the rest of the military apparatus. Curiously, the same independence principle gave the divisions of Napoleon great success (De Paoli, 1996). In this fashion, the Special Forces become exceptionally flexibleâ&#x20AC;&#x201D;their ability to operate alone and without contact to headquarters can allow them this quick response needed to eliminate insurgents. The reason this has not happened yet, however, is that the US Armed Forces have become very risk-averse concerning human life. Missions without fire support are much more risky, as they tend not to be authorized, despite their greater effectiveness (Lind, 2004 & Kaplan, 2008). Regular military forces could also benefit strongly from an increase in flexibility and speed. The US Army Stryker Brigades have achieved a great deal of success in Iraq because of their high mobility (Kaplan, 2008). However, the issue with reliance on headquarters is even greater in these larger units (as there are more lives at stake). Independence should still be a concept to strive for, and is, according to Lind (2004) 60


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not at all impossible. German forces during World War II especially showed such independence and were famously more effective at combat than their US counterparts. German officers were, in training, often given tasks that required breaking a direct order to be solved. This creativity was encouraged in the German forces and was part of why the Germans could be so flexible in warfare (Lind, 2004): Orders themselves specify the result to be achieved, but never the method ("Auftragstaktik"). Initiative is more important than obedience (mistakes are tolerated, so long as they come from too much initiative rather than too little), and it all depends on self-discipline, not imposed discipline (Lind, 2004). In the US forces today, such a decision could lead to dishonorable discharge (Kaplan, 2008). This is an illustration of how rigid the US forces are when compared even to historical opponents. It is something to consider that insurgents have no rigidity whatsoever. This can be a risk in many situations, but in situations requiring instant response it is definitely an asset (Kaplan, 2008 & Lind, 2004). Special Forces are less rigid, but still more so than their German pre-WWII counterparts and much more so than their contemporary adversaries. The achievability of independence on a large scale might seem daunting, but the Napoleonic divisions were five times larger than a US Army Brigade (De Paoli, 1996). If it was possible 200 years ago, it should be possible today. A third change relates to support on the home front. To be able to win a war in fourth generation warfare, the United States will have to make sure that the population remains behind the war effort during the entire spell necessary to pacify a region. This is by far the hardest goal to achieve, but it should be a warning to US policy makers to only engage in warfare when it is clear that the entire country supports it and will maintain this support during the foreseeable future (Lind, 2004 & Kaplan, 2008). In fourth generation warfare, it would seem that war has become unwinnable for the US as an intervening power, unless it is domestically universally accepted that the war is just in essence. War, then, is no longer in the Von Clausewitzan sense a continuation of policy per se: "The power of interest-type warfare is limited by definition, and pitting it against noninstrumental war, in many cases, does little more than invite defeat" (Van Creveld, 1991). Wars can now only be won if the reason is mostly primal. Politically colored, or economically incited wars will lose support too quickly (Lind, 2001). In line with this, the US should not employ tactics and strategies (or at least not reveal them to the people) that would be considered as unjustâ&#x20AC;&#x201D;in such a scenario, war support will quickly decline (Kaplan, 2008 & Benbow, 2008). This means that the casus belli the US employs for a declaration of war will, in the future, have to be universal and long lasting to be able to achieve victory. A final new development in counterinsurgency could also provide answers to problems faced in fourth generation warfare. The Human Terrain System, developed over the last decade, is a concept where social scientist groups, mainly anthropologists and sociologists, are attached to military units (Gonzalez, 2009). The goal of HTS is to gather intelligence on the cultural and social landscape of an area to be able to devise 61


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the best strategy for adaptation to win the support of the population. Although HTS has been heavily criticized by primarily anthropologists, the use of specialists to develop, in the words of Gonzales (2009), "approaches which seek to bridge societies by promoting cross-cultural understanding" could play a central role in winning population trust and support, therefore, enabling a more effective fourth generation warfare strategy. The system currently being explored has a budget of $60 million, but has not been capable of achieving any tangible results. Still, the concept matches the ideas of Lind, Van Creveld and Kaplan about effective combating of unconventional or fourth generation warfare. 4. Conclusion: The Most Powerful Military Weak on the Battlefield The US armed forces have failed to adapt to a new era of warfare. Using a doctrine that is now nearly 100 years old, the US seems to be incapable of fighting the counterinsurgency warfare for which their doctrine is ultimately unsuited. Failures of this system have been seen in Vietnam, Iraq (twice), and Afghanistan, but the US has not yet fully learned from these failures. Indeed, there are valuable lessons that can be learned from these conflicts as well as from other historical conflicts. The problems the United States is facing in contemporary warfare are difficult and structural, but theoretically it is possible to overcome these, or at least to mitigate them. If the US is willing to accept that Trinitarian War, as conceived by Von Clausewitz, has become obsolete in certain types of conflicts and is willing to think about a new warfare doctrine, indeed, a new definition of warfare all together, there are clear cut opportunities for great improvement in its capacity to wage fourth generation warfare and to establish the country even more firmly as the most powerful nation in the world, even in this new age of war. A note by the author (18/3/2013) This paper was written in early 2012. Drone warfare had at that point not been employed as a major part of counterinsurgency operations, except for intelligence missions. It is conceivable that in future counterinsurgency missions, drones will be given much more importance. Drone warfare can be placed within 4GW as a way of specifically targeting insurgents â&#x20AC;&#x201C; through conventional means as intelligence is better and through drones directly. This streamlines the US military for hard warfare against such groups. However, initial evidence points towards a larger resistance, too â&#x20AC;&#x201C; just as is observed when more conventional approaches are employed. An extension to this paper regarding drone warfare is necessary, but it seems findings so far point towards a confirmation of the theory proposed.

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References Ahlberg, J., Morris, E. and Williams, M., Scherma, F., Sloss, J., May, R. and Kamen, J. (Producers). (2003). The fog of war: eleven lessons from the life of Robert. S. McNamara [Videotape]. Sony Pictures Classics. Benbow, T. (2008). Talking 'Bout Our Generation? Assessing the Concept of "FourthGeneration Warfare". Comparative Strategy, 27(2), 148-163. doi:10.1080/01495930801944685 Benvenisiti, E. (2012). The Laws of Occupation and Commercial Law Reform in Occupied Territories: A Reply to Jose Alejandro Carballo Leyda. European Journal of International Law, 23(1), 199. Curtis, V.J., (2005). The theory of fourth generation warfare. Canadian Army Journal 8 (4), winter 2005, 17-32 Clarke, D. (2003). Technology and terrorism. New Brunswick, NJ: Transaction Publishers De Paoli, D. (1996). Lazare Carnot's grand strategy for political victory. Executive intelligence review, September 20, 1996. Ewans, M. (2005). Conflict in Afghanistan: Studies in Asymmetric Warfare. New York: Routledge. Gonzales, R.J. (2009). American Counterinsurgency. Chicago: University of Chicago Press Gorka, S. L.V. (2010). The age of irregular warfare: so what? Joint Force Quarterly 58, 3rd quarter 2010. Retrieved from: http://www.ndu.edu/press/lib/images/jfq58/JFQ58_32-38_Gorka.pdf Lind, W.S. (2004). Understanding Fourth Generation Warfare. Military Review, September-October 2004. Retrieved from: http://www.au.af.mil/au/awc/awcgate/milreview/lind.pdf Lind, W. S., Nightengale, K., Schmitt, J.F. and Sutton, J.W. (1989). The changing face of war: into the fourth generation. Marine Corps Gazette, October 1989, 22-26. Murden, S. (2007). Staying the Course in ‘Fourth-Generation Warfare’: Persuasion and Perseverance in the Era of the Asymmetric Bargaining War. Contemporary Security Policy, 28(1), 197-211. Kaplan, R.D. (2007), translation: Brand, H, Oostindiër, A. and Weynsen, J. (2008). Voorbij de grenzen van ht Amerikaanse imperium: reizen met soldaten over land, ter zee en in de lucht. Utrecht: Uitgeverij het Spectrum. Petraeus, D.H. (2006). Learning Counterinsurgency: Observations fromSoldiering in Iraq. Military Review, January-February 2006. Rozeff, M.S. (2006). Morality and fourth generation war. Lew-Rockwell, retrieved from: http://www.lewrockwell.com/rozeff/rozeff83.html 63


