Figure 1: Lag Selection AIC Graph
About the Author
Kate D’Amato is a senior in the Honors Program at Christopher Newport University, where she is pursuing a Bachelor of Arts in Mathematical Economics with a minor in Business Administration. Maintaining a 4.0 GPA, she is set to graduate in December 2025. Since Fall 2022, Kate has worked as a research assistant for the Economics Department. She has been awarded three independent research grants for projects exploring economic issues, including pandemic policy impacts and infation. Her most recent grant-supported project directly inspired this paper on the efects of public debt on economic output in Italy and Japan. Kate previously served as Executive Vice President of the Student Government Association and has held several leadership positions including president of Alpha Chi and Students for Women’s Rights. Her academic research at CNU has shaped her career path in data analysis, and she will further pursue this interest as an Innovation and Strategy Intern at the American Bankers Association during the summer of 2025.
Te Role of Religion in Political Power: An Analysis of Teocratic Governance in Iran
Jaya Daniel
Faculty Sponsor: Dr. Jay Paul, Honors Program
Abstract
Teocratic governance in Iran, rooted in the fusion of religious authority and political power, has proven fundamentally incompatible with modern political, social, and economic development. From the Safavid Dynasty through the post-1979 Islamic Republic, Shi’ite religious institutions have shaped national identity, law, and state legitimacy. Key turning points such as the Constitutional Revolution, Reza Shah’s secular reforms, Mossadegh’s coalition government, and Khomeini’s rise highlight recurring tensions between secular nationalism and clerical dominance. Trough the lens of compensatory control, religious governance provides psychological order during periods of instability, yet this strategy conceals deep structural weaknesses. Centralized clerical power, exclusionary policies, and economic mismanagement have fueled public disillusionment and resistance. Tese internal pressures, combined with Iran’s regional infuence and authoritarian model, present signifcant challenges not only within the country but also for global stability and human rights.
Compensatory control refers to the psychological mechanisms individuals employ to restore a sense of order and predictability when they experience a loss of personal power. According to social psychologists Kay et al. (2009), in the face of uncertainty, people may engage in behaviors such as perceiving patterns in randomness, reinforcing belief in sociopolitical institutions, or relying on faith in an “interventionist god”: a deity believed to actively intervene in human afairs to guide and protect them. Tese responses help individuals manage their existential fears and maintain a sense of agency. Understanding how these processes operate enhances insight into various social phenomena, such as prejudice, radicalization, and the rituals that unite communities during times of crisis (Kay et al., 2009).
Tis psychological framework ofers a valuable lens through which to understand the intersection of religion and political power. Religion, particularly when intertwined with political authority, often plays a central role in such compensatory mechanisms by providing a framework for stability and certainty (Kay et al., 2009). In societies where secular governance struggles, religious authority can emerge as a dominant source of legitimacy. Tis paper will examine the role of religious authority in shaping governance in Iran and explore how theocratic rule, grounded in Islamic principles, has impacted laws, social structures, and state legitimacy. While theocratic rule in Iran emerged from historical and theological roots, it proves incompatible with the demands of modern governance. Iran’s centralization of power within a clerical elite suppresses pluralism, while exclusionary policies deny political participation to vast segments of the population. Tese practices not only erode institutional efciency but also deepen social divisions, fueling widespread disillusionment and resistance.
Historical Roots of Teocracy
According to Houchang Chehabi, professor at Harvard University, throughout history, most societies have typically maintained a distinction between spiritual and temporal authorities. However, when this separation ceases and a religious institution assumes rule over both spiritual and temporal matters, the resulting political system is referred to as a theocracy (Chehabi, 1991). In the purest form, “God is recognized as the immediate ruler, and his laws are taken as the legal code of the community and are expounded and administered by holy men as his agents,” as political scientist Vernon Bogdanor argues (Bogdanor, 1987). In Iran, this theocratic model has been frmly entrenched since the 1979 revolution, with the clergy playing a central role in governance, policy, and political authority, shaping domestic policies and the nation’s relationship with the outside world.
Safavid Dynasty
Tis theocratic infuence began in 1502 when a powerful clergy emerged, and the Safavid Dynasty declared Shi’ism as the dominant sect of Islamic Persia (present-day Iran), forming a strong centralized state. Te solidifcation of Shi’ism as the state religion and the integration of religious authority into their political structure created a dual system where religion and politics were intertwined. Tis system allowed the clergy to play a substantial role in governance, with religious leaders helping to shape laws and policies. Over time, the Safavid model of blending religious authority with political rule laid the groundwork for the clergy’s enduring infuence on Iran’s political landscape (Chehabi, 1991). However, Chehabi notes that “to understand the political involvement of the clergy in contemporary Iran, one has to keep in mind that it does not constitute a church in the sociological sense” (Chehabi, 1991). Additionally, there is no strict clerical hierarchy, with Shi’ites claiming that “the order of the clerical hierarchy is disorder,” meaning the clergy does not dominate all areas of religious activity (Chehabi, 1991). Tis structural complexity, paired with broader systemic challenges, contributed to the fall of the Safavid Dynasty in 1722,
resulting from a combination of internal instability, economic decline, and external threats.
John Foran of the International Journal of Middle Eastern Studies explores the rule of Shah Abbas I, also known as Abbas the Great, who ruled the Safavid Empire from 1588 to 1629 and is regarded as one of the most signifcant monarchs in Iranian history. After his death, the empire began to experience weakened leadership and growing internal turmoil (Foran, 1992). Te fall of the Safavid dynasty illustrates the inability of its theocratic system to adapt to changing political, economic, and ideological realities. As the religious foundation of the state weakened, the rulers failed to ofer a new unifying ideology, contributing to further instability (Foran, 1992). Further, renowned theologian Mohammad Fazlhashemi explains that the collapse of the Safavids marked the end of the most infuential dynasties in Iranian history, disrupting the establishment of the Twelver Shia Islam as the state religion. Twelver Shia Islam, also known as Imamiyya, is centered on the belief in twelve divinely designated Imams, starting with Ali, the Prophet Muhammad’s cousin, and ending with the twelfth, Muhammad Al-Mahdi, who is believed to return as a messianic fgure to restore justice and defeat evil. Te belief in the Imams’ divine authority and their role in governance remained foundational to Iranian political and religious life, even after the fall of the Safavids (Fazlhashemi, 2021). Te entanglement of religion and political authority as a source of legitimacy in Iran refects a legacy that, while historically signifcant, obstructs the evolution of a more pluralistic and accountable political system.
Constitutional Revolution of 1906
According to Vanessa Martin, a historian for the Royal Holloway, the 1906 Constitutional Revolution was a monumental movement that sought to curb the monarchy’s rule and lay the foundations for representative government in Iran. It emerged in response to widespread dissatisfaction with Shah Mohammad Ali’s absolutist rule and growing foreign infuence, sparking demands for democratic reforms, including a parliamentary system and a bill of rights. Te movement successfully established the frst Iranian Constitution in 1906, which created the Majles (national assembly) and guaranteed certain civil liberties. However, despite initial successes, the revolution faced strong resistance from conservative factions and international stakeholders, undermining many of its early achievements (Martin, 2011). While demands for political reform drove the revolution, it also revealed deep opposition surrounding the role of religion in governance, particularly through the involvement of the Shi’ite clergy.
Shi’ite religious beliefs in Iran played a prominent role in shaping the Constitutional Revolution, particularly through the infuence of the ‘ulama (religious scholars). Under the Shah’s absolutist rule, legitimacy and justice were derived from Islamic law as interpreted by the ‘ulama. Some clerics supported the constitutional movement because they believed it would restrain the Shah’s power and protect Islamic values. Te clergy actively advocated for the reforms, though not all agreed. Others feared the revolution would bring excessive Western infuence and weaken religious authority. Following the revolution, a shift toward secularism prompted many clerics to withdraw from direct political involvement. For context, secularism is “the belief that religion should not be involved with the ordinary social and political activities of a country” (Cambridge, 2025). Tis division between religious tradition and political reform played a pivotal role in shaping the revolution’s long-term outcomes (Martin, 2011).
Reza Shah Pahlavi and the
Secularization of Iran
Following the 1906 Constitutional Revolution and the subsequent shift towards secularism, Iran’s political landscape transformed with Reza Shah Pahlavi’s political ascent in 1925. Pahlavi pursued modernization through reforms that reduced clerical infuence, centralized authority, and promoted a secular national identity (Chehabi, 1991). According to Faegheh Shirazi, a specialist in Islamic Studies at the University of Texas, Raza Shah’s
policies, such as the compulsory unveiling of women and the establishment of a secular legal system, further deepened the divide between religion and politics in Iran. Tese policies were designed to transform Iran into a modern, centralized nation-state aligned with Western governance models. Still, they increased polarization between secular and religious factions (Shirazi, 2019). Many viewed this policy as a rejection of traditional Islamic values and a challenge to the authority of the religious establishment. Te clerics, who had historically held control in shaping Iran’s social and political fabric, viewed the unveiling as a direct threat to their infuence. Tis fueled widespread opposition among religious communities and escalated volatility crucial in the political upheavals leading to the Islamic Revolution in 1979 (Shirazi, 2019). In response to Reza Shah’s secularization eforts, many clerics and religious leaders began to unite against the perceived erosion of Islamic principles in governance, paving the way for the eventual rise of theocratic ideologies in Iran (Shirazi, 2019).
Reza Shah’s abdication during World War II ushered in a period of instability that led to a revival of competitive politics in Iran. Tis postwar period brought renewed interaction between traditional clerical politics and secular nationalist movements (Shirazi, 2019). Notable political fgures, such as Ayatollah Abolqasem Kashani, became infuential advocates for religious leaders’ involvement in national afairs. Mohammed Mossadegh, another key fgure, led the nationalization movement of the Anglo-Iranian Oil Company. His government represented a coalition of both secular nationalists and religious forces. However, this temporary alliance exposed underlying tensions between secular nationalism and clerical authority, foreshadowing future political conficts in Iran (Shirazi, 2019). Te fallout from Mossadegh’s tenure and his eventual overthrow in a coup backed by Western powers ushered in the strengthened reign of Mohammad Reza Shah Pahlavi (Shirazi, 2019). Tis shift demonstrated the fragile and often uneasy alliance between modernist reforms and the enduring infuence of religious leaders, revealing once again the challenges of balancing secular governance with theocratic authority. Amid the deepening divide, Ayatollah Ruhollah Khomeini emerged as a central fgure determined to restore Islamic infuence in Iranian leadership.
Political Evolution and Resistance
Khomeini’s
Rise
According to Mahdi Khalaji (2011), a senior fellow at Te Washington Institute for Near East Policy and a trained Shi’a cleric for Iran, Khomeini began political activism in the late 1940s, advocating for clerical oversight of the government and greater involvement of religious authorities in political afairs. His writings and speeches increasingly criticized the Shah’s regime and its Western ties, which he viewed as harmful to Iran’s sovereignty and Islamic identity. Te growing opposition culminated in the 1963 attack on the Qum seminaries, where government forces violently suppressed protesting clerics and students. As Khomeini’s resistance to the Shah intensifed, he was exiled in 1964 but continued to rally support abroad, using religious rhetoric to unite the masses and frame the political struggle as a battle between Islam and secularism, which set the stage for the 1979 Iranian Revolution (Khalaji, 2011).
Iranian Revolution
Te Iranian Revolution marked the culmination of widespread dissent against the Shah’s authoritarian regime, leading to the establishment of the Islamic Republic. As the revolution unfolded, Khomeini emerged as the leading fgure, temporarily uniting religious and secular factions. Yet, the revolution also exposed deep ideological divisions between secularists and extremist factions within the clergy, complicating eforts to establish a stable political order. Khomeini’s anti-Shah rhetoric framed the Shah’s regime as an illegitimate
puppet of Western nations, galvanizing public support for the revolutionary cause (Khalaji, 2011).
After the establishment of the Islamic Republic, a new constitution was drafted to combine religious authority with the will of the people, giving the clergy a key role in governing. However, the new government faced difculties as it tried to strengthen its potency using religious principles while dealing with the challenges of governing and applying Islamic law to the state (Khalaji, 2011). Te consolidation of clerical might lead to an intertwining of state and religion, forming the foundation of Iran’s distinct model of religious authoritarianism. Over time, the clerical establishment, which was initially positioned as “agents of revolutionary change,” became increasingly subservient to the state it had helped create (Khalaji, 2011). Tis shift led to a regime-dominated political landscape, where religion became a symbolic capital that could be exploited for political ends. Within this framework, the clerics faced diminishing prestige and authority as the regime’s ideological grip extended over societal institutions, shaping public life and suppressing dissent. As the state consolidated its authority, it restricted the clergy’s ability to operate independently, undermining their historical role as moral and political advocates (Khalaji, 2011).
Tis dynamic soured the relationship between the ruling elite and segments of the clerical establishment, complicating the regime’s legitimacy. Tis led to rising public discontent, refected in declining mosque attendance and growing support for secular values among the Iranian populace (Khalaji, 2011). Tese tensions between state and clerical interests foreshadowed future challenges for the Islamic Republic, raising doubts about the long-term viability of a regime dependent on religious capital while confronting an increasingly resistant society demanding greater freedoms. Despite the revolution’s initial idealism, Iran’s evolving political landscape revealed the inherent friction in merging Islamic principles with modern governance, resulting in a complex and often contentious political reality (Khalaji, 2011). What began as clerical empowerment gradually evolved into a regime-controlled religious establishment, where symbolic authority replaced independent moral leadership.
Post-Revolutionary Teocracy and Political Challenges
Since the 1979 Islamic Revolution, Iran has operated under a theocratic political system that fundamentally transformed the nation’s governance. At the helm of this new order is the concept of Velayat-e-Faqih (Guardianship of the Islamic Jurist), which grants ultimate authority to the Supreme Leader, a role frst flled by Ayatollah Khomeini and later by his successors. Tis system places clerical authority above democratic principles, concentrating power in the hands of religious elites, particularly the clergy (Golkar, 2016). Political scientist Saeid Golkar (2016) explains that “the clergy seized rule of Iran and its political machinery, efectively transforming itself into the most prominent group of political elites in the state.” Tis theocratic structure has sidelined secular political actors, emphasizing ideological commitment over technical expertise in the political elite. Many civil servants, for instance, are chosen based on their “taahhod” (ideological loyalty) rather than their “takhasoos” (technical skills) (Golkar, 2016).
According to Ray Takeyh, a former advisor to the U.S. State Department on Iran, this consolidation of clerical energy became even more pronounced in the decades following the revolution as Iran navigated a series of political and economic crises, reinforcing the regime’s reliance on religious authority. Te Iran-Iraq war (1980-1988) played a pivotal role in legitimizing the theocratic government, as the confict was framed as both a national defense and a religious duty, allowing the Supreme Leader to tighten control under the guise of wartime necessity (Takeyh, 2009). Further, as historian Efraim Karsh (1990)
explains, the war also fostered a siege mentality, which allowed the clerical establishment to suppress internal dissent while justifying mass political purges. As the war concluded, the regime leveraged its newfound legitimacy to entrench its command further, systematically eliminating political opposition and consolidating command over key institutions (Karsh, 1990). For example, Khomeini issued a religious edict (fatwa) ordering Muslims to kill British author Salman Rushdie for his novel, Te Satanic Verses, which was “considered blasphemous to Islam” (BBC News, 2020). Te post-war period saw the expansion of Iran’s security apparatus, with organizations such as the Islamic Revolutionary Guard Corps (IRGC) and the Basij militia playing a role in reinforcing state authority and enforcing ideological conformity. Te war’s aftermath also deepened socioeconomic divides, as veterans and loyalists were rewarded with government positions and economic privileges, while political dissidents and marginalized groups faced increased surveillance and repression (Golkar, 2016). Haleh Afshar, one of the frst Muslim women appointed to the U.K. House of Lords, notes that this period witnessed the rise of Supreme Leader Ali Khamenei. Khamenei succeeded Khomeini in 1989, further reinforcing the centralization of power within the religious establishment. Khamenei, lacking the charismatic authority of his predecessor, relied heavily on the IRGC and conservative clerics to solidify his rule, leading to an increased militarization of Iranian politics and further suppression of reformist elements (Afshar, 1995).
Troughout the 1990s and early 2000s, Iran experienced a struggle between reformist and conservative factions, as President Mohammad Khatami (1997-2005) sought to expand civil liberties and improve relations with the West. However, according to German political analyst Wilfred Buchta, his eforts were repeatedly blocked by Iran’s unelected institutions, particularly the Guardian Council, which ensured that the supreme leader and clerics tightened hegemony over the political system (Buchta, 2004). Te election of Mahmoud Ahmadinejad in 2005 signaled a shift back to hardline conservative rule, characterized by intensifed anti-Western rhetoric and a renewed focus on Iran’s nuclear program, which triggered international sanctions and economic struggles. Tis return to conservative leadership set the stage for growing internal unrest, as public dissatisfaction with the regime’s policies began to surface more openly. Peter Whittaker, journalist for the New Internationalist, noted that the 2009 presidential election and protests, known as the Green Movement, posed one of the most signifcant challenges to the regime. Still, it was violently repressed, reinforcing the government’s reliance on authoritarian measures to cement elite dominance (Whittaker, 2011). Sparked by allegations of electoral fraud, the movement mobilized millions demanding democratic reforms, only to be crushed by security forces through mass arrests, censorship, and violence. Tough unsuccessful, the movement exposed deep societal hostility and paved the way for counterprotests against the regime (Whittaker, 2011). In the following decade, economic instability and social unrest continued to grow. Tis culminated in more mass protests, such as those sparked by the 2022 death of Mahsa Amnini. Amnini, a woman from Iran’s oppressed Kurdish minority, was stopped by Iran’s police, who routinely detain women for not complying with the country’s religious codes, including compulsory veiling laws, which she was accused of violating. She was beaten to death while in custody (Amnesty International, 2022). Her death reignited concerns about the regime’s repressive policies and the long-term viability of Iran’s theocratic rule. Tese renewed concerns over state repression have drawn fresh attention to the structural foundations of Iran’s theocratic system and how centralized religious authority sustains it.
Structural Challenges of Teocratic Rule
Centralization of Power
Religious rule depends on centralizing power, allowing a governing body to assert ideological sovereignty over political and social life. Unlike secular democratic institutions, which encourage diversity and the dispersion of regency, religious regimes often consolidate decision-making within a clerical hierarchy, limiting political participation to those who align with its ideology. In Iran, this centralization is evident in the role of the Supreme Leader, whose command supersedes all other political institutions, including the elected president. Iran’s Guardian Council further enforces this centralization by vetting candidates for political ofce, ensuring that only those loyal to theocratic principles can run for positions of power (Golkar, 2016). Tis centralization not only suppresses opposition but also shifts political discourse from debates over policy and governance to moral and theological legitimacy. As secular institutions weaken, religious institutions become the primary spaces for political engagement, reinforcing a system where dissent is cast as heresy rather than political opposition. Tis is exemplifed in the Iranian system, where protests and reformist movements are often violently suppressed, and political opposition is framed as a threat to Islam itself (Khalaji, 2011). Tis transformation narrows the scope of political agency, making alternative ideologies less viable and perpetuating a system in which centralized religious sanction is asserted through institutional rule and ideological dominance.
Exclusionary
Policies
Exclusionary policies in Iran have been signifcantly shaped by the establishment of a theocratic regime following the Islamic Revolution. Under theocratic rule, religious identity became a crucial determinant of one’s political and social rights, creating a system where individual beliefs were not just a matter of personal choice but a determining factor for access to government positions and freedoms. According to Kazemipur and Rezaei of the Journal for the Scientifc Study of Religion, “Having a job in government and enjoying the freedom of expression are not rights but privileges, the benefciaries of which should be determined based on their beliefs about religion” (Kazemipur and Rezaei, 2003). Further, Kazemipur and Rezaei also explain that individuals who do not adhere to the prescribed religious norms, such as atheists, are excluded from holding governmental roles, delivering public lectures, or publishing ideas. Tese exclusionary measures refect the deep intertwining of religion and state power in Iran, where religious loyalty becomes a requirement for participating in the public sphere. Tis dynamic illustrates how faith-based governance can institutionalize exclusion, systematically denying political rights to nonconforming individuals in favor of reinforcing the prestige of the religious establishment. Deepening Social Divisions and the Struggle for Reform
Mansoor Moaddel, a prominent Iranian American sociologist, further agrees that the theocratic nature of Iran’s political system has intensifed ideological rifts and fueled a complex and ongoing struggle for reform. Initially, the revolution’s triumph granted a dominant role to the “masses,” including a broad coalition of workers, low-ranking bureaucrats, and other marginalized groups that had opposed the Shah’s regime (Moaddel, 1991). Tis emphasis on social justice rhetoric was central to the early years of the Islamic Republic, as it aimed to empower those who had long been excluded from political reign (Moaddel, 1991). However, UCLA sociologist Kevan Harris states that while the revolution promised unity, this idealism gradually unraveled as fractures emerged within Iranian society. Sidelined during the revolution, the middle class rose to infuence in the 1990s through its technical expertise and role in post-war economic reconstruction, marking a transformation in Iran’s political landscape, where the initial focus on the masses “was eclipsed by the growing infuence of the middle class” (Harris, 2015).
However, Iran’s cohesive middle class is an illusion. As both Moaddel (1991) and Harris (2015) argue, it is deeply fragmented, composed of groups with divergent social, economic, and political interests that hinder the development of a unifed political agenda. Tis internal division is evident in the emergence of conservative and reformist factions, each pushing for diferent versions of Iran’s future (Harris, 2015). Tese competing interests, spanning the masses, the middle class, and the state, have aggravated societal polarization in Iran and made the reform process even more contentious. Te resulting friction illustrates the challenges of balancing revolutionary ideals with the demands of a modern society, where the theocratic state is forced to address its historical legacy and the aspirations of a diverse and increasingly disillusioned population (Moaddel, 1991; Harris, 2025).
Compensatory Control
Trough the lens of compensatory control theory, the enduring strength of Iran’s theocratic regime can be recognized as a response to widespread feelings of uncertainty and sociopolitical fragmentation. In Iran, religion-driven governance provides a tool for the state to preserve command, particularly during unrest or social discontent. Integrating religious belief into governance ofers the populace a sense of order amid economic hardship, political repression, and societal splintering. Roxanne Varzi, an anthropologist of Duke University, notes that this psychological comfort is reinforced through state-sponsored rituals, such as annual Ashura commemorations, where the narrative of martyrdom and sacrifce inspires unity and obedience to religious authority. Tese public displays of grief and solidarity frame the regime’s rule as a moral continuation of Islamic residence, ofering a sense of cosmic order amid real-world instability (Varzi, 2006). Te state, in turn, uses this religious framework to suppress dissent, framing its actions as divinely ordained. Tus, compensatory control explains the appeal of theocratic governance and illustrates how such a system can persist by ofering a perceived solution to the uncertainty and anxiety inherent in a volatile political and social environment. While compensatory control helps explain the resilience of theocratic structures, a closer analysis reveals the system’s long-term unsustainability.
Argument
Teocratic rule, as exemplifed by Iran’s government, is fundamentally incompatible with modern political, social, and economic progress. By fusing religious authority with state authority, Iran’s leadership has created a rigid system that prioritizes ideological purity over competence, political dominance over democratic participation, and suppression over progress. Such a model is not only oppressive but inherently unsustainable. Tis rigid preference for ideological purity is evident in appointing key ofcials with religious credentials but minimal policy expertise, undermining institutional efciency. Tis has afected the health and energy sectors, where technical shortcomings have hindered modernization and stifed innovation. Consolidating power within a clerical elite has eliminated the diversity of thought necessary for efective governance, leading to underperformance, corruption, and systemic stagnation. Further, exclusionary policies that tie political rights to religious adherence directly undermine the principles of equality, barring millions from meaningful participation in society due to their personal beliefs. Tis is not merely amoral; it is a strategic blunder that weakens Iran’s economy and alienates a growing, disillusioned population.
Te regime’s use of religious legitimacy as a political instrument reinforces authoritarianism, using faith as a shield against scrutiny and dissent. Tis dynamic creates what Mario Ferrero, professor at the University of Eastern Piedmont, identifes as a “hidden information problem” within the governance structure, where a lack of transparency and
accountability allows abuse of power to go unchecked (Ferrero, 2013, p. 2). Moreover, historical precedent suggests that no regime can indefnitely suppress a population seeking change. Te desire for political freedom, social progress, and economic opportunity is intrinsic to human societies, and over time, oppressive systems breed resistance. Ferrero notes that the potential for internal confict among elite factions further contributes to the disintegration of efective governance, as seen in historical cases like the Hasmonean period in ancient Israel, the Papal states, the Buddhist theocracies of Central Asia, and even in Tibet under the Dalai Lama, where clerical confict undermined stability (Ferrero, 2013). Coercion and state-sanctioned violence do not eliminate dissent; they intensify resentment and sow the seeds of future revolt. Iran’s leadership may continue to imprison dissenters under the guise of protecting supremacy, but this merely postpones mounting societal backlash, as evidenced by the 1979 Iranian Revolution (Ferrero, 2013). Tese patterns of discontent and resistance indicate that theocratic regimes face inherent limits to their longevity.
Implications for Iran and the Globe
Te persistence of Iran’s theocratic regime carries profound implications, both domestically and globally, as it continues to infuence economic stability, human rights, and regional security. According to Esfahani and Taheripour of the International Journal of Middle East Studies, theocratic governance in Iran has enabled mass economic mismanagement, with an estimated 70 percent of public expenditures occurring ofbudget through hidden subsidies and unaccounted liabilities. Tese extra-budgetary funds, funneled through state-controlled oil, credit, and foreign exchange markets, have distorted resource allocation and fueled chronic infation. As a result, Iran’s economy remains stagnant, with long-term development blocked by inefciency, corruption, and ideologically driven practices (Salehi Esfahani & Taheripour, 2002).
Beyond the economic impacts, Iran’s theocratic identity has also shaped its approach to humanitarian crises, particularly in refugee policy. According to Bahram Rajaee, Director of the Institute for Global Studies at the University of Delaware, Iran, rooted in religious ideology and post-revolutionary solidarity with displaced Muslims, admitted over 4.5 million refugees during the 1980s and 1990s, primarily from Iraq and Afghanistan. Tis infux placed immense strain on Iran’s infrastructure and public services (Rajaee, 2000). Tis prioritization of religious image over administrative capacity continues to hinder humanitarian eforts and fuel regional instability. Together, these outcomes reveal how Iran’s theocratic structure not only weakens its internal governance but also produces ripple efects that complicate international responses to economic and humanitarian crises.
In its entirety, Iran’s theocratic regime presents a range of broader global risks. Te suppression of innovation threatens long-term economic development and limits international trade, while ongoing political repression raises the likelihood of heightened sanctions and volatile oil markets. Although Iran’s economy relies heavily on natural resources like oil and gas, its energy sector remains plagued by inefciency. According to Taiebnia and Barkhordari of the University of Tehran in Iran (2021), despite the government periodically proposing reforms, these eforts have failed to address policy implementation, institutional obstacles, and external pressures such as international sanctions. Recent studies highlight a trend of “policy dismantling”, where instead of enforcing reform, Iran retreats from its own energy policies, further undermining development and revealing profound structural weaknesses in governance. Prolonged instability could trigger increased refugee fows, the spread of religious extremism, and environmental neglect. Moreover, Iran’s model may embolden similar regimes elsewhere, weakening global commitments to religious freedom, educational equity, and human rights. Left unaddressed, the regime’s unregulated control, especially considering its nuclear ambitions, poses not only a regional threat but a profound and potentially catastrophic risk to global stability.
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Salehi Esfahani, H., & Taheripour, F. (2002). Hidden public expenditures and the economy in Iran. International Journal of Middle East Studies, 34(4), 691–718. https://www.jstor.org/ stable/pdf/3879694.pdf?refreqid=fastly-default%3A22a0c98b8869b88abf18264ed3066610& ab_segments=0%2Fbasic_search_gsv2%2Fcontrol&initiator=&acceptTC=1
Shirazi, F. (2019). Te Veiling Issue in 20th Century Iran in Fashion and Society, Religion, and Government. Religions, 10(8), 461.
Taiebnia, A., & Barkhordari, S. (2021). Te dismantling of reform policies in the Iranian energy sector. Energy Policy, 161, 112749. https://doi.org/10.1016/j.enpol.2021.112749
Takeyh, R. (2009). Guardians of the revolution: Iran and the world in the age of the ayatollahs. Oxford University Press. https://doi.org/10.1093/oso/9780195327847.001.0001
Varzi, R. (2006). Warring souls: youth, media, and martyrdom in post-revolution Iran: Varzi, Roxanne, 1971-: Free Download, Borrow, and Streaming: Internet Archive. Internet Archive. https:// archive.org/details/warringsoulsyout0000varz/page/n5/mode/1up
Whittaker, P. (2011, 04). Te People Reloaded: Te Green Movement and the struggle for Iran’s future. New Internationalist, 42. https://cnu.idm.oclc.org/login?url=https://www.proquest. com/magazines/people-reloaded-green-movement-struggle-irans/docview/1285269999/se-2
About the Author
Jaya Daniel is a senior at Christopher Newport University, majoring in Marketing and Management with a minor in Leadership Studies. She is an All-American student-athlete, Director of Operations for Women in Business, and a member of both the Honors Program and the Presidential Leadership Program. She is enthusiastic about leadership, ethics, and the intersection of politics and religion. In the fall, she will begin pursuing her MBA at Ashland University, where she will also compete as a member of the women’s soccer team. Jaya plans to continue her academic career by earning a Ph.D. in Business Administration while running her business, Pioneer Coaching Network. Her academic and professional interests include social impact, nonproft strategy, and youth mentorship.
Chief Justice John Marshall’s Court and How It Shaped the United States Devereaux E. Davis
Faculty Sponsor: Professor William Mims, Department of Leadership and American Studies
Abstract
Tis paper examines three landmark United States Supreme Court decisions: Marbury v. Madison (1803), McCulloch v. Maryland (1819), and Gibbons v. Ogden (1824). Behind these decisions were brilliant constitutional interpretations by Supreme Court Chief Justice John Marshall. Te importance of this analysis is to understand the constitutional signifcance of these early 19th-century cases. Chief Justice John Marshall’s decisions established an enduring framework for interpreting one of the most important documents in United States history. While Marshall was a Federalist, he established non-partisan decisions that also favored the Jefersonian Republicans to maintain the words and intent of the U.S. Constitution. Since the monumental period of our early republic, historians have debated the grounds of economic or political coercion, misinterpretation, and unclear precedents. However, Chief Justice John Marshall delivered these decisions to ensure that the future of the United States Constitution would fourish, providing the federal branches with a clearer understanding of their balance of power and answering questions of “federalism.”
Introduction
Few people have embodied the description of “great” to have it appear next to their name in history books. However, the Great Chief Justice John Marshall is one of the few to have earned this distinction. His lasting impact on the American experiment we have today forms the basis for his recognition. From 1801 to 1835, the Virginia native ruled on key constitutional issues that addressed signifcant questions such as “judicial review,” “federalism,” and the “commerce clause.” Te issue of constitutional interpretation has been debated since its signing in 1787. Te centuries that followed have led many diferent jurists and historians to express opinions and make decisions on how it should be interpreted. Some historians view Chief Justice John Marshall as the foundation of judicial power, while others argue that many decisions have been made too vaguely. Chief Justice John Marshall’s court, particularly the rulings in Marbury v. Madison (1803), McCulloch v. Maryland (1819), and Gibbons v. Ogden (1824), shaped the interpretation of the U.S. Constitution and its enduring infuence on the country’s legal framework. Despite arguments of federal overreach, political and economic infuence, and dubious judicial precedents, Chief Justice John Marshall’s decisions made a signifcant impact.
Chief Justice John Marshall’s court impacted constitutional interpretation, and few people truly know the importance of many of his decisions. Te view and understanding of how Chief Justice John Marshall’s court has revolutionized constitutional interpretation have not received the credit they deserve. Marshall ruled in favor of Constitutional boundaries, state and federal government lines, and the idea of federalism. It is not that all other historians see it this way, though. While it is important to see the diferent sides of the constitutional debates, it is also important to understand how these decisions changed our Constitutional understanding. While some of Chief Justice John Marshall’s decisions were not made in favor of those who express individual rights or state rights, there still needs to be a greater appreciation for what these decisions have accomplished. Te federal and state boundaries were not explicitly set in our Constitution, so some sort of interpretation was bound to happen. Chief Justice John Marshall’s decisions set these precedents and have allowed our nation to thrive for almost two hundred and ffty years.