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Van Creveld, M. (1991). The Transformation of War. New York: Simon &Schuster. Vest, J. (2001). Fourth-generation warfare. The Atlantic Monthly, December 2001. Retrieved from: http://www.theatlantic.com/past/docs/issues/2001/12/vest.htm Williamson, S.C. (2009). From fourth generation warfare to hybrid war. Carlisle Barracks, PA: U.S. Army War College

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“It’s not a Small World after All!” – An Empirical Analysis of the Gravity Model of International Trade Joanna Hornik & Koen Maaskant | University College Roosevelt In partial fulfillment of the requirements for SSC 366 Econometrics taught by Dr. Alexei Karas Abstract In the past few decades, researchers have studied the influence of globalization on international trade. In this paper, we firstly test the “small-world” hypothesis by analyzing the influence of distance on bilateral trade. Secondly, we extend our model in order to account for different factors that might affect trade flows. Contrary to our expectations, we find that distance has an increasingly negative impact on bilateral trade. However, we do confirm the significance of some additional explanatory variables that emerge from the literature, such as population size, membership in free trade organizations, proximity of incomes per capita, contiguity, and common language. 1. Introduction The first time Newton’s law of gravity was used in economics was in 1962 in the book Shaping the World Economy: Suggestions for an International Economic Policy by Jan Tinbergen. In his work, Tinbergen discovered that international trade flows depend positively on the sizes of the economies of trade partners, in a parallel way to the relationship between the attractive force and the masses of two objects as described by Newton. After this discovery, many researchers attempted to justify this theory with empirical results. However, other studies criticized the inclusion of solely empirical evidence, pointing at the lack of strong theoretical background. In this paper, we make an attempt at estimating the gravity model of international trade for all world pairs of countries in the period of 1990-2006. Our research has been guided by the “small-world” hypothesis, which assumes that due to globalization, the effect of distance on trade flows has become smaller in recent decades. The relevance of testing this hypothesis is greater since it has been challenged by Leamer and Levinsohn (1995), who argue “the effect of distance on trade patterns is not diminishing over time. Contrary to popular impression, the world is not getting dramatically smaller” (p. 1387). Furthermore, this paper aims at another empirical confirmation of Tinbergen’s hypothesis using a range of explanatory variables emerging from previous studies. 65


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1.1. The Gravity Model Economists have used Newton’s law of gravity to estimate the following model (Head, 2003): (1)

where Fij stands for bilateral trade flows (the magnitude of exports and imports from country i to country j and vice versa), G is a gravitational constant, Mi and Mj are the sizes of the economies of countries i and j respectively (usually measured by gross domestic product, GDP), and Dij is the distance between the two countries. The logic behind the gravity model of international trade is that “the trade between any two countries is, other things equal, proportional to the product of their GDPs and diminishes with distance” (Krugman & Obstfeld, 2009). 1.2. Literature The existing body of literature on the gravity model of international trade consists of two major strains – the empirical evidence and the theoretical justification. Many authors (Bergstrand, 1985; Anderson, 1979; Anderson & Wincoop, 2003; Leamor & Levinsohn, 1995) emphasize that the use of the gravity equation to explain international trade flows “has been inhibited by an absence of strong theoretical foundations” (Bergstrand, 1985, p. 474). On the other hand, others (see below) continue to use the initial version of the model with the variables coming from empirical analysis, arguing that the explanatory power of these models is satisfyingly high. Therefore, our analysis concentrates on adding to the empirical strain of research on the topic. Reviewing the literature, we came across six empirical studies of the gravity model of international trade that differ in three ways: the year of publication, the number of countries used in the database, and the time range of data used. The pattern that emerges from these studies is that the older papers from the 20th century use generally smaller databases in both the number of countries and the range of time (Abrams, 1980; Summary, 1989; Linnemann, 1966), while the more recent papers from the 2000s make use of more data from a larger number of countries and generally more extensive time periods (Groot et al., 2004; Eaton & Kortum, 2002; Frankel & Rose, 2002). In our paper, we include the data on bilateral trade between all world pairs of countries for the period of 17 years between 1990 and 2006, contributing to the contemporary trend in the use of extensive databases. In this way, we are able to analyze the trend over time in bilateral trade flows. One of the earliest available empirical studies of Tinbergen’s model comes from Linnemann’s book An Econometric Study of International Trade Flows (1966). In his analysis, he uses data from 80 countries for the time period of 1958-1960. As basic explanatory variables of bilateral trade flows, he includes GNP (Gross National Product, another measure of economic activity), population size, distance, and preferential-trade factors. He finds that both the countries’ GNPs and their 66


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membership in preferential-trade agreements are positively related to the magnitude of trade flows. On the other hand, population size appears to be negatively related to trade. Moreover, this study is important for testing our “small-world” hypothesis, because it also shows that the effect of distance on trade flows in the mid-20th century was negative. Subsequently, in 1980, Abrams conducted a study of data from only 19 countries for the time period of 1973-1976. In addition to GDP and distance, he also includes the membership in trade-preference organizations and the per capita incomes in his model. He confirms the positive relationship between GDP and trade flows, and the negative relationship between distance and trade. Furthermore, he finds that membership in trade organizations “allows preferential access to the domestic markets of other members of the organizations” (Abrams, 1980, p. 2) and thus is positively related to trade. Abrams also discovers that the proximity of per capita incomes between two countries boosts their potential trade. Following Abrams’ results, we investigate in Part II the effect of membership in trade organizations and the proximity of per capita incomes between two countries on bilateral trade. Another piece of empirical evidence comes from Summary (1989) who uses a database of 66 US trading partners for the period 1978-1982. While this study also looks at bilateral trade, it only analyzes the exchange between the US and other countries, excluding a large number of other bilateral trade flows, which has been a source of criticism from some researchers. Nevertheless, the author confirms the earlier discoveries that trade flows are positively affected by the countries’ GDPs and negatively affected by distance and population size. These results allow us to see that the negative effect of distance on trade flows was confirmed again in the 1980s. Attempts at extending the initial gravity model of international trade continue into the 21st century. A study by Eaton & Kortum (2002) tests the data from 19 OECD countries for the year 1990. Although the dataset used by these researchers is rather small, compared to other contemporary studies, it still yields some significant results. Firstly, it confirms the negative relationship between distance and trade. Also, it adds explanatory variables of shared border, shared language, and the membership in preferential trade agreements, which are all positively related to bilateral trade flows. Finally, a paper by Groot et al. (2004) uses data from over 100 countries for the year 1998. Again, it confirms the positive coefficient of GDPs and the negative coefficient of distance in the bilateral trade model. Furthermore, the researchers find that common language and contiguity enhance bilateral trade flows. Following these findings, we include contiguity and common language in our model in Part II. The above literature review reveals that there have been a lot of empirical studies that provide evidence in favor of the gravity model of international trade. There are several variables that repeatedly appear as strong explanatory factors of the magnitude of trade flows between two countries, i.e. GDP, distance, population size, and contiguity. In general, in most studies the inclusion of these crucial variables results in relatively high explanatory power of the models, with R2 frequently reaching the range between 60% and 80%. 67