To understand the issues between, let us call them, “pro-Marshall” and “anti-Marshall” historians and historical fgures, it is key to look at the start of Tomas Jeferson’s presidency and the early stages of Chief Justice John Marshall’s time on the bench. When Jeferson took ofce, the Jefersonian Republicans and the Federalists had vastly diferent views on federal power and the relationship between the various branches. Te early decades of the Judicial Branch were weak. Te Constitution did not provide much guidance on what powers the Federal judiciary possessed and how it was to exercise its authority to check the other two branches and interpret the Constitution. After Marbury v. Madison (1803), which we will later discuss in more depth, the Judicial Branch established its power of “judicial review” and how it is to check the Executive and Legislative branches of government. Te fact remains that these three important cases cemented the Federalist legacy during a time when the Jefersonian Republicans ruled the federal government. Te anti-Jefersonian development of a more powerful judiciary, along with a stronger Executive Branch, as seen in Marbury v. Madison (1803), allowed for greater federal power overall. Tis immediately became a topic of heated debate. Some historians argue that Chief Justice John Marshall’s rulings were legitimate and made in good faith. Others delve deeper into the notion that his decisions were sound but were based on the wrong cases. Te foundation for these arguments is rooted in Jefersonian sympathizers who believed Marshall’s decisions to be outside the ideological beliefs that alienated him at the time.
Two authors, specifcally Harold J. Plous and Gordon E. Baker, have argued that the case McCulloch v. Maryland (1819) was the wrong vehicle for the court’s decision and that
it had allowed for a very unclear precedent that would leave holes for future constitutional issues, which also dealt with federal supremacy over states.1 Another group of authors, including David S. Schwartz, takes the stand arguing that the court’s decision was too broad a federal understanding and that the decision written by Chief Justice John Marshall in McCulloch v. Maryland (1819), undermined the idea of limited government.2 Michael J. Klarman feels as though Marshall was ruling in favor of political allies, that he was abusing the constitutional interpretation that was set by his own decision in Marbury v. Madison (1803).3 Edward Barrett Jr. viewed the case of Gibbons v. Ogden (1824) as too broad an interpretation of the Interstate Commerce Clause. However, the broad interpretation has been benefcial to constitutional interpretation since. He tips his cap to what Marshall has been able to achieve.4 Another author who supported Marshall was Aditya Bamzai, who felt the Court’s decision delivered for Marbury v. Madison (1803) established the power of Judicial Review. Bamzai goes on to agree that the decision has set a solid foundation for how the Supreme Court has ruled in their cases since.5 Tese are some of the diferent interpretations that historians have taken. It is my opinion that, while some of these seem possible, it is more plausible that Marshall ruled in favor of creating a foundation along with some building blocks for how the newly formed Union would interpret one of its most important founding documents for centuries to come.
Life and Career of John Marshall
Born on September 24, 1755, in Germantown, Virginia, John Marshall grew up with a father who strove toward success and became one of the most successful men in the area. Te education that John Marshall was given was exceptional. He grew up to be focused on his studies and was able to gain a well-nourished education at the school of the Reverend Archibald Campbell, alongside the future president James Monroe.6 He would later be able to gain an education under George Wythe, William & Mary’s frst law professor in the colonies.7 At the time, not many people who got into the legal feld went to a formal law school. Many would gain their knowledge through apprenticeships and self-education. Te formal education in the law would allow Marshall to better understand legal principles and act as an aid in future court decisions.
On February 4, 1801, John Marshall took his oath of ofce to become the new Chief Justice of the United States Supreme Court. He spent many of his frst forty-fve years on this Earth as a state legislator, executive councilor, lawyer, commissioner to France, member of Congress, secretary of state, and Revolutionary War hero. His time as a state delegate would serve as a valuable tool during his tenure on the bench. As one of the delegates from Virginia at the Constitutional Convention, he possessed in-depth knowledge and a comprehensive understanding of the Constitution and its various components.
Marshall had served as President Adams’ secretary of state for the last seven months of his presidency in 1800. Having his hand in the Adams administration seems to be what allowed him to fall in favor with President Adams to install a trusted Federalist into the
1 Harold J. Plous & Gordon E. Baker, “McCulloch v. Maryland: Right Principle, Wrong Case” (Stanford Law Review 9, no. 4, 1957.), 710.
2 David S. Schwartz, “McCulloch v. Maryland and the Incoherence of Enumerationism” (Georgetown Journal of Law & Public Police 19, no. 1, 2021), 25.
3 Michael J. Klarman, “How Great Were the ‘Great’ Marshall Court Decisions?” (Virginia Law Review 87, no. 6, 2001), 1115.
4 Edward F. Barrett Jr., “Gibbons v. Ogden”, (Lincoln Law Review 6, 1932), 1-2.
5 Aditya Bamzai, “Marbury v. Madison and the Concept of Judicial Deference” (Missouri Law Review 81, no. 4, 2016), 1059.
6 Charles F. Hobson, The Great Chief Justice: John Marshall and the Rule of Law, (University Press of Kansas, 1996), 1-2.
7 Hobson, The Great Chief Justice, 2-3.
Supreme Court. At the end of President John Adams’s time in ofce, he issued a series of federal judgeships to the courts. Marshall’s time on the bench also consisted of sitting in on the United States Circuit Courts for Virginia and North Carolina.8 Serving at both levels, federal and state, allowed him to gain frst-hand education and experience in United States law. Tis would allow him to understand ‘federalism’ at a deeper level than most. It was thirty-four years that the ‘great’ chief justice served on the highest court within the country’s legal system. His time was well spent deciding on the trajectory of the nation and our Constitutional understanding.
Political Landscape and Role of the Supreme Court
As the 1800 presidential election ended, the incumbent, John Adams, had lost favor in the eyes of the American people. Tomas Jeferson, a Virginia native, found himself as the president-elect of the highest ofce in the United States, still in its infancy. Jeferson would later evolve his political party to be identifed as “Jefersonian Republicans.”9 Te devastation would not only shake the Federalist supporters of John Adams but would later show the issues of executive, legislative, and judicial problems within the United States. Te Federalist view of government was more so the view that the Federal government should be expanded and the powers under Federal governance could and will be used in a way where the states are inferior to federal law. It was the idea of a more centralized federal government. On the other hand, the “Jefersonian Republicans” were more focused on a divided system of power where the state governments would be able to have more power over their districts and people.
During the late 18th and early 19th centuries, the Supreme Court found itself with a lack of federal powers outlined in the Constitution under Article III. Tere was not much granted to the federal judiciary, which caused many issues of how to interpret what the United States Supreme Court could and could not do.10 In the early years of the Judicial Branch, the Supreme Court functioned as the last level of appeals court decisions. What it will evolve into is a branch that will have the ability of constitutional interpretation and have more rights when checking the balance of power between the branches, in addition to the last level of the court. Te 1800s were a time in which the Supreme Court made some monumental decisions that would change the United States for the better. Te decisions and actions taken by the court, more specifcally, what was written in the decisions, would create guidelines for not only judicial but also executive and legislative powers. What was written in the United States Constitution would be expanded on, interpreted, and given substance through the men who sat on the bench, and more importantly, the chief justice of the Supreme Court from 1801 to 1835.
Marbury v. Madison (1803): Case and Legal Signifcance
On the eve of the incoming Jeferson administration, President John Adams and his administration passed the “Judiciary Act of 1801.” Tis act would reorder the federal judiciary, create new circuit courts, and appoint a list of Federalist Judges. Tese appointments all went through the regular procedures, such as being nominated by the president and being confrmed by the Senate, and the last step was for these appointments to be delivered to the appointees. As Tomas Jeferson took the oath of ofce and secured his role as President of the United States, the “midnight appointments” started to appear. James Madison would be sworn in as Jeferson’s Secretary of State after his predecessor
8 Ibid, 7-8.
9 N/A, “Research Guides: Presidential Election of 1800: A Resource Guide: Introduction,” Introduction - Presidential Election of 1800: A Resource Guide - Research Guides at Library of Congress, accessed April 11, 2025.
10 U. S. Constitution, art. 3.
vacated the seat. Madison would then block the remaining appointments that were never delivered at the discretion of President Jeferson. Amongst those appointments was a man named William Marbury, who had been appointed as a Justice of the Peace for the District of Columbia. Marbury felt as though the President of the United States, John Adams, at the time of his appointment and confrmation, had established his appointment rightfully and that he deserved his position. In trying to compel President Jeferson, a “Jefersonian Republican,” to deliver the “midnight appointments” of these “federalist judges,” Marbury hoped to get the deliverance of his and the others’ appointments. President Jeferson refused to deliver the appointments and told his Secretary of State, Madison, to ensure that these appointments would never be revealed to the public, as they were considered by him as “improper.”11
Following the president’s refusal to deliver, William Marbury petitioned the Supreme Court of the United States, which now consisted of “midnight appointee” John Marshall, to issue a writ of mandamus to the president, forcing him to deliver the rest of the John Adams appointments. A ‘writ of mandamus’ is a legal court order that commands a federal ofcial or body to follow a legal act. It is a judicial power that could order another branch of government to do something, or not do something, because there is a legal requirement for that action. As the weak federal judiciary reviewed this case, John Marshall took this as an opportunity to establish powers for the Judiciary and to create a foundation for the idea of separation of powers. For the Court, if they decided to rule in favor of Marbury, giving power to the Supreme Court to order other federal branches to act according to their writ of mandamus, the decisions would create an earthquake of issues for the future. Tere was also the issue of President Jeferson just ignoring the writ upon its arrival at the White House. Tis would undermine the Judicial powers and solidify the Judicial Branch as weak. On the other hand, if the Supreme Court ruled in favor of James Madison, who was the defendant in this case, then it would also create a ripple efect in judicial powers, asserting the Executive Branch could block earlier executive and congressional approvals.12
In the Supreme Court’s unanimous decision, Chief Justice John Marshall delivered the opinion that while the Executive Branch did not have the power to block previous administration appointments, especially after the Senate’s confrmation, the Judicial Branch did not have Constitutional standing to order a ‘writ of mandamus.’ As well as exercising a legal principle known as ‘judicial restraint,’ Chief Justice John Marshall took a bold stance to decide the legal doctrine of ‘judicial review.’ Te decision that was written by Chief Justice John Marshall acknowledged the fact that William Marbury deserved his appointment as Justice of the Peace, but he highlighted in his decision that he had also come to the Supreme Court improperly. In Section 13 of the Judiciary Act of 1789 it allowed the Supreme Court to hear cases dealing with citizens in ‘original jurisdiction,’ but Marshall understood that this provision was not constitutional. He ruled that the plaintif would have to make its way through the various levels of the court before it came to the United States Supreme Court, something that he did not do in this case. He cited Article III of the Constitution, which stated that the Court has the original jurisdiction “in all cases afecting ambassadors, other public ministers and consuls, and those in which a state shall be party.”13
It is important to analyze this case and the decision delivered by Chief Justice John Marshall. Te Court chose to avoid confrontation with the Jeferson administration while establishing the idea of ‘judicial review’ to assert the power of the Judicial Branch. Marshall expressed his understanding of Federalist Paper 78, which was written by Alexander
11 John Marshall, “Marbury v. Madison” (1803).
12 N/A William Marbury v. James Madison, Secretary of State of the United States. (5 U.S. 137, 1803), 146-147.
13 John Marshall, “Marbury v. Madison” (1803).
Hamilton, which emphasizes the idea that the Federal Judiciary should have the power of ‘judicial review’ over deciding the Constitutionality of actions taken by the government or those within the United States.14 Marshall also understood that under Article II of the Constitution, “[T]he president shall nominate, and, by and with the advice and consent of the Senate, shall appoint ambassadors, other public ministers and consuls, and all other ofcers of the United States, whose appointments are not otherwise provided for.”15
As Chief Justice of a weakly established Judicial Branch, John Marshall understood the importance of this decision. He knew that, however he would rule, there would be pushbacks from both political parties. As a Federalist decision, the Jefersonians were upset with the broadening of Judicial powers. President Jeferson felt that the Supreme Court had impacted the balance of power between the diferent branches of government. Tey believed that the federal government, let alone the Judicial Branch, should be as limited as possible to allow the states to have equal powers. Some even believed that the language in the decision was faux, and that the Constitution did not allow for some of the decisions made.16 Te Federalists, including William Marbury, were disappointed with Marshall’s decision, feeling as though he did not assert the power to issue a writ of mandamus. Tis resulted in allowing President Jeferson to win in his battle against delivering the Federalist appointments.
Despite the criticisms, Marshall made this decision following the Constitution. Article III of the Constitution outlines the powers of the Judicial Branch and gives the federal judiciary the ability to make the fnal decision in legal cases; they are the highest court in the country.17 He established the powers of the federal judiciary that were not explicitly stated. He felt that for the Supreme Court to rule correctly and efectively, it was the government branch that was allowed to decide the Constitutionality of actions taken by the government or citizens. Tis decision was not an easy one, and it would create the foundation for the decisions to come. In asserting that the Supreme Court has the power of Judicial review, it allows the three branches of government to govern with checks and balances most efectively. Te Legislative Branch would write the laws, the Executive Branch would sign and approve the laws, and the Judicial Branch would check and decide if these laws are per the Constitution. Tat is only the surface-level idea of ‘judicial review;’ it goes more into depth to include the fact that the Judicial Branch has the power to decide if any actions taken by other branches of government are constitutional.
Marbury v. Madison (1803): Historical Views
Following the landmark decision in 1803, there have been many historians and political scholars who have had their views on the decision itself. In Aditya Bamzai’s “Marbury v. Madison and the Concept of Judicial Deference,” the focus on judicial deference was important. Bamzai understood the argument made by Chief Justice John Marshall and wanted to know further if there was strong constitutional standing for the decision. Bamzai posed the question, “[d]id Marbury [v. Madison] have anything to say about interpretive technique in the many other pages that Chief Justice Marshall devoted to statutory interpretation?”18 In the eyes of Bamzai, to have a compelling argument for establishing ‘judicial review,’ Marshall would need to explain the exact powers and procedures the Supreme Court would have to go through in deciding the constitutionality of a case. Te author agrees that, yes, the lessons in Marbury v. Madison established the doctrine of judicial
14 Alexander Hamilton, “Federalist No. 78,” The Federalist Papers, 1788, 235–240.
15 U. S. Constitution, art. 2, sec. 2 cl. 2.
16 Melvin I Urofsky. “The Case of the Disappointed Office-Seeker: Marbury v. Madison (1803),” (Supreme Decisions, 1st ed., 2012), 10.
17 U. S. Constitution, art. 3, sec. 2.
18 Bamzai, “Marbury v. Madison and the Concept of Judicial Deference,” 1059.
deference that is strong in legal theory and allows for particularly important decisions to be made. Bamzai highlights the three types of deference: Treatment of executive custom in statutory interpretation, discussion of the “political question” doctrine, and the use of the ministerial/executive distinction under the writ of mandamus.19 Overall, Bamzai understands Marshall’s decision and why he established ‘judicial review.’
Another author with a similar view but who focuses on another part of the decision is Jerry J. Philips. In Philips’ “Revisiting Marbury v Madison,” he marvels over the striking down of Section 13 of the Judiciary Act of 1789. He highlights how Marshall, in striking that down, made a signifcant impact.20 Few people look at this nowadays, argues Philips. He believes that Section 13 was wildly unconstitutional and that this was a part of the decisions that few people had a problem with. Troughout the rest of his short article, he continues to praise Marshall’s assertion of Judicial power, focusing on how he was able to ensure a strong balance of power between the branches of government, as well as having a long-lasting impact that has allowed for the judicial system and our Constitution to survive this long.
Both views on Marbury v. Madison were delivered by twenty-frst-century historians. Te view on ‘judicial review’ at this time has evolved so much and has a repertoire of hundreds of Supreme Court decisions made based on ‘judicial review.’ We have also made it to a point in our country’s history where we understand the important impact that this decision has had on our Constitutional interpretation. Following my stance on Chief Justice John Marshall and the impact that he has made, these two authors reafrm the importance of Marbury v. Madison (1803) and how, without this landmark decision, there would be a very diferent view of the Judicial Branch and the other two branches of government, the Legislative and Executive, may have expanded their powers and ruin the balance of power amongst the three.
McCulloch v. Maryland (1819): Case and Legal Signifcance
Following the War of 1812, the United States wanted to charter a federal bank that would be able to rebuild the nation’s economy. Te First Bank of the United States, created by Alexander Hamilton during his time as the Secretary of the Treasury in the Washington Administration, had lost its charter in 1811 due to the refusal by Congress to recharter it. In 1816, Congress chartered the Second Bank of the United States. Te bill, signed by President James Madison, would charter the bank for twenty years, expiring in 1836, and would aim to bring fnancial stability to the nation. Given that the Second Bank of the United States was created through an act of Congress and was a federal government entity, it had protections that would allow it to have autonomy from state legislative regulations or activities.21
In 1818, two years after the charter of the Second Bank of the United States, Maryland’s legislature passed a law that would impose a ten percent stamp tax on currency issued by the Second Bank of the United States.22 Te bank teller, James W. McCulloch, refused to pay the tax, claiming that the Second Bank of the United States was a part of the federal government. Terefore, the states could not tax it. In response to not paying the tax, the state of Maryland sued McCulloch for $110. McCulloch argued that the federal agency was established constitutionally by the Legislative and Executive branches to fulfll the duties of the federal government and that the state governments cannot interfere with
19 Ibid, 1059.
20 Jerry J. Philips, “Revisiting Marbury v. Madison”, (Tennessee Law Review 71, no. 2, 2004), 313.
21 Raymond Walters. “The Origins of the Second Bank of the United States.” (Journal of Political Economy 53, no. 2, 1945), 116-117.
22 N/A, McCulloch v. The State of Maryland et al. 17 U.S. 316 (4), 318-319.
the actions taken by the federal government that are deemed to be “necessary and proper” under Article I, Section 8 of the Constitution.23
On March 6, 1819, Chief Justice John Marshall delivered the unanimous decision on the case McCulloch v. Maryland. Te Court ruled that Congress had the authority to establish a federal bank and that the federal bank could not be taxed by any governing body. Marshall noted that the Necessary and Proper Clause, which was Article I, Section 8 of the Constitution, allowed the federal government to act in ways that were deemed “necessary and proper” to carry out the duties of the ofce.24 More notably, Marshall expanded the idea of “necessary” to mean “appropriate and legitimate” to allow the federal government to better understand its powers. It is important to realize that while Marshall’s decision established federal powers, it also afrmed that the states still had the right to taxation. Tis is important because it helps reassure some sort of “federalism.”25 Maryland was also held accountable for violating the Supremacy Clause of Article VI of the Constitution which stated, “Te Constitution, and the Laws of the United States which shall be made in Pursuance thereof; and all Treaties made, or which shall be made, under the authority of the United States, shall be the supreme Law of the land.”26
In understanding if the states had the power to challenge the incorporation of a federal bank, Chief Justice John Marshall investigated the parameters that would allow for its establishment. In his decision, he looks to check of some boxes. He highlights that there was a bill that was passed to allow the federal government to charter a national bank. Tis act was not passed “unsuspectedly” or “unobserved.” Members of Congress and the president were aware of what the bill was that allowed the charter, and it was approved by them. Tis bill was debated fairly and still made its way through the legislative process fairly. Marshall does note that the enumerated powers in the Constitution do not say anything about whether the federal government can create a bank; however, nowhere in the Constitution does it exclude incidental or implied powers. Te authors of the Constitution were not able to insert every minute power that the branches of government have, so the implied powers, under the “necessary and proper” clause, allow Congress to charter the bank.
In addition, the power to levy and collect taxes, to borrow money, to regulate commerce, to declare and conduct a war, and to raise and support armies and navies is within the Constitution. To tax, they need to be able to incorporate a national bank to collect the federal taxes. What is admirable about Marshall’s decision is that “the power of creating corporations is one appertaining to sovereignty and is not expressly conferred on Congress. Tis is true. But all legislative powers appertain to sovereignty…Te government which has a right to do an act, and has imposed on it the duty of performing that act, must, according to the dictates of reason, be allowed to select the means…take upon themselves the burden of establishing that exception…”27 Te Constitution does not permit specifc actions, but for the federal government to operate to its best and to fulfll the duties, especially the ability to tax, they must be permitted to incorporate acts or institutions such as banks, that have sovereignty from states.
Te views on this decision were mixed at the time. Te states felt that the Court had suggested the federal government reign supreme over the states, which it technically does. In the article “John Marshall, McCulloch v. Maryland, and the Concept of Constitutional Sovereignty,” by Clyde Ray, the author refers to a state rights activist named William Brockenbrough. Brockenbrough was the party leader in Virginia when the decision passed. He argued that the Constitution “was adopted and brought into existence by the
23 John Marshall, “McCulloch v. Maryland” (1819).
24 U. S. Constitution, art. 1, sec. 8.
25 John Marshall, “McCulloch v. Maryland” (1819).
26 U. S. Constitution, art. 6.
27 John Marshall, “McCulloch v. Maryland” (1819).
states, who had surrendered none of their original sovereignty upon its ratifcation.”28 He continued to argue that Marshall had thrown out the idea of federalism and did not maintain the balance of state and federal power. Marshall made the case that Congress, elected by the people, acted in accordance with the will of the states. Still, Brockenbrough argued more that the states as a whole were the ones who were represented in Congress, not the people, and that the states had the right over the people in Congress because it was their representatives.29 However, there was concern that the concept of federalism was failing, and that the federal government was overstepping its boundaries under the Constitution. Chief Justice John Marshall ruled to protect the rights of the federal government to execute its duties, not necessarily to the best of its abilities, but at least to fulfll its constitutional responsibilities, such as collecting taxes. Tis decision highlights John Marshall’s Federalist views, advocating for a stronger, centralized government. He wrote his decisions and focused on how the Constitution defned certain powers, such as “necessary and proper,” and how the government was going to be able to do its job the best it could. Tere were no underlying factors in his decision.30 Marshall was trying to create a balance between federal and state powers. Not necessarily undermining federalism, but with this decision, there is a good chance that it resulted in federalism issues that he did not plan for.
McCulloch v. Maryland (1819): Historical Views
Tis case had a little more controversy in the years following. First, we look at Sanford Levinson’s “Te Confusing Language of McCulloch v. Maryland: Did Marshall Know What He Was Doing (or Meant)?” Levinson ofers interesting insight into why he thinks that Chief Justice John Marshall’s decision is weak. Te main argument is not that it lacks length and explanation, but that the decision ofered was too long. Te written decision by Marshall is too lengthy and confusing for people to be able to brief. Levinson compares the decision to the courses he teaches and how much time it has allowed his students to be able to thoroughly analyze them. He understands that it is hard to brief a case, and he believes that a decision should not be briefed, as many parts of the Court’s written decision are too important. Te alternative that he ofers for McCulloch v. Maryland is that what Marshall wrote is so unclear, so inconsistent with other parts of his draft, that there is no true constitutional argument.31 As well as unclear, Levinson also argues that Marshall, being a Federalist, used his political views as a sort of lens to look through when writing his decision. Tere is his argument for a debate in his journal that he believes the Constitutional question of “necessary and proper” was put on the back burner when deciding this case.32
In concurrence with Sanford Levinson’s piece on McCulloch v. Maryland, Harold Plous and Gordon Baker argue that the decision reached by the Supreme Court was unclear and not the right case to make its Constitutional standing. In their journal, “McCulloch v. Maryland: Right Principle, Wrong Case,” the authors reference some of the important quotes remembered from this case, such as “the power to tax involves the power to destroy.”33 Te authors focus on how Marshall’s decision was very “generous” in
28 Clyde Ray, “John Marshall, McCulloch v. Maryland, and the Concept of Constitutional Sovereignty.” (Perspectives on Political Science 47, no. 2, 2018), 72.
29 Ray, “John Marshall, McCulloch v. Maryland, and the Concept of Constitutional Sovereignty,” 73.
30 N/A, McCulloch v. The State of Maryland et al. 17 U.S. 316 (4), 331.
31 Sanford Levinson, “The Confusing Language of McCulloch v. Maryland: Did Marshall Really Know What He Was Doing (or Meant)?” (Arkansas Law Review 72, no. 1, 2019), 11.
32 Ibid, 9.
33 Plous & Baker, “McCulloch v. Maryland: Right Principle, Wrong Case,” 710.
its construction of the “necessary and proper” clause. Much of what they feel is that the precedent set was not clear enough. In the matter of economic infuence, Plous and Baker viewed the Second Bank of the United States as a “ruthless and irresponsible institution” that was a giant that was being controlled by a group of private bankers who wanted to turn personal profts.34 Plous and Baker ofer an alternative to this decision. Tey say that even if Marshall stuck with McCulloch v. Maryland, he could have delivered the decision that still afrmed Congressional power to have constitutional authority to create a national bank to tax and handle money. However, if Marshall wanted to maintain that states could not tax the federal institutions, it could be because it would interfere with federal powers. In the end, the Court could have sided with Maryland by arguing that the Second National Bank was not a true federal agency, which means they would not be entitled to the same legal protections, like immunity from state taxes. Plous and Baker feel that Marshall missed afrming some sovereignty to the states by allowing broader legal protections for Congressionally chartered entities.35 Tese authors were twentieth-century progressive thinkers focused on the economic infuences of the Court. A lot of what they are arguing is through the lens that Chief Justice John Marshall was writing his majority opinions based on economic advantages. Tey believe that not only was his precedent unclear, but he was not using Constitutional theory and proper ‘judicial review’ to decide on this case. Tere is not much to agree with here. It is understandable how difcult this decision was, but it is not likely that Marshall had economic priorities on his mind. Tis was a case that wanted to deal with the Necessary and Proper Clause outlined in the Constitution, which wanted to ensure that the federal government was going to be able to execute its powers properly. Te last source to look at when reviewing this case is “McCulloch v. Maryland and the Incoherence of Enumerations” by David Schwartz. Te baseline for Schwartz’s argument is the three major questions asked and answered in McCulloch v. Maryland. Te frst question is, “Can an efectual national government with implied powers be meaningfully limited to a set of enumerated powers?” Te second is, “Can the Tenth Amendment’s concept of reserved state powers be presumptive or meaningfully specifed under a system of implied national powers?” Te fnal being, “Can the state governments meaningfully be called ‘sovereign’ in either of the two distinct senses usually meant?”36 In the end, Schwartz decides that McCulloch v. Maryland decided “no” to all these questions. Te problem that he has with this case is that the case decided on federal supremacy, which made the states “subordinate governments” and destroyed a lot of their powers that would otherwise be granted to them in the Tenth Amendment. Tere was an issue with whether the Tenth Amendment allowed for implied powers for the states that were not outlined in the Constitution for the federal government. Te reserved powers of the state are not to obstruct federal implied powers. Te issue with this is that both the federal and state “implied powers” cannot be defned. Te very nature of the term “implied” is that they are not explicitly written out, but based on other articles within the Constitution, there are still powers that can be interpreted. Schwartz argues that even though the three issues raised earlier were addressed in the case, the issues were never truly settled. Following the decision in 1819, other cases decided by the Supreme Court of the United States did not reference the decision delivered by Marshall. Schwartz points out how the next time the court used the precedent was in United States v. Darby Lumber Co. (1941) 37 He points this out to show how the precedent set was not strong and has caused many courts to misread it since then. He also feels that it was too broad an interpretation of federal powers. He understands Marshall wanting to establish boundaries for federal powers, but he feels that there was too much wrongful
34 Ibid, 719.
35 Ibid, 727-728.
36 Schwartz, “McCulloch v. Maryland and the Incoherence of Enumerationism,” 25.
37 Ibid, 27.
federal expansion in the case, which has posed an issue since, given that even the Court has not wanted to reference it for over one hundred years. Tis is not how Marshall ruled thought. For this paper’s argument, Marshall ruled to ensure that the state was not interfering with interstate commerce and the fow of goods within the United States. In contrast to Schwartz, Marshall ruled properly with his establishment of federal powers that deal with interstate commerce, which did not result in wrongful federal expansion.
Gibbons v. Ogden (1824): Case and Legal Signifcance
In the 1820s, Aaron Ogden was a successful steamboat operator in the New York City waters, operating with a state-granted monopoly. Before his monopoly, the state of New York granted Robert Livingston and Robert Fulton exclusive navigation rights in all waters that were within the jurisdiction of New York. Te monopoly license was for boats that moved by “fre or steam,” which was most boat operations of the time. Following Livingston and Fulton’s monopoly, they passed on to John Livingston and then later to Aaron Ogden. Around the time that Ogden was operating his monopoly, Tomas Gibbons was starting to operate his steamboat business between New Jersey and New York City. Although Gibbons was never given state approval to operate his steamboat, Congress granted him the right to operate. Ogden felt as though Gibbons was encroaching on his monopoly, which he felt was secured due to the approval by the state of New York. In acting, Aaron Ogden sued Tomas Gibbons in New York’s Court of Chancery for operating his steamboat in the New York waters, impeding Ogden’s monopoly.38 Te big question that was brought to the Supreme Court was whether the federal government could intervene in matters such as this.
In the unanimous decision delivered by John Marshall, the Court ruled that Ogden had a Constitutional right to operate his steamboat in the New York waters due to his Congressional approval. Te decision landed on the idea of ‘joint regulation,’ which was that the state and federal legislatures had the legal grounds to regulate commerce between the states, but that if there was federal legislation that ruled on a matter, the state’s prior legislation would be trumped. Marshall referenced the Interstate Commerce Clause, which stated, “Congress shall have the power to regulate commerce with foreign nations, and among the several States, and with the Indian tribes.”39 Te federal Legislative Branch had the legal grounds to regulate any sort of commerce between the states in the Union. Given that the steamboat ship was moving from New Jersey to New York and was moving passengers and goods, there was commerce being conducted between the states. Marshall also highlights how when the Constitution was written, the word ‘commerce’ related to the meaning of ‘navigation’ as well. Tis is a broadened interpretation, but one that includes an action that requires the transport of goods.40
As for the idea of ‘joint regulation,’ Marshall’s decision acknowledges that if commerce is within a state, then the power is reserved to the state itself. Te Tenth Amendment gives the states the right to regulate certain aspects of commerce, even if it is with other states, if the federal government has not already stepped in. Tis is where Marshall is expressing more of a federalism-based view on the matter. He relates it to the taxing power under the Constitution, both the state and Federal governments can do it. One of the parts of his decision that he delivered that is notable is, “It has been said that they were sovereign, were completely independent, and were connected only by a league. Tis is true. But, when these allied sovereigns converted their league into a government, when they converted their Congress of Ambassadors, deputed to deliberate on their common concerns and to recommend measures of general utility, into a Legislature, empowered to enact laws on
38 John Marshall, “Gibbons v. Ogden”, (1824).
39 John Marshall, “Gibbons v. Ogden”, (1824).
40 John Marshall, “Gibbons v. Ogden”, (1824).
the most interesting subjects, the whole character in which the States appear, underwent a change, the extent of which must be determined by a fair consideration of the instrument by which the change was efected.”41
Marshall refers to how, under the Articles of Confederation, all the states were truly sovereign, but that was unsuccessful. When the states decided to enter the Union, they gave their Congressional representatives that act on behalf of their state. Since the acts of Congress are joint decisions between representatives of all the states, any federal decision made in Congress is in the interest of the states. Te states gave up their sovereignty under the Constitution, and one of the conditions they gave up was the right to regulate interstate commerce. Tis is a very well-thought-out argument for why Congress had the right to function as they did. Marshall’s philosophy focused on a stronger federal government to preserve the Union.
He did have a broad interpretation of the Constitution, but this was to adapt to the evolving needs of the nation. Commerce in the years to come would change, and the means would be diferent. You look at now, where we can do so much online. Commerce is always evolving, and Marshall understood that, which is why he focused on making sure there was a broad interpretation of the Interstate Commerce Clause in the Constitution. Another long-term consequence of this decision was that it strengthened the judiciary and asserted its role as the interpreter of the Constitution. Several states at the time felt that they were losing their “state rights.” Interstate commerce has been one of the most debated Constitutional issues in our Supreme Court because of the decision in Gibbons v. Ogden; Marshall has left a long-lasting impact on our judicial powers.42
Gibbons v. Ogden (1824): Historical Views
In Edward Barrett Jr.’s law review named “Gibbons v. Ogden,” he focuses on how the broad interpretation of the Interstate Commerce Clause was good for Constitutional understanding. Te decision ofered allowed for the adaptability of Congressional authority over commerce. In his work, he writes, “Due to the Supreme Court’s broad development of the interstate commerce clause that such powerful economic forces as the railroad have been free to perform their great work of unifcation and nationalization.”43 Te expansion of Congressional authority over interstate commerce not only helped the steamboat industry but also the railroads, which would connect the continental United States and subsequently allow for economic growth. Without the establishment of federal authority over interstate commerce, railroads would be hard to achieve with how much they cross state lines and the diferent regulations that would be set in place by the diferent states. Barrett Jr. notes that the Supreme Court was able to adapt the interpretation of the clause without changing it.44
Tis law review also refects on the time during the Articles of Confederation when issues of commerce were rampant. Some states were imposing tarifs left and right on businesses trying to work between state lines. Tose who were a part of the Constitutional Convention understood this issue and ofered the Commerce Clause as a remedy. Barrett Jr. wanted to emphasize the importance of established interstate commerce power and how Marshall understood the importance that his decision would have on the nation. In line with Marshall’s unanimous decision, Barrett Jr. wrote, “As a result, the states, now freed from the hampering commercial regulations of English mercantilism, which at least provided some degree of commercial unity, proceeded to regulate their commerce and
41 John Marshall, “Gibbons v. Ogden”, (1824).
42 Blewett H. Lee “Limitations Imposed by the Federal Constitution on the Right of the States to Enact Quarantine Laws. I.” (Harvard Law Review 2, no. 6, 1889), 274–275.
43 Barrett Jr., “Gibbons v. Ogden,” 1.
44 Ibid, 2.
commerce passing through their territories without any regard to the interest of each other or the nation at large.”45 Barrett Jr. agreed that the interpretation that Marshall took was following the Constitution and was able to set a clear understanding of how interstate commerce would be dealt with in future cases.
Tomas Cox was the author who had concurring opinions about this decision, but also saw the repercussions. In his journal, “Contesting Commerce: Gibbons v. Ogden, Steam Power, and Social Change,” he continues the debate of interregional connectivity and its social impacts. His view was on how the decision dismantled the monopolistic commerce practices and allowed competition to grow. With competition comes a reduced fare for customers, allowing the diverse types of steamboat services to grow. Cox’s work can illustrate how the regulatory framework can shape the economic landscape in the United States. Te decisions made by the Court afect people down to their daily lives. Marshall was infuential in this way. Cox wrote, “In 1824, many Americans agreed with Marshall’s views on free trade and federalism. Yet the original meaning of Gibbons v. Ogden, as a broad but popular decision, became subject to interpretation over time. In future decades, temperance workers, trustbusters, social progressives, civil-rights activists, labor activists, and gun-control enthusiasts would invoke Gibbons as a precedent for the regulation, not merely of commerce, but of social issues as well.”46
One of the more interesting points about this case that Cox points out is how there was much Southern retaliation to this decision. At the time of the decision, slavery and the slave trade were still legal in the United States. Te Southerners feared that the precedent set would allow for the federal regulation of the interstate slave trade, which could result in slavery being abolished altogether. Cox also argues that the decision delivered by Marshall had left the issue of concurrent federal and state powers unanswered. Te ambiguous decision could result in many future decisions being made that deal with this issue of concurrent powers. Something interesting that he also points out is how “in the 1930s, New Deal scholars began to depict Gibbons v. Ogden as a harbinger for the rise of the regulatory state.”47
In “Bursting Boilers, Collisions, and Races: Te Devastating Aftermath of the 1824 Landmark Case Gibbons v. Ogden on Steamboat Travel in New York” by Craig A. Landy, we get to look more into the issues that arose following the decision. What is quite ironic is that Landy references an incident that happened on April 22, 1830, which was when a steamboat by the name of Chief Justice Marshall blew its boiler, killing eleven people, and many more were left injured. Landy says that the root cause of this explosion was Chief Justice John Marshall himself in the decision of Gibbons v. Ogden. 48 Many of the regulations that used to be in place for the steamboats were under a microscope because when there was just a monopoly, it was easier to check the vessels. Te problem that Landy points out is that the lack of regulation and being able to check all the diferent businesses and their diferent steamboats is from the fact that Marshall, in his decision, gave too much power back to the federal government, creating a lack of oversight. Not only this, but the allowance of multiple steamboat operations created other issues such as crowding and the slowing down of operations, not only in the New York area but across the country.49 Much of Landy’s arguments are focused on how the growth of the commercial practice was not
45 Ibid, 2.
46 Thomas H. Cox, “Contesting Commerce: Gibbons v. Ogden, Steam Power, and Social Change” (Journal of Supreme Court History 34, no 1., 2009), 57.
47 Ibid, 70.
48 Craig A. Landy, “Bursting Boilers, Collisions, and Races: The Devastating Aftermath of the 1824 Landmark Case Gibbons v. Ogden on Steamboat Travel in New York,” (New York History 100, no. 2, 2019), 269-270.
49 Ibid, 278-279.
good, and that there are sometimes unintended consequences for actions that could never have been accounted for.
Contemporary Perspectives on Marshall’s Court
In understanding how historians and people across history have viewed Chief Justice John Marshall and his decisions made while on the bench, there have been some who have had more general views on his “wrong” decisions. Some of those we will look at are Joseph P. Cotton Jr. and Charles A. Beard, who are both early twentieth-century historians who had a more progressive view of this history. Another one that we look at is Michael J. Klarman, who is a twenty-frst-century historian and has mixed feelings about Marshall and his court decisions.
Joseph P. Cotton Jr. was the editor of the work, Constitutional Decisions of John Marshall
One of the interesting points that Cotton brings up is how Marshall ruled to take a political jab at the Jefersonians with his decision in Marbury v. Madison. With his other decisions, Marshall wanted to favor his political views and those who would beneft from his ruling in one way. Te Court, for most of Marshall’s time as Chief Justice, was Federalist, so the decisions made were out of order with the other branches of government at the time. Cotton argued, “It cannot be denied that such an opinion was highly calculated to infame the Jefersonians, who contended that Congress, not the Supreme Court of Federalists, had the right to decide the constitutionality of its laws.”50
In the issue of Congressional powers, Cotton wrote, “Te actual decision then was against Marbury, and more, this frst opinion limited and restrained the Supreme Court from exercising the power Congress had granted to it.”51 He argues that Marshall ruled in a way to undermine the powers that Congress had given the Supreme Court. He felt that this was a way to set a precedent for future Supreme Court decisions to be made that would take away Congressional powers. Tere was some sort of political upset that Marshall was hoping to establish as a way of giving the Supreme Court more power than it should have. Cotton’s view on Marshall is very centered around the fact that Marshall ruled for political powers, which Cotton feels were not in line with the Constitution.52 It is an interesting point that he makes when he talks about the major diference between the branches of government at the time, but it is unsure if it would make sense, given that Marshall still ruled that he could not issue a ‘writ of mandamus,’ ordering the president or any other branch, to do something. Te decision was focused on the idea of ‘judicial review,’ which, for the other two branches of government to stay in line through checks and balances, the Judicial Branch should have this power.
Charles A. Beard, in his work, Supreme Court and Its Constitution, takes a similar early twentieth-century progressive view on Marshall. Beard felt that the decisions made by Marshall’s court were more focused on the economic elites of the time, and that the political climate also played a part. He focused on the framers of the Constitution. He says, “It certainly is incumbent upon those who say that judicial control was not within the purpose of the men who framed and enacted the federal Constitution to bring forward positive evidence, not arguments resting upon silence.”53 He is arguing that Marshall did not care about the true intentions of the Constitution. It is argued that he did not have as much of a textualist view of the Constitution, but rather wrote his decisions for the cases, especially Marbury v. Madison, to allow for the federal Judiciary to have more power. He believes that by allowing the Judicial Branch the ability to decide Constitutionality, you
50 Joseph P. Cotton Jr., Constitutional Decisions of John Marshall, (London, G. P. Putnam’s Sons, 1905), 5.
51 Ibid, 5.
52 Ibid, 3-6.
53 Charles A. Beard, Supreme Court and the Constitution, (MacMillian Co, 1912), 126.
are giving them the most powerful ability in the federal government. Beard also worried that the other cases were focused on economic endeavors and that to grow some people’s economic pockets (or drain others), there could be more federal overreach into some legal matters that Beard believes should have stayed state matters.54 It is understandable where Beard comes from, but it is hard to see the evidence that Marshall wanted to have judicial control over many matters that should be left to other branches. Tis work was written over one hundred years ago, so the insight that we have now and the dozens of infuential cases that have come to the chambers of the Supreme Court since this was published are just too much to convince me that there was a thirst for economic and political power.
Te fnal opponent that we are looking at is Michael J. Klarman. In his article, “How Great Were the ‘Great’ Marshall Court Decisions?” Tere is the argument that the focus was more on favoring the elites of the time, but that these cases were still infuential. Klarman’s focal point is that there was much more complexity to the decision written by Marshall. He acknowledges the impact that these cases had, and while it was benefcial in some cases, it has created many issues for others. Klarman looks at Marbury v. Madison, McCulloch v. Maryland, and Gibbons v. Ogden, which clarifes his argument for this paper. Regarding Marbury v. Madison, he writes that the idea of “establishing judicial review” is wrong and that Marshall could not have done that since the power was already widely accepted in the United States. He says that during the 1790s, the idea of allowing the Judicial Branch to practice judicial review was no longer a big deal. Tere were some issues during the Constitutional Convention in 1787, but by the time the 1790s hit, people were accepting this implied power. Klarman wrote, “In 1792, in Hayburn’s Case, all of the Supreme Court Justices, sitting on the circuit, plainly assumed that they had the power to strike down the federal pension statute at issue, and at least two of the Justices did invalidate the law.”55 Klarman also says that even if the practice was not widely accepted, he is skeptical of the reasoning that Marshall used. Marshall ruled that the Supreme Court had the right of judicial review due to “both the text and the nature of a written constitution, but neither set of contentions would convince anyone who needed convincing.”56
Klarman’s view this time in the Supreme Court is that Marshall ruled by delivering confusing decisions. Regarding McCulloch v. Maryland, Klarman feels as though Marshall was ruling to allow Congress to have more ambiguous powers. Te idea is that if the federal government ruled in line with something being “necessary” or “proper,” the Constitution allows it. He sees this as a big issue because it allows for the federal powers to be expanded without much detail or precedent in the actual Constitution.57 Tis is a compelling argument, but the issue that can be made with this is that Marshall wanted to set ground rules and something that was clearer. It is more likely that with Marbury v. Madison, he wanted to be clear that there were judicial review powers that the Supreme Court was allowed. Te biggest issue that Klarman has is that it was not exactly the “frst” time that that power was used. It is understandable to see how Marshall wanted to establish an understanding of the Necessary and Proper Clause while allowing the federal government to execute its powers. It can be hard for them to do what they need to if there is state overstepping, but clearing the air on how the Necessary and Proper Clause works allows for future issues of state and federal battles to be decided much more easily and clearly.
Conclusion
Revisiting the point of this paper, we analyzed how Chief Justice John Marshall’s court, particularly the rulings in Marbury v. Madison (1803), McCulloch v. Maryland (1819),
54 Ibid, 119-126.
55 Klarman, “How Great Were the ‘Great’ Marshall Court Decisions?” 1115.
56 Ibid, 1117.
57 Ibid, 1126.
and Gibbons v. Ogden (1824), shaped the interpretation of the U.S. Constitution and its enduring infuence on the country’s legal framework. Despite arguments of federal overreach, political and economic infuence, and wrong judicial precedents, Chief Justice John Marshall’s decisions made an impact. Many of these historians, throughout the last century, have had arguments that center around confusing decisions, economic favoring, political powers, and political party undermining. Te reality of this issue is that Chief Justice John Marshall was focused on establishing the Judicial Branch as a strong and equal branch of government. He felt that the Constitution did not yet have clear powers for this branch and that it was benefcial for the future Court to use the landmark cases as ways to establish federal powers that are at the baseline for most cases that we deal with today. Most cases that have defned our liberties and rights as states and as citizens should give their praise and thanks to Marshall’s decisions.
Marbury v. Madison (1803) was the frst brick in the “Judicial Branch” wall of power. Tis was what opened the door to the other two cases. McCulloch v. Maryland (1819) was a case that used the idea of ‘judicial review’ established in Marbury v. Madison to decide on the idea that the federal government has the power to establish entities under it to execute their powers granted by the Constitution. Tis was a braver decision that Marshall made, as it showed that the Supreme Court was going to interpret and translate the intentions of the Constitution, even if they were not clear. Finally, Gibbons v. Ogden (1824) was a case that exposed the importance of how some of the rights that are in the Constitution overstep into rights that some people might have thought were granted to the states in the Tenth Amendment. Te establishment of how some rights are concurrent shows how Marshall used both precedents set in Marbury v. Madison and McCulloch v. Maryland to deliver a case that gives a descriptive understanding of the idea of federalism.
In the end, Marshall’s decisions were very infuential. Some compelling counterarguments were made prior. Te issue is that with these building blocks of federal powers, the government and nation can now fourish and operate in a way that is focused on the rights and liberties of citizens. Marshall wrote these unanimous decisions to ensure that the Constitution could be interpreted and would continue to be viewed as a powerful document that grants the federal and state governments certain rights but also allows the two to be able to rule without overstepping into each other’s domains. Without these decisions, many issues can arise in future cases, which, in the wrong justices’ hands, could result in many Constitutional issues. Chief Justice John Marshall made the most important decisions and the hardest decisions that enforced what the Constitution stood for, and this is the reason that the Constitution has been able to withstand the changing times since its signing in 1787.
Primary Sources:
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About the Author
Devereaux Davis, born and raised in the small town of Lovettsville, Virginia, is set to graduate from Christopher Newport University in December 2025. He is pursuing a double major in History and American Studies, with a concentration in Constitutional Studies, alongside a minor in Leadership Studies. Devereaux is also a member of the law honor society, Phi Alpha Delta. His involvement in the President’s Leadership Program inspired him to study abroad in Europe during the summer following his sophomore year in 2024. Tis study abroad program, which emphasized Cross-Cultural Leadership, allowed him to explore and learn in the Netherlands, Belgium, France, Luxembourg, Switzerland, and Germany. Trough this experience, he gained valuable insights into the governmental and social dynamics of nations both within and outside the European Union. Following his graduation from Christopher Newport University, Devereaux intends to pursue a career in constitutional law by attending law school.
Te Human Cost of Conservation: Native People’s Displacement in the Name of Environmental Protection
Summer Duba
Faculty Sponsor: Dr. Jay Paul, Honors Program
Abstract
While land conservation and protection eforts are generally lauded for their environmental achievements, they have historically overlooked the rights and roles of Native Peoples, the inherent stewards of the land. Te global displacement of Native communities to make way for conservation areas frequently triggers broader social and infrastructural challenges, including overcrowding, strained public resources, and heightened social tensions in receiving areas. Moreover, the forced removal of Native Peoples threatens the survival of traditional ecological knowledge and languages, representing a profound cultural and scientifc loss. Such knowledge, deeply adapted to local ecosystems, holds critical value for global biodiversity preservation yet remains underutilized. As international awareness grows, global policies are increasingly emphasizing Native Peoples’ rights and sovereignty. Te future of conservation depends on embracing Native leadership and knowledge systems, and fostering partnerships that protect both biodiversity and cultural heritage.
Flames twisted and leaped at the sky, raking their hot, angry fngers toward the sheer granite peaks framing the valley. Te Merced River wound its way along the meadow at the valley foor, beat at by stray tongues of fre, but calm and pristine, nonetheless. Te stench of burning wood flled the air as logs popped and crackled and broke apart into ash where homes had stood only hours earlier. Everything in the village was burning. Every building, each store of acorns carefully plucked to get through the last dregs of winter. Ash. Te village’s inhabitants knew this was coming–they had escaped the night before. Only an old woman, too frail to scale the steep faces of the valley, was left behind. Lafayette Bunnell, a 27-year-old physician-turned-soldier, found her huddled underneath a large rock in the meadow, a small fre dying in front of her. Bunnell was perhaps the only soldier there with a modicum of understanding, if not respect, for the valley and its people. He stood with the woman, and they watched the village turn to dust together.
Introduction
While intended to protect biodiversity, conservation eforts have historically displaced Native Peoples from their ancestral lands and excluded them from environmental management. Pronounced respect for Native communities in conservation practices and recognition of their rights and knowledge is essential for sustainable land stewardship, particularly as land conserved by Native Peoples may have equal or even richer biodiversity than land conserved by non-Native entities (Schuster et al., 2019).
We perceive the natural parks of the world to have an overwhelmingly positive impact; they preserve biodiversity and often allow the public to engage with nature. However, their history is much more sinister. Over half of the conserved land worldwide, including natural parks, protected areas, and wildlife reserves, were occupied by Native Peoples or integral to their culture and survival (Dowie, 2011). Tis number rises to 80% in the Americas (Dowie, 2011).
Te practice of displacing Native Peoples from their ancestral homelands for the creation of ecologically conserved areas traces back to the origins of European colonialism. Te frst displacement of Native Peoples for the creation of a natural park occurred in California’s Sierra Nevada mountains in 1851: Yosemite (Godfrey, 1948). Te Yosemite model gained traction in Australia, Canada, New Zealand, Africa, and Central and South America as its ‘success’ was realized. Using this model, ruling classes expelled Native Peoples from their homelands and frequently relegated them to the lowest levels of society, regardless of the country they ended up in, because the ruling classes considered Native Peoples a diferent ethnicity(Agrawal & Redford, 2009). For example, the Indian government expelled the Adivasi people from their ancestral lands to create a tiger reserve; a frequent government target of racism and marginalization, the Adivasi people possess no legal recourse against this injustice as they lack papers and are essentially stateless (Survival International, 2024).
For this paper, I will refer to people or groups of people with a cultural or historical tie to a region or area as Native Peoples, using specifc tribal names wherever possible and appropriate (Baker et al., 2021; National Museum of the American Indian, n.d.).
History of the Conservation Movement
Before the frst Native Peoples experienced land deprivation, the conservation movement had to develop in Europe and spread amongst European colonizers. Te European colonists strongly believed that God gave them the Earth and the natural environment (Kline, 2022). Tey followed the idea of Manifest Destiny, in that the land was theirs to claim and manipulate to serve their own needs and that there was a superabundance of resources upon the land whose primary purpose was to support them and their progress (Kline, 2022). As a result, the European colonists destroyed much of the natural land and its
inhabitants. For example, their excessive killing of Bison for sport drove the species nearly to extinction and removed a vital resource for Native Peoples (Clark, 2023).
In response to European colonists’ destructive and often wasteful actions, the Transcendentalist movement emerged, in which one believes that nature has intrinsic value (outside of a sole purpose to serve humans) and that God speaks through nature (Kline, 2022). Te two preeminent transcendentalists were Toreau and Emerson, who perceived a divinity in nature and wrote about the spiritual benefts of experiencing nature. Emerson was the more abstract of the two, with a greater focus on spirituality than Toreau, as refected in his thoughtful and philosophical writings. He described the harmony between humans and nature, reducing the European colonists’ fear of the unknown about the ‘wild’ natural lands (Emerson, 1836).
On the other hand, Toreau emphasized his own lived, concrete experience, and posits the enlargement and freedom found in nature as a means to connect with the values of his predominantly American audience. Toreau’s Walden described the goal of experiencing nature as self-discovery, refecting the individualistic ideas of Americans (Toreau, 1917).
Trough his experiences in nature, Toreau cultivated a friendship with two members of the Penobscot Nation and even studied the Wampanoag language at Harvard, which helped him see Native Peoples as fellow humans rather than an ‘other’ (Penobscot Nation, 2023). Unfortunately, he was the only transcendentalist of his time to have such a relationship with Native Peoples.
Both Toreau and Emerson inspired John Muir; although a more reluctant leader, he conveyed the romance and philosophy Emerson felt, mixed with Toreau’s practicality, delight, and immersion. Muir wrote with a specifc purpose beyond just conserving all nature; he was passionate about the California Sierra Mountains and wrote for a national audience to convince Americans to protect them. He was an early advocate for preservationism, or protecting land from use. By realistically describing his exploits, Muir appealed to his audience’s self-interest in experiencing the mountains for themselves (Kline, 2022). Muir’s eforts were successful and yielded the expansion of Yosemite National Park and further displacement of the Ahwahneechee Nation towards the end of his life.
Historical Case Study: Yosemite National Park
While Yosemite National Park was ofcially created by Congress in 1890, its history of colonization and displacement of Native Peoples reaches back decades prior (Godfrey, 1948). As the 49ers, seeking gold and other riches, moved Westward in the early 1800s, they encountered the Miwok and Western Shoshone Nations, among others (Godfrey, 1948). One of these gold-seekers was a man named James Savage, ill-tempered and cunning, who had established a trading post on land belonging to the Miwok (Godfrey, 1948). On a frigid, dark December night in 1850, the Miwok destroyed Savage’s small wooden shack – an event that Savage would never forget (National Park Service, 2023). He held tightly to his grudge, and in 1851, when California Governor John McDougal authorized the creation of a militia unit to drive the Miwok from the mountains and to the Fresno Reservation, Savage jumped at the chance to exact his revenge (Godfrey, 1948).
Major Savage, the new leader of the Mariposa Battalion, guided his militia to Bridalveil Meadows on the evening of March 27th, 1851 (Godfrey, 1948). One of his soldiers, young Lafayette Bunnell, describes what the group saw:
Haze hung over the valley that day - light and gossamer, and clouds partially dimmed the higher clifs and mountains…As I looked, a peculiar exalted sensation began to fll my whole being, and I found my eyes in tears with emotion… I had seen the power and glory of a supreme being and the majesty of his handiwork. (Bunnell, 1880, p. 41)
Mountains stretched towards the sky and waterfalls cascaded down their faces toward the Merced River below. In the evening light, the meadow looked like heaven to these men who had previously resided in dusty California mining towns. Te next morning, the Mariposa Battalion descended into the valley. Teir target was a clan of the Miwok: the Ahwahneechee. However, the village they found was empty; all that remained were vacant dwellings, stores of late-winter acorns, and an old woman (Godfrey, 1948). “I am too old to climb the rocks,” she told Bunnell, so she had been left behind (Bunnell, 1880, p. 52). Te Ahwahneechee Chief Tenaya had guided his people to safety during the night, but not permanently. In a ft of anger at their evasion, Savage ordered the entire village burnt. He tells Bunnell:
I haven’t carried a bible since I became a mountain man, Lafayette, but I do remember well enough that Satan entered paradise and did all the mischief he could. I intend to be a bigger devil in this Indian paradise than old Satan ever was. (Bunnell, 1880, p. 57).
Te Battalion moved on, and the Ahwahneechee returned to their village to fnd nothing but ash in their once-beautiful valley, their land stolen (Godfrey, 1948). Later that year, a battle between the Ahwahneechee and the Battalion killed Chief Tenaya’s son, and he decided to surrender for the good of his people. Tey were taken to the Fresno Reservation and forbidden to return to the mountains. As the frst white people to enter the valley, the Mariposa Battalion took it upon themselves to name it. Bunnell suggested that they name it after the Ahwahneechee. However, speaking no Miwok, he believed that they call themselves Yosemite. Yosemite’s true meaning: “Tey are killers” (Dowie, 2011).
Major James Savage’s attitudes towards the Ahwahneechee represented the general tone in America towards Native Peoples at the time. While Savage himself married at least four Ahwahneechee women, he retained no respect for their rights to self-determination (Dowie, 2011). While some people, like Bunnell, viewed the Ahwahneechee as “nature’s landscape gardeners”, they saw them only as the service they provide the land and not as people with a culture and heritage (Dowie, 2011, p. 3). John Muir acknowledged that Native Peoples “hurt the landscape hardly more than the birds and squirrels”, yet unlike Toreau, he perceived them as ‘unclean’ and therefore not genuinely wild (Dowie, 2011, p. 6). Muir wrote that Yosemite is too beautiful and pristine for “such debased fellow beings” and argued for their removal from the land (Dowie, 2011, p. 7). His infuence grew after founding the Sierra Club, and his idea of pristine wildness became pervasive. With the Ahwahneechee of the land, Frederick Law Olmsted, designer of New York’s Central Park, pushed California Senator John Conness to designate Yosemite as an ofcial park. It was signed into law on June 30th, 1864, by Abraham Lincoln, thus creating the Yosemite Grant (Dowie, 2011).
Te Miwok abandoned their last settlement in Yosemite in 1969, and there are no Ahwahneechee people alive today (Dowie, 2011). Tey had sustained the land for thousands of years by cultivating seeds and pruning trees. However, infuential conservationists such as Muir insisted that the Miwok were vagabonds and dangerous to the land (Dowie, 2011).
Te Native Peoples of Yosemite were deliberately excluded from the history of the park at the time and kept out of the imagery of the mountains. Famed photographer Ansel Adams intentionally kept Native Peoples out of his photos of Yosemite, as if they were never there (Dowie, 2011). Te last Yosemite Indian, park ranger Joe Johnson, left in December 1996. His grandfather prophesied that after the last of his nation left, “the walls will come tumbling down” (Dowie, 2011, p. 30). One month later, on January 1st, 1997, the Merced River experienced its worst food in recorded history (Dowie, 2011). Conservationists have applied the Yosemite model globally with the displacement of Native Peoples in the pursuit
of conservation, and modern eforts are often even more destructive and violent (Dowie, 2011). Understanding this frst tragic displacement event is critical to understanding the continuing struggle between Native Peoples and Conservationists globally.
Te Paradox of Conservation and Displacement
Despite their proven record as good stewards of ecosystems, conservation eforts have historically displaced Native Peoples from their ancestral lands (Fletcher et al., 2021). As Dowie (2011) points out, millions of Native Peoples globally are expelled from their land in the interest of oil, timber, and agricultural industries. However, conservation organizations such as the World Wildlife Fund (WWF) and the World Conservation Union (IUCN) are also active in this expulsion process (Dowie, 2011). Te U.S. Wilderness Act of 1964 describes wilderness as land “untrammeled by man, where man himself is a visitor who does not remain”. Te contradiction here is that the land deemed “untouched” is often in its pristine state because of management by Native Peoples. (Dowie, 2011)
We can now recognize the concept of “wilderness” (an untouched, pristine environment) as an inappropriate and dehumanizing construct (Fletcher, 2021). In Old English, the word ‘wildēornes’ signifes to land inhabited only by wild animals, such as wild deer. However, this concept overlooks the profound impact that Native Peoples have on shaping ecosystems. For example, the indigenas in the Amazon domesticated over 80 crops, including peanuts and chili, which signifcantly impacted soils and forests in a manner visible even today (Fletcher, 2021). Tese practices and ecological knowledge have long supported biodiversity and played an integral role in maintaining environments.
Te forced and abrupt removal of Aboriginal peoples from Australia’s Western Deserts in the 1960s exemplifes the importance of native practices. Te Australian government’s actions disrupted Aboriginal stewardship of the ecosystem and ultimately led to uncontrolled wildfres in the region (Fletcher, 2021). Conservation narratives often assume that human presence has a detrimental efect that justifes displacement in the name of biodiversity. However, this reasoning raises ethical concerns and risks undermining conservation eforts, as displaced Native Peoples may respond with actions like poaching, as seen in India (Agrawal & Redford, 2009). Once removed from their land, displaced peoples’ situation forces these people to generate a source of income to provide for themselves. Tey will overhunt the previously inhabited areas to feed themselves and pay for their lives outside of the protected area. As Schrijver (2010) notes, although the UN Declaration on the Rights of Indigenous Peoples calls for consent before relocation, there is little recourse for Native Peoples if organizations violate their rights. Tese examples emphasize the tension between global conservation goals and the essential recognition of Native Peoples’ ecological knowledge and stewardship, which will not improve without stronger legal protections.
Modern Case Study: Te Adivasi
A poignant modern example of community displacement in the name of conservation is occurring in Karnataka, India (PBS, 2023). Tousands of Adivasi people are facing eviction from their homes to facilitate the creation of a tiger reserve in the area. Te Indian government describes this expulsion as voluntary by the Adivasi, and necessary to protect the forest ecosystem from humans. A more accurate motivation for the government to remove these people is pursuing a new ecotourism industry to proft of the tiger’s presence in a way that is impossible with the Adivasi present (Survival International, 2024). A Baiga Tribe member, a subsect of the Adivasi people, questioned: “How could we harm the forest? We’re the ones that save the forest. As long as we are here, the forest will be fne. We are the defenders of the forest. If we leave, who will protect the forest?” (Survival International, 2024, p. 1).
Citing the Adivasi people as harmful to the tigers and reporting that they have agreed to their relocation allows the Indian government to claim the land under the provisions of the Forest Rights Act. However, these claims have repeatedly been proven false (Survival International, 2024). As many Adivasi people do not have ofcial documentation, they become easy targets for the government to subjugate, as they are essentially stateless and unable to formally engage with the legal system in a meaningful way (PBS, 2023). Furthermore, Adivasi people are frequent targets of racist attacks by park ofcials and excluded by the societies that they fnd themselves in without any sort of introduction (Survival International, 2024).
Te Consequences of Displacement
Te long-term consequences of displacing Native Peoples extend beyond their immediate removal from the land. Te International Forum on Indigenous Mapping cites conservation as the biggest threat to Native Peoples’ territories (Dowie, 2011). Tere is a lack of information from conservation organizations on the people they have displaced (Agrawal, & Redford, 2009). Tis issue disproportionately impacts already disadvantaged people, as society often views Native Peoples as ‘others’, and displacing organizations do not give them the tools or skills to provide for themselves outside of their land (Agrawal, & Redford, 2009). Te lack of transparency by governmental and conservation organizations in the number of people forcibly displaced, further obfuscates the impact conservation organizations create amongst people already marginalized by society. Furthermore, isolated groups of Native Peoples may lack exposure to illnesses more common in crowded areas and may be particularly vulnerable. Tese isolated communities can face unique health risks when forced to integrate into more populous environments, where exposure to unfamiliar pathogens can lead to higher incidences of illness (Brittain et al., 2021). Tis problem has historical precedent, as previously isolated Native communities encountered deadly diseases upon contact with settlers (Luthy, 2023). Today, similar health vulnerabilities arise when groups are relocated without adequate healthcare planning, highlighting a critical gap in conservation displacement policies.
Removing Indigenous peoples from their land not only harms their communities but can also disrupt the ecosystems they have managed for generations. As Fletcher et al. (2021) points out, the removal of Aboriginal peoples from Australia’s Western Deserts led to uncontrolled wildfres, as they were no longer managing the land in their traditional methods of controlled burns. In modern times, there are a variety of projects aiming to integrate Native Peoples with their ancestral land. However, these groups historically view Native Peoples as a species to be conserved in the interest of science rather than for their inherent value as humans and rights to their land. An early example is when the Netherlands Committee for International Nature Conservation included ‘natural peoples’ with orangutans and orchids as protected species in 1938 (Sysling, 2015). Swiss zoologist Paul Sarasin advocated for the protection of Naturvӧlker (“natural peoples”) in 1913 for his scientifc interest in evolutionary origin, promoting enclosed conservation wherein people would be confned to their land and observed (DeBont, 2015). Viewed as an anthropological and biological fascination, anthropologists see Native Peoples as “lower on the evolutionary ladder” than colonizing groups of people (Sysling, 2015). Te Albert National Park, established in Belgian Congo in 1925, allowed Rwandophone peoples (called ‘Pygmies’) to retain their land within the park (DeBont, 2015). However, the Rwandophone peoples only remained on the land because the park viewed their community as a part of nature, not because of their inherent rights to the region. Unfortunately, the Rwandophone people in the park did not live up to the image of the ‘noble savage’ that anthropological tourism placed upon them, and park authorities removed them from the park in the late 1930s.
Another common perspective views Native Peoples as a resource with almost magical knowledge of the Earth and its cultivation (DeBont, 2015). Tis perspective is also dehumanizing, as it represents Native Peoples as nothing more than a “romantic cliche”, without acknowledging their actual culture and ecological techniques (DeBont, 2015, p. 215). Lafayette Bunnell of the Mariposa Battalion also held this point of view; he wrote at length about the Ahwahneechee peoples’ interactions with their environment, but very little about their culture and values as humans (Bunnell, 1880).
Solutions
We must hear Native Peoples’ voices (Fletcher, 2021). Listening and responding to Native Peoples must occur in both existing parks and parks in the initial stages of creation.
In places with pre-established parks, we need to support and recognize Indigenous and Community Conserved Areas (ICCAs), such as the prosperous areas maintained by the Tanabag Batak tribe in the Philippines. Native Peoples work with parks to maintain their ancestral lands in ICCA arrangements (Fletcher, 2021). In some U.S. national parks, park management seeks to re-engage Native Nations, allowing for the revival of traditional practices such as controlled burns, bison reintroduction, and cultural ceremonies. Yellowstone and Glacier National Parks have implemented co-management policies with Native nations to acknowledge their historical connection to the land (National Park Service, 2023). Te Canadian federal government has begun to support Indigenous-led conservation initiatives, where Native nations manage and protect biodiversity within their ancestral territories. Examples include the Taidene Nëné National Park Reserve, comanaged by Native groups and government authorities (Parks Canada, 2022). In Australia, the Martu people, forcibly removed from their native lands in the 60s, returned in the 80s and reinstated their traditional controlled burns (Klein, 2019). Tis practice triggered a dramatic change in the landscape as overpopulated species began to return to healthy population sizes and biodiversity increased (Klein, 2019).