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2. Data The dataset used in this paper contains different statistics for all world pairs of countries across the period of time between 1990 and 2006 (N = 306,925). The data have been collected by Head, Mayer and Ries (2010) from numerous sources, such as the World Bank’s World Development Indicators. The variables describe the possible predictors of bilateral trade. The dependent variable we use is trade flow between the two relevant countries. The explanatory variables are distance and the GDPs of the two countries. There are multiple measures of distance included, such as the simple distance between the most populated cities, simple distance between the capitals, and the population-weighted distance between the countries. In this paper, we first present results with the simple distance between the most populated cities. We then show that these results are insensitive to the different measures of distance included in the dataset. Furthermore, the dataset includes several additional variables, such as the membership in free trade agreements, population size of the country of origin, income per capita, contiguity, and common language. We use these data to construct our regression model in Part II. 3. Methods 3.1. Part I In order to test the “small-world” hypothesis, our initial model includes two explanatory variables, as derived from Newton’s gravity law. Firstly, we introduce the GDPs of the importing and exporting countries into the model and we hypothesize a positive relationship between the sizes of the economies of two countries and the magnitude of bilateral trade flows between them. Secondly, we include the simple distance between the most populated cities in the two countries and we expect it to be negatively related to trade flows. Thirdly, we expect that the effect of distance on trade flows over time is diminishing, based on popular belief that the world is getting “smaller”. In order to test these hypotheses, we transform the original gravity model into an equation that allows us to use the Ordinary Least Squares (OLS) method. We compute the natural logarithms of the GDPs of both countries, distance, and trade flows. By using the natural logarithms, we can see how a one-percentage change in any of the explanatory variables affects the percentage change in trade flows. We expect that GDPs will have a positive relationship with trade flows and distance a negative one, which is consistent with the existing literature. Moreover, our “small-world” hypothesis is that the negative relationship of distance to trade flows decreases over time. The relevant regression model can be described in the following way: ln(flows) = β 0 + β 1ln(GDPo) + β 2ln(GDPd) + β 3ln(distance) + ε

i

(2)

In this equation, the β 1 and the β 2 are expected to be equal to 1, because an increase in the GDP of either country, keeping all the other factors constant, results on average 68


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in a proportional increase in the bilateral trade flow. However, the existing studies show that obtaining values of β 1 and β 2 slightly larger or smaller than 1 is not unusual (Head, 2003). The error term is assumed to be on average zero. Having first run the regression on all data covering the seventeen-year period, we then run the regression separately for each year (See Appendix A, p. 19). In order to test the “small-world” hypothesis, we regress the coefficients obtained from the first regression on the time trend. This second regression shows us the changing influence of distance on trade flows over time. 3.2. Part II In this part, we include additional explanatory variables into our initial model, namely the membership in free trade agreements, population size of the country of origin, difference in incomes per capita between the two countries, contiguity, and common language. Firstly, we compute a variable that captures the proximity in income per capita of the two countries. This is done by subtracting the income per capita of the destination country from the income per capita of the country of origin. Secondly, in order to be consistent with our design, we compute the natural logarithms of population size and difference in incomes per capita. We include the other three variables as dummy variables. The variables are added to the model one at a time. Following existing literature, we hypothesize that there is a positive relationship between trade flows and membership in free trade agreements, the proximity of income per capita, contiguity, and common language. On the other hand, we expect the population size of the country of origin to be negatively related to trade flows. These hypotheses and descriptions of the explanatory variables are summarized in Table 1. Variable Membership in free trade agreements Population size of the country of origin Difference in incomes per capita Contiguity Common language

Expected effect on trade flows + +

Description Dummy = 1 if country is a member of a free trade agreement Total population in millions Income per capita origin – income per capita destination in current US dollars Dummy = 1 if countries share border Dummy = 1 if countries share official or primary language

+ +

Table 1: Overview variables Part II 4. Results 4.1. Part I Firstly, we look at the table with coefficients of distance for every year obtained by regressing the GDPs and distance on trade flows (See Appendix, Table 5, p. 21). We can see that a 1% increase in the distance between the two countries leads to over 69


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1.2% decrease in the magnitude of trade flows. Moreover, all seventeen coefficients are negative which supports the hypothesis that distance is negatively related to trade flows. The same table shows us that the t-statistic for the coefficients of distance is highly significant for every year, ranging from -53.8 to -72.7. These results confirm the findings of the previous studies that show the powerful explanatory power of distance when explaining the magnitude of bilateral trade flows. In order to test the “small-world” hypothesis, we firstly look at the seventeen coefficients of distance for every year. We can see that contrary to our expectations, the effect of distance on trade flows becomes gradually more negative. Therefore, we continue to regress the seventeen obtained coefficients on the time trend in order to determine whether this change in the coefficient is significant. Table 6 (See Appendix, p. 21) shows that indeed, the change in the coefficient between 1990 and 2006 is significant, with the regression coefficient being negative. Figure 1 visually confirms that over time the effects of distance on bilateral trade flows had decreased. Since we find that in fact distance has had an increasingly negative impact on bilateral trade, we do not find evidence that would support our “small-world” hypothesis. _b_logdist = 21.443 - 0.011 year r² = 0.824 RMSE = 0.028 n = 17 -1.2

_b[logdist]

-1.3

-1.4

-1.5 1990

1995

2000 Observation year

2005

Figure 1: Scatterplot of β 3 Coefficients and Year

In order to ensure the validity of our results, we rerun the model using the feasible GLS (Generalized Least Squares) to estimate and account for heteroskedasticity. Tables 7 and 8 (See Appendix, p. 21-22) show that the significance of our results has not been affected, with the t-statistic of β 3 and of the time trend still being sufficiently large. One interesting point to notice is that the effect of distance on trade flows over time appears to be slightly larger when the feasible GLS procedure was used, with a 70


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coefficient on time trend changing from -0.011 to -0.015 (See Tables 6 & 8, Appendix, p. 21-22). 4.2. Part II In Part II we look for additional explanatory variables of the magnitude of bilateral trade flows. We assess the influence of membership in free trade agreements, population size, difference in incomes per capita between the two countries, contiguity, and common language on trade flows. We add these variables one at a time to the initial model from Part I, expecting to improve the explanatory power of our model. Table 2 displays the results. (2) Log flow 1.175*** (435.87) 0.891*** (479.03) -1.378*** (-272.17) -0.0772*** (-23.42)

(3) Log flow 1.336*** (119.09) 0.826*** (282.60) -1.436*** (-208.71) -0.218*** (-18.80) -0.148*** (-17.41)

(4) Log flow 1.291*** (114.53) 0.817*** (278.99) -1.320*** (-170.80) -0.176*** (-15.09) -0.119*** (-13.99) 0.804*** (32.58)

(5) Log flow 1.297*** (115.43) 0.814*** (278.36) -1.244*** (-153.13) -0.191*** (-16.44) -0.113*** (-13.25) 0.762*** (30.90) 1.147*** (29.50)

-7.892*** -8.199*** (-157.23) (-157.94) N 306925 306036 R2 0.624 0.625 t statistics in parentheses * p < 0.05, ** p < 0.01, *** p < 0.001

-7.359*** (-100.81) 153694 0.643

-8.161*** (-106.26) 153694 0.646

-8.906*** (-110.44) 153694 0.648

Log GDPo Log GDPd Log distance

(1) Log flow 1.132*** (591.42) 0.889*** (477.89) -1.381*** (-272.59)

Log populationo Log difference in GDP per capita Free trade agreements Contiguity Common language Constant

(6) Log flow 1.296*** (116.57) 0.837*** (286.69) -1.213*** (-150.63) -0.169*** (-14.71) -0.0998*** (-11.84) 0.734*** (30.09) 0.961*** (24.87) 0.902*** (57.66) -9.676*** (-119.61) 153694 0.655

Table 2: Regression results Part II Firstly, looking at the R2, it appears that by adding the five independent variables we are able to improve the explanatory power of our model, with the highest R2 reaching 65.5%. However, this increase is only 3.1% in comparison to our initial model from Part I. The coefficients for each of the variables in each regression are highly significant at the 0.1% significance level. As hypothesized, membership in regional trade agreements, contiguity, and common language enhance the bilateral trade flows. In the final model, each of those three variables boost bilateral trade flows by less than 1%. 71


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Furthermore, we see that with a 1% growth in the population size of the country of origin, the magnitude of trade flows decreases by 0.17% in the final model. Such a result can be explained if we consider the fact that the larger the population, the more self-sustainable and the less dependent on international trade a country becomes. It also appears that the smaller the difference between the incomes per capita of the two countries, the larger the bilateral trade – a 1% increase in the proximity of the incomes per capita leads to an increase in trade flows of 0.10% in the final model. This finding stands in line with Abrams (1980), who argues that the per capita income is one of the primary determinants of a country’s demand and that “the more similar are the demand characteristics of any pair of countries, the greater will be their potential trade possibilities” (p. 3). It is important to note that the addition of explanatory variables does not affect the significance of our initial model from Part I. Similarly to Part I, we use the feasible GLS procedure to account for heteroskedasticity in our model. Table 9 (See Appendix, p. 22) shows the results of our final regression model using feasible GLS regression. It appears that the significance of our results does not change with the new procedure. Some of the coefficients do differ, with the coefficient for membership in free trade agreements increasing quite substantially; however, the directions of the effects remain the same. 5. Robustness Firstly, we analyze the sensitivity of our model to the different measures of distance. The dataset includes four different variables: simple distance between the most populated cities (used in our analysis), simple distance between the capitals, population-weighted distance, and CES-weighted (Constant Elasticity of Substitution) distance. In order to check the robustness of our model to the different measures of distance, we run the regression from Part I for each of the variables. Table 3 shows that the regression yields roughly the same results regardless of which measure has been chosen. Therefore, we conclude that our results are not sensitive to the choice of the measure of distance. (1) Simple distance most populated cities Year -0.0114*** (-8.37) Constant 21.44*** (7.86) N 17 R2 0.824 t statistics in parentheses * p < 0.05, ** p < 0.01, *** p < 0.001

(2) Populationweighted distance

(3) Simple distance capitals

(4) CES-weighted distance

-0.0122*** (-8.55) 22.89*** (8.05) 17 0.830

-0.0116*** (-8.34) 21.82*** (7.84) 17 0.823

-0.0117*** (-8.90) 22.00*** (8.37) 17 0.841

Table 3: Distance robustness check

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In order to further strengthen the validity of our model, we rerun the regression from Part I with robust standard errors. Table 4 shows that the t-statistic decreases by 0.02, having no meaningful influence on our results

Year Constant

NON-ROBUST Beta log distance -0.0114*** (-8.37) 21.44*** (7.86) 17 0.824

N R2 t statistics in parentheses * p < 0.05, ** p < 0.01, *** p < 0.001

ROBUST Beta log distance -0.0114*** (-8.35) 21.44*** (7.84) 17 0.824

Table 4: Robust standard error 6. Conclusion & Discussion As we have seen in Part I, our analysis does not support the â&#x20AC;&#x153;small-worldâ&#x20AC;? hypothesis that, due to globalization, distance between two countries would have diminishing influence on bilateral trade over the time period of 1990-2006. Instead, we see that the negative effect of distance on the magnitude of trade flows between two countries has become larger, which stands in line with the findings of Leamer and Levinsohn (1995), suggesting that in 2006 the countries that were further away would trade less with each other than in 1990. In Part II, we find that including the membership in free trade agreements, population size of the country of origin, difference in incomes per capita between the two countries, contiguity, and common language increases the explanatory power of our model. Furthermore, our model corroborates the existing literature by confirming the positive effects of the membership in free trade agreements, contiguity and common language, and the negative effects of the difference in incomes and the size of the population of the country of origin on trade flows. We have to take into account possible limitations to our research. Firstly, we do not include all possible explanatory variables that have been identified to be of importance, such as common currency (Frankel & Rose, 2000). Secondly, we cannot draw conclusions about the causality between trade flows and population, difference in GDPs per capita, and the existence of free trade agreements. We recognize that further research might be necessary to better explain the magnitude of bilateral trade flows.

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References Abrams, R. K. (1980). International Trade Flows Under Flexible Exchange Rates, Economic Review, March, p. 3-10. Anderson, J. E. (1979). A Theoretical Foundation for the Gravity Equation, The American Economic Review, 69:1, p. 106-116. Anderson, J. E. & Wincoop, E. (2003). Gravity with Gravitas: A solution to the border puzzle, The American Economic Review, 93:1, p. 170-192. Bergstrand, J. H. (1985). The Gravity Equation in International Trade: Some Microeconomic Foundations and Empirical Evidence, The Review of Economics and Statistics, 67:3, p. 474-481. Bergstrand, J. H. & Baier, S. L. (2009). Bonus-vetus OLS: A Simple Method for Approximating International Trade-cost Effects using the Gravity Equation, Journal of International Economics, 77, p. 77-85. Eaton, J. & Kortum, S. (2002). Technology, Geography, and Trade, Econometrica, 70:5, p. 1741-1779. Frankel, J. A. & Rose, A. K. (2000). Estimating the Effect of Currency Unions on Trade and Output, National Bureau of Economic Research, Working Paper 7857. Idem. (2002). An Estimate of the Effect of Common Currencies on Trade and Income, The Quarterly Journal of Economics, May, p. 437-466. Groot, H. L. F., Linders, G., Rietveld, P. & Subramanian, U. (2004). The Institutional Determinants of Bilateral Trade Patterns, Kyklos, 57:1, p. 103-124. Head, K. (2003). Gravity for Beginners, University of British Columbia. Retrieved from http://www3.nd.edu/~agervais/documents/Gravity.pdf. Head, K., Mayer, T. & Ries, J. (2010). The Erosion of Colonial Trade Linkages after Independence, Journal of International Economics, 81:1, p. 1-14. Krugman, P. R., & Obstfeld, M. (2009). International Economics: Theory and Policy, Boston: Pearson.