When a government or other non-native organization creates a new park, their priority must be to avoid displacement whenever possible (Agrawal & Redford, 2009). When this is not feasible, organizations must create voluntary agreements to move with Native Peoples, provide compensation packages for those displaced, and include the voices of displaced people in their discussions (Agrawal & Redford, 2009). To address the removal of people from their homelands, we should frst consider the ethical consequences of such action, followed by the fnancial resources and political feasibility of such a project (Agrawal & Redford, 2009). Park rangers and interpreters must include the entire history of the land they are working on, not just their cherry-picked version of it. Conservation roles, such as those park rangers and interpreters fll, increasingly require training that includes Native Peoples’ histories and perspectives in presentations to the public (Luthy, 2023). Tis approach challenges our traditional Western ideas of historical interpretation, which often minimizes Indigenous contributions and erased histories of displacement. Including Native Peoples’ perspectives can build trust and foster respectful, mutually benefcial relationships with local communities
Native Nations have also leveraged the creation of parks on their own terms to preemptively act against governmental claims on their land (West et al., 2008). In Colorado, the Ute Nation established the Ute Mountain Tribal Park, which comprises an all-native staf of rangers and interpreters utterly independent of the U.S. National Park Service (West et al., 2008). In Panama, the native Kuna community created the Kuna Park for a similar purpose. Te Kuna people now utilize their protected areas for ecotourism to generate an income to support their eforts in conservation (West et al., 2008). Tis structure is the optimal model for lands targeted for conservation, as Native Peoples can
retain authority and self-determination over their land and protect the target ecosystem. Parks such as those created by the Ute Nation and Kuna community demonstrate the efectiveness of Native-run systems without the dire consequences of displacement.
Mindful Engagement
Organizations seeking to engage Native Peoples in conservation eforts have an ethical obligation to avoid creating added responsibilities or burdens amongst those groups. Many displaced Nations and communities have already experienced trauma associated with their expulsion from the land. Tey may not be inclined to partake in eforts that they view as contrary to their community’s historical interests or culture. Tis issue must be addressed according to the preferences and processes of each Native community to respect their sovereignty and acknowledge past harms (National Museum of the American Indian). Furthermore, conservationists attempting to engage with Native communities must do their own research on the history, culture, and current eforts of those groups, without expecting Native Peoples to have to spend the emotional labor to educate them (Native Governance Center, 2024). For example, in Nations in North America, reciprocity is highly valued and essential in exchanges (Native Governance Center, 2024). Tobacco, medicines, or another form of ofering demonstrate respect for the knowledge and time given by Native Peoples during these types of partnerships. Finally, if a Native Nation or community does not want to participate in conservation eforts, their decision must be respected.
Conclusions & Implications
While conservation has noble goals, we must reconcile it with the fact that the original stewards of the land are Native Peoples. Furthermore, the displacement of Native Peoples has broader impacts that reach far beyond their immediate scope. Once displaced, native groups of people need somewhere to go - it may be into already crowded places that do not have the infrastructure to support them. Forced relocation into urban or populated rural areas often increases the pressure on already overstretched resources, such as housing, healthcare, and sanitation infrastructure (Brittain et al., 2021). Overcrowding from displacement can overwhelm local governments and exacerbate social tensions, further impacting Native People’s well-being and survival. Displacement without considering infrastructure readiness can destabilize Native communities and the non-Native communities near them (Luthy, 2023).
Additionally, the expulsion of Native Peoples from their ancestral lands threatens traditional ecological knowledge and languages. Te loss of these knowledge systems is detrimental not only to Native Peoples’ culture but also to global conservation. Biologists often concern themselves with looking to the future and discovering new methods of cultivation and preservation. Techniques historically practiced by Native Peoples that are extremely well-suited to specifc habitats and of high scientifc value are often overlooked. Language and knowledge loss thus further isolate Native communities and impede cultural continuity and scientifc knowledge (Brittain et al., 2021).
Global policies are evolving as international awareness of the human rights implications of conservation displacement increases. Te United Nations and other international bodies have begun to emphasize the rights of Native Peoples and acknowledge their vulnerable position (Luthy, 2023). Tese policy shifts aim to promote Native Peoples’ sovereignty and may require governments and other conservation organizations to reconsider their methods, paving the way for more equitable and inclusive practices. Te future of conservation lies in recognizing the rights of Native communities and working with them to preserve biodiversity in their own way rather than displacing them in the name of wilderness preservation for an environmental protection model that integrates everyone.
Acknowledgements
Tank you to Matthew Shelley, Trible Library Head of Instruction, for assisting me with fnding sources, and to Pip Wong at CNU’s Alice F. Randall Writing Center for feedback on a draft of this paper.
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About the Author
Summer Duba ’25 is a biology major, leadership minor, and full-time nerd with a specialty in measuring fsh bones and trying to make it sound cool. When she’s not analyzing x-rays of slippery sea creatures or presenting her research at fancy conferences, she’s probably racing in triathlons, organizing her Google Drive, or getting a sweet treat. She will begin her PhD in Biology at Washington State University in Fall 2025, advised by Dr. Katherine Corn.
A Continued Commitment to Foundational Democratic Principles? Te International Covenant on Civil and Political Rights and Its Efect on the Right to Vote in Greece
Samuel Ellyson
Faculty Sponsor: Dr. Francesca Parente, Department of Political Science
Abstract
Te right to vote is the most basic democratic principle, enshrined in numerous international treaties, including the International Covenant on Civil and Political Rights (ICCPR). Tis paper examines the extent to which contemporary Greece adheres to its reputation as the birthplace of democracy by looking into whether Greece’s ratifcation of the ICCPR in 1997 afected its commitment to protecting the right to vote. It argues that Greece does adhere to this reputation, considering its dedication to respecting the right to vote before and after ratifcation. I examine both quantitative evidence from the Varieties of Democracy dataset and qualitative evidence from Greece’s reports to the United Nations Human Rights Committee, which monitors the implementation of the ICCPR. I fnd that Greece fully adhered to protecting the right to vote before and after ratifcation of the ICCPR, as universal sufrage has been guaranteed since 1952. Furthermore, the qualitative evidence reveals Greece’s strong commitment to the right to vote through its explicit inclusion of protections for the Roma, a minority group in Greece. My fndings reveal the importance of examining historical contexts to explain commitment and compliance with international human rights law.
Introduction
Greece has a historic reputation as the birthplace of democracy. But to what extent does the contemporary state truly adhere to democratic nature and principles? To answer this question, I look at Greece’s de jure commitment to the right to vote, the most basic democratic principle, under its obligations to the International Covenant on Civil and Political Rights (ICCPR), an international human rights treaty that Greece ratifed in 1997.1 Greece’s commitment to fulflling its historic reputation can be understood by analyzing its commitment to promoting basic democratic principles. I will show that Greece has fulflled its obligations before and after the ratifcation of the ICCPR and ratifed the treaty to cement its adherence to these basic democratic principles, thereby reinforcing its reputation as the birthplace of democracy.
Tis paper proceeds as follows. First, I will identify the universal and regional treaties that contain the right to vote and the ones that Greece has ratifed. Next, I will explain Greece’s ratifcation of the ICCPR in particular. I will then present both quantitative and qualitative evidence to measure Greece’s commitment to protecting the right to vote. Finally, I will explain why Greece has achieved the level of progress that it has. Te last section concludes that Greece fully adheres to the basic democratic principle of the right to vote outlined in the ICCPR, showing a strong commitment to protecting it before and after ratifcation, while also suggesting potential avenues for further research.
Commitment
Sources of Legal Obligation
Tere are twelve core international human rights treaties. Nine are universal, meaning that any state can join, while the other three are regional, open only to states in Europe, the Americas, and Africa, respectively. Eight of these twelve international treaties guarantee the right to vote. Within the universal treaties, the right to vote is guaranteed under Article 5 of the International Convention on the Elimination of Racial Discrimination, Article 25 of the International Covenant on Civil and Political Rights, Article 7 of the Convention on the Elimination of Discrimination Against Women, Article 41 of the International Convention on the Protection of the Rights of All Migrant Workers and Members of Teir Families, and Article 29 of the Convention on the Rights of Persons with Disabilities. Within the regional treaties, the right to vote is guaranteed under Protocol 1, Article 3 of the European Convention on Human Rights; Article 23 of the American Convention on Human Rights; and Article 13 of the African Charter on Human and Peoples’ Rights.
Greece has ratifed fve of the aforementioned treaties. In 1949, Greece ratifed the European Convention on Human Rights. In 1970, it ratifed the International Convention on the Elimination of Racial Discrimination. In 1983, it ratifed the Convention on the Elimination of Discrimination Against Women. In 1997, it ratifed the International Covenant on Civil and Political Rights. Finally, in 2012, Greece ratifed the Convention on the Rights of Persons with Disabilities. For the remainder of this paper, I will focus on Greece’s obligations under the International Covenant on Civil and Political Rights, which is the treaty most closely related to the right to vote, as voting is a political right.
Why commit?
One prominent theory of commitment to international treaties comes from Moravcsik (2000). He argues that states commit to international human rights treaties “when the benefts of reducing future political uncertainty outweigh the ‘sovereignty costs’ of membership” (p. 220). He specifcally insists that newly established democracies will have the strongest support for binding human rights regimes, autocracies will have no support,
1
“De jure” equality refers to equality under the law, while “de facto” equality refers to equality in practice.
and long-established democracies will sometimes support them. He claims that newly established democracies have the strongest support for binding human rights regimes to reduce domestic political uncertainty and “lock in” democratic rule. Autocracies, according to Moravcsik, will not support binding human rights regimes because they do not care about democracy or human rights. He further argues that established democracies sometimes support binding human rights regimes to bolster “democratic peace” in their respective regions, although they are signifcantly less likely to do so than newly established democracies (pp. 228-229). He supports his argument with evidence from the drafting and ratifcation of the European Convention on Human Rights, fnding that newly established democracies were primarily in favor of individual petition and compulsory jurisdiction, the two features of a strong human rights regime, while autocracies and established democracies were not (p. 230-235).2
Another leading theory of commitment comes from Simmons (2009). She argues that states commit to binding human rights regimes depending on “government preferences, domestic governing institutions, and varying incentives for some governments to ratify strategically” (p. 59). She identifes three types of states that ratify human rights treaties: Sincere Ratifers, False Negatives, and Strategic Ratifers. Sincere ratifers are those who value the contents of the treaty, intend to fully comply with it, and want others to ratify it as well. False negatives are those who are committed to human rights in principle, but face barriers to ratifcation in practice. Finally, strategic ratifers are those who ratify to emulate others, avoid criticism, or get a diplomatic reward (p.58).
Simply put, according to Simmons, whether a state ratifes a human rights treaty depends on its commitment to human rights and the existence or lack of barriers to ratifcation. Government preferences, specifcally whether a state has a desire to protect human rights, depend on four characteristics: whether they have a deep historical commitment to democratic governance, are new democracies, have cultural infuence from the Enlightenment, and their ideology of government. She argues that states that have a historic commitment to democracy typically want to ratify human rights treaties because they refect civil and political liberties as well as individual rights. Simmons agrees with Moravcsik in that new democracies care about human rights to complement the rule of law and “lock in” democratic gains. She claims that states with cultural infuences from the Enlightenment have an easier time accepting treaties because of Western cultural ideals and practices and their association with the modern human rights regime. Finally, she argues that states with a governing coalition that leans toward the specifc rights in the treaty are much more likely to ratify (pp. 64-67). Tose states that have any of these characteristics and face no barriers to ratifcation are sincere ratifers.
Domestic governing institutions have a great efect on whether a state will ratify a human rights treaty, specifcally in providing barriers to ratifcation. Tese barriers include legislative veto players, a federalist system of government, and a common-law judicial system. Legislative veto players provide additional hurdles to ratifcation because there are simply more people to say no to ratifcation. Federalism is similar in that subnational units with governing power can resist the implementation of the treaty, which causes signifcant issues for the national government in terms of compliance. Finally, she argues that
2
Individual Petition allows a state’s citizens to refer potential violations of a human rights treaty to an international body with applicable jurisdiction. For example, the right to individual petition in the European system, which Moravcsik (2000) studies, guarantees that individuals can submit complaints to the European Court of Human Rights. Compulsory Jurisdiction means that the state is required to recognize a court’s jurisdiction over a certain matter without being able to opt out. Tese two features are important for a strong human rights regime because they guarantee that the state is open to criticism of its actions and that complaints will be heard by an adjudicative body.
common-law judicial systems provide a barrier because they rely on precedent, allowing judges to have more power in interpreting and making the law, and therefore providing an additional barrier for the national government when it comes to compliance (pp. 67-77).
Tose states that care about human rights practices but face one or more of these barriers are likely to be false negatives.
Finally, Simmons touches on why those states that do not care about human rights practices, namely autocracies, ratify binding human rights treaties. She argues that they ratify for expected benefts, mere uncertainty over the consequences of ratifcation, and short time horizons. Regarding expected benefts, states might seek good press or an improved image at home and abroad and acceptance into organizations that require ratifcation. Uncertainty over the consequences of ratifcation refers to the government underestimating the extent to which the treaty would be enforced. Finally, Simmons argues that short time horizons lead to autocracies ratifying because leaders might not expect to be in ofce when the costs of ratifcation are paid, so they can reap the benefts of ratifcation without paying the costs (pp. 77-80). Tese states that do not care about human rights in principle, but ratify the treaty anyway, would be considered strategic ratifers.
Greece’s ratifcation of the ICCPR
When Greece ratifed the International Covenant on Civil and Political Rights in 1997, its Polity score was 10, with a duration of 22. Polity is a scale that measures a state’s regime type. Te scale ranges from -10 (full autocracy) to 10 (full democracy). Furthermore, the durability score tells us how long the state has been a particular regime type. For example, Greece had been a democracy for 22 years in 1997.
Moravcsik defnes an established democracy as a state that has been at a Polity score of at least 6 for at least 30 years. An autocracy is any state with a Polity score at or below -6. All other states are newly established or weak democracies, i.e., those that are most likely to join binding international human rights treaties. Based on these criteria, Greece would be classifed as a newly established or weak democracy in 1997 because it had a Polity score of 10 and a durability score of 22 at that time.
Terefore, I argue that Greece ratifed the International Covenant on Civil and Political Rights to lock in democratic gains and prevent political backsliding. As evidenced by Greece’s Polity scores since the end of World War II, it has been a relatively unstable democratic state, going from a newly established democracy from 1945 to 1966 and abruptly shifting to a dictatorship from 1967 to 1973, then transitioning back to a newly established democracy in 1974.3 Greece likely ratifed the treaty to cement its status as a democracy by adhering to civil and political rights, those that are characteristic of democratic states, especially the foundational right to vote.
Respect for the right to vote
Quantitative Measurement
Greece’s commitment to the right to vote can be measured in principle using legal documents to determine the share of the population with sufrage. According to Landman (2004), to measure human rights in principle means “as they are laid out in national and international legal documents” (p. 911). Te share of the population with access to sufrage directly relates to the right to vote because it highlights the legal access to that right, the de jure provisions of sufrage. Te larger the share of the population with access to sufrage, the better Greece is at ensuring and protecting the right to vote. Greece’s de jure commitment to the right to vote has data ranging from 1822 to 2023 in the Varieties of Democracy
3 From 1945-1948, Greece had a polity score of 8. From 1949-1966, Greece had a polity score of 4.
From 1967-1973, Greece had a polity score of -7. In 1974, Greece’s polity score was a 1.
dataset. Te measurement is on an interval percentage scale from 0 to 1. A score of 0 represents a lack of electoral provisions passed, 0.5 represents universal male sufrage, and 1 represents universal sufrage (Coppedge, Gerring, Knutsen et al., 2024, p. 51).
In the 10 years before the ratifcation of the International Covenant on Civil and Political Rights in 1997, Greece maintained a score of 1 on the Varieties of Democracy scale. In 1997, Greece maintained a score of 1. In the 10 years after ratifcation, Greece maintained a score of 1. According to the dataset, there was no change in Greece’s commitment to the right to vote after the ratifcation of the International Covenant on Civil and Political Rights; therefore, Greece has maintained a strong commitment to universal sufrage, which was unafected by ratifcation of the ICCPR (Coppedge, Gerring, Knutsen et al., 2024).
Qualitative Measurement
Although Greece has a strong commitment to the right to vote in principle, this does not necessarily indicate the strength of its commitment to the right to vote in practice. To better assess the de facto right to vote in Greece, I will examine evidence from reports to the United Nations Human Rights Committee, which monitors the implementation of the International Covenant on Civil and Political Rights. In its initial 2004 report to the committee, Greece explicitly stated its commitment to protecting the right to vote. When reviewing its performance with Article 25 of the ICCPR (the provision that guarantees the right to vote), Greece stated, “Greek citizens who have reached the age of 18 are granted the right to vote” (UN Human Rights Committee, 2004, p. 162). Te only caveat it laid out is for “Persons under judicial assistance, according to the provisions of the GCC [Greek Civil Code]” and “Persons convicted irrevocably for the commission of certain crimes included in the Penal Code and the Military Penal Code, for the duration of the deprivation” (UN Human Rights Committee, 2004, p. 163).
Progress is acknowledged in the second periodic report to the Human Rights Committee, due in 2009 but reviewed in 2014. Tis report, which responds to the Committee’s concluding observations issued in 2005, explicitly acknowledges the Roma and Greece’s commitment to ensuring them full civil and political rights. Te estimated 265,000 Romani Greeks face stigmatization and marginalization, facing unequal access to housing, education, healthcare, and unemployment benefts; however, there has been some progress towards their situation (Minority Rights Group, 2018). When discussing their commitment to Romani political rights, Greece states that “Greek Roma fully enjoy, by virtue of the Greek Constitution, all civil and political rights, including the right to vote and to stand for election, on an equal footing with other Greek citizens” (UN Human Rights Committee, 2014, p. 5). Greece’s explicit recognition of the protection of the right to vote for a minority group within its borders further highlights its commitment to the right to vote.
Progress on the Right to Vote
Why do states make progress?
Just because states commit to a treaty does not guarantee that progress is made. Tere are various theories on why states make (or do not make) progress. According to Simmons (2009), legal obligations under international human rights treaties are more likely to be adhered to in a state where its citizens have the capacity and desire to mobilize and demand rights that can be monitored and observed reasonably (p. 161). In other words, partial democracies are more likely to adhere to the legal obligations presented, as they most adequately ft this description. Stable democracies likely already provide the rights, while autocracies don’t care about human rights and do not provide the means for their citizens to demand access to them. She comes to this conclusion after an in-depth analysis of countries and their adherence to the International Covenant on Civil and Political Rights, specifcally
studying countries’ commitment to freedom of religion, the right to a fair trial, and the right to life as refected in the abolition of the death penalty (p. 160).
Trough this analysis, she fnds that the International Covenant on Civil and Political Rights improves the freedom of religion in all countries, especially in partially democratic states (p. 177). Additionally, she fnds that the International Covenant on Civil and Political Rights does not improve fairness in all countries, but does improve it in partially democratic states (p. 187). Finally, she fnds that the International Covenant on Civil and Political Rights does not improve death penalty practices by itself, but ratifying the Optional Protocol on the Death Penalty does. Tis is primarily because the death penalty is a very obvious practice; therefore, only countries that are serious about abolition would join the Optional Protocol (pp. 194-198). Overall, from these fndings, she concludes that international treaty commitments have generally made a positive contribution to civil rights practices in many countries throughout the world (p. 201).
Adherence to a treaty may also be afected by regime type in negative ways. HafnerBurton and Tsutsui (2007) study the International Covenant on Civil and Political Rights in autocratic regimes. Tey argue that the reasons for treaty efectiveness that focus on the conditionality of democracy and civil society also do not explain the behavior of repressors, those states that commit human rights violations (pp. 409-410). Teir primary fnding is that repressive or autocratic governments are not likely to reform over the ffteen years post-ratifcation (p. 418). Tey argue that most repressive governments join international human rights treaties for “certain political advantages from membership,” not with plans to reform (p. 414). Tey explain that believing that repressive governments will be socialized or be able to learn better behavior is unrealistic because repression is useful to remain in power (p. 421). Even if some autocratic leaders are prone to reform, they argue that other elites who have a vested interest in maintaining the status quo will prevent the reforms from being enacted (p. 415). In other words, they primarily argue that human rights treaties are not efective in the places where they need to be the most efective, that is, in autocratic and repressive regimes.
Universal Sufrage in Greece
When Greece ratifed the International Covenant on Civil and Political Rights in 1997, it was already fully adhering to the right to vote. Greece had fully adhered to the right in principle since 1952, when it granted universal sufrage (Pantziara, 2003, p. 29). Tere are a variety of reasons why Greece granted universal sufrage when it did, which can be divided into two categories: societal changes and international pressure. First, following the end of World War II in 1945 and the end of the Greek Civil War in 1949, Greece faced many social, economic, and political changes, including an infux of women into the workforce and educational institutions that brought about substantial changes in how society viewed women and their role (Pantziara, 2003, p. 29). Additionally, Greece joined the European Convention on Human Rights in 1949, which contains provisions on the right to vote, substantially changing the pace at which Greece was moving towards modernization (Pantziara, 2003, p. 29). Greece also joined the North Atlantic Treaty Organization (NATO) in 1952, further adhering to a commitment to “Western” values (NATO, 2024).
Te fact that Greece ratifed the ICCPR when it had already fully complied with the right in question further underlines how Greece has continued to live up to its reputation in the contemporary world as the birthplace of democracy. States sometimes ratify treaties where they already abide by the rights in them, as discussed in Simmons (2009), for symbolic or practical reasons, therefore not afecting behavior concerning the enforcement of the right. Nevertheless, joining the treaty has important implications for a state’s de facto protection of a right, as evidenced by Greece’s reports to the Human Rights Committee.
Periodic monitoring helps ensure that a state continues to adhere to its principles and laws.
Conclusion
In studying Greece and its commitment to the right to vote under the International Covenant on Civil and Political Rights, I have found that it contemporarily adheres to its reputation as the birthplace of democracy. Trough the study of both quantitative and qualitative data, it is obvious that Greece has fully maintained its commitment to the right to vote since 1952, when it granted universal sufrage. Considering its governmental unpredictability in the late 20th century, however, Greece ratifed the International Covenant on Civil and Political Rights to fully lock in democratic norms and to prevent political backsliding.
Tis research is important to help understand when and why states fully comply with their obligations under international human rights treaties, thereby translating to the enforcement of human rights throughout the globe. Tis study could be replicated for other states that have ratifed the ICCPR and other international human rights treaties to better understand the variation that exists across diferent regime types or kinds of rights. As authoritarianism is increasingly on the rise around the world, understanding not only commitment but also adherence to democratic principles like the right to vote becomes ever more important.
References
Coppedge, Michael, John Gerring, Carl Henrik Knutsen, et al. 2024. V-Dem Codebook v14. Varieties of Democracy (V-Dem) Project, available at: https://www.v-dem.net/documents/38/ V-Dem_Codebook_v14.pdf. [accessed 7 November 2024].
Hafner-Burton, Emilie M., and Kiyoteru Tsutsui. 2007. “Justice Lost! Te Failure of International Human Rights Law to Matter Where Needed Most.” Journal of Peace Research 44(4): 407-425.
Landman, Todd. 2004. “Measuring Human Rights: Principle, Practice, and Policy.” Human Rights Quarterly 26(4): 906-931.
Minority Rights Group. 2018. “Roma in Greece.” https://minorityrights.org/communities/roma-7/. [accessed 13 May 2025].
Moravcsik, Andrew. 2000. “Te Origins of International Human Rights Regimes: Democratic Delegation in Postwar Europe.” International Organization 54: 217-252.
North Atlantic Treaty Organization (NATO). 2024. “NATO Member Countries.” https://www. nato.int/cps/en/natohq/index.htm.
Pantziara, Nicoletta. 2003. “From Ancient to Modern: Greek Women’s Struggle for Equality.” Social Education 67(1): 28-31.
Simmons, Beth. 2009. Mobilizing for Human Rights. Cambridge University Press.
UN Human Rights Committee, Consideration of Reports Submitted by States Parties Under Article 40 of the Covenant. Initial Report: Greece, 15 April 2004, CCPR/C/GRC/2004/1.
UN Human Rights Committee, Consideration of Reports Submitted by States Parties Under Article 40 of the Covenant. Second Periodic Reports of States Parties Due in 2009: Greece, 26 February 2014, CCPR/C/GRC/2..
About the Author
Samuel (Sam) Ellyson is a member of the Class of 2026, double majoring in Political Science and History and minoring in Human Rights and Confict Resolution. He has served in many roles at Christopher Newport University, including Peer Mentor, Writing Associate, and Crew Leader for the Class of 2028. He primarily serves as the events coordinator for the Reif Center for Human Rights and Confict Resolution, taking on additional responsibilities in the role as needed. Sam is also a Public History Intern for the Pink Triangle Legacies Project, an organization dedicated to making the history of the Nazis’ queer victims publicly available. He is dedicated to research and scholarship, winning an Independent Research Grant from OURCA for the Spring 2025 semester and the Award for Excellence in Undergraduate Scholarship for the College of Social Sciences in 2025. When he graduates, Sam will continue at CNU to pursue his master’s degree in education and teach social studies in hopes of inspiring the next generation of scholars.
Climate and Capital
Rachel Freeman
Faculty Sponsor: Dr. Michelle Barnello, Department of Political Science
Abstract
Tis paper explores the relationship between capitalist models and environmental regulation enforcement, specifcally focusing on greenhouse gas emission mitigation. It argues that the distinction between Anglo/US Capitalism and Rhineland Capitalism infuences the structure of environmental policies in the United States, United Kingdom, Germany, and Switzerland. Te patterns exhibited by each nation depend on the type of capitalism present, which leads to a conclusion about which type of capitalism is best suited for mitigating greenhouse gas emissions in an industrialized world. Trough an analysis of each nation’s environmental attitudes, legislation, and policies, the study concludes that Rhineland Capitalism is more efective in mitigating industrial greenhouse gas emissions due to its long-term orientation and emphasis on future investment. Te analysis also considers counter-arguments related to national size, international infuences, and industrial dependence on emission-heavy resources, ultimately providing insights for nations seeking to balance economic systems with sustainable practices. Te recommendation of this study is for global stakeholders and business leaders to reconsider the culture that should be established for investing in long-term sustainability of economies, natural resources, and global health.
I. Introduction
Te relationship between capitalism and the enforcement of environmental regulations is complex and often marked by conficting priorities. Capitalism in general focuses on proft and efciency, which can drive innovation in sustainable practices, or conversely incentivize environmentally harmful activities when there is minimal regulatory oversight (Movahed, 2016). Capitalist models can difer, though, some incorporating stricter environmental regulations and incentives to promote sustainable practices than others. Tese variations suggest that the impact of capitalism on environmental regulation depends largely on how governance structures, regulatory bodies, and public pressures shape corporate behaviors and market dynamics. As global environmental challenges grow more urgent, understanding how diferent capitalist frameworks infuence environmental policy enforcement is essential for building a sustainable future. To inquire about this relationship, this paper seeks to answer two questions: does the capitalist model of a nation constitute how governments implement and enforce greenhouse gas emissions regulations in industries, and what is the best model moving forward that will allow the most progress in mitigation of climate change induced by industrialization?
Tis paper will examine two diferent types of capitalism, namely US/Anglo Capitalism and Rhineland Capitalism. Te Anglo/US Capitalist model, according to author Gayle Avery, depends on the leading principles of maximizing stock prices, adhering to the interests of shareholders, and contribution to projects that yield more gain than cost (2005, p. 11). She describes Rhineland Capitalism, on the other hand, as focusing more on the “...long term cooperative relationships between diferent parties,” (Avery 2005, p. 17). In other words, the model recognizes humans as mutually dependent on a society in which they make decisions that beneft the whole, extending to environmental responsibilities. Tis diferentiation warrants the argument that Anglo/US Capitalist nations are more likely to have incentivised policies that do not include penalizations for noncompliance, and Rhineland Capitalist nations have strict, legally binding regulations for assurance of progress in greenhouse gas emissions. Rhineland Capitalism is the best model moving forward because it holds industries accountable with external forces, leading them to implement their own progressive policies. Further, long-term investment policies and strategic planning present in this model will decrease greenhouse gas emissions and help mitigate future climate change (Alestra, Gilber, Chouard, and Lecat, 2020).
Moreover, capitalism is the economic framework being discussed in this research paper due to its signifcant presence in the global economy. Capitalism is what drives this age of globalization, the foundations of industrialization, and shapes the social and governance structures of all of the nations being studied. Tis study does not frame an argument for shying away from capitalism itself, as the world as we know it is centered around free market systems, supply and demand, and competition. Instead, it seeks to show how the two types can have diferent impacts on how governments approach environmentalism within their industries that fuel greenhouse gas emissions.
II. Background
Since the beginning of the Industrial Revolution in the early 1900s, humans have been reliant on burning fossil fuels for energy, namely oil and coal. Te average global temperature has risen approximately 1.8 degrees fahrenheit, positively correlating with the rate at which fossil fuels are being expended. Studies show that even when natural factors such as variations in solar output, volcanic eruptions, and fuctuations to the climate system are considered, the observed changes in the Earth’s atmosphere are consistent with the development of human activity (Wolf, Fung, Hoskins, Palmer, Santer, Shepherd, Shine, et. al., 2020). While this does not seem substantial, it is a direct cause of the warming of
oceans, rising sea levels, and increased magnitude of weather events. All of these result from increased concentrations of greenhouse gasses in the atmosphere emitted by human activity, especially over the last fve decades (Wolf, Fung, Hoskins, Palmer, Santer, Shepherd, Shine, et. al., 2020). Trough manufacturing processes, supply chain transportation, and distribution of products, humans have pushed our resources to the limits of exploitation. Corporate greed often prioritizes proft over the regulation of environmental impacts, especially concerning greenhouse gas emissions. As a result, industries may lobby against stricter policies, fund misinformation campaigns, or exploit regulatory loopholes to avoid accountability for their emissions. Tis pursuit of proft can lead to delayed action on climate policies, compromising long-term ecological stability. Many international organizations have been prompted to address the environmental concerns associated with industrialization and corporate greed. In the disconnection between environmental consciousness and pursuit of industrial proft, organizations such as the United Nations, the Intergovernmental Panel on Climate Change (IPCC), and the World Commission on Environment and Development have come forward with recommendations on how to transform leadership and policies that refect collective action in the mitigation of climate change. Tere have been several international attempts to emphasize the global issue of climate change and how it impacts and requires change from all nations. Te Paris Climate Agreement and the annual Conference of the Parties under the United Nations Framework Convention on Climate Change are two opportunities where global leaders connect in light of climate change.
Additionally, the United Nations 17 Sustainable Development Goals (SDGs) are interdisciplinary targets that help global leaders recognize the inner workings of social, economic, and climatic topics that relate to the rights of citizens to a healthy environment. Te IPCC plays its role in comprehensive climate reporting, informing establishments of climate agreements and policies, and highlighting scientifc reasoning for public awareness and mitigation pathways. By providing the science that governments rely on for climate negotiations, the IPCC has signifcantly shaped global responses to climate change. Finally, Our Common Future from the World Commission on Environment and Development describes major changes that are required for consumption and production measures to be sustainable “...in a context of higher global growth,” (1987, p. 67). While this publication is an ambitious call for action from the beginning of the environmental movement, it describes the importance of “...interrelationships between people, resources, environment, and development,” (1987, p. 5). All-in-all, there is a plethora of resources for strategic decision-making and policy reform that would propel global progress in climate change caused by industrial emissions and pollution.
However, some nations are slow to recognize how their noncompliance reinforces a culture that is unsustainable to the survival of future generations. As the climate crisis develops to be one of the most threatening phenomena to human life, global leaders must prioritize the initiation and implementation of mitigation strategies into the corporations and businesses that are the main source of the issue.
III. Exemplifcation of Capitalist Patterns
A. Cases of US/Anglo Capitalist Countries – Te United States
Anglo/US Capitalism is a form of market-driven capitalism primarily associated with the United States and the United Kingdom. It emphasizes free markets, minimal government intervention, shareholder value, and a high level of competition. Tis form of capitalism is associated with traditional frameworks of market-orientation, particularly comparative advantage and individual responsibility for wealth accumulation (Avery, 2005). Te environmental regulations in regards to industrial greenhouse gas emissions in
these two nations should be evaluated with this framework in mind.