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Leamer, E. E. & Levinsohn, J. (1995). International Trade Theory: the Evidence, in G.M. Grossman and K. Rogoff (Ed.s), Handbook of International Economics, vol. III. New York: Elsevier. Linnemann, H. (1966). An Econometric Study of International Trade Flows, Amsterdam: North-Holland Publish Company. Summary, R. M. (1989). A Political-Economic Model of U.S. Bilateral Trade, The Review of Economics and Statistics, 71:1, p. 179-182. Tinbergen, J. (1962). Shaping the World Economy: Suggestions for an International Economic Policy, New York: The Twentieth Century Fund.

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Justice in Australia – An Evaluation of Australia’s Unwillingness to Make Up for the Stolen Generation Leonie van Breeschoten| University College Roosevelt In partial fulfillment of the requirements for SSC 370 Transitional Justice taught by Prof. Dr. Barbara Oomen Abstract From 1910 until the 1970s, Indigenous Australian children were forcefully removed from their families as part of a policy aimed at distancing them from their original culture and preparing them for a life in white society, in accordance with the Genocide Convention forceful removal of children constitutes genocide. However, little has been done in Australia to make up for these practices, and resistance against transitional justice is prevalent among the public, politicians, and scholars. In this paper, I evaluate why there is so much unwillingness in Australia to make up for past wrongdoings. Certain transitional justice mechanisms have been used in the Australian context, including a truth- seeking commission, some forms of reparations, and an official apology. However, these mechanisms have not been very successful because of their limited scope. There are three reasons for the resistance against reparations. Firstly, making reparations available means accepting a national history that contains severe human rights violations, which could challenge prevailing national identity. Secondly, because an unduly positive version of history has always been told in the past it is difficult to convince everyone that what one always believed to be true is false. Lastly, many Australians feel that because they are not personally responsible for past practices and should not have to be the ones to pay. Introduction The British colonised Australia in 1788, the time of Social Darwinism, and the Indigenous Australians were seen as inferior human beings. Almost two centuries of injustice against the ‘savages’ followed, including dispossession, massacres, and the forceful removal of children. The remaining Indigenous Australians now constitute less than 2,5% of the population, and continue to be extremely marginalised: their life expectancy is lower than the Australian average, while illiteracy, poverty, unemployment, and substance abuse are higher. In a way, one could argue, the injustice continues. 77


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During my time in Australia, I was struck by the level of social inequality around me, as well as by the high level of resistance among non-Indigenous Australians against measures aimed at improving the situation for their Indigenous countrymen. This led me to question why Australia is so unwilling to make up for past wrongdoings. I will attempt to answer this question by evaluating the societal debate regarding justice and reconciliation. This paper is structured in three main sections. I will start by giving a historical overview of the injustices suffered by the Indigenous Australians. Then, I will set out which transitional justice mechanisms have been used in Australia. Lastly, I will discuss the societal debate surrounding these transitional justice mechanisms in order to come to a conclusion. A History of Atrocities Early Relations between Settlers and Indigenous Australians The British settled Australia in 1788 on the principle that Australia was terra nullius, or empty land. In reality, about 750,000 Indigenous Australians were living there (Australian Bureau of Statistics, 2007, ¶1). However, because there were no signs of what the Europeans regarded as civilisation, such as permanent habitations or cultivation of the land, Australia was legally regarded to be empty and the Europeans were thus free to claim it (Carter, 2006, pp. 68-70). In recent years, a myth of peaceful settlement has been created as a way to justify the colonisation, but in reality settlement was followed by a hundred years of frontier conflict (Carter, 2006, pp. 76-7). European violence against the Indigenous was justified by theories of Social Darwinism, which hold that all societies evolve unilineally from a stage of savagery to a civilised society (McGreggor, 1997, pp. 1-2; Long & Chakov, 2009, ¶1-6). The Europeans thought of the Indigenous as being in the ‘childhood of the human race’ (Carter, 2006, p. 71), or as the missing link between ape and man (McGreggor, 1997, pp. 5-6). It was thought that since the Indigenous Australians were less evolved than the Europeans, they would die out with the coming of the superior European race (Carter, 2006, pp. 71-4). Between 1869 and the 1930s, all Indigenous Australians were placed under the protection of the state governments, so they could “care for a dying race” (Carter, 2006, p. 79.), and “smooth the dying pillow” (Human Rights and Equal Opportunities Commission [HREOC], 1997, p. 23). Most Indigenous peoples were moved to special reserves and were subject to near-total control. Everyday life was regulated by the Protection Boards, including marriages and employment. Contact between children and their parents was limited, so the children would become distanced from their Indigenous lifestyle (Ibid.). Stolen Generation In the early twentieth century, it had become clear that the Indigenous Australians were not ‘dying out’ –especially the number of children from mixed descent was growing– and the Australian government started a policy of forced removal of Indigenous children (HREOC, 1997, p. 24; Carter, 2006, p. 79). In the new policy, 78


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most ‘full blood’ Indigenous Australians were to stay in reserves, while the children (mainly those from mixed descent) were placed in institutions, or white homes. They were encouraged to marry each other or whites, so the aboriginality would be bred out over time (Lindsay & Dempsey, 2009, p. 35; Haebich, 2011, p. 1036). Large numbers of the children were brutally or under false pretences removed from their parents (HREOC, 1997). In the institutions they were trained for a life in the white society. They were raised as Christians, forbidden to speak their own languages, and great care was taken to ensure that they would never see their families again (HREOC, 1997, p. 24). As Carter (2006) puts it: it was believed that “‘Aborigines’ might not die out, but their culture would” (p. 80). The forceful removal of children with the aim of destroying the aboriginal culture went on until the 1960s and 1970s, when it became clear that the Indigenous children were not being assimilated, but rather were stuck between cultures and could not identify as white, nor Indigenous. Especially in the 1980s a reappraisal of removal occurred after the practices had generally become to be seen as discriminatory (Australian Government, 2009). Post-Stolen Generation History These past practices still influence the lives of people today. The social position of Indigenous Australians remains much weaker than that of their non-Indigenous counterparts: they are less educated, more often unemployed, and have a lower income, while dealing with more infectious diseases, psychological problems, child mortality, and a higher level of substance abuse (Behrendt, 2003, p. 7-8). A clear relation between these current issues and the past practices of forceful removal of children has been established (HREOC, 1997, p. 491). This indicates that the injustice against the indigenous Australians is very much on-going. Transitional Justice Since the 1960s, Indigenous Australians have been gaining more rights and many discriminatory practices have been ended. Reconciliation is an official policy now. Below, I will outline which transitional justice mechanisms have been used in Australia as a response to the Stolen Generation, and reflect upon their success. Truth Seeking After considerable social pressure, the Australian government asked its permanent human rights monitoring body, the Human Rights and Equal Opportunity Commission, to look into the practices of forceful removal. In 1997, the Commission published its report, named Bringing Them Home (Hayner, 2002, pp. 14-5). The Commission’s main finding was that the forceful removal of children constitutes genocide in accordance with the definition of the Genocide Convention (HREOC, 1997, p. 190), and that “between one in three and one in ten Indigenous children were forcibly removed from their families and communities in the period from approximately 1910 until 1970” (Ibid., p. 31). The report further recognised a link between past practices and the current social and economic disadvantages of 79