Te environmental movement in the United States began in the 1970s, as science and literature on the social, economic, and health impacts of a declining environment would have on the human population evolved. Public and governmental concern skyrocketed between the 70s and the 90s, which also led to the use of climate change as a political platform. President Richard Nixon was a leading political fgurehead in environmental progress in key pieces of legislation like the National Environmental Protection Act (1969) and the creation of the Environmental Protection Agency (EPA) in 1970. Te politicization of climate change quickly highlighted the instrumental role that the government plays in crafting solutions to curtailing issues such as the spread of toxic chemicals, pollution, threats to biodiversity, and more (Vig & Kraft, 1997). Tis is particularly because climate change is bound to be a public issue that cannot be handled privately; leaving mitigation of environmental degradation to the hands of corporations and industries is bound to cause a positive feedback loop, considering the negative impact they’ve already had on climate change. Tere is in fact an extensive tree of national executive agencies with environmental responsibilities in the United States other than the EPA, namely the Council on Environmental Quality, the Department of Agriculture, Department of Energy, Department of Housing and Urban Development, the Department of Health and Human services, and the Nuclear Regulation Commission. Finally, the Clean Air Act (1970) and Clean Water Act (1972) are two of many impactful federal bills that the EPA is responsible for overseeing and enforcing.
With all of the executive agencies that are in charge of ensuring a quality environment in the US, one would expect for the enforcement of environmental policy to be concrete. However, recent presidential history and American politicization of climate change has created an inconsistent timeline in climate regulations. For example, President Obama pledged in this campaign to implement strict environmental policy to decrease emissions, but was instead focused on confict generated with Republicans in Congress that served as an obstacle to that goal (Konisky & Woods, 2016). Rather, when President Trump was elected in 2016, he sought to “...protect America and its citizens…its businesses, its workers, [and] its taxpayers…” by taking the United States out of the Paris Climate Accord (Trump 2017 as cited by Konisky & Woods 2018, p. 345). Tus, most of US environmental policy was left to the hands of the federalist system, unveiling the gridlock of Congress in passing environmental policy and the important role that the states play in moving the needle in the right direction (Konisky & Woods, 2018). Te pendulum swung once again when President Biden signed the Infation Reduction Act into law in 2022, signifying the most progress in environmental policy in decades (Bivens, 2023). However, the environmental provisions set out in this bill were simply based on carrots and not sticks, furthering the status quo of Anglo/US capitalism that incentivises rather than enforces (Bivens, 2023).
Due to the aforementioned role that the states play in making change, that is how enforcement of environmental regulations in the United States will be evaluated. A couple of ways that some states have worked to reduce emissions within their jurisdictions is renewable portfolio standards (RPS) and cap-and-trade programs. RPS requires industries to purchase at least a portion of their utilities from renewable sources, whereas cap-andtrade is a program that afords corporations carbon credits, which they can use or sell to other corporations for a proft. However, the issue that arises in state responsibility of environmental regulations is the race-to-the-bottom or race-to-the-top phenomenons (Bromley-Trujillo & Holoman, 2020). Te former being states that do as little as possible to regulate industries to still avoid violations of the Clean Water or Clean Air Acts, and the latter being states that take initiative with regulations and set national examples for progress. States like Maryland, California, New York, and Colorado have established
strict emissions reduction standards and mandatory reporting mechanisms that efectively involve local governments for implementation (Shields, 2023). While the 16 states that have binding statutory requirements are strict about reporting and fnancially penalizing industries’ violations, pollution from emissions transcend state borders. States like West Virginia that do not heavily regulate coal industries are still contributing to the national GHG emissions levels, and afecting regions that do not have as much impact. All-in-all, the majority of the enforcement strategy present in the United States is based on fnancial disincentive, which is not implemented in all states, and is not always mandatory for all businesses to participate in emissions reporting (Sheilds, 2023). Tis goes to show that in the United States, there is more emphasis on business sovereignty rather than universal environmental responsibility. Furthermore, in July of 2024, the Supreme Court overturned the Chevron Doctrine. Tis gave federal agencies discretion in interpreting cases that had to do with their area of expertise, including the EPA in environmentally-related incidents. Te EPA’s power held in the Chevron Doctrine had impacted industries like manufacturing and energy, especially in limiting greenhouse gas emissions in their operations (Posner, 2024). Tis will have a negative impact on environmental regulation in the future where industries do not have mandatory federal oversight.
B. Te United Kingdom
Since the commencement of Brexit in 2020, the United Kingdom has gone in its own direction with their environmental policy. While the EU has an extensive range of environmental law that applies across the region, the UK implemented its own smaller versions (Horton, 2024). In the UK, several environmental agencies oversee environmental protection, conservation, pollution control, and sustainable resource management. Operating at the national level, these agencies play essential roles in monitoring, regulating, and advising on environmental policies and practices. Te UK adopted the 2021 Environment Act (an updated version from earlier years) that outlines the provisions of climate goals post-Brexit. It includes binding climate action goals, establishes the Ofce of Environmental Protection (OEP), and addresses some of the environmental challenges that the nation faces (Environment Act 2021). Apart from the OEP, the Department for Environment, Food, and Rural Afairs; the Nature Conservancy Council; the Scottish Environmental Protection Agency; and the Northern Ireland Environment Agency are others that oversee aspects of sustainability in the UK. Te 2021 Environment Act also established into law the renewal of the 25 Year Environment Plan every fve years. Tis is a report that specifes the course of action towards “...not just [halting] the decline of nature in our country, but to reverse it,” (UK Prime Minister Hon Rishi Sunak 2023, p. 4).
Te 25 Year Plan specifcally addresses the industry and business sector in the foreseeable future of sustainable development. In the report it states that the UK is committed to supporting agricultural industries and their primary role in the economy, but also acknowledges the importance of taking natural capital into account in consideration of investment into a “Green Finance Strategy.” In that, the UK alludes to the commitment to ensuring that businesses are well equipped to make sustainable choices, like cost recovery services for regulated businesses. Improving the regulatory framework for businesses to achieve net zero is also on the agenda. While there isn’t a clear enforcement mechanism of the net zero goal in the report, the Department of Business, Industry, and Industrial Strategy is researching technology to manage emissions from the agricultural sector (25 Year Environment Plan, 2023). Further, the UK’s 2019 Climate Change Act sets the ultimate goal of 100% reduction in greenhouse gas emissions by 2050 as a result of 5-year capping sequences and carbon budgets (25 Year Environment Plan, 2023).
Texts from the 25 Year Plan, the Environment Act, and the Climate Change Act all state that implementation reporting of progress in the goals is required over periods of
time, but how is the UK actually enforcing these goals? According to the UK Department of Energy and Climate Change report on implementing, interpreting, and monitoring, the enforcement mechanisms for the emissions goals are based on the establishment of an Emissions Limit Duty. Tese are more specifcally enforced on fossil fuels plants themselves, rather than businesses. Reporting limits and annual emissions calculations are carried out by an assigned regulator. Before commencing operations, directors must notify the regulator of what their annual emissions limit is, indicating that it is the directors that set the limit themselves. Tey will then be required to monitor emissions and report the fndings for the Regulator to verify. Te verifcation method is seemingly thorough, as the verifer is specially trained in assessing monitoring methods, data, and calculations on behalf of the director. In the event that emissions verifed exceed the emissions limit that was set at the beginning of the fscal year, there are a couple diferent options for proceeding. If there is an extenuating circumstance for the plant in question during the year that caused their emissions to increase, there is the possibility to appeal and modify the limit. Tis will be at the discretion of the regulator. If the regulator opposes, there is a proportional fnancial penalty procedure as a disincentive for future violations. Te report specifcally mentions that no plant that has exceeded its emissions limit should be left in a better fnancial state than another that has not. Terefore, the approach to fnancial penalties for plants that exceed their allotted emissions levels are proportionately fned based on the revenue created from the excess expenditure of fossil fuels.
C. Cases of Rhineland Capitalist Countries – Switzerland
Rhineland Capitalism is an economic model associated with countries like Germany and Switzerland. It is usually composed of some form of a social market economy, combining free-market principles with strong social protections, collaboration between stakeholders, and long-term economic stability. Governments with this type of economic framework primarily focus on strategic investment, with great emphasis on sustainability practices in their manufacturing and export-driven sectors (Avery, 2005).
Te evolution of Swiss environmental policy is driven by increased awareness of environmental challenges and the need to balance industrial growth with sustainability. Switzerland is a proponent of many diferent intentional markets, and is very reliant on their specialized industry exports for their economy. Terefore, there has been a lot of investment into ensuring the sustainment of those markets. Te traditions-orientation of the nation may also play into the protection of the environment as society aims to preserve it (Clark, 2011). With its incredibly stable economy and very low federal defcit (Clark, 2011), Switzerland has emerged as a global leader in environmental protection through comprehensive legislation and active public participation. Part of the long-term investment aspect of Rhineland Capitalism is the ability of citizens in Switzerland to submit amendment referendums, which are required before any change to the federal constitution is made. Tis is why environmental movements have been included in the constitution, because citizens are able to unify and hold the government accountable for the longevity of the nation’s environment (Clark, 2011). Tis case demonstrates how establishment of economic systems that consider the intrinsic value of the environment, even through an anthropocentric lens, is crucial to its survival.
Switzerland is an interesting case of Rhineland Capitalism. Similarly to the United States, it also operates with the assumption that the cantons’ (equivalent to US states) government, parliament, and courts will uphold federal environmental regulations (Gesley, 2018). In exploration of this structure, it is clear that some of Switzerland’s policies do align with the EU’s, despite not being an ofcial member of the international organization (Gesley, 2018). Even though Switzerland only contributes to about 0.01% of global emissions, it is still committed to lengthy environmental regulations. First, Switzerland
has ratifed several international treaties that have to do with mitigating climate change, such as the 1979 Convention on Long-range Transboundary Air Pollution (CLRTAP); 1993 United Nations Framework Convention on Climate Change (UNFCCC); the 2015 Kyoto Protocol; and the 2017 Paris Agreement. In terms of receiving greenhouse gas emissions in Switzerland, the international frameworks play a large role in what legislation is passed by the Swiss government. Overall, the federal government of Switzerland has a notably forward-looking and engaged public presence, leading to efective federal policies. Environmentally sound energy policy is embedded in an article of the Swiss Constitution. Enabled by the Environmental Protection Act (EPA), the Energy Strategy 2050 seeks to advance Switzerland’s low carbon economy through actionable phases and target goals of 2020, 2035, and 2050.
However, in some places where the emissions reduction policies are studied in Switzerland, it was clear that the goals set for 2020 would not be met. Tus, the CO2 Act that once covered progress from 2013 to 2020 was extended to 2024. Te International Energy Agency lays out a few modes for enforcement of the federal emissions reduction goals are carbon levies, tax exemptions for hydrogen and electric energy, emissions trading systems (ETS), and regulations for vehicle emissions, among others. Carbon levies are similar to the fnancial incentives that the United Kingdom also has in place, except the Swiss government taxes heavily on all carbon emissions, not just in places where an industry ‘opsin,’ such as in the US or UK. Tis levy is proposed to be increased for the 2025-2030 CO2 Act progress amendment, leaning businesses and industries towards the tax exemptions for more sustainable alternative energy sources. Te Swiss ETS is similar to, but difers from the US cap-and-trade program in that the Swiss government chooses the limit under which emissions should be monitored. Te cap on total emissions within a business, and the additional costs associated with exceeding this number, is what prevents over expenditure of fossil fuels. Te allowances in trading emissions credits are also not as fexible, preventing larger emitters from taking advantage of smaller allies. Furthermore, most main emitting industries in Switzerland are subject to these regulations, placing every business on a level emissions playing feld. Finally, the Swiss government has taken emissions a step further in implementing specifc vehicle emissions regulations which have to be considered in their production. Overall, while Switzerland recognizes that sometimes policies may fall short of their goals, it is national participation, implementation, enforcement of those goals that guide change.
D. Germany
Germany has long been a nation leading the climate change debate. Prior to being one of the leading nations in climate policy in the world, it was the most polluting nation in the European region. Te progression of German environmental regulations is attributed to before the fall of the Berlin Wall, when the West made signifcant emphasis on resource degradation and began implementation of guiding principles of remedial action in the 1950s (Raymond, 1998). Further, prioritized climate change mitigation in light of the Chernobyl nuclear power plant incident impacted the perspective of environmental issues in the eyes of then Chancellor Helmut Kohl (Watanabe & Mez, 2004). Under his guidance, the frst regulatory agencies– the Committee for Environment, Nature Conservation, and Nuclear Safety and the Climate Enquête Commission– were established. Tis allowed the government to address precautionary measures to atmospheric and environmental degradation caused by human activity (Watanabe & Mez, 2004). Even with the reunifcation of the East and West in 1989 and the infux of resources that was needed to economically stimulate East Germany, environmental regulations on the new coal and oil industries were still present (Watanabe & Mez, 2004). Germany quickly made international impacts on climate policy by hosting the frst Conference of Parties in Berlin in 1995. Te next
election in 1998 gave rise to new progressive parties in the government who pushed heavily for eco-tax, renewable energy, and energy efciency (Watanabe & Mez, 2004).
Following the strong burst of commitment to climate policy, the German government made amendments to the energy sector law. To make it more competitive in the international energy market, some of the emissions regulators were rolled back. Tis is a classic example of traditional functions of capitalism shining through even in this Rhineland Capitalist model nation. Tis roll back, for example in 1999, included the reduction and exemption of some fossil fuel energy taxes that had a stronghold on reducing emissions. At this point, Germany had also been operating under the 1996 Voluntary Declaration, allowing industries to proactively disclose their own emissions information (Watanabe & Mez, 2004). Tis is also not the hypothesized mode of enforcement by a Rhineland Capitalist model. By 2000 though, the Combined Heat and Power Act that would centralize heat and electricity energy into one fossil fuel-burning plant was proposed (with opposition on behalf of economic and technology afairs ofcials). Te Act was fnally adopted in 2002 after bipartisan debate, furthering the initiative on overall emissions reduction. While there has been some fuctuation in the pendulum of environmental prioritization, action for the future is also included in the Federal German Constitution. As environmental protection is formulated as a backdrop to fundamental rights of Germany, agencies like the Federal Ministry for the Environment, Nature Conversation, Nuclear Safety and Consumer Protection and the German Environmental Agency have been able to thrive.
In order to comply with international agreements like the Kyoto Protocol and the Paris Climate Agreement, Germany has made signifcant strides in its enforcement of environmental legislation. Te Federal Climate Protection Act more specifcally addresses greenhouse gas emissions and is fundamental in providing binding interval emissions reduction goals. First and foremost, industries and businesses are required to gain a permit for their operations if they are to include anything relating to the immediate environment. Additionally, under the Environmental Information Act and the Federal Emission Control Act, an environmental impact assessment may need to be conducted in order to confdently obtain a permit, and several diferent permits could be required depending on the sensitivity of the project (Friedrich-Spieth, Hellermann, Quecke, & Pöhlmann, 2024). In the event of environmental legislation or permit provisions being violated, the perpetrator may be subject to extensive fnes, revocation of the permits, suspension of the facility in which the violation occurred, and even criminal charges. In some cases, even if no environmental impact has actually occurred, a liability criminal charge could still apply (Speith, Hellermann, Quecke, & Pöhlmann, 2024). Moreover, Germany is a major contributor to the EU Emissions Trading Scheme (EUETS), with participating installations in the power, aviation, building, and transportation sectors of emissions (Speith, Hellermann, Quecke, & Pöhlmann, 2024). While Germany evidently has its own emissions reduction goals and strategies, the EUETS ofers a fallback of motivation for the nation in the political landscape of the region.
E. Discussion
As described in the examples of Anglo/US Capitalist nations, a pattern is quite clear. Both the United States and United Kingdom base their enforcement of emissions regulations on fnancial disincentives. Admittedly though, both nations have made decent progress in their climate-related agencies and policies, but their diferent approaches seem to have their own faws. Te United States leaves goal setting and enforcement mechanisms up to the states, which is problematic when considering the polarization of climate change science in recent decades. Due to the United States’ reliance on burning fossil fuels for proft in manufacturing and energy industries, it is not surprising that there are more lenient policies. While the emissions in the US have in fact reduced in general, they are
still depicted as inclining in the carbon emissions data from the World Bank, seen in fgure 1 Te United Kingdom, on the other hand, approaches emissions from the energy plants themselves, rather than targeting businesses. Te UK is stricter on monitoring emissions and penalizing violations, but it lacks in that directors are allowed to choose their own emissions limits, and can moderate them at any point. While this may be a faw, fgure 1 depicts that emissions in the UK remain relatively low. Te diference between the US and the UK industrial carbon emissions can be attributed to the fact that the UK is simply much less reliant on carbon emitting industries than the US is.
Te similarities between Swiss and German environmental enforcement policies as they have to do with industrial emissions seem to also constitute the reduction in emissions over the last several years. While both Switzerland and Germany have faced setbacks in meeting emissions reduction goals, it is notably difcult to establish and meet these goals in such an evolving capitalist and globalized world. Te efectiveness of these modes of enforcement lies in the strict mandate that is established directly from the federal government. Rather than allowing states, industries, and businesses to pick and choose what they comply with, there is a framework of regulation that forces adherence with strict consequences otherwise. Tese approaches to decreasing carbon emissions seem to be efective considering data from the World Bank on industrial emissions reductions in each nation. While German emissions remain higher than its Anglo/US Capitallist counterpart the UK, this is confdently due to the relative size of the nations and their overall contribution to the global market.
IV. Counter-Arguments
Presenting the argument that Anglo/US Capitalist nations’ more lenient emissions policies are less efective than those strict policies of Rhineland Capitalist nations would not be complete without addressing relevant counter arguments. Tere are two assumptions that align with counter arguments that could be raised. First, the thesis is based on the assumption that nations will implement their own environmental policies related to reduction of greenhouse gas emissions on their own accord. In other words, based on the capitalist system in place, that will constitute the type of regulatory enforcement that takes place in the nation. Second, this paper focuses on environmental regulations in the context of national industrial greenhouse gas emissions. Tis does not necessarily mean that regulations for all individual regions of a country have the same needs for regulation. Further, some industries have greater impacts on the average emissions for a nation than others.
It can be noted that nations could be persuaded to implement progressive policies because they are part of a larger international community, such as the EU. Just because a nation complies with the normalities of a region’s regulations doesn’t necessarily mean that they actually believe in the underlying principles (Simmons, 2009). Specifcally, as a signifcant member nation Germany has acknowledged that the EU does have some extent of infuence on environmental policy (Watanabe & Mez, 2004). To rebut, though, the model of Rhineland Capitalism that Germany displays was established in the developmental years after World War II. Te European Union and the collaboration on climate change mitigation did not begin until decades later in the 1990s. While Germany may have some regional community motivation from its neighbors, Germany has been leading the conversations around climate change since the beginning of global environmental movements. Additionally, this paper is not meant to address how nations are infuenced by external factors to implement policy. It studies the relationship between their economic models and greenhouse gas emission regulatory policy structures, factors of which were present before external infuences came into play in Germany.
It can be argued that accounting for greenhouse gas emissions of a nation as a whole does not consider the more industrialized regions of a nation that contribute more than
others. Te United States is the most relevant example of this counter-argument. One of the reasons why states are in charge of environmental policy in the US is that climate policies are not “one-size-fts-all” (Konisky & Woods 2018, p. 348). In nations as large as the United States, it can be hard to come to a compromise that meets the economic and social needs of every state, considering their geographical diferences. While individual state ofcials may be more knowledgeable about their circumstances that can lead to efective environmental policy, this sovereignty raises the aforementioned issue of race-tothe-top and race-to-the-bottom phenomena. It is necessary for the federal government to implement frameworks in which states must comply, in order to adhere to guidelines like the EPA’s Good Neighbor Plan. Te Good Neighbor Plan essentially protects downwind states from air pollution that transcends state borders (Daly, 2024). Te Supreme Court of the United States recently ruled this plan unconstitutional in the name of state sovereignty. Tis provision is argued by EPA spokespeople to be critical to EPA responsibilities in the Clean Air Act, which cannot come to fruition.
Tat argument also relates to the consideration of the size of nations and economic comparative advantage in certain industries. While some nations may have better luck implementing greenhouse gas emissions policies because they aren’t as reliant on industrial burning of fossil fuels in the frst place, the amount of greenhouse gas that they do emit can still be at an upward or downward trend depending on the regulations. Te point of industrial emissions regulations is to stagnate or reach net zero emissions, for which strategies can be formulated through the understanding of capitalistic efects on these trends.
V. Recommendations Looking Forward
As we grapple with escalating environmental challenges that are a cause of current human activity, examining the benefts of long-term investment and unapologetically strict climate policy will ofer a balanced approach that aligns with economic growth and ecological preservation.
As observed in the cases of Rhineland Capitalism, namely Switzerland and Germany, there is a greater presence of strictly enforced federal environmental policies. It is evident in fgure 1 that throughout time, the presence of these frm policies allows nations to maintain low levels of industrial carbon emissions. Rather than exhibiting an upward slope in the latest years of data collection, the gradual decline in emissions aligns with the emissions reduction goals, and are administered by corresponding policies and agencies that the nations put in place. With responsibility for sustainable development and social welfare at the core of its principles, Rhineland Capitalism exhibits a robust framework for addressing complexities of the climate crisis in the 21st century. It will allow leaders to plan for the sustainment of a nation even beyond their years of immediate power, rather than for shortterm revenue potential (Avery, 2005).
Long-term sustainable development models account for ecological assets, human health, and welfare losses rather than damage to GDP (Alestra, Gilber, Chouard, and Lecat, 2020). Proper sustainable development requires intergenerational solidarity, meaning that today’s leaders have to establish policies that future generations will see the benefts of (Alestra, Gilber, Chouard, and Lecat, 2020). Principles of Rhineland Capitalism can be employed to organize nationwide paradigms of mandatory greenhouse gas emission reporting for all industries and businesses within the federal jurisdiction; apply ambitious cap-and-trade systems and limited protocols for modifying emission allowances; invest in renewable energy technology and phase out plans of fossil fuel burning; and most of all integrate environmental responsibility into the everyday lives of citizens. Depending on the nature of the regime at hand, delegating federal agencies to carry out these recommendations is integral in ensuring efcient operations. In the examples of Rhineland Capitalist nations, it
was clear how agencies and federal legislation played an impactful role in enforcing policy.
VI. Conclusion
Tis research sought to address how the model of capitalism in a nation would constitute how the government would enforce environmental regulation policy, specifcally in terms of industrial greenhouse gas emissions. Te patterns exhibited in Anglo/US Capitalist versus Rhineland Capitalist nations culminated as the thesis suggested. Anglo/US Capitalism likely constitutes for industrial greenhouse gas emissions regulations to be more leniently enforced, with heavier focus on what is going to afect the industry or business’ current capabilities of proftability. Rather, Rhineland Capitalist nations emphasize the nationally universal regulations that apply regardless of the entity. Te rigidity of the regulations enforced on a national level then ensure that greenhouse gas emissions goals are in fact being met, rather than pushing them back at a rate that is counterproductive. While factors such as the external infuences, scope of industries, and economic comparative advantages can play a role in how efective greenhouse gas regulations are, Rhineland Capitalism guides nations to consider the future. While the goal of this research is not to discourage capitalism from being the vessel of economic development and prosperity, evolution of our own practices is necessary for the sustainment of that growth.
Appendix
Figure 1. Carbon emissions from industrial combustion, measured in metric tons of carbon dioxide. Gathered from World Bank Group Data (2022).
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About the Author
Rachel Freeman is a senior (Class of 2025) student at Christopher Newport University. She is majoring in Political Science, with minors in Environmental Studies and Leadership Studies. Tis paper was written for her senior seminar in political science under the mentorship of Dr. Michelle Barnello. Rachel is an active member of the CNU community, involved in service through the President’s Leadership Program and as President of the Alpha Phi Omega National Service Fraternity, Alpha Delta Xi chapter. Trough the CNU Center for Sustainability in Education, Rachel serves as the Sustainability Ambassador where she strives to make an impact on the campus culture in environmental responsibility. Upon graduation in May of 2025, Rachel will be commissioned out of the Reserve Ofcer Training Corps as a Second Lieutenant in the US Army to pursue a career in the Army Judge Advocate General Corps. She will begin her 1L year of law school in the Fall of 2025.
Our Future Rights: State Constitutionalism & Afrmative Government Obligations
Katherine Grant
Faculty Sponsor: Dr. Crystal Shelton, Department of Political Science
Abstract
Tis paper explores the constitutional avenues of positive rights, or rights that require afrmative obligations on behalf of government, in the United States. With a constitution historically interpreted as a charter of negative rights, or rights that protect citizens from government interference, American citizens who wish to enshrine positive rights in their country have had little recourse. Tis paper investigates whether existing federal U.S. Constitution provisions, such as the Ninth and Fourteenth Amendments, and federal judicial interpretation or state constitutions and state courts ofer a more efective legal pathway for institutionalizing positive rights. A qualitative content analysis comparing recent federal and state court judicial decisions to common positive rights, such as a “right to an education” and the “right to a healthy environment,” was conducted. Tis analysis assessed how judges framed rights, assigned institutional responsibilities, and interpretated constitutional text in the education cases of Wyoming Education Association v. State (2025) and San Antonio Independent School District v. Rodriguez (1973), along with the healthy environment cases of Held v. Montana (2024) and Clean Air Council v. United States (2019). Tis research, supported by historical background and a thorough assessment of the surrounding literature, fnds that states’ constitutions and courts, while not as sweeping and monumental as a federal answer, are the more viable and realistic option for securing positive rights in America.
Introduction
Te new presidential administration has taken ofce with an aggressive mandate: to reduce the size and scope of the federal government, defund social programs, terminate swaths of social servants, and possibly eliminate entire executive departments (Turner; Luhby et al.). Te president and his allies justify these moves to reduce government overreach, restore individual liberty, and return power to the private sector. Tey claim to be acting in the interest of the American people. Nevertheless, this vision of governance is increasingly out of step with the evolving priorities of the public, especially younger Americans looking not for less government but a more afrmatively engaged one. In recent years, surveys have shown that a growing share of Americans support policies that would require more, not less, government action. According to a 2021 Pew Research Center study, a substantial majority of Democrats and even many young Republicans favor government-subsidized or free college tuition at public universities (Hartig). Another study from 2020 indicates that a “majority of Americans continue to say the federal government has a responsibility to make sure all Americans have health care coverage,” with increasing support for a governmentprovided healthcare program to cover all (Igielnik). Most recently, in 2024, research on climate change shows broad bipartisan concern about environmental degradation and a willingness to endorse stronger federal regulation to protect the planet (Funk and Tyson). Tese positions refect an expanding consensus that the federal government should play an active role in ensuring not just freedom from interference, but access to the basic conditions that allow for human fourishing (Allen 35).
Tis emerging support for what scholars call positive rights—rights that involve afrmative state action, such as education, healthcare, personal safety, and a healthy environment—confronts a signifcant constitutional obstacle (Cofmen 188-190). Te U.S. Constitution has long been interpreted as a document that protects negative rights, or freedoms from government intrusion, rather than guaranteeing afrmative entitlements (Currie 864-866). Te Bill of Rights, for example, prohibits Congress from infringing upon speech, religion, or due process. However, it does not obligate the state to ensure that individuals can aford an education or receive medical care. Given these legal constraints, the question becomes: Is there a path to a constitutional order that recognizes and protects positive rights, without resorting to the arduous and politically fraught process of amending the Constitution? Some scholars argue that there is. Te answer may lie in reinterpreting existing constitutional provisions, in the Ninth and Fourteenth Amendments, to afrm a broader conception of government responsibility. While other scholarship points to the use of states’ constitutions and courts as the superior path toward establishing positive rights in the absence of federal constitutional reform.
By addressing this question and which of its proposed solutions provide the conclusive answer, one also answers another pressing and unresolved question in American constitutional development: whether the United States can evolve into a democracy that meaningfully protects positive rights without erasing its important foundational promises to prevent tyrannical government interference. Te dominant framework of American constitutional law will probably continue to prioritize individual freedom; however, exploring the interpretive potential of existing federal provisions, such as the Ninth and Fourteenth Amendments, along with state constitutionalism, provides an immediate avenue for progress. Understanding the merits and limitations of both approaches is essential for scholars and litigators seeking institutional pathways to social justice.
In reviewing both solutions’ historical background and scholarship, his paper hypothesizes that, although state-level reform may be incremental and uneven, it represents the most viable legal avenue for securing afrmative government duties in contemporary America. To test this claim, this essay uses a qualitative content analysis of recent federal
and state court decisions to evaluate the viability of constitutionalizing positive rights in the United States. Te content analysis identifes recurring themes in judicial reasoning by comparing majority opinions in state and federal cases that assess similar positive rights claims. Contrasting the holding in Clean Air Council v. United States (2019) and Held v. Montana (2024) concerning a right to an education, then looking at San Antonio Independent School District v. Rodriguez and Wyoming Education Association v. State (2025) in regards to the right to a healthy environment, will provide the in-depth examination this topic deserves. Te themes this research will inspect are whether or not the courts frame rights as protections from government interference or as afrmative duties, the interpretive tools they rely on, and how they assign institutional responsibility. Tis structured comparison supports the hypothesis that state courts, drawing on broader constitutional language and a more fexible jurisprudential tradition, are more likely than their federal counterparts to recognize and enforce positive rights.
Trough its qualitative fndings, supported by the historical and scholarly evidence to support said fndings, this paper surmises that state constitutions and courts are the frontier in which positive rights are secured in the United States. While the federal judiciary remains wedded to a narrow, negative conception of rights, state constitutions have the breadth that allows open-minded state courts to increasingly interpret a mandate for afrmative government action in key areas of social welfare.
Background
Since its inception, the United States Constitution has been defned by its emphasis on negative rights—those that protect individuals from government intrusion—rather than positive rights, which require government action to secure essential goods and services (Cofmen 187-190). Te Constitution was drafted to limit government overreach, not to impose obligations on the state to provide for the welfare of its citizens (Currie 864; Cofman 190-194). As a result, “[i]ndividuals have no right to have government do anything at all; it must only refrain from harming or coercing them” (Bandes 2274). Tis has had lasting consequences. Even as society and theory evolve to confront modern demands for equality and social well-being, federal courts primarily “rely on formalistic logic games rather than real principles of justice,” rejecting arguments for afrmative government duties (MacNaughton 752).
Tis framework afects all Americans, but disproportionately harms marginalized communities who rely most on public institutions to survive and thrive. “In the wealthy United States, negative rights theory (which relies on the unregulated market to provide for people’s needs) leaves an abnormally large percentage of the population ill-served” (Pollack 105). Tese groups often face systemic barriers to accessing quality public schools, medical care, clean air and water, and protection from environmental or economic degradation. In contrast to other advanced democracies, where constitutions or statutes afrm positive rights as entitlements of citizenship, Americans remain legally vulnerable to government inaction or neglect in these crucial domains. Tis legal architecture perpetuates inequality by ensuring that access to basic social goods remains a matter of privilege or political will, rather than constitutional guarantee (Pollack 105-106; Cofman 188-190).
Te consequences will be dire if nothing is done to develop mechanisms for implementing positive rights within the U.S. legal system. Inequality will continue to deepen as federal courts refuse to mandate government responsibility for social welfare, leaving millions without legal recourse. Without some change or solution in this area, constitutional democracy is rendered less responsive to changing public needs (Feldman 1099-1100). Social instability, democratic disillusionment, and the erosion of public trust are likely outcomes when citizens are denied the positive rights to things like education,
healthcare, and more. Scholars argue that the gap between constitutional ideals and lived realities undermines the legitimacy of constitutional government itself, particularly in a nation that prides itself on democratic equality (Hershkof 801-803; Neuborne 881-883).
Literature Review
A growing body of scholarship has emerged seeking to reclaim positive rights, such as access to education, housing, healthcare, and environmental protections, as part of American legal discourse. Legal scholars and jurists have speratted into two diferent camps that diverge on what course would best incorporate positive rights into American legal system: “renewed federal interpretation,” which assess the United States Constitution’s Ninth and Fourteenth Amendments ability to secure positive entitlements; and the camp of “state constitutionalism,” which emphasizes the distinct textual guarantees, histories, and jurisprudential fexibility of state constitutions as more promising foundations for positive rights. Tis literature review surveys both camps, identifying their theoretical foundations, key arguments, and underlying disagreements. Both camps ofer intriguing insights into how America can change its understanding of rights, with advocates of “renewed federal interpretation” stressing the moral authority and national uniformity. In contrast, the “state constitutionalism” camp proposes a fresher and materially successful pathway.
Advocates of a federal constitutional strategy, designated the “renewed federal interpretation” camp, argue that positive rights can and should be secured through renewed interpretation of the existing U.S. Constitution, particularly the Ninth and Fourteenth Amendments, as well as broader structural principles such as federalism and equal protection. Rather than viewing the federal Constitution as a rigid framework protecting only negative liberties, these scholars see it as a living document capable of accommodating evolving societal needs and guaranteeing entitlements essential to human dignity and democratic participation.
Te Ninth Amendment faction of this camp includes scholars like Sara Nichols, Joseph F. Kadlec, and Adam Lamparello, who argue that this Amendment opens the door to recognizing that enumerated rights are not an exhaustive nor an expansive enough, and that “afrmative protections are necessary to achieve the Ninth Amendment’s original purpose” (Kadlec 417). Nichols emphasizes that the Ninth Amendment “is an amendment of revolutionary potential” (41). Te existence and wording of the Amendment preclude “a powerful afrmation of the existence of the real unwritten constitution,” a constitution with a progressing notion of what rights are retained by Americans (Nichols 41). Lamparello similarly asserts that the Ninth Amendment refects an openness to evolving norms that can undoubtedly lead to constitutional protection of “afrmative rights” since the “Amendment as securing rights that exist independently of the Bill of Rights (Lamparello 202).” Tese interpretations contest the prevailing assumption that the federal Constitution is inhospitable to positive rights, reframing it as a dynamic charter capable of growing with the people it governs.
Building on this, several scholars in “renewed federal interpretation” highlight using diferent clauses found within the Fourteenth Amendment as a transformative tool for positive rights recognition. Adam Lamparello, from the Ninth Amendment faction, also argues for the usefulness of a long-forgotten clause: the Privileges and Immunities Clause. He claims courts should resurrect this Clause to vindicate unenumerated rights essential to personhood and societal inclusion (206). Besides Lamparello’s case, most Fourteenth Amendment advocates look to the Equal Protection and Due Process Clauses. Authors Courtney Olson and Rachel Alyce Washburn have examined how these clauses can and have advanced the protection of unenumerated rights such as the right to reproductive care and the freedom of marriage. Olson argues that a failure to guarantee access to reproductive
health care may seem like just a denial of government duty; however, when one denies such a right, they also deny someone of their enumerated equal protection (Olson 664669). Washburn also purports that when a government allows certain negative rights, it also allows for positive ones. A right such as marriage has both negative and positive connotations, so when it is constitutionally protected, the Fourteenth Amendment opens a foodgate (Washburn 103-105). Tese scholars maintain that equality and liberty, properly understood, require substantive provisions.
Still, this approach is not without its challenges. Historically, the federal judiciary has been reluctant to read positive rights into the Constitution, especially under doctrines like substantive due process. Critics of this camp caution that expansive interpretations risk judicial overreach and lack clear limiting principles. Jenna MacNaughton concedes that the practical difculty is less about constitutional theory than judicial willingness to engage. Te actual problem in this camp is that its proponents need the federal judiciary to “abandon the negative rights rhetoric in order to provide a remedy to victims of administrative malfeasance or neglect” (781). However, after a long history of ignoring this plea, it seems unlikely to happen. Nonetheless, this camp of a federal constitutional strategy continues to argue that positive rights can and should be secured through renewed interpretation of the existing U.S. Constitution, particularly the Ninth and Fourteenth Amendments.
Scholars in the opposing “state constitutionalism” camp argue that state constitutions, and their interpretations in state courts, ofer a more viable, dynamic, and historically grounded framework for securing positive rights than the federal Constitution. Tese qualities make states better institutional vehicles for recognizing and enforcing rights to education, health care, housing, and environmental protection. Unlike the federal Constitution, which lacks explicit provisions for most social and economic rights, state constitutions often include afrmative duties in their text. Nearly every state constitution mandates public education, and many are starting to guarantee environmental and health-related rights. Emily Zackin, who wrote the book on positive state rights with Looking for Rights in All the Wrong Places, notes that state constitutions are drafted with the understanding that governments are obligated to promote welfare, not merely to refrain from infringement afrmatively. Tis allows courts to interpret rights in a way that acknowledges the active role of the state in providing for its people. (Zackin 19-21).
Moreover, this camp points to state constitutionalism’s structural and procedural advantages. State constitutions are amended far more frequently than the federal Constitution, refecting a more fexible and democratic process. Zackin emphasizes that positive rights provisions were often added through mobilization from below, showing how groups and individuals can successfully push constitutional amendments at the state level (Cofman 225). Professor Elizabeth Weeks Leonard similarly notes, in the context of healthcare research, states have acted as “laboratories,” experimenting with rights-based models providing “counsel for or against similar enactments in other states” (1344). One state’s proposal, ratifcation, enforcement, and adjudication of a positive right allows other states to observe how it could impact their institutions and citizens. Tis contrasts with the federal approach, where every state would be forced to puzzle out implementation simultaneously. Tese scholars reject the long-held idea that the federal argument is the “only one worth considering” (Zackin 12). Tey argue that state courts are not only competent but obligated to enforce state positive constitutional rights. Feldman claims that when it comes to states, positive rights are “welcomed, even demanded, when aimed at correcting social and economic inequities” (Feldman 1100). Tis perspective contrasts sharply with federal courts’ tendency to avoid such claims by framing them as political questions or legislative matters.
Tis camp defnitely has its weaknesses. Rights provisions in state constitutions can sometimes be symbolic, or states can lack provisions altogether. Moreover, beyond that, the “state constitutionalism” camp’s most signifcant problem is that positive rights enforcement remains uneven across states, leading to geographic inequality in access to education, health care, and other entitlements. However, while state constitutionalism can often be limited by political, institutional, and enforcement constraints, making it not an all-encompassing solution, it still “ofers a vision of law’s possibility” by establishing a proven strategy (Hershkof 832). Te “state constitutionalism” camp continues to challenge the dominant view that positive rights are foreign to Americans. Te real puzzle is not why positive rights are absent in American law, but why we continue to look only to the federal Constitution to fnd them.
Methodology
To properly assess the constitutional pathways most conducive to recognizing and enforcing positive rights in the United States, this study undertakes a qualitative analysis comparing select federal and state court decisions that directly engage with afrmative government obligations claims. Te working hypothesis guiding this inquiry is that interpretation under the state constitutions, due to their fexibility and amendable nature, is more likely than the U.S. Constitution interpretation by the federal judiciary to recognize and enforce positive rights. Tis claim draws on a growing body of legal scholarship emphasizing the greater textual breadth, democratic fexibility, and institutional responsiveness of state constitutions, particularly in education, environmental protection, and health care. Te historical background of rights in America and the scholarship found in previous sections of this paper have underscored the states’ potential as laboratories of rights innovation, especially where the federal judiciary has been reluctant to impose afrmative duties on the national government.
Te methodology to test this hypothesis performs a qualitative content analysis of four cases, two of which are federal and two state, involving claims to positive rights in education and environmental health. Te following cases were selected based on three core criteria: (1) recentness, giving preference to decisions from the last decade, except for one seminal Supreme Court case, to capture the current trajectory of rights discourse. Ten (2) signifcance: each selected case has established a new constitutional interpretation, garnered substantial public and scholarly attention, or represents a turning point in developing rights-based jurisprudence at either the state or federal level. Finally, (3) relevance to afrmative government duties. All of these cases answered whether or not there was a duty, with the majority giving ample reasoning and not assessing defendants’ claims on other grounds, like Article III standing.
In the area of environmental rights, the analysis compares Held v. Montana (2024), a groundbreaking decision in which the Montana Supreme Court recognized the Montanan right to a healthful environment under the state’s green constitutional provisions, with Clean Air Council v. United States (2019), in which a federal district court considers a defendants’ similar environment claims, holding their is no such afrimantive government duty under the Fifth and Ninth Amendments. In the context of education rights, Wyoming Education Association v. State (2025), which afrmed Wyoming’s constitutional duty to provide equitable and adequate public education, is paired with San Antonio Independent School District v. Rodriguez (1973), where the U.S. Supreme Court is asked to determine if education as a fundamental right under the Fourteenth Amendment.
Each case is subjected to a close reading of the majority opinion, focusing on how the court articulates the nature and source of the right in question. Te analysis incorporates elements of structured content comparison. Each opinion is evaluated against a consistent set
of thematic categories: (1) the court’s framing of the right as assurances of non-interference or as guarantees for afrmative government duty; (2) its practical use of historical and philosophical precedent; and (3) its stance on institutional responsibility. Tese categories are not quantifed statistically, but their recurrence and emphases are systematically noted to support a comparative judgment across cases and jurisdictions.
While the analysis is limited to four cases, its comparative structure enables insight into broader trends in constitutional interpretation. Tis methodology allows for identifying meaningful patterns in judicial reasoning across diferent levels of government. Examining various rights, diferent states, and several levels of the federal judiciary, this research helps curtail arguments that the qualitative analysis is not extensive enough. It is designed not only to trace doctrinal diferences between federal and state courts but also to evaluate the broader probability of constitutionalizing positive rights through state rather than federal mechanisms. In doing so, the study aims to contribute to ongoing debates in constitutional theory and practice over the role of government in securing not merely liberty from coercion, but the material and institutional conditions necessary for democratic life.
Analysis
To evaluate the most efective constitutional pathways for recognizing and enforcing positive rights in the United States, this study conducts a qualitative analysis of four judicial decisions (two federal and two state) that directly engage with claims to afrmative government obligations. Te central hypothesis is that state courts, drawing on the broader textual guarantees and democratic fexibility of state constitutions, are more likely than federal courts to recognize and enforce such rights. Tis essay demonstrates that the hypothesis is supported through a comparative reading of these cases. State courts are substantively more receptive to positive rights claims, especially in the analyzed domains of environmental health and public education, where state constitutions contain explicit afrmative guarantees.
A meaningful comparison between Held v. Montana (2024) and Clean Air Council v. United States (2019) reveals stark contrasts in how state and federal courts approach environmental rights claims. In Held, the Montana Supreme Court recognized a constitutional “right to a clean and healthful environment” under Article II, Section 3 of the Montana Constitution (8). Action that furthered the progress of climate change would deny Montanans of their rights since the plaintifs proved “that climate change is causing serious and irreversible harms to the environment in Montana—assuring them and future Montanans a ‘harmful’ rather than ‘healthful’ environment as guaranteed by the Constitution” (22). Tis prompted the court to hold that the state’s failure to consider greenhouse gas emissions when permitting fossil fuel projects, even when said projects are small contributors, violated its own constitution. Te state tried to argue that it should not have to address this duty “because even if Montana addresses its contribution to climate change, it will still be a problem if the rest of the world has not reduced its emissions” (32). Te court refused to accept this fallacious argument, Montana has an “afrmative duty” to its citizens, and so plaintifs can always come forth “to enforce their constitutional right to a clean and healthful environment against the State” (32-33).
In Clean Air Council v. United States, the U.S. District Court for the Eastern District of Pennsylvania rejected plaintifs’ claims that the federal government’s regulatory rollbacks violated their Fifth and Ninth Amendment rights. Te court concluded that the plaintifs lacked standing and “that there is no legally cognizable due process right to environmental quality,” as well as that the “Ninth Amendment provides no substantive rights” (14). Notably, the court emphasized that no positive right to environmental protection exists under the federal Constitution, and asserted that the Constitution does not guarantee a right to a stable climate.
Closing the argument, Judge Diamond said:
Plaintifs seek to create an entirely new doctrine—investing the Federal Government with an afrmative duty to protect all land and resources within the United States—enforceable as a substantive due process right under the Fifth and Ninth Amendments. Tat doctrine applied here would empower this Court to direct any Executive Branch action related to “the environment.” (21-22)
It seems he was unwilling to take the Court that far, drawing a sharp line between policy and judicial action, framing afrmative environmental duties as outside the scope of judicial enforcement. Tis contrast refects the broader institutional divide: where Held interprets explicit constitutional provisions as a source of government obligation, Clean Air Council refuses to recognize any such duty. Te Montana case exemplifes the potency of state constitutionalism in advancing positive rights. At the same time, the federal court’s decision illustrates the structural and doctrinal barriers that inhibit recognition of such rights at the national level. Te evidence thus supports the hypothesis that state courts are more conducive venues for advancing positive environmental rights.
A similar divergence is found when comparing the educational rights jurisprudence of Wyoming Education Association v. State (2025) and San Antonio Independent School District v. Rodriguez (1973). In Wyoming Education Association, a state district court held that Wyoming’s public school fnancing system failed to fulfll its constitutional obligation to “the establishment and maintenance of a complete and uniform system of public instruction” as required by Article 7, Section 9 of the Wyoming Constitution (141). Te state government of Wyoming had failed to account for infation and appropriate the proper funds for teacher salaries and essential components of Wyoming children’s education. Te court reviewed both the State’s “actions and inactions” and held that the state’s “failures have afected Wyoming children’s right to a proper education” (177). Te opinion characterized the state’s responsibility as an afrmative duty when assessing “actions and inactions,” requiring the active provision of adequate resources and access across Wyoming. Te state’s constitution and courts mandate proactive maintenance of educational standards, concluding that the legislature was obliged to ensure equitable educational opportunities.
In contrast, the U.S. Supreme Court in Rodriguez held that education is not a fundamental right under the U.S. Constitution, and that wealth-based disparities in public school fnancing do not violate the Equal Protection Clause of the Fourteenth Amendment. Writing for the majority, Justice Powell stated that when assessing the funding and access to education, “there is nothing simple about the constitutional issues involved” and emphasized “education are matters reserved for the legislative processes of the various States” (56-58). Applying only rational basis review, the Court upheld Texas’s reliance on local property taxes, notwithstanding the resulting inequalities, because “[i]t is not the province of this Court to create substantive constitutional rights in the name of guaranteeing equal protection of the laws” (33). Tis statement efectively rejected the notion that the judiciary could impose an afrmative obligation on states to equalize educational resources, underscoring the limited scope of federal positive rights enforcement. Tis pair of cases illustrates the constraining efect of the federal Constitution’s silence on positive rights and the federal judiciary’s reluctance to impose afrmative duties. In contrast, the Wyoming court leveraged the explicit educational guarantees in the state constitution to mandate substantive government action. While Rodriguez seemingly foreclosed further federal positive rights litigation in education, Wyoming Education Association signals the continued viability of such claims at the state level, contingent on clear constitutional commitments.
One major critique of relying on state courts to advance positive rights is that such
eforts can be fragmented and uneven, leading to signifcant geographic disparities in rights protection. Not all state constitutions contain robust afrmative guarantees, and litigation success can depend heavily on local political climates. However, this critique must be weighed against the reality of federal judicial inertia. Te U.S. Supreme Court has repeatedly signaled its unwillingness to expand positive rights, especially in areas like education, healthcare, or environmental protection. Federal constitutional amendments to enshrine such rights are politically infeasible in the current era, rendering the federal path essentially closed. Tus, despite its inconsistencies, the state court system ofers a more viable and efective path for recognizing and enforcing afrmative rights. State-level successes can generate legal precedents, policy models, and normative momentum for broader reforms. Tis avenue could even be better since state-level constitutions and court decisions are often more attuned to local needs and democratic responsiveness, making them critical sites for experimentation and advancement in positive rights jurisprudence. Tis comparative judicial analysis supports the hypothesis that state courts, empowered by broader and more explicit constitutional mandates, are better positioned than federal courts to recognize and enforce positive rights. Te decisions in Held and Wyoming Education Association demonstrate how state constitutions can be interpreted to require afrmative government action. At the same time, Clean Air Council and Rodriguez refect the federal courts’ reluctance to constitutionalize such duties. Tis study reinforces the view that meaningful progress toward positive rights in America will most likely come from the states.
Discussion and Conclusion
Tis paper set out to answer the question of what path to a constitutional order that recognizes and protects positive rights in America? It specifcally analyzed two solutions: (1) renewed interpretation of the U.S. Constitution by the federal judiciary, and (2) the use of state constitutions and courts. Te stakes of this inquiry are signifcant. Given the state of this country, calls for legal recognition of afrmative rights have grown louder (Hartig; Igielnik; Funk and Tyson). Nevertheless, the structure and history of American constitutionalism, with its long-standing emphasis on limiting government power rather than mandating government obligation, raise profound challenges for those seeking legal redress rooted in claims of government responsibility.
Te preceding analysis traced historical and scholarly frameworks to examine how courts have responded to positive rights claims, particularly in education and environmental protection. Case law, including San Antonio Independent School District v. Rodriguez and Clean Air Council v. United States, reveals that the federal judiciary remains largely resistant to expanding constitutional obligations beyond the protection of negative liberties. Even as the Supreme Court has recognized unenumerated rights under the banner of privacy or dignity, these rights remain grounded in a fundamentally individualistic and noninterventionist model of constitutional liberty. Attempts to use the Ninth or Fourteenth Amendments as vehicles for broader social entitlements have met with limited success. In contrast, state constitutionalism has emerged as a more dynamic and responsive arena. State constitutions often contain explicit guarantees to public education, environmental quality, and social welfare that go beyond anything found in the federal Constitution. State courts, aided by more fexible amendment processes and local political pressures, have often interpreted these provisions robustly. Tis paper has shown through qualitative analysis that the states ofer a more promising, realistic path toward embedding positive rights into enforceable law. Not only are state constitutions textually equipped for such rights, but their courts have demonstrated greater openness to interpreting them in ways that impose afrmative obligations on the state.
Given these fndings, several recommendations and future directions emerge. First, citizens who seek to secure positive rights in their communities should become actively engaged in state-level constitutional reform. Many state constitutions contain underutilized provisions that could be the basis for stronger legal guarantees; where such language is lacking, targeted amendments may be achievable through grassroots mobilization and democratic pressure. Second, legal advocacy organizations should recalibrate their strategies by focusing more on state litigation and policymaking rather than pursuing often fruitless claims before a skeptical federal bench. Coordinated state-by-state litigation campaigns, supported by legal scholarship and public education, could gradually build a patchwork of precedents that redefne American rights from the ground up.
However, the road ahead is not without obstacles. Future research must explore the limits of state enforcement: it is one thing to declare a right in theory and quite another to implement it in practice, especially when budgetary or political constraints undermine judicial mandates. Additionally, scholars should consider the possibility of federal preemption or backlash. As state courts take more activist positions on positive rights, federal actors—either legislative, executive, or judicial—may assert their supremacy in ways that dilute or undo state-level progress. Finally, federal constitutional interpretation should not be abandoned even as the focus shifts toward the states. Te Privileges or Immunities Clause of the Fourteenth Amendment, long overshadowed by substantive due process, deserves renewed attention as a possible foundation for positive rights jurisprudence (Lamparello 206). Strategic litigation and scholarly engagement with this clause could gradually push the federal judiciary toward a more expansive conception of rights that afrms not only freedom from government interference but also the necessity of government action to ensure dignity and equality for all.
Tis paper set out to answer the question of what path to a constitutional order that recognizes and protects positive rights in America? It specifcally analyzed two solutions: (1) renewed interpretation of the U.S. Constitution by the federal judiciary, and (2) the use of state constitutions and courts. Te stakes of this inquiry are signifcant. Given the state of this country, calls for legal recognition of afrmative rights have grown louder (Hartig; Igielnik; Funk and Tyson). However, the structure and history of American constitutionalism, with its long-standing emphasis on limiting government power rather than mandating government obligation, raise profound challenges for those seeking legal redress rooted in claims of government responsibility.
Te preceding analysis traced historical and scholarly frameworks to examine how courts have responded to positive rights claims, particularly in education and environmental protection. Case law, including San Antonio Independent School District v. Rodriguez and Clean Air Council v. United States, reveals that the federal judiciary remains largely resistant to expanding constitutional obligations beyond the protection of negative liberties. Even as the Supreme Court has recognized unenumerated rights under the banner of privacy or dignity, these rights remain grounded in a fundamentally individualistic and noninterventionist model of constitutional liberty. Attempts to use the Ninth or Fourteenth Amendments as vehicles for broader social entitlements have met with limited success. In contrast, state constitutionalism has emerged as a more dynamic and responsive arena. State constitutions often contain explicit guarantees to public education, environmental quality, and social welfare that go beyond anything found in the federal Constitution. State courts, aided by more fexible amendment processes and local political pressures, have often interpreted these provisions robustly. Tis paper has shown through qualitative analysis that the states ofer a more promising, realistic path toward embedding positive rights into enforceable law. Not only are state constitutions textually equipped for such rights, but their courts have demonstrated greater openness to interpreting them in ways that impose
afrmative obligations on the state.
Given these fndings, several recommendations and future directions emerge. First, citizens who seek to secure positive rights in their communities should become actively engaged in state-level constitutional reform. Many state constitutions contain underutilized provisions that could be the basis for stronger legal guarantees; where such language is lacking, targeted amendments may be achievable through grassroots mobilization and democratic pressure. Second, legal advocacy organizations should recalibrate their strategies by focusing more on state litigation and policymaking rather than pursuing often fruitless claims before a skeptical federal bench. Coordinated state-by-state litigation campaigns, supported by legal scholarship and public education, could gradually build a patchwork of precedents that redefne American rights from the ground up.
However, the road ahead is not without obstacles. Future research must explore the limits of state enforcement: it is one thing to declare a right in theory and quite another to implement it in practice, especially when budgetary or political constraints undermine judicial mandates. Scholars should also consider the possibility of federal preemption or backlash. As state courts take more activist positions on positive rights, federal actors— either legislative, executive, or judicial—may assert their supremacy in ways that dilute or undo state-level progress. Finally, research and legal claims on renewed federal interpretation should not be abandoned even as the focus shifts toward the states. Maybe the next generation of jurists will look to incorporate positive rights using the Ninth and Fourteenth Amendments. A future look at unenumerated rights could lead to a breakthrough. Te Privileges or Immunities Clause, which deserves renewed attention, could possibly be a foundation for positive rights jurisprudence (Lamparello 206). Strategic litigation and scholarly engagement with this clause could gradually push the federal judiciary toward a more expansive conception of rights. Positive rights in America are a fascinating yet convoluted conversation, and while this research leans towards states being the answer, the discussion needs to continue.
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About the Author
Katherine Grant is a part of the Christopher Newport University graduating class of 2025. She received her Bachelor of Arts in Political Science and American Studies with accompanying minors in Human Rights and Leadership Studies. She is particularly interested in the study and advocacy of rights in both domestic and international contexts. She dedicated much of her academic career to compiling and presenting her research, attending several undergraduate and professional conferences across the country. When not focused on her research, she worked for both Christopher Newport’s Center for American Studies as a junior research fellow and the Center for Student Success as a tutor. She was also active in the surrounding community as her service club’s Vice President and as the Disabled Student Union’s secretary. Katherine hopes to continue her academic career as she applies to law and graduate schools in the fall.
Digital Mimicry Dating: Perceptions of Convergence and Divergence in Initial Online Dating Interactions across Tinder and Hinge
Mary Mckenzie Hurley, Corynne Dunaway, Kylie Ramming, and Katherine Stevens
Faculty Sponsor: Dr. Brianna Lane,
Department of Communication
Abstract
Tis study applies the Communication Accommodation Teory (CAT) to the context of online dating, examining how converging and diverging message styles infuence thirdparty perceptions of online daters across two popular platforms: Tinder and Hinge. Using a 2 (converging vs. diverging messages) × 2 (Tinder vs. Hinge) experimental design, 178 participants viewed simulated dating app conversations and evaluated the online daters on likability, romantic attraction, and anticipated future interaction. Results supported CAT predictions where participants rated individuals who used converging messages as more likable, attractive, and desirable for future interaction than those with a diverging message style. However, no signifcant diferences were found between Tinder and Hinge in moderating these efects. Tese fndings suggest that while linguistic mimicry enhances relational impressions during initial online dating exchanges, platform-specifc design and reputational diferences may play a limited role in shaping early-stage perceptions. Implications for digital dating communication and extensions of CAT in technologically mediated environments are discussed.
Online dating has become one of the most common and popular forms to meet a romantic partner (Ellison et al., 2006). In 2023, the Pew Research Center reported that three in ten U.S. adults have used a dating app, highlighting its growing use (Pew Research Center, 2023). When engaging in online dating, individuals will create a profle, match with a potential partner, engage in the messaging process, and if all goes well, eventually meet in person. During online dating, users will use their profles and messaging to create positive self-impressions to attract potential partners. Often, this positive profle and message development will increase individuals’ sense of likability, attraction, and wishes for future interactions with the potential partner they are viewing. Previous research has spent decades examining this area of research (Ellison et al., 2006; van der Zanden et al., 2021; van der Zanden et al., 2019). However, little research has focused on the initial message production during online dating, specifcally examining third-party observations of online daters and their messaging styles.
Te Communication Accommodation Teory states that individuals strategically adapt their speech, gestures, and nonverbal cues to align with or distinguish themselves from their conversational partners (Giles et al., 1973). When communication partners align their message style, a heightened sense of connection and likability occurs. Tis alignment, known as convergence, typically fosters greater social approval, connection, and relational satisfaction (Giles & Ogat, 2007). To the opposite end, when communication partners distinguish themselves from each other, this is known as divergence. Tis process often leads to unfavorable relational outcomes (Giles & Ogat, 2007). While CAT has traditionally been applied to face-to-face interactions, it is increasingly relevant in technology-mediated communication. Specifc linguistic strategies, or textisms (i.e., emoji usage), can serve as indicators of accommodation in digital interactions.
It is necessary to develop further knowledge within this area to understand how online daters are perceived during the initial messaging stage and if these messages predict likability, attraction, or an opportunity for future interaction by the message viewer. Tis study aims to contribute an enhanced understanding of online dating and individuals’ perceptions of daters’ messaging styles. Tus, we begin with an overview of the Communication Accommodation Teory and modern online dating perceptions. Finally, we test the principles of CAT between dating platforms.
Communication Accommodation Teory
Te Communication Accommodation Teory (CAT) is a theoretical framework focusing on how individuals modify their communicative behaviors to create, maintain, or decrease social connection within interactions (Giles et al., 1973). Initially developed as the Speech Accommodation Teory, CAT explains linguistic adjustments in interpersonal communication. CAT posits that individuals strategically adapt their speech, gestures, and nonverbal cues to align with or distinguish themselves from their conversational partners (Giles et al., 1973). Additionally, CAT mediates interpersonal and intergroup relationships (Gallois et al., 2005). In these intergroup settings, “speech accommodation is often positively evaluated” (Gallois et al., 2005, p.19). Terefore, people who do not accommodate their speech are viewed negatively than those who accommodate their speech.
CAT has four main propositions (Giles, 2016). First, CAT assumes that interactions are shaped by both the individuals involved and the broader social and historical contexts. For example, healthcare workers may modify their speech rate, infection, and word choice when interacting with cultural and linguistically diverse patients (Jones et al., 2007). Tese alterations may happen because the patients and providers do not speak the same language, and/or due to misinterpretations in the meaning of messages. Further research indicates that increased acts of communication accommodation are correlated with increased investment, commitment, and satisfaction (Rusbuldt et al., 1991). Second, CAT
argues that interactions do not occur within a series of episodic vacuums, but rather that social statuses and identities are exchanged and assessed via accommodating behaviors. Conversations such as fnancial negotiations between parents and adult children (Serido et al., 2010) or social scripts used during dating (Honeycutt & Bryan, 2011) illustrate how roles and accommodations shift based on context. Tird, and closely connected to CAT’s second tenet, is that people tend to have a series of expectations regarding the appropriate amount of accommodation in each script or environment. Too much communication alteration (i.e., overaccommodation) or too little (i.e., under accommodation) can violate the expectations of a given episode or relationship (Giles, 2016). Lastly, CAT proposes that accommodation occurs through intentional behaviors known as convergence and divergence (Giles, 2016). Tis proposition is the highlight of the present study.
Convergence
Convergence is the process by which individuals adapt their communicative behaviors to be like their communicative partner (Giles et al., 1991). Research suggests that this perceived similarity fosters positive orientations and interpersonal certainty, which enhances relational bonds (Giles et al., 1991). When CAT was originally adapted, convergence was often focused on linguistic and paralinguistic parameters. For example, if convergence occurred, oftentimes this meant communicative partners were sharing similar tone of voice, word choices, and length of statements.
Divergence
In contrast, divergence refers to how speakers accentuate linguistic and nonverbal diferences between themselves and their communicative partner (Giles et al., 1991). Divergence is often employed as a means of asserting individuality, maintaining group distinctiveness, or establishing dominance in a social interaction (Pérez-Sabater, 2017). While convergence fosters interpersonal involvement, divergence can serve as a method of maintaining personal identity and boundaries. However, recipients often perceive divergence as impolite, insulting, or even hostile (Giles et al., 1991). Similar to convergence, CATs focus on the accommodation of speech, which was initially focused on linguistic and paralinguistic cues. For example, if one partner responds with curt, angry remarks while the other uses positive language, this speech divergence signals relational disconnect. Tis diversion in speech indicates a diference and would result in less connection to the communicative partner.
Textisms
Although CAT has primarily focused on face-to-face (FtF) interactions, it has been extended to computer-mediated communication (CMC), such as texting and online messaging. Scholars have operationalized convergence and divergence in CMC through textisms, which are nonverbal and verbal cues utilized when visual and auditory cues are not accessible (Adams et al., 2018). Tese items convey nonverbal and verbal messaging and are often identifed to be used intentionally to mimic or diverge from a relational partner’s message when wishing to convey more information when face-to-face communication cannot be accomplished (Adams et al., 2018). Tese relational icons are items such as emojis, emoticons, and intentional misspellings (i.e., “How are youuuuu?”). Specifcally, when messaging through an online dating platform, users who are converging in their messages may share emojis back and forth to indicate interest, whereas alternatively, users who are not interested may diverge and send no emojis in response. For example, one study showed how individuals may match the frequency and style of text-based messages to align with their partner (Riordan et al., 2013).
CAT Relational Outcomes
CAT not only explains how people interact but also predicts relational outcomes based on accommodation behaviors. In general, research shows that convergence in
communication styles via CMC leads to more favorable relational evaluations. Gonzaga et al. (2007) examined married couples when they converge or diverge through textbased messages. Results indicated that when couples converged in their messaging styles, they were seen as more likable and satisfed within their relationship. Due to constraints on examining dyadic interactions, research with CAT and online communication has primarily examined third-party observations. In a recent study, authors supported the idea that as individuals converge in their message styles via text, third-party observers will likely rate the individual as more likable than those who diverge in their message style (Nixon & Guajardo, 2022). Additionally, users who matched their communicative partner’s use of emojis and emoticons appeared more likable than users who failed to use emojis. PérezSabater (2017) indicated that as individuals converge their messaging styles with their communicative partners are perceived as more attractive and likable. Tied together, these fndings suggest that there are meaningful relational outcomes that come from mimicking messaging styles in CMC processes.
Specifcally, for online dating, matching messaging styles is particularly important. Several studies have examined the importance of certain relational behaviors and dating profles to predict future engagement and attraction of online daters (Sharabi, 2022 Van der Zanden et al., 2019; Van der Zanden et al., 2022). However, the initial messaging stage for online daters has been overwhelmingly understudied, specifcally utilizing CAT principles. Existing research indicates that as individuals cultivate their profles and messages positively, they are more likely to be seen as more attractive and interacted with in the future. As converging messaging styles primarily indicate a positive connection of similarity, the following study examines the two principles of attraction and anticipated future interaction. Furthermore, as likability is connected to converging messaging styles, this study wishes to extend this research into the online dating context. Tus, we propose the following hypothesis:
H1: Participants who view converging messages are more likely to:
a) indicate interest in a future interaction with the online dater.
b) report the online dater as likable.
c) report the online dater as attractive.
Dating Platform Diferences and CAT
Although online dating applications (apps) are widely used, individual apps have more popularity than others. In a 2023 Pew Research Center study, researchers found that 46% of online daters have used Tinder. Several participants also indicated using Match (31%) or Bumble (28%). However, Hinge was one of the most common platforms for individuals who indicated they were 18-29 years of age, where 39 percent of these users shared, they used this dating app. Recently, scholars have been suggesting the idea that dating apps are becoming increasingly “gamifed”, where users engage in swiping mechanisms like those found in games (Solovyeva & Laskin, 2022). Tis gamifcation raises questions about how users can efectively navigate online dating to form romantic connections, regardless of their partner preferences. In response, this study draws on CAT principles to explore how message production and mimicry may support users’ success in the online dating process. With specifc apps (e. g., Tinder) being empirically suggested as a “gamifed” app, in addition to its specifc design, the present study examines diferences in relational outcomes through CAT in dating apps. Specifcally, comparing Hinge and Tinder. Tinder, launched in 2012, is a location-based online dating application enabling its
users to connect with potential dating matches. Since its launch, Tinder has experienced continuous growth (Pew Research Center, 2023). Like other dating apps, the primary motivation for Tinder use is casual sex (Daneback et al., 2007); however, in popular media, Tinder has particularly gained a reputation as the “hook-up app” (Sales, 2015). In the past few decades, the motivations to use Tinder have been heavily investigated, with two studies confrming Tinder as a “hook-up” space (Carpenter & McEwan, 2016; Gatter & Hodkinson, 2016). On Tinder, women will spend around 8.5 minutes and men 7.2 minutes swiping during a single session (Bilton, 2014). Tis gamifed perception aligns with its reputation as a platform for casual hookups (LeFebvre & Fan, 2019). Additionally, Sumter et al. (2017) developed a scale to test motivations to use Tinder, fnding that gender diferences and sexual connection tend to matter the most among user perceptions, ultimately reinforcing the dating applications’ perceptions. Furthermore, a comparative study between Tinder and Parship found that users reported lower levels of trust in Tinder (Silva et al., 2019). Beyond user perceptions, Tinder is widely known for its unique design features. Tinder specifcally allows users to see visual impressions of others, with more pictures than text. Ultimately, the picture of the individual is the frst item you see when opening the app, priming visual cues and impressions. Furthermore, individuals are allowed an unlimited number of matches, having opportunities to keep swiping until they fnd their match.