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Indigenous people (Ibid., p. 491). The Commission included 54 recommendations for reparations, which it based on the van Boven/Bassiouni principles. It recommended that reparations be made available in the form of acknowledgements and an apology, guarantees against repetition, measures of restitution, measures of rehabilitation, and monetary compensations (Ibid., p. 245). The report has been very important for many victims because it finally acknowledged what had happened to them and opened the eyes of many non-Indigenous Australians who knew little about the practices of forceful removal before the report was published. According to Hayner (2002), the Commission clearly performed a truthseeking function (pp. 14-5). It should be noted, however, that the report was also met with much scepticism. The conclusion that the forceful removal of children constituted an act of genocide became especially debated. Reparations The Human Rights and Equal Opportunity Commission recommended the Australian government to make reparations available. However, the government at the time and its successors have ignored most of the recommendations. The government at the time was in favour of reparations and reconciliation, but only on its own terms, and it had already ruled out the option of monetary compensations before the Commission had finished its report (Cunneen, 2006, p. 362-7). John Howard, Prime Minister at the time, was fiercely opposed to excuses and compensation because he felt that to only be necessary if they would be “collectively and in a direct sense responsible” and he did not think this applied to the current generation Australians (Auguste, 2009, pp. 45-6). The forceful removal of children was a practice organised by state governments, rather than by the federal government. Therefore, monetary compensations have been sought in state courts. The first successful court claim was in 2007, when the Supreme Court of South Australia awarded Bruce Trevorrow $525,000 compensation for being removed from his mother without her consent in 1957 (Debelle & Chandler, 2007). A few more similar cases followed (Ross, 2011). However, court cases are only successful if much evidence is left, and the federal government is still refusing to instate a compensation policy. The state Tasmania, however, is the only state that has done so. In 2006, it adopted the Stolen Generations of Aboriginal Children Act and set up a fund of $5 million for compensations for eligible members of the Stolen Generation and their children. Some recommendations of the Human Rights and Equal Opportunity Commission relating to restitution and rehabilitation have been implemented. Family reunions, for example, were organised and Link Up services were provided to reunite families. However, as Senator Aden Ridgeway pointed out in 2001, the “recommendations are a package of complementary measures that need to be implemented as a whole” and the government cannot just pick whichever it likes most and expect this to suffice (¶ 10).

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A National Apology Apologies are a form of reparations, yet I have decided to discuss apologies separately because the debate about a national apology has played a very important role in the Australian context. There have been three occasions where an Australian Prime Minister addressed the state-organised forceful removal of children in a way that can be seen as (part of) an apology. In 1992, Prime Minister Paul Keating was the first to acknowledge the wrongs that had been committed against Indigenous Australians since European settlement. He said that reconciliation had to start with recognition by the non-Indigenous Australians, including “recognition that it was we who did the dispossessing […] we took the children from their mothers” (Keating, 1992). However, Keating held his speech in 1992, prior to the publication of Bringing Them Home, and thus before the extent and duration of the practices of forceful removal of children were publically known. It is therefore unlikely that he intended to apologise for the Stolen Generation as such. In 1999, after the report was published, Prime Minister John Howard proposed a Motion of Reconciliation to Parliament, in which he expressed “deep and sincere regret that indigenous Australians suffered injustices under the practices of past generations and for the hurt and trauma that many indigenous people continue to feel as a consequence of those practices” (Howard, 1999). He explicitly did not apologise, arguing “the current generation should not be responsible for the mistakes of the past” (“Stolen Generation Fact Sheet,” 2012). Howard’s successor Kevin Rudd finally gave the official apology in 2008. In his speech, he apologised “for the removal of Aboriginal and Torres Strait Islander children from their families, their communities and their country” (Rudd, 2008), thus finally explicitly apologising for the Stolen Generation. According to Michael Marrus (2007), complete apologies contain four elements: acknowledgment of the wrong committed, acceptance of responsibility, expression of regret both for the harm and for having committed the wrong, and a commitment to reparation (p. 79). Element 1, the acknowledgement of the wrong, seems to have been present in all three speeches, as is the first half of element 3, regretting the harm. They also all speak about a commitment to reparations, although this does not completely translate to practice. However, the main issue of the debate about a national apology is the question of responsibility. John Howard was of the opinion that the current generation is not responsible for past wrongdoings, whereas Kevin Rudd felt that apologies are necessary to right the wrongs of the past. This debate will be further discussed in the next section. So, has a complete apology in accordance with Marrus’ elements been delivered? It has in speech, but effective reparations are still largely lacking, which diminishes the power of the symbolic acts of acknowledgement (Short, 2012, p. 302). Furthermore we can question the power of Rudd’s apology. How powerful is it if the Prime Minister apologises and accepts responsibility if a large part of the population opposes an official apology?

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Social Resistance to Justice and Reconciliation As can be noted from the previous section, reconciliation and transitional justice are difficult matters in Australia that are met with much opposition. I now will set out the social context in which the debate regarding reparations and reconciliation takes place and explore the underlying causes of this opposition. The History Wars Since the 1990s, Australia’s history, especially in relation to Indigenous Australians, has been much debated and has become known as the History Wars. Prior to 1970 the official history of Australia contained a myth of peaceful settlement, in which Aboriginals were primitive, their destruction inevitable, and Australia was settled rather than invaded. After 1970, this view came to be challenged and people started to rewrite Australia’s history to contain frontier violence, racism, and the Stolen Generation. This new version of history went on to be attacked as well. Geoffrey Blainey argued that history had changed from an unduly positive view to an unduly negative view (the so called black armband view) that ignored that Australia was one of the world’s success stories (Carter, 2006, pp. 69-81; Moses, 2008, pp. 248-270). Prime Minister John Howard repeated Blainey’s argument in 1996 and rejected the occurrence of a genocide and existence of a ‘Stolen Generation’ (Brantlinger, 2004, p. 659). He believed that Australians did not need to apologise for the past and wanted history to focus more on Australia’s achievements (Mark, 2009). The Bringing Them Home report contributed to this ‘war’ because now it was an official national inquiry commission that advocated a new version of history and even called the past practices genocide. The use of the term ‘genocide’ became very controversial and debated. The historian Keith Windschuttle, for example, published many articles and books denying frontier violence and genocide, and accused historians at the other side of the debate of exaggerating and inventing evidence (Windschuttle, 2002; Carter, 2006, p. 81). Prime Minister John Howard said that he wished that “historians would stop using outrageous words like genocide” (as quoted in Brantlinger, 2004, p. 655). As Moses (2008) points out, it is no wonder that the use of the term genocide became so controversial because “the concept of genocide implies a moral judgment. To conclude that Australia’s past contains genocidal aspects or ‘moments’ may seem to criminalize it” (p. 249). The resistance against the inclusion of genocide, as well as frontier violence, invasion, and racism in Australia’s history is not so much because historians and politicians think it does not represent the truth. It is a struggle to maintain a positive national identity for Australia. A version of history that contains dispossession and violence against the original inhabitants challenges the legitimacy of Australia’s foundations and the country’s national identity (Carter, 2006, p. 84; Moses, 2008). Windschuttle, the historian who denies frontier violence and genocide all together, proclaims in the preamble to his book The Fabrication of Aboriginal History that “the debate over Aboriginal history […] is about the character of the nation and, ultimately, the calibre of the civilisation Britain brought to these shores in 1788” (Windschuttle, 2002, p. 3). Thus, Windschuttle denies the injustices 82