In contrast, Hinge is an online dating app that markets itself as “the app designed to be deleted”, emphasizing the app’s focus on creating long-term relationships. Although empirical research on this perception remains limited, recent media highlights how users perceive the platform. In a recent article by Fortune, journalist Rogelberg (2024) writes that Hinge is a space that many are focking to fnd a long-term partner. Rogelberg (2024) shares that although Hinge and Tinder are owned by the same parent company and share conceptual similarities, they are not viewed equally by users. Citing a 2023 Wells Fargo survey, Rogelberg (2024) shared, “about 85% said they didn’t use Tinder because it was a platform they associated with hookups, but only 28% said they didn’t use Hinge for the same reason. Similarly, over half of respondents said they wouldn’t use Tinder because a friend said they had a bad experience on the app; only 20% said the same of Hinge (Rogelberg, 2024). In addition to user perceptions, Hinge ofers unique design features with opportunities for a lengthy profle section with added text information, multiple images, and even an opportunity to include voice text. Additionally, Hinge has a limited number of matches a day and relies on the user to scroll through the whole profle of a potential match to learn everything about them prior to engaging in messaging (Rahbari et al., 2023). Te space of Hinge is a unique one, allowing users to expand on themselves and their personalities, set aside from physical appearance.
Given the diference between Tinder and Hinge in their design features and cultural perceptions, it is important to understand how individuals view online daters based on their messaging styles on each platform. Specifcally, we recognize that initial messages on dating platforms are critical moments for users, making this stage the focus of the present study. To explore possible positive relational outcomes amongst the applications of Hinge and Tinder and converging and diverging messages, the present study examines three variables: likability, social attraction, and prediction of future interaction. While romantic attraction and predictions of future interaction have been examined in initial messaging contexts, they have not yet been studied through the lens of CAT. Additionally, previous research has shown that individuals who use converging messaging styles are perceived as more likable (Nixon & Guajardo, 2022).
Based on this examination of messaging and the features of the dating applications discussed, there is an expectation that individuals with a converging style on Hinge will
be seen as more likable and attractive. Based on this previous research, we impose the following hypothesis:
H2: Tere is an interaction efect between platform and messages such that participants who view converging messages on Tinder are less likely to:
a) indicate interest in a future interaction with the online dater.
b) report the online dater as likable.
c) rate the online dater as attractive.
Method
Participants
Te fnal sample included 178 adults and college students in the United States. Participants were on average 22.87 years old (SD = 5.86), ranging from 18 to 60 years old. Te sample was primarily female (n = 121, 68%) or male (n = 28, 15.7%), with four nonbinary participants (2.2%). One participant preferred to self-describe their gender, and 26 participants did not record their gender. Participants identifed as White (88.15%), Asian (6.58%), Black (4.61%), Native American or Alaskan Native (1.32%), Native Hawaiian (0.66%). Te remaining participants (7.24%) identifed as another ethnicity or preferred not to share. Additionally, we assessed participants’ familiarity with online dating. Te item consisted of a fve-point scale assessing their overall familiarity with online dating, where fve indicated being very unfamiliar and one indicated being very familiar. Te majority of participants were somewhat familiar with online dating (M = 2.84, SD = 1.44).
Procedure
Participants were recruited through convenience sampling via the researchers’ social networks. Participants were asked to take a survey that took no longer than 8 minutes. Te frst page of the online questionnaire contained the consent form. Once they agreed to participate in the research, participants were randomly assigned to view one of four conversations. Once they viewed these messages, they assessed the likability of the online dater and if they believed they would likely continue future interaction with the dater. Finally, participants completed demographic items. Te research was approved by the Institutional Review Board of the same Southeastern University as the authors.
Conditions
Te experiment was a 2 (linguistic feature) x 2 (platform) factorial design. Te messages were split into converging and diverging messages. Within the messages, linguistic features of 1) emojis, 2) capitalization (beginning of sentence, proper nouns), 3) exclamatory punctuation, and 4) replying to multiple messages with separate responses versus a single text response will be used. Te absence of linguistic cues represented the diverging messages, and the presence of linguistic cues represented the converging messages. Te messages were also designed to be featured on Hinge or Tinder.
Independent Variables Converging Messages Diverging Messages
Tinder Converging messages on Tinder
Hinge
Diverging messages on Tinder
Converging messages on Hinge Diverging Messages on Hinge
Measures
Likability: Deliberate evaluations of the potential romantic target were assessed with a fve-item likeability questionnaire from Sritharan et al. (2010). Specifcally, participants were asked: (1) ‘‘How much do you like the person in the profle you have just seen?’’ (2) ‘‘Would you like to go out on a date with this person?’’ (3) ‘‘Would you like to be friends with this person?’’ (4) ‘‘Do you think this person is nice?’’ (5) ‘‘Would you like to get to know this person better?’’ Responses to these items were assessed with scales ranging from 1 (not at all) to 7 (very much). Higher values represented a greater likability of the individual (α = .94).
Prediction of Future Interactions: Desire for future interaction was captured with fve items from Sharabi and Caughlin’s (2017) Anticipated Future Interaction Measure. All items (e.g. “I would like to have another conversation with this person”; “I hope I never talk to this person again.”) were scored on a 1 (strongly disagree) to 7 (strongly agree) scale and averaged. Higher values represented a greater desire for future FtF interaction (α = .94.)
Romantic Attraction: Romantic attraction was captured with fve items from Campbell’s (1999) Romantic Attraction measure. Tree items (“How attractive do you fnd this person?”, “How desirable would you fnd this person as a dating partner?”, “How much would you actually like to date this person?”) were scored on a 1 (not at all) to 7 (very) scale and averaged. One item (“How would you feel about yourself if you were dating this person?) was scored on a 1 (very bad) to 7 (very good) scale. Te fnal item (“How do you think your friends would feel about you if you were dating this person?”) was scored on a 1 (disapproving of me) to 7 (approving of me). Higher values represented a greater romantic attraction to the other (α = .95).
Results
To test H1 and H2, we ran a multivariate analysis of variance (MANOVA). Results showed a signifcant main efect for H1, Wilks Λ = 0.87, F(3,152) = 0.34, p <.001. To further explore H1, we ran three post hoc t-tests. H1a posited that participants who view converging messages are more likely to indicate interest in a future interaction with the online dater. Results did support the hypothesis, where participants who viewed converging messages (M = 3.74, SD = 1.03) indicated more interest in a future interaction than those who viewed diverging messages (M = 3.25, SD = .92), t(176) = 3.37, p <.001. H1b posited that participants who view converging messages are more likely to report the online dater as likable. Results did support the hypothesis, where participants who viewed converging messages (M = 3.13, SD = 0.94) rated the online dater as more likable than those who viewed diverging messages (M = 2.54, SD = 0.92), t(176) = 4.16, p <.001. H1c posited that participants who view converging messages are more likely to rate the online dater as attractive. Results did support the hypothesis, where participants who viewed converging messages (M = 3.11, SD = 1.37) rated the online dater as more likable than those who viewed diverging messages (M = 2.32, SD = 1.35), t(156) = 3.62, p <.001.
For H2, we predicted an interaction efect between the dating platforms and messages. Results did not support the hypothesis, Wilks Λ = 0.99, F(3,152) = 0.34, p = 0.80. Tere was no signifcant interaction between independent variables.
Discussion
Tis study sought to extend the Communication Accommodation Teory (CAT) into the online dating context. Although the CAT has been widely studied in online communication, its role in online dating remains underexplored (Adams et al., 2018; Nixon & Guajardo, 2022). More specifcally, research is needed to understand perceptions of online daters in their message styles during initial exchanges between daters. In this study, Tinder and Hinge were primarily examined due to their popularity, diferences in societal perceptions, and afordances (Solovyeva & Laskin, 2022; Rahbari et al., 2023). In
general, our fndings suggest that CAT principles are upheld in initial message perceptions of online daters. Participants consistently rated converging messages more favorably, indicating that accommodation leads to better relational outcomes. Tese included higher ratings of likability, social attraction, and anticipated future interaction. However, our fndings do not support the idea that individuals perceive daters diferently on the platforms, regardless of their converging or diverging style. Ultimately, Tinder and Hinge did not provide diferences in the proposed relational outcomes.
Implications for Online Dating and CAT
Our study has important practical and theoretical implications. Te main goal of this study was to examine communication accommodation during initial online dating messaging. Teoretically, it afrms that CAT principles extend into online dating, highlighting the importance of communication accommodation in early-stage digital interactions. Ultimately, the present study suggests that converging messages do lead to more favorable relational outcomes. In online dating, how an individual perceives a potential partner, such as fnding them attractive, likable, or wanting to interact with them again, is a key component of the meeting process. Practically, these fndings suggest that online daters may beneft from adopting their partner’s messaging style, especially during the initial exchange.
Interestingly, our hypothesis that platform diferences would change relational outcomes regardless of the message style was not supported. Ultimately, Tinder and Hinge did not provide diferences in relational outcomes of possible future interactions, likability, and romantic attraction. Tis suggests that users may focus more on the message itself rather than the app through which it is delivered. Te design or social reputation of the platform may be less infuential during the earliest stages of interaction than previous research suggests.
Limitations and future directions
Tis study has several limitations. First, this study was done through third-party observations of fctional users, which may have afected their perceptions. Without direct engagement, participants may have responded diferently than they would in a real interaction. Tis suggests that a lack of direct communication may afect their perceptions. Future research should extend the study to have an individual send converging or diverging messages on various dating apps and then have the respondent to the messages respond in real time to the same outcome measures present in our study. Second, while participants were informed whether messages came from Hinge or Tinder, the manipulation of platform diferences could have been stronger. Future research should replicate the present study and create stronger indications of converging or diverging messages. Tird, our study did not include the other popular dating apps, such as Bumble. Due to a lack of funding to crowdsource a large sample size, an even number of participants per condition for more than two dating apps was necessary, but not feasible. Tus, only two platforms, Hinge and Tinder, were considered. Future research should consider replicating the study while adding Bumble, eHarmony, and other commonly viewed apps. Additionally, when examining the diferent apps, utilizing their specifc design features may be necessary. Tis study focused mainly on text-based features; however, given that some platforms allow for more diverse communication formats, future work should explore how visual and auditory cues (i.e., images and voice notes) interact with CAT principles to infuence perceptions in online dating contexts.
In general, future research is necessary to fully understand the application of CAT within online dating. While our study indicates that CAT principles are upheld, we did not fnd diferences across platforms. Previous work has emphasized the importance of initial message processing in shaping relational outcomes in online dating (Sharabi, 2022).
We propose that qualitative approaches are a valuable next step. Open-ended interviews with individuals who have engaged in online dating could provide deeper insight into why mimicked messages are perceived more favorably, regardless of platform.
Conclusion
Our fndings highlight how the CAT operates in early online dating interactions. Tis study contributes to the broader understanding that relational outcomes in online dating, such as likability, romantic attraction, and desire for future interactions, are important to understand in initial message interactions. When individuals converge in their messaging styles, their outcomes are positive. However, the platforms of Hinge and Tinder did not signifcantly difer in these outcomes. Future research should continue to explore communicative accommodation in online dating with a focus on cross-platform comparison and dyadic, direct, and live participant messaging.
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About the Authors:
Mckenzie Hurley, Corynne Dunaway, Kylie Ramming, and Katherine Stevens are graduating seniors in the CNU Communication Department. Studying communication, they focused on interpersonal communication, taking courses such as nonverbal and the dark side of interpersonal communication. All four students graduate with Lambda Pi Eta membership, a nationally recognized honor society for communication studies. Mckenzie will attend Penn State in the fall to receive her Master’s and PhD in Interpersonal Communication focusing on relationships and technology engagement. Kylie will return to Arlington VA to pursue the workforce, hopefully in a nonproft sector. Corynne will return home in hopes to pursue a Master’s in Student Afairs. Katie will attend NC State in the fall to pursue a strategic marketing Master’s degree.
A Forgotten Chapter in the Revolutionary Era: Philadelphia’s Jewish Patriots Maeve Korengold
Faculty Sponsor: Dr. Phillip Hamilton, Department of History
Abstract
Tough often relegated to the periphery of historical narratives, the nascent Jewish community of Philadelphia, Pennsylvania played a pivotal and multifaceted role in the American Revolutionary War (1775-1783), actively contributing to the colonies’ fght for independence from the British Crown. Jewish colonists were drawn to the city by opportunities for social and economic mobility, evolving legal parity, and a historical consciousness of oppression, and in turn were fervent supporters of the American colonies’ independence from Great Britain. Core Jewish values, including tzedakah, tikkun olam, and the principle of defending liberty, which manifested in fnancial support of the war, advocacy for justice, and military service, were key motivators for these men’s involvement.
Trough examining key Jewish fnanciers, social justice advocates, military fgures, and communal actions in the city, I demonstrate the integral role of Philadelphia’s early Jewish population in the Revolution. Furthermore, I address the post-war struggle for full inclusion of Jews in the early republic, highlighting the persistent socio-political barriers despite their demonstrated patriotism and advocacy for religious freedom. Tis research underscores the nuanced motivations and impactful engagement of early Jewish Americans in the Revolution and their subsequent pursuit of equality–which remain relevant to the experiences of immigrants to the United States today.
Introduction
While some may associate Jewish immigration to the United States with an infux from Eastern Europe through the twentieth century, Jews’ arrival in the Americas began far earlier. Te frst Jewish migrants to the Americas landed in Dutch New Amsterdam in 1654, after the Portuguese reconquest of Recife, Brazil.1 Te colonial governor of the area, now known as New York City, immediately called for the twenty-three men’s removal, decrying them as members of a “repugnant” and “deceitful” race.2 Under Dutch governorship, Jews could not vote, hold public ofce, worship in public, purchase land, work as craftsmen, or engage in retail, and paid high taxes not levied on their Protestant counterparts.3 When the Dutch Empire began to decline and Britain laid claim to the settlement, discrimination against Jews in these areas in favor of the Protestant majority continued.4 Despite lacking equal social, economic, and political standing,5 small Jewish communities had begun to put down roots as successful members of the British-American colonies by the mid-eighteenth century. 6
Te very frst Jewish Americans played a distinctive part in the revolutionary cause, motivated by economic and social prospects, growing legal parity, and a history of persecution intensifying the ache for independence from Britain. In the city of Philadelphia, where Jews were notably concentrated and gave fnancially, politically, and militarily according to their spiritual values, they had a signifcant role in advancing American national identity and pushing for religious inclusivity in American government.
Philadelphia: A Refuge and Rallying Point
Historians have identifed fve major centers of Jewish settlement in the American colonies: Newport, Charleston, Savannah, New York City, and Philadelphia.7 Tese cities’ large populations ofered relative religious liberalism, allowing Jewish residents to go largely unnoticed. Founded by Quaker8 advocate William Penn in 1682 as a “haven of religious freedom” for members of minority faiths, the colony of Pennsylvania began to attract Jewish immigrants in 1706.9 Te city of Philadelphia was notably tolerant, made evident by the 1752 State House Bell proclaiming “Liberty throughout the Land unto all Inhabitants Tereof–” a phrase found both in the Torah and the Christian Bible’s Old Testament.10
As tensions with the British Crown escalated, the majority of Jewish colonists aligned themselves with the rebellion.11 Philadelphia became a hub for Jewish patriots and other “political refugees,” much like what New York City and Newport were for American loyalists.12 At the urging of their spiritual leaders, many Jewish families resettled in
1 Howard Sachar, “A Foothold in the Early Americas.” In A History of the Jews in America,9-32, (New York: Random House, 1993): 12-13.
2 Oscar Reiss, The Jews in Colonial America, (Jefferson: McFarland, 2004): 2-4.
3 Leonard Dinnerstein, Antisemitism in America, (New York: Oxford University Press, 1995): 5.
4 Dinnerstein, 5.
5 Sachar, “A Foothold in the Early Americas,” 19-20.
6 J. George Fredman and Louis A. Falk, “A New Nation Is Born.” In Jews in American Wars, 9-23 (Hoboken: Terminal Printing, 1942): 12.
7 William Pencak, “Jews and Antisemitism in Early Pennsylvania,” The Pennsylvania Magazine of History and Biography 126, no. 3 (2002): 378, http://www.jstor.org/ stable/20093547.
8 A member of the Religious Society of Friends, a Christian movement founded during the seventeenth century devoted to peaceful principles, that rejects formal ministry and traditionally established forms of worship.
9 Dinnerstein, Antisemitism in America, 6.
10 Sachar, “A Foothold in the Early Americas,” 13.
11 Samuel Rezneck, Unrecognized Patriots: The Jews in the American Revolution, (Westport: Greenwood Press, 1975): 5.
12 Pencak, “Jews and Antisemitism in Early Pennsylvania,” 378.
Philadelphia, whose military occupation by the British was considerably shorter than that in Savannah, Charleston, Newport, and especially New York City.13 For example, Benjamin Nones, who would become a major in the War and an interpreter for the French and Spanish to the United States, came frst to Savannah from Bordeaux, France, before settling in Philadelphia.14 Jonas Phillips, a merchant and social advocate, would come frst from Prussia to London, then New York, then Charleston, before arriving in Philadelphia.15 Financier Haym Saloman was born in Poland and lived in New York before feeing to Philadelphia during the War.16 Tese men would become integral actors in the fnancial and social afairs of the city during the revolutionary and post-war period.
Motivations For Jewish Patriotism in Philadelphia
Upon their arrival, many Jews became embroiled in Philadelphia’s political and military afairs, as the city became a capital of the Revolution. Jews’ decision to remain in the colonies and support American independence was indicative of both the practical opportunity and idealistic hope ofered by the cause. Tere were four main factors in the movement of Jews to the city and their patriotism: economic opportunity, social networks, evolving legal status, and historical context.
Economic Prosperity
Te potential for fnancial success was a major impetus for early Jewish immigration to the American colonies. By the mid-eighteenth century, Jewish merchants made up ffteen percent of the colonies’ import and export frms, primarily dealing in cocoa, rum, wine, fur, and textiles.17 During the French and Indian War (1754-1763), Britain’s reliance on colonial trade spurred new economic opportunities, attracting more Jewish immigrants from Central Europe.18 Philadelphia was of particular interest for immigrants looking to get involved in the mercantile feld, as its location on the western shore of the Delaware River made it one of the most robust port cities in the British American colonies.19 Te family of Nathan Levy, for instance, arrived in Philadelphia around 1736. By acquiring ships and other property to transport goods and indentured servants to New England ports, the Levys became some of the frst successful Jewish merchants in the colonies.20 Teir relocation to Philadelphia from New York was motivated by the economic prospect it ofered their business.21 Jewish patriots hoped victory over Great Britain would bring even greater economic opportunity and integration.
Social Networks
Philadelphian Jews deliberately joined existing gentile social clubs, rather than attempting to form their own exclusive clubs as Jews in other colonies did.22 Tis unique breakdown of cultural barriers allowed them to make stronger social and business ties with successful gentiles in the city. Te American Philosophical Society, founded by Benjamin Franklin in Philadelphia as the oldest learned society in what would become the United
13 Rezneck, Unrecognized Patriots, 14-17.
14 Pencak, Jews and Anti-Semitism in Early Pennsylvania, 370.
15 Ibid.
16 Ibid.
17 Sachar, “A Foothold in the Early Americas,” 21.
18 Sachar, 21.
19 Toni Pitock, “Commerce and Community: Philadelphia’s Early Jewish Settlers, 1736–76.” The Pennsylvania Magazine of History and Biography 140, no. 3 (2016): 275, https://doi. org/10.5215/pennmaghistbio.140.3.0271.
20 Pitock, “Commerce and Community,” 276-77.
21 Pitock, 277.
22 Jonathan Awtrey, “Enlightened Judaism: Polite Sociability and Jewish Migrants’ Pursuits of Status in Eighteenth-Century Pennsylvania.” Transactions of the American Philosophical Society 110, no. 2 (2022): 246. http://www.jstor.org/stable/45400913.
States, provided distinctive opportunities for Jews to learn the “genteel etiquette and civic virtue” necessary for integration.23 One notable gentile member of the Society was Doctor Benjamin Rush, who through the group met Jewish physician David Nassy, an immigrant from Suriname24 to Philadelphia. Te two would eventually care for yellow fever patients together during Philadelphia’s 1793 epidemic.25 Moses Sheftall, a second-generation Prussian Jew, studied medicine under Dr. Rush after meeting him through the Society and became the frst American-born Jew to receive a formal medical education.26
Similarly, engagement in leisure activities, like attending the Chestnut Street Teatre and social dancing allowed for social interaction with gentiles and dismantled traditional cultural barriers. One specifc example of social interaction is the Indian Queen Tavern in Philadelphia, which served as a vital hub for both business and social exchange. During the pre-revolutionary era, taverns were the “provincial equivalent” of salons in Paris and Berlin known as emblematic of the Enlightenment.27 In this casual but consequential environment, Jews were able to show their counterparts that they had similar values and capabilities, and further blend into intellectual society in the city.
Freemasonry emerged as a particularly signifcant social association that bridged cultural divides. Prominent gentile Freemasons in Philadelphia, including Provincial Grand Lodge of Pennsylvania Grand Master William Allen, Benjamin and William Franklin, and Robert Hunter Morris, ofered support and patronage to Jewish individuals.28 Jewish men like Solomon Bush, Jonas Phillips, Benjamin Nones, Haym Salomon, and Isaac Moses were active participants in Philadelphia Masonic lodges.29 Freemasonry’s adoption of symbolism and terminology from ancient Judaism created a sense of shared heritage and belonging: some lodges followed the Hebrew calendar, borrowed from Old Testament history, and adapted Jewish rites and rituals into their Masonic cultural practices.30 For Jewish activists seeking social emancipation and religious freedom, Freemasonry served as a valuable “cultural touchstone” in their pursuit of social acceptance and equal rights.31 Te one-tofour proportion of Jewish members to gentiles in Philadelphia’s Masonic lodges by the 1770s underscores the extent of this social integration.32 It was through these social connections that a signifcant number of Jews, one of them Haym Salomon, were encouraged to join the Sons of Liberty, the group responsible for the Boston Tea Party, along with their gentile connections, including Doctor Benjamin Rush.33
Te Prospect of Religious Freedom
Legal changes in the decades before the American Revolution were another factor in Jewish immigration to Philadelphia. Te Uniform Naturalization Act of 1740 allowed immigrants to Great Britain and her colonies to gain British citizenship after seven years in the colonies, signaling increased recognition of Jewish presence.34 Tough they were not yet allowed to worship publicly, the Jews of Philadelphia formed an unofcial congregation
23 Awtrey, 244.
24 A small country on the northern coast of South America, sometimes considered part of the Caribbean. Under Dutch occupation during the colonial period.
25 Awtrey, 244.
26 Awtrey, 243.
27 Awtrey, 245.
28 Awtrey, 253.
29 Ibid.
30 Awtrey, 253.
31 Awtrey, 254.
32 Awtrey, 256.
33 Paul Finkleman and Lance J. Sussman, “When Freedom Began to Ring,” Jewish Review of Books, 2023, https://jewishreviewofbooks.com/american-jewry/14147/when-freedombegan-to-ring/#.
34 Sachar, “A Foothold in the Early Americas,” 20.
in the 1740s that they called “Mikveh Israel:” Hebrew for “hope for the people of Israel.”35 Jews began to immigrate at larger rates to Philadelphia through the 1750s and 60s.36 By 1776, when the Declaration of Independence was signed in the city, the two thousand Jews living in the British American colonies thought of themselves as “the freest Jews on Earth.”37 At this time, Jews living in Britain could not vote, serve on juries or in Parliament, be military ofcers, attend a university, engage in some businesses, or practice law.38 Tere was no path to naturalization for Jews who came to Britain, so these immigrants paid permanent “alien taxes.”39 Tey were also prohibited from owning land or water vessels, or engaging in colonial or foreign trade due to their “alien” status.40 American Jews saw these disparities and knew how lucky they were to enjoy the privileges they did in the colonies, and hoped the reorganization of political power would give them an even larger and more direct voice.
Ideological Motivations
Te fnal, and perhaps the most powerful reason behind the majority of Jews’ initial support for the Patriot cause was their familiarity with the desire for independence from an oppressive entity. Expulsion from their countries of origin and ethnic discrimination were commonplace for Jewish Americans, making the values detailed in the Declaration of Independence more deeply resonant.41 Tey believed they had a responsibility to aid in the colonists’ plight, which echoed that of Jews in their homelands.
Jewish colonists’ support of the rebellion was twofold: they sought the economic and political mobility they believed would be granted by a sovereign America and felt the inherent responsibility to intervene in Britain’s abuse. Tey interpreted “life, liberty, and the pursuit of happiness” as a promise of their political, social, economic, and religious equality,42 and were willing to “sacrifce, to fght, and to die” for these principles to be immortalized.43
Te Question of Loyalty
Te trope that Jews are inherently disloyal was a main factor in antisemitism during the eighteenth century. In the context of the American Revolution, Jews were judged as Tories: American colonists who held sympathies for Great Britain. Profteers, people who took advantage of wartime to sell weapons, were denounced by their peers as “Rascally Tory Jew engrossers.”44 Even when they were not Jewish, public perception of profteers as exploitative of the sufering caused by war gave way to this expression of prejudice. In this respect, the American Revolution marked a transition of antisemitism from a popular but private prejudice to a political weapon in the public sphere. During the colonial period, Jews made up such a small percentage of most cities’ populations that they were largely ignored. Te turning point between ambivalence to active hostility shows in Samuel Adams’s August 1776 speech at the Philadelphia State House, where he called for American
35 “History–Congregation Mikveh Israel,” Congregation Mikveh Israel, 2014, https://www. mikvehisrael.org/history.
36 Dinnerstein, Antisemitism in America, 10.
37 Sachar, “A Foothold in the Early Americas, 23.
38 Paul Finkleman and Lance J. Sussman, “When Freedom Began to Ring,” Jewish Review of Books, 2023, https://jewishreviewofbooks.com/american-jewry/14147/when-freedombegan-to-ring/#
39 Finkleman and Sussman.
40 Ibid.
41 Fredman and Falk, “A New Nation is Born,” 21.
42 Rezneck, Unrecognized Patriots, xi.
43 Fredman and Falk, 21.
44 Charles Rappleye, Robert Morris: Financier of the American Revolution, (New York: Simon and Schuster, 2010): 172.
independence to be the frst step in “a reign of political Protestantism,”45 the religion he had previously written produced “the greatest, wisest, and best men this world has ever seen.”46 Tis proclamation, which coincided with the ofcial declaration of rebellion against Great Britain, refected the attitudes of the colonial public, who equated Protestant thought with the then-developing American virtue. Whether a Jew, or anyone who was not a Protestant, could be a “good American” became an item of controversy for the frst time during this period, allowing for widespread anti-Jewish prejudice.47
Jewish Values and the Patriot Cause
Although prejudice against Jews on ethnic and religious bases continued through the Revolution,48 much of the values promulgated during the period were consistent with Jewish spiritual standards. Tese principles guided Jewish involvement in the Revolution and were refected in its wider scope:
Tzedakah: Financial Support
Meaning “righteousness” or “justice” in Hebrew, tzedakah refers to the expectation that Jews give a portion of their income to charity.49 Scholars of Jewish studies emphasize the focus tzedakah puts on one’s responsibility to support their community, over individual needs.50 One Jewish settler wrote of this in a letter to her son: “Patriots generly act upon a private pact, but always blend their interest with the well[fare] of the commonweal[t]h.”51 Philadelphia ofered numerous opportunities for its residents to engage in monetary support of the patriot cause.52 Privateering, a venture where civilians invested in governmentcommissioned vessels seizing British property, was a popular avenue for Jewish merchants to support the Revolution. Auctioneer Isaac Moses was a major player in privateering and other patriotically motivated economic eforts. Known as the wealthiest Jew in Philadelphia at the time, Moses considered himself “a true Whig53 and friend of the liberties of the country.” 54 He was a vital contributor to the Continental Congress’s frst attempt at a national bank in 1781, and provided crucial funding to the Continental Treasury and Army between 1780 and 1783, without which the military victory at Yorktown may not have been possible.55 Haym Salomon, upon his 1778 arrival in Philadelphia, was recruited by Isaac Morris, the primary fnancier of the War, as a broker, buying and selling foreign bills of exchange and helping “dispose” of privateering prizes. By 1781, Salomon had become the leading bond broker in the city.56
Tikkun Olam: Pursuit of Justice Translating literally to “fx the world” in Hebrew, tikkun olam is another belief at the core of Jewish identity.57 Associated today with the heavy Jewish involvement in the push for
45 Samuel Adams, “American Independence.” August 1, 1776. From iBoston, https://www. iboston.org/mcp.php?pid=samAdamsIndepSpch&laf=rg.
46 Dinnerstein, Antisemitism in America, 11-12.
47 Pencak, Jews and Anti-Semitism in Early America, 366.
48 Dinnerstein, Antisemitism in America, 10-11.
49 My Jewish Learning, “Tzedakah 101,” My Jewish Learning, September 9, 2020, https:// www.myjewishlearning.com/article/tzedakah-101/.
50 Eugene B. Borowitz and Frances Weinman Schwartz, The Jewish Moral Virtues, (Philadelphia: The Jewish Publication Society, 1999): 129.
51 Michael Hoberman, “‘How It Will End, the Blessed God Knows’: A Reading of Jewish Correspondence During the Revolutionary War Era,” American Jewish History 99, no. 44 (015): 288, http://www.jstor.org/stable/24805490.
52 Rezneck, Unrecognized Patriots, 68.
53 An American colonist who supported the American Revolution; a patriot.
54 Rezneck, 69-70.
55 Rezneck, 70.
56 Rappleye, Robert Morris: Financier of the American Revolution, 268.
57 Elliot N. Dorff, The Way Into Tikkun Olam (Repairing the World), (Woodstock: Jewish Lights Publishing, 2005): 7-12.
climate action and other social justice movements, this idea was also relevant to the patriot cause, in which Jewish members of society felt a spiritual push to engage. Teir dedication was noted by Doctor Benjamin Rush, a signatory of the Declaration of Independence and a lifelong friend of Jews in Philadelphia. In his diary, Rush noted his impression that “Te Jews were generally Whigs, in every Stage of the Revolution.”58
Jewish patriots themselves wrote with an “emotional fervor” indicative of their deep ideological support of the cause.59 Benjamin Levy, one of about ten Jewish merchants who signed a Philadelphia non-importation agreement in response to the Stamp Act,60 wrote that he was “so agitated” by British actions against the colonies that he could “think of nothing else.”61 Levy was among the men trusted by the Continental Congress to sign bills of credit produced to fund the patriot war efort,62 one of the few formal ways Jewish Americans could participate in revolutionary governmental reorganization.
Trough these eforts, Jewish patriots hoped to create a better world for themselves and their successors by replacing the structures that allowed Great Britain to exploit the American colonies and creating a system promoting social, political, and economic equality.
“Obligatory War:” Military Support
While exact records are scarce,63 Jewish Americans are noted for their participation in the Continental Army, with approximately one in twenty-fve Jews serving–around 100 Jewish soldiers in total.64 Te Mishna, Jewish oral law, distinguishes between “discretionary” and “obligatory” wars, with the latter being a defense against attacks on a people’s liberty.65 Tis value even translated to federal actions, exemplifed by John Adams, Benjamin Franklin, and Tomas Jeferson’s frst draft of an ofcial United States Seal. Te 1776 iteration depicted the parting of the Red Sea for the Israelites to cross, with the suggested motto “Resistance to Tyrants is Obedience to G-d.”66
Some of the most well-known Jewish military fgures hailed from Philadelphia. Solomon Bush, the son of Philadelphian merchant Mathias Bush, became a lieutenant colonel in the Continental Army in 1779, the highest rank held by a Jewish ofcer during the period.67 David Salisbury Franks68 was another Jewish ofcial who made his mark on patriot military history. After meeting Benedict Arnold at the Battle of Saratoga in 1777, Franks served as his aide-de-camp through Arnold’s command of Philadelphia.69 Following Arnold’s trial and fall from grace, Franks remained a vital player in the remainder of the War’s military action. 70
In these three ways, Jewish colonists demonstrated their commitment to the patriot cause, upholding core values of charity, justice, and responsibility for defending liberty.