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committed against the Indigenous Australians because he aims to create a history and national identity, in which these black pages do not fit, rather than because he aims to discover what truly happened in history. To apologise for the past and to make reparations available means accepting that there is something Australia has to make up for, which negatively impacts the national identity. Many Australians do not want to acknowledge their country’s responsibility for atrocities, and therefore they cannot support an apology or reparations. It Takes Time to Change History In addition, some Australians might question the new version of history because that change in the historical narrative occurred very quickly. Many Australians grew up while racial discrimination against Indigenous Peoples was still an official policy and Aborigines were portrayed as lazy and unintelligent. The history they were told was a positive narrative that included settlement of an empty country and did not mention any form of frontier violence or conflict with the Indigenous. A different story has been told in recent years. Yet, considering the previous silence on these issues, it is understandable that it is difficult for some people to change what they believed to be true (Carter, 2006, p. 84). In addition, these people do not see a change in the attitude of the Indigenous peoples. As mentioned before, the Indigenous are extremely marginalised, yet some non-Indigenous believe this to be their own fault due to their laziness and lesser intelligence, rather than a result of longitudinal discrimination. This makes it easier for people to hold on to what they always believed to be the truth. Practices Favouring Indigenous are Unfavourable for Non-Indigenous Furthermore, acts and policies favouring the Indigenous might be unfavourable (or perceived to be unfavourable) to non-Indigenous Australians. The 1993 Native Title Act, for example, gave Indigenous Australians the ability to reclaim their traditional lands in certain circumstances. As a response, an –unfounded– fear of “Aborigines claiming your backyard as traditional lands” spread among the public, and lead to many people opposing acts and policies that favoured Indigenous peoples (Hill, 1995, p. 307). Regarding monetary compensation for members of the Stolen Generation; many people feel that it would be unfair if the government would give tax-money to the members of the Stolen Generation. An often-heard argument is that they (the nonIndigenous Australians) never personally committed genocide, so why should they be the ones to pay the price for it (Behrendt, 2009)? As John Howard puts it: “the current generation should not be responsible for the mistakes of the past” (“Stolen Generation Fact Sheet,” 2012). However, by not dealing with past mistakes properly, does the current generation not allow for the injustice to continue? Conclusion Australia poses a difficult question to the field of transitional justice. Like many other countries where a minority has been oppressed or mistreated, the injustice seems to continue due to a lack of sincere efforts toward reconciliation and reparation. In 83


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Australia, the non-Indigenous majority was part of a system that was oppressive, unjust, and a grave violation of international law. This majority now lacks the willingness to be financially, morally, and criminally responsible, while the Indigenous minority holds little power. The ugly truth is that justice can only be achieved if supported by the majority. Currently, many Australians oppose measures aimed at doing justice to the Indigenous peoples. I found three explanations for this opposition. Firstly, accepting that Australia needs to make reparations means accepting a new version of history that includes heinous crimes. This new version of history challenges the legitimacy on which the country was built, and is perceived as conflicting with the existing Australian national identity. Many Australians deny the occurrence of crimes against the Indigenous Australians, including the Stolen Generation, because they resist having a national identity that contains the commission of genocide. Secondly, because an unduly positive version of history has always been told in the past, it is likely that some people find it difficult to believe that what they always thought to be true is false. They truly disbelieve crimes were committed in the past, and therefore do not see the necessity of transitional justice mechanisms. Lastly, many non-Indigenous Australians oppose the allocation of resources to Indigenous Australians as this is disadvantageous for them. They feel that because they are not personally responsible for past practices, they should not have to be the ones to pay. Can justice be achieved in the future? For reparations and reconciliation to be supported by a larger part of the population the History Wars first have to come to an end and the truth about the Stolen Generation has to become widely known and accepted. Hopefully, the continuous effort of some lawyers, politicians, and activists, who keep filing court cases, drafting bills, and telling the stories, will make this happen over time. Reconciliation can only happen if the social climate changes and both parties, including the powerful majority, are willing to be reconciled.

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References Australian Bureau of Statistics. (2007, August 20). Aboriginal and Torrest Strait Islander Population. Retrieved from http://www.abs.gov.au/ausstats/abs@.nsf/94713ad445f f1425ca 25682000192af2/bfc28642d31c215cca256b350010b3f4!OpenDocument Auguste, I. (2009). On the Significance of Saying “Sorry”- Politics of Memory and Aboriginal Reconciliation in Australia. Coolabah, 3, 43-50. Australian Government. (2009, October 22). Sorry Day and the Stolen Generations. Retrieved May 1, 2012 from http://australia.gov.au/about-australia/australianstory/sorry-day-stolen-generations Behrendt, L. (2003). Achieving Social Justice. Sydney: The Federation Press. Brantlinger, P. (2004). “Black Armband” versus “White Blindfold” History in Australia. Victorian Studies 46 (4), 655-674. Carter, D. (2006). Dispossession, Dreams & Diversity. French Forest NSW: Pearson Education Australia. Cunneen, C. (2006). Exploring the Relationship Between Repatriations, the Gross Violation of Human Rights and Restorative Justice. In D. Sullivan & L. Tifft (Eds.), Handbook of Restorative Justice. A Global Perspective (355-367). London and New York: Routledge. Debelle, P. & Chandler, J. (2007). Stolen Generation Payout. The Age. Retrieved May 8, 2012 from http://www.theage.com.au/news/national/stolen-generationpayout/2007/08/01/1185647978562.html Haebich, A. (2011). Forgetting indigenous histories: Cases from the history of Australia's stolen generations. Journal of Social History, 44 (4), pp. 1034-1047. Hayner, P. (2002). Unspeakable Truths: Transitional Justice and the Challenge of Truth Commissions. New York: Routledge. Hill, R. P. (1995). “Blackfellas and Whitefellas”: Aboriginal Land Rights, The Mabo Decision, and the “Meaning of Land”. Human Rights Quarterly, 17(2), 303-322. Howard, J. (1999). Motion Relating to Reconciliation. Retrieved May 6, 2012 from: http://tizona.wordpress.com/2008/02/11/john-howards-motion-relating-toreconciliation-as-put-to-parliament-august-1999/

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Human Rights and Equal Opportunity Commission (1997). Bringing Them Home: A Guide to the Findings and Recommendations of the National Inquiry into the Separation of Aboriginal and Torrest Strait Islander Children From their Families. Sydney: HREOC. Keating, P. (1992, December 10). Redfern Speech. Retrieved from: media1.aso.gov.au/docs/Redfern_Speech10121992.pdf Lindsay, J. & Dempsey, D. (2009). Families, relationships and intimate life. Melbourne: Oxford University Press. Long, H. & Chakov, K. (2009). Anthropological Theories: Social Evolutionism. Retrieved from: http://anthropology.ua.edu/cultures/ Marrus, M. (2007). Official Apologies and the Quest for Historical Justice. Journal of Human Rights, 6(1), 75-705. Mark, D. (2009, August 28). Rudd calls for end to ‘history wars’. ABC News. Retrieved May 8, 2012 from http://www.abc.net.au/news/2009-08-27/rudd-calls-for-end-tohistory-wars/1408032 McGregor, R. (1997). Imagined Destinies: Aboriginal Australians and the doomed race theory, 1880-1939. Melbourne, VIC: Melbourne University Press. Moses, A. D. (2008). Moving the Genocide Debate Beyond the History Wars. Australian Journal of Politics and History, 54(2), 248-270. National Sorry Day Committee Inc. (2010). History of Sorry Day. Retrieved May 6, 2012 from http://www.nsdc.org.au/index.php?option=com_content&view=category& layout =blog&id=20&Itemid=51 Ridgeway, A. (2001). Reparations for the Stolen Generations. Retrieved May 8, 2012 from http://www.humanrights.gov.au/social_justice/conference/movingforward/speech _ridgeway.html Ross, N. (2011, June 24). Victorian stolen Generation Man Neville Austin Given Compensation. Herald Sun. Retrieved May 8, 2012 from http://www.heraldsun.com.au/news/more-news/victorian-stolen-generation-manneville-austin-gets-compensation-and-apology/story-fn7x8me2-1226081197609 Rudd, K. (2008, February 13). Parliamentary Apology to the Stolen Generations. Retrieved May 6, 2012 from http://www.smh.com.au/articles/2008/02/13/1202760379056 .html

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Short, D. (2012). When sorry isn't good enough: Official remembrance and reconciliation in Australia. Memory Studies, 5 (3), pp. 293-304. Stolen Generation Fact Sheet. (2012, February 21). Retrieved from Reconciliaction Network.: http://reconciliaction.org.au/nsw/education-kit/stolen-generations/ Stolen Generations of Aboriginal Children Act 2006 (2008). Retrieved from the Department of Premier and Cabinet Tasmania website: http://www.dpac.tas.gov.au/data/assets/pdf_file/0004/53770/Stolen_Generatio ns_Assessor_final_report.pdf Vijeyarasa, R. (2007). Facing Australia’s History: Truth and Reconciliation for the Stolen Generations. International Journal on Human Rights, 4 (7), pp. 126-149. Windschuttle, K. (2002). The Fabrication of Aboriginal History, Volume One: Van Diemen’s Land 1803-1847. Paddington, NSW: Macleay Press.

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Biographies of the Authors Louise Marie Beelen was born in 1991 in Brussels and grew up in the Netherlands. She graduated from University College Roosevelt in June 2012 with a major in Science (PreMedical Program) and a minor in Psychology. She is currently living in Rotterdam, where she is studying Medicine at Erasmus University. In the future, she would like to specialize in Internal Medicine or Surgery. Sharon van Dijk was born in Meppel, the Netherlands, in 1992. At UCR she is majoring in Arts and Humanities, with tracks in Literature, Linguistics and Antiquity. She has strong interests in late antiquity and in the classical tradition. After her graduation in June 2013 she will move to the United Kingdom to pursue a masterâ&#x20AC;&#x2122;s degree in Classics at the University of Oxford. Bastiaan Dillmann was born in Amsterdam in January 1992. He will graduate from University College Roosevelt in December 2013 with a B.A. in Economics with minors in History and Statistics. The paper published in the current issue of Ad Astra was written as a part of the History minor. He hopes to pursue a Master's Degree at Cambridge University and will seek a carreer in business, which is also expressed in extracurricular activities he has engaged in. Ingmar Hinz was born in Rotterdam, the Netherlands, in 1991, but grew up in the province of Zeeland. He graduated from University College Roosevelt in June 2012 with a major in Social Sciences (psychology and sociology). His main interests regard psychoanalytic theory, de/post-colonial theory, and continental social theory. Ingmar will continue his studies at Birkbeck College, University of London, where he will commence the MA Psychosocial Studies in October 2013. Joanna Hornik was born in Krotoszyn, Poland in 1992. After finishing high school in the United Kingdom she came to University College Roosevelt in September 2011 where she decided to major Social Sciences, with a focus on Political Science, International Relations, and Economics. Together with Koen Maaskant, she has been exploring the fields of econometrics, international trade, and development economics. In her fifth semester, she is going on exchange to the Institute of Political Science Sciences Po in Strasbourg to practice her French and take courses in IR and European Politics. In the future, she is planning to pursue a master in International Economic Policy and enter the field of civil service, preferably in the European Union, and maybe one day become a diplomat. Ivo Kunovski was born in Macedonia. He completed his bachelor studies at University College Roosevelt, with a major in Social Sciences where the greater part of his studies focused on psychology. His interest in the field brought him to VU Amsterdam where he is currently enrolled as a research masters student in Clinical and Developmental Psychopathology. 88


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Koen Maaskant was born in Dordrecht, the Netherlands, in 1993. At University College Roosevelt he is currently completing a major in Economics and Political Science. Together with Joanna Hornik, he has been exploring the fields of econometrics, international trade, and development economics. He is going on exchange to the University of California, Los Angeles to focus on his main interest development economics. He is planning to pursue a master in this field and work at an international organization that addresses poverty issues. Anton Schreuder was born in 1990, in Khon Kaen, Thailand. He attended international schools in Indonesia, Brazil, and the Netherlands before beginning his studies at University College Roosevelt in 2009. Having vaguely decided to work towards becoming a medical doctor, he followed the pre-medical track and obtained a Bachelor of Science in 2012. Those three years have led him to develop an affinity towards research, yet he remains unable to focus on a single field of interest. He is currently studying medicine at the Leiden University Medical Center, expected 2016. The future afterwards, however, remains foggy. Miguel Vega Prieto is a student of University College Roosevelt, majoring in biomedical sciences combined with organic chemistry. Although he is Spanish, he was born and raised in Belgium and spent several years of his childhood in Cincinnati Ohio, USA. Miguel has also been part of numerous research projects at Procter and Gamble, more specifically working on the kinetics of molecules for future products. After graduating from UCR in the summer of 2013, Miguel wishes to continue his studies in medical research related fields.

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Ad Astra Issue Seven