58 Benjamin Rush, “Excerpts from the Papers of Dr. Benjamin Rush,” The Pennsylvania Magazine of History and Biography 29, no. 1 (1905): 29.
59 Hoberman, “How It Will End, the Blessed God Knows,” 282.
60 Rezneck, Unrecognized Patriots, 13-14.
61 Hoberman, 295.
62 E. D. C., “Benjamin Levy.” Publications of the American Jewish Historical Society, no. 34 (1937): 273.
63 Rezneck, Unrecognized Patriots, 22.
64 Hoberman, “How It Will End, the Blessed God Knows,” 303.
65 Jewish Virtual Library, “Military Law,” Jewish Virtual Library, https://www. jewishvirtuallibrary.org/military-law, Accessed October 23, 2024.
66 “Proposal for the Great Seal of the United States, [before 14 August 1776],” From National Archives, https://founders.archives.gov/documents/Franklin/01-22-02-0330.
67 Rezneck, Unrecognized Patriots, 25-27.
68 Rezneck, 25. No relation to David Franks, a member of the prominent Jewish loyalist Franks family that resided in New York City.
69 Rezneck, 28-29.
70 David Salisbury Franks, “David Salisbury Franks to George Washington,” May 12, 1789, From National Archives.
However, they would not reap the full scope of the benefts of American independence. From Revolution to Reality
Jewish patriots believed they had earned equal social standing after the War; having made personal and fnancial sacrifces for a government they hoped would afrm them as full members of society. Trough the late eighteenth century, Philadelphia’s Jewish veterans and merchants like Isaac Moses, Jonas Phillips, Isaac Franks, Isaac Levy, and Haym Salomon demonstrated this desire, presenting an Address of Loyalty to Congress in 1783.71 Despite these expressions of commitment, Jewish Americans continued to be excluded from political life. Tere were no Jewish delegates to the Continental Congresses, signatories to the Declaration of Independence, or members of the Constitutional Convention.72 In part, this defcit was due to the Pennsylvania Constitution’s requirement that public ofceholders “acknowledge the Scriptures of the Old and New Testament to be given by Divine inspiration.” Several other state constitutions during this time included similar clauses, which efectively barred Jewish political participation.73
Jewish advocacy for political inclusion continued throughout the early Republic, particularly in Philadelphia, where Jews continued to be active participants in society where they were able. Philadelphia merchant Jonas Phillips highlighted the defcits that existed for Jewish Americans on behalf of his congregation Mikveh Israel in a 1787 letter to George Washington, urging support for the removal of religious oaths in the Pennsylvania Constitution and advocating for religious liberty in the federal Constitution. Phillips wrote: It is well Known among all the Citizens of the 13 united states that the Jews have been true and faithful Whigs…they have supported the cause, have bravely fought and bleed for Liberty which they can not Enjoy.74
His call was answered by the U.S. Constitution in 1788, which upon ratifcation prohibited religious oaths for federal ofce.75 Jewish Philadelphians jubilated over this advancement and fully participated in the celebration: notably, in the Grand Federal Procession in honor of the ratifcation.76 In 1790, Haym Salomon and other Jewish Philadelphians77 successfully lobbied for a revised Pennsylvania state oath that required only an acknowledgment of “a G-d and a future state of rewards and punishments” to hold state ofce.78 However, stigma against Jewish people as cunning, materialistic, and disloyal kept Jews out of Pennsylvania state government for decades to come.79
Many Jewish supporters of the War faced fnancial ruin, as the networks available to
71 Rezneck, 69.
72 David G. Dalin, “Jews, Judaism, and the American Founding,” in Faith and the Founders of the American Republic, ed. Mark David Hall, and Daniel L. Dreisbach (New York, Oxford University Press, 2014): 63
73 Center for the Study of the American Constitution, “Religious Tests and Oaths in State Constitutions, 1776-1784,” University of Wisconsin-Madison, accessed October 28, 2024, https://csac.history.wisc.edu/document-collections/religion-and-the-ratification/religioustest-clause/religious-tests-and-oaths-in-state-constitutions-1776-1784/.
74 Jonas Phillips, “Jonas Phillips to George Washington,” September 7, 1787, From National Archives.
75 US Constitution, art. 6, cl. 3.
76 Sarna, “The Impact of the American Revolution on American Jews,” 154.
77 Haym Salomon, et al. “Petition of the Philadelphia Synagogue to the Council of Censors of Pennsylvania, “December 23, 1783. From Teaching American History, https:// teachingameric anhistory.org/document/petition-of-the-philadelphia-synagogue-to-thecouncil-of-censors-of-pennsylvania/.
78 The Pennsylvania General Assembly, “The Constitution of Pennsylvania,” 1790, art. 9, sec. 4. In the latest iteration of the document, this clause makes up art. 1, sec. 4.
79 Dinnerstein, Antisemitism in America, 19.
their non-Jewish peers were not extended to them.80 Te Franks family, which was once at the top of colonial mercantilism, fell to the wayside, as new economic systems and policies replaced the old.81 Isaac Moses was bankrupt by 1785, and his frm was dissolved and reallocated. 82 Haym Salomon, who had lent the Continental Congress an estimated six hundred and ffty thousand dollars between 1781 and 1784, died in 1785 in a debtor’s prison after the federal government neglected to repay him.83
Te struggle to receive a pension after military service was equally present for Jews and gentiles.84 Jewish Americans experienced the added difculty of discrimination in the felds that veterans were drawn to after their service. Many fruitlessly sought public ofce and diplomatic positions. Lieutenant Colonel Solomon Bush was one of the frst to do so, becoming “a chronic applicant for public ofce:” he petitioned President Washington for various posts in the city of Philadelphia for over ten years after the end of his military service85 David Salisbury Franks, a military diplomat during the War, ofered his services repeatedly in civilian capacities, appealing unsuccessfully for years. In 1789, he lamented in a letter to President Washington that he had “devoted Eleven Years of the best Part of [his] Life to the Service of [his] Country,” without sharing in the benefts of her newfound “Honor and Prosperity.”86 Despite these men’s qualifcations and commitment to the United States, they were overlooked due to the social biases and political hurdles of the time.
One positive efect Jewish communities saw through the eighteenth century was the formation of relationships between them and their non-Jewish neighbors. Jewish geographical relocation according to allegiance meant that people who had never been exposed to Jews were now coming face-to-face with them, giving Jews in these cities access to new social and economic mobility. Philadelphia emerged from the Revolution with a more developed and integrated Jewish community than before.87 In 1782, Congregation Mikveh Israel purchased their frst synagogue building with the help of donations from gentiles Benjamin Franklin, Tomas McKean, Charles Biddle, and David Rittenhouse.88 Te building is still known as “the synagogue of the American Revolution,” and the oldest continuous synagogue in the country.89 By the early nineteenth century, Jews in Pennsylvania were among the few in the country who could vote and practice law, signaling the beginning of formal political participation in the state.90 Today, Philadelphia remains among the American metropolitan areas with the largest Jewish populations.91 Te
80 Rezneck, Unrecognized Patriots, 72-79.
81 Jonathan D. Sarna, “The Impact of the American Revolution on American Jews,” Modern Judaism 1, no. 2 (1981): 150-51.
82 Isaac Moses et. al, “Conveyance. Isaac Moses, Nicholas Low, Daniel Ludlow, and Alexander Hamilton to Alexander Macomb,” February 15, 1786, From National Archives, https://founders.archives.gov/?q=&s=1111311111&sa=moses&r=1&sr=.
83 James A. Percoco, “Haym Salomon: Revolutionary Financier,” American Battlefield Trust, 2017, https://www.battlefields.org/learn/biographies/haym-salomon.
84 Rezneck, 197-203.
85 Rezneck, Unrecognized Patriots, 26-27.
86 David Salisbury Franks, “David Salisbury Franks to George Washington,” May 12, 1789, From National Archives, https://founders.archives.gov/documents/ Washington/05-02-02-0202.
87 Sarna, “The Impact of the American Revolution on American Jews,”150.
88 Pencak, Jews and Anti-Semitism in Early America, 372.
89 “History–Congregation Mikveh Israel,” Congregation Mikveh Israel, 2014, https://www. mikvehisrael.org/history.
90 Dinnerstein, Antisemitism in America, 15.
91 Jewish Virtual Library. “Largest Jewish Populated Metropolitan Areas in the United States.” Jewish Virtual Library. 2024, https://www.jewishvirtuallibrary.org/largest-jewishpopulated-metropolitan-areas-united-states.
rich legacy of Jewish Philadelphians, shaped by generations of cultural, social, and civic contributions, has enabled the community not only to endure, but to fourish in the city’s ever-evolving landscape.
Conclusion
A unique blend of cultural values, economic motivations, and a deep commitment to the ideals of freedom and justice shaped Jewish involvement in the American Revolution. Te Jewish principles of tzedakah, tikkun olam, and obligatory war guided Jewish patriots in supporting the Revolution fnancially, socially, and militarily. Te Jewish fgures mentioned in this paper exemplify the active contributions Jewish Americans made to the patriot cause in Philadelphia. Teir support, though often understated, was crucial–not only in providing tangible resources but also in the passion they brought to the fght for independence. Tis involvement refects not just loyalty to the fedgling nation but also a desire to create a society free from oppression, mirroring their own histories of resilience. Many of the struggles Jewish migrants faced upon arrival in the colonies are echoed in the experiences of immigrants to the United States today. Like their historical predecessors, contemporary newcomers often encounter prejudice and discrimination based on their background alongside the challenges of navigating a new language and culture, and wrestle with questions of identity and belonging in a new land. Te ostracism that Jewish settlers faced is mirrored in modern anti-immigrant sentiments and legal barriers to full participation in American society. Te circumstances have changed over time, but the fundamental human challenges of adapting to a new society and striving for acceptance and opportunity persist across generations of immigrants to America.
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About the Author
Maeve Korengold is a member of CNU’s class of 2026, with majors in American Studies and Leadership Studies and minors in French and Political Science. She is the incoming President of the Student Diversity and Equality Council for the 2025-2026 academic year, after serving as Vice President of Policy for the previous two years. Maeve is also an executive board member of CNU’s chapter of Hillel, the Jewish student association. She maintains active involvement in the Honors and President’s Leadership programs, the Wason Center for Civic Leadership, and the Center for American Studies.
Utopianism & its Utility in Capital and Te Communist Manifesto: Linear History, Ressentiment, and Subjectivity
Jack LeMasney
Faculty Sponsor: Dr. Michael Mulryan, Honors Program
Abstract
Te claim that Marx’s works contain utopianism has been controversial since his time, as he contrasted his “Scientifc” socialism with earlier “Utopian” socialists whose practices he thought were insufciently rooted in analysis of class dynamics (Marx and Engels, “Communist Manifesto,” 433). Tis article takes the position that Capital and the Communist Manifesto do contain utopianism in at least three ways: in comparison to Montesquieu’s relativistic model of history, Marx adopts a linear view of history; Marx uses the envy born out of a frustrated desire for revolution, what Nietzsche calls ressentiment, to enhance his rhetoric; and Marx exclusively takes the perspective of the working class in his analysis, in comparison to Rowles’ doctrine of the Veil of Ignorance which prescribes against taking a particular perspective on society in determining ideals of justice. Although it is sometimes viewed as merely the failure to be realistic, utopianism is necessary to enable positive political prescription. By contrasting Marx’s works with that of other philosophers, this essay articulates the benefts and drawbacks of utopianism in Marx’s works as well as the workers’ movements of the past and present that continue to draw upon his infuence.
Introduction
Te notion that Marx’s works contain utopian elements is controversial. In Te Communist Manifesto, “Utopian” is the term used by Marx to describe socialists who merely present “fantastic pictures” of future society, demonstrating the superiority of socialism in small scale communes “doomed to failure,” as opposed to modern “scientifc” socialists who work to modify society through a revolution;1 His usage of the term ‘utopian’ serves to emphasize the highly abstract nature of the practice of utopian socialists, and to distinguish their movement from that of contemporary communists. By contrast, Vincent Geoghegan argues that “the utopian impulse or mentality can be found at all levels of activity,” including “realist” or “conservative” prescriptions for society, and so the division between “realism/ utopianism” is a false one.2 Trough this lens, utopianism is an inevitable if not desirable component of the social construction of reality, including within the works of Marx. In this essay, I argue that Marx’s prescriptions in Capital and the Communist Manifesto are utopian because of their use of a linear model of history; their continuity with idealist values of ressentiment;3 and their employment of a necessarily limited Modernist perspective.
Tis essay presents an analysis of the frst and second chapters of Te Communist Manifesto (1848) and a paragraph from the fourth section of the twenty-ffth chapter of the frst volume of Capital (1867) by Karl Marx. Te sections used for analysis from the Manifesto introduce the concept of viewing history through the lens of class struggle, as well as the reasons why Marx argues communism has been made necessary by the nature of bourgeois forms of production. Te excerpt from Capital is in a chapter describing the nature of accumulation under capitalism, and in a subsection explaining the role of relative surplus population, or those who are structurally unemployed or underemployed within capitalism.
Part 1: Linear Model of History
Northrop Frye compares the social contract myth to the utopia myth, arguing that the former represents the origin of society whereas the latter represents the end goals of society, but that utopia “has to appeal to some contract behind the contract, something which existing society has lost which the utopia itself is to restore.”4 In this sense, there is a historical continuity between utopias of diferent types, where they each refer back to a diferent sense of what once existed but is currently missing from contemporary society. Although Marx focuses on real economic relationships for his analysis, he nonetheless builds his political prescriptions on the premise of a society with the capacity to be improved, which then transitions into a more stable society under communism. Tis is one component of what makes his work in Capital and the Manifesto utopian.
In addition to being rooted in a social contract myth, Marx also analyzes history from a linear perspective rather than a relativistic one. A relevant point of comparison with regard to linear history is Montesquieu; In Te Spirit of the Laws (1748), Montesquieu argues that checks on abuses of power are more relevant to the success of a government in producing liberty for its constituents than the particular structure of that government. He says that “political liberty is to be found only in moderate governments; and [...] only when there is no abuse of power.”5 Marx argues that corruption is primarily a product of inequality
1 Karl Marx and Friedrich Engles, “Communist Manifesto,” in Marx, ed. Mortimer J. Adler (Encyclopedia Britannica, 1990), 433.
2 Vincent Geoghegan. “Marxism and Utopianism.” Utopian Studies, no. 1 (1987): 37. http:// www.jstor.org/stable/20718884
3 Friedrich Nietzsche, Genealogy of Morality (Cambridge UP, 2006), 13.
4 Northrop Frye, “Varieties of Literary Utopias,” Daedalus 94, no. 2 (1965): 336. http:// www.jstor.org/stable/20026912.
5 Charles de Secondat, Baron de Montesquieu. Spirit of the Laws (The Colonial Press, 1899), 150.
in the relations of production, but Montesquieu claims that power in general tends to corrupt. Where Marx views virtue as informed by material conditions, and believes that the fattening of economic hierarchies will result in class as a construct being unnecessary and therefore dissolvable, Montesquieu argues that “virtue itself has need of limits,” and therefore that it is a waste of efort to focus on the absolute fulfllment of the potential of human nature.6
Although Montesquieu promotes a relativistic model of history, this is not to say that he does not exhibit utopianism. According to Tomas Pangle, virtue constitutes a “selfsacrifce” in Montesquieu’s mind, which enables the “freedom or self-rule which is the goal [of a republic]” by limiting those with undue talents from going beyond the confnes of the legal system and instituting a tyranny.7 In other words, virtue with regard to the state means the creation of the security necessary to prevent those with extraordinary abilities from seizing power for themselves. Tis concept of talent or merit as the driving force of the accumulation of power is a euphemism for material relations, which may or may not involve merit; even though their role as a driving force is only established for the purpose of understanding how they can be mitigated in a democratic society, Montesquieu’s prescription for that mitigation itself amounts to utopianism.
In Capital, Marx uses a metaphor comparing the process of alienation under capitalism to “mutilation,” where the “means for the development of production [...] degrade [the laborer] to the level of an appendage of a machine.”8 Tis metaphor serves to emphasize the role of alienation in dehumanizing workers, and highlights the way in which capitalism undercuts the human potential Marx believes can be realized through communism. Another way in which Marx refers to a broken social contract, at least implicitly, is in his use of the word remnant in his description of capitalism as “destroy[ing] every remnant of charm in [the laborer’s] work;”9 this implies that what is being destroyed remains from an earlier confguration of society, or otherwise a potential latent within human nature. Te metaphor and word choice in this section portray communism as being desirable in that it realizes the full potential of mankind, unfettered by the corrupt social contract originating under bourgeois control; furthermore, these devices are in contradiction with Montesquieu’s prescription of “moderate government,” in the sense that Marx is focused on the end goal both made possible by human nature and necessary by bourgeois crises, rather than the resolution of assumed crises through a system of checks and balances.10
A second example of this occurs when Marx discusses the cycle of surplus value extraction leading to the accumulation of wealth, which then leads to increased levels of surplus value extraction; he says that “the lot of the laborer must grow worse.”11 His employment of this cyclical form constitutes an anadiplosis, and serves to underscore the forms of rational development that create the necessity for revolution in Marx’s perspective. In this section he also metaphorically describes the population of unemployed or underemployed people as the “industrial reserve army,” arguing that they would have been structurally nonexistent before the dawn of capitalism, but are now a structural element of the economy.12 Te use of the term “army” amounts to a metaphor comparing labor to a real army, which conjures the image of workers existing under a militaristic regime as well as the collective real power
6 Montesquieu, Spirit of the Laws, 150.
7 Thomas L. Pangle, Montesquieu’s Philosophy of Liberalism (University of Chicago Press, 2020), 55.
8 Karl Marx and Friedrich Engles, “Capital,” in Marx, ed. Mortimer J Adler (Encyclopedia Britannica, 1990), 319.
9 Pangle, Montesquieu’s Philosophy of Liberalism, 55.
10 Montesquieu, Spirit of the Laws, 150.
11 Marx and Engles, “Capital,” 320.
12 Ibid., 320.
of workers to enact violent revolutionary change. Tese contribute to his argument for the possibility and necessity of communist revolution, as a component of his linear model of history.
One example from the Manifesto of Marx’s notion of a utopian society stemming from a broken social contract is the lexical group he uses to describe the oppressed in general, including “plebeian,” “oppressed,” “slave,” ”labor,” “proletarian,” and “serf;”13 He addresses this group in their respective historical contexts but uses the terms ‘slave’ and ‘oppressed’ with a more general connotation to apply to all of them, because he is arguing for a continuity throughout recorded history of class struggle as the driving force of social change across millennia. He says that the contradictions embodied by this struggle have resulted “either in a revolutionary reconstitution [...] or in the common ruin of the contending classes,” which promotes his thesis of the necessity of a shift to communism lest the contemporary classes fall to mutual ruin.14 Tis is representative of his focus on the fawed social contracts upon which class antagonisms are founded, as well as his belief in the potential for the abolition of class in a communist utopia which resolves the contradictions latent within history.
A second example of the linear model of history from the Manifesto is when Marx says that the “bourgeoisie” is the “ruling class” in society, suggesting that no matter what particular formal institutions exist in a given contemporary government, the de-facto power is necessarily wrested with the bourgeoisie.15 Furthermore, he states that “[the bourgeoisie’s] jurisprudence is but the will of [their] class made into a law [...] whose essential character and direction are determined by the economical conditions of existence of your class.”16 He does not, however, apply this same logic to the dictatorship of the proletariat, which dictatorship he postulates will develop into the “disappear[ance]” of “class distinctions.”17 Why should the nominal organization of power in society be relevant to an analysis of communist society when it is made obsolete by the de-facto power structure in the case of bourgeois society? Tis contradiction indicates a faw in the utopian approach taken by Marx, where realities of power are seen in terms of the subjectively understood limitations they impose on human potential, rather than the methods by which they can be limited in practice as in Montesquieu.
Marx ofers an explanation for how class could be abolished in the form of a chiasmus when he says that, upon “sweep[ing] away by force the old conditions of production,” the ruling proletariat will have “swept away the conditions for the existence of class antagonisms and classes generally.”18 According to this framework, class distinctions amount to a selffulflling prophecy in which the oppression of one class by another is a deviation from, rather than a product of human nature. Tis likewise difers from Montesquieu’s perspective that the oppression of one actor is only able to be moderated by other oppressive actors, or at least actors with a tendency towards oppression; where Montesquieu recommends the separation of real powers, Marx prescribes the centralization of economic power in the hands of common people, who themselves only constitute a power in so far as they are in contrast to their oppressors.
Part 2: Ressentiment and Envy of Power
In Genealogy of Morals (1887), Nietzsche proposes a dichotomy between what he calls “aristocratic” or master morality, which states that “good=aristocratic=beautiful=happy=loved by the gods,” and “slave” morality, which holds that “the wretched, the poor, the weak, the
13 Marx and Engles, “Communist Manifesto,” 419, 425.
14 Ibid., 419.
15 Ibid., 428.
16 Ibid., 427.
17 Ibid., 429.
18 Ibid., 419.
lowly, [...] are the only ones who are pious.”19 He argues that the latter is developed by the oppressed as a result of feelings of resentment caused by the frustrated desire for revenge against the oppressor, which he calls ressentiment. Tis concept amounts to an association between a person’s material conditions and the ethical framework they are incentivized to adopt, which is certainly related to Marxist understandings of ideology; after all, Marx says, “your very ideas are but the outgrowth of the conditions of your bourgeois production and bourgeois property,” demonstrating his belief that material conditions inform our notions about what is moral.20 Nietzsche argues that over the last two millennia there has been a “slave revolt” in morality, with powerful kings praying not to Gods of war, as in antiquity, but to “that awful paradox of a ‘god on the cross.’”21 He argues that socialism, or freethinking, constitutes a secular continuation of these values, stating that “it is the church that [modern free-thinkers] disrelish, not its poison…Apart from the church, we too love the poison,” meaning ressentiment 22 Tis is problematic in his view because it leads to asceticism and similar extreme forms of idealistic deprivation that do not actually function to better the world in practice.
In his discussion of the Marxist responses to the concept of ressentiment, Sjoerd van Tuinen cites Lukacs’ criticism that Nietzsche “gave in to an aristocratic epistemology that was easy to appropriate by the socially militant bourgeoisie.”23 Tis is evident in terms like master- and slave-morality, which associate the idealization of power with the real power relations of aristocratic societies. However, in spite of Nietzsche’s “hostility towards socialism” and sympathies for aristocratic perspectives, van Tuinen argues that the concept of ressentiment is still useful to workers’ movements because “whereas the purifcation of resentment and indignation from ressentiment remains a purely theoretical exercise, their transformation into something positive can only occur through their passage to the act.”24 Tis speaks to the way in which independent proletarian power is a necessary component of transforming the frustrated desire for revenge into genuine liberatory action; ressentiment as a phenomenon can serve to inhibit the construction of this independent power in that it is easily co-opted by aristocratic and bourgeois actors as well as progressives.
Rather than pointing to ethical failings in capitalism, Marx exclusively points out contradictions latent within bourgeois forms of production which necessitate a shift to communism, such as the bourgeoisie being “unft to rule because it is incompetent to assure an existence to its slave within his slavery.”25 Although this comparison between slavery and wage-labor implies the ethical duplicity of the latter, this is not what Marx chooses to mention. Instead, he attacks the incompetence of the system which improves the efciency of social production at the expense of the people who actually facilitate production. With that being said, it is certainly true that Marx uses the emotional frustration born out of oppression to persuade his audience; this contributes to the utopian component of his political prescriptions, in that a distaste for power in general leads to difculties in practically applying his analysis.
In Capital, Marx uses a metaphor comparing the worker to a “subject” under a “despotism the more hateful for its meanness;”26 this use of “despot” serves to underscore the lack of attention paid among advocates of the republican structure to the private autocracies foisted upon laborers and enforced by bourgeois relations of production; it
19 Nietzsche, Genealogy of Morality, 13.
20 Marx and Engles, “Communist Manifesto,” 427.
21 Nietzsche, Genealogy of Morality, 15.
22 Ibid., 17.
23 Sjoerd van Tuinen, Dialectic of Ressentiment (Taylor & Francis, 2024), 31.
24 van Tuinen, Dialectic of Ressentiment, 33, 34.
25 Marx and Engles, “Communist Manifesto,” 425.
26 Marx and Engles, “Capital,” 320.
also emphasizes the psychological component of alienation by which accumulation and the development of social production also lead to the desire for revenge among workers towards their cruel leaders; this refects the Nietzschean notion of ressentiment, as the frustration of this desire gradually produces an ethic of powerlessness and poverty which is itself antithetical to the achievement of a real political movement.
Another example from Capital is in Marx’s discussion of the law. He uses a simile comparing the law in relation to the laborer to Vulcan’s chain in relation to Prometheus, with the efect of posing labor as an idealistically tortured underclass, stating that it “rivets the labourer to capital more frmly than the wedges of Vulcan did Prometheus to the rock.”27 Tis allusion to Classical mythology serves to symbolically associate bourgeois legal institutions with God, and the workers with those who revolt against God; in other words, the workers envy real power, but are systematically given to submit to the interests of the ruling class. Tis sense of envy likewise constitutes ressentiment as discussed by Nietzsche.
One example of ressentiment in the Manifesto is when Marx discusses the “bourgeois clap-trap about the family and education,” which becomes “all the more disgusting [...] by the action of Modern Industry,” wherein “all the family ties among the proletarians are torn asunder, and their children transformed into simple articles of commerce and instruments of labour.”28 Te epithets “clap trap” and “disgusting” here serve to emphasize the resentment Marx feels towards the exploitation of children perpetrated by the bourgeoisie, which is rooted in a frustrated desire for revolution. Directly after, he cites hypothetical opponents “scream[ing]” that “you communists would introduce community of women,” which is ironic given that the use of the word “scream” here implies that the bourgeoisie are emotional and embarrassing. Both of these examples point to an interest in angering the reader for the sake of being more persuasive, banking on the envy of the working class towards the owning class; they contribute to the sense of ressentiment in the Manifesto, and thereby make it more difcult to argue for the power of the Proletariat as a practical means.
A third example is in his use of the word “despotic” to describe the necessary methods by which the means of production will be centralized under a dictatorship of the proletariat, but only “in the beginning.”29 Tis employment of the lexical group relating to domination and authority, previously applied only to the bourgeoisie, illustrates the inversion of social hierarchy in his prescription, but also suggests that despotism put towards the end of communism is necessary whereas despotism in the name of the status quo is unnecessary. Tis word choice illustrates a desire for revenge to be symbolically enacted on the bourgeoisie, a form of justice analogous to an eye for an eye made necessary by their behavior; the use of this language likewise contributes to the utopianism in the Manifesto by instilling a distaste for power even when it is the manifestation of proletarian power.
Part 3: Modernist Subjectivity
In A Teory of Justice (1971), John Rawls proposes that the most just social contract is based on the principle of original position, meaning that a person making decisions about a hypothetical just society ideally wouldn’t know what position they would occupy in that society; in other words “the principles of justice are chosen behind a veil of ignorance,” and a just society would refect an obscure, nondescript perspective.30 Tis relates to Marx in that it proposes a social contract but difers in three relevant ways. First, the theory of original position prioritizes normative justice as opposed to the resolution of latent contradictions as the reason for prescription. Second, it does not take a perspective; where Marx frst takes the perspective of the workers in his analysis of society and shifts into the perspective
27 Marx and Engles, “Capital,” 320.
28 Marx and Engles, “Communist Manifesto,” 427.
29 Ibid., “Communist Manifesto,” 429.
30 John Rawls, Theory of Justice (Harvard University Press, 1971), 11.
of classless people in his proposal for communism, who are also necessarily laborers but never private owners, Rawls avoids taking any perspective. Finally, where Marx describes society in the concrete and attempts to formulate practical political prescriptions, Rawls never intends for his view of justice to be taken by the audience as a literal prescription for concrete society, only as a method of determining abstract justice.
Although Rawls’ work serves as a useful counterpoint to Marx’s, the two diverge to a degree in the assumptions about society upon which their respective analyses are grounded. For example, Richard Miller argues that certain elements of the diference principle, or Rawls’ theory that inequalities should be structured to beneft the least advantaged members of society, are incompatible with Marxist concepts relating to class confict, such as the idea that “classes difer in their needs, and not just in the degree to which their needs are satisfed.”31 Tis is related to Marx’s understanding of needs as having a social character; the diference principle conficts with the belief in the social character of needs given that the latter would associate the needs of individuals partly with the nature of their social milieu rather than exclusively with their human nature. Despite these issues, Rawls provides a noteworthy example of the prescription for understanding society from a nondescript perspective, in contrast to Marx’s modernist perspectivism.
In Capital, one way in which Marx articulates his modernist perspective is by a dichotomy between the vestigial “charm” of precapitalist, unalienated labor and the “hated toil” of alienated labor under capitalism.32 He presumes a coherent nature of capitalism, in line with the “epoch of the bourgeoisie” as he mentions in the Manifesto, and that this nature can potentially be swapped out, by necessity as well as “by force,” for the more rational and necessary structure which will enable human potential to be fully realized.33 In this sense, he takes the alienated worker’s perspective on the social phenomena of production and ignores the perspectives of the bourgeoisie or of workers who are comfortable with capitalism by means of indoctrination or otherwise.
Another example of Marx’s perspective-taking in Capital is when he compares “the intellectual potentialities of the labour process” to “science” as it is involved in the development of social production under capitalism.34 Tis is a false equivalence because science is objective, at least according to a positivist understanding, whereas the intellectual potentialities of the labor process are subjective to each individual, all of whom necessarily splinter along innumerable dimensions of identity and idiosyncrasy. Tis speaks to the distinction between Rawl’s axiological prescription for a just society and Marx’s interest in resolving latent contradictions; rather than pointing to the injustice of exploitation under capitalism, Marx opts to describe his criticisms of the capitalist social contract as scientifc despite analyzing it exclusively from the perspective of workers. Also, this furthers his argument that labor contains educational components, and that education is a necessary component of class consciousness.
In the Manifesto, Marx uses the dichotomy of the “oppressing” and “oppressed” classes and defnes the history of all society “hitherto” as the antagonism of these groups.35 Tis dichotomy serves to emphasize the strictness of the perspective he takes, since it is certainly not comprehensive to view all of society only through this lens. He also uses the dichotomy of the bourgeoisie “[having] to feed [the laborer], instead of being fed by him.”36 Tis distinction between feeding and being fed furthers the notion that, rather than the system
31 Richard Miller, “Rawls and Marxism,” Philosophy & Public Affairs 3, no. 2 (1974): 173. http://www.jstor.org/stable/2264905
32 Marx and Engles, “Capital,” 320.
33 Marx and Engles, “Communist Manifesto,” 419, 429.
34 Marx and Engles, “Capital,” 320.
35 Marx and Engles, “Communist Manifesto,” 424.
36 Ibid., 425.
reciprocating the gains made by workers through improvements to their quality of life, it instead reduces their quality of life in favor of maximal improvement to the social production of commodities. In emphasizing these distinctions, Marx takes the perspective of the workers regarding the distribution of resources in society.
A third example from the Manifesto of Marx’s perspective-taking is when he says that democracy is a “battle,” implying that it is a hurdle in the way of progress for workers. Tis is opposed to the notion that democracy as a means is more important than the end of liberation for the proletariat. A person adhering to the principle of original position may counter that democracy is more important for every member of society because, not knowing whether one would take the perspective of the worker or the owner, the most just organization would be one that represents both of these groups in equal proportion. However, this would ignore the power dynamic between the two groups, and as aforementioned, Marx consistently argues that contemporary legal institutions are merely vehicles for the de facto rule of the bourgeoisie. Tis description of democracy contributes to his utopianism in that he articulates his vision for society from a particular economic perspective.
Marx references the possibility of a time when “all production has been concentrated in the hands of a vast association” as indicative of the end of “class distinctions” and occurring because of “the course of development.”37 Tis image of members of society physically holding the means of production serves to emphasize the shift in perspective taken after the workers come into power from their particular class to the collective perspective of all people in general. In this sense, Marx comes to use a similar mechanism of prescription to Rawls, in that there are minimal diferences between positions in society with regard to economic oppression and therefore one person’s perspective on society would virtually equate to another person’s perspective. Te diferences nonetheless persist, that Rawls never intends the original position as a practical proposal for society, and that Marx never emphasizes the role of justice so much as the resolution of contradictions.
Conclusion
In conclusion, Marx’s use of utopianism is both a component and product of his material analysis in Capital and Te Communist Manifesto. Marx’s linear model of history, in comparison to the relativistic model proposed by Montesquieu, conceptualizes capitalism and class struggle more generally as a deviation from the ideal potential of human society; this also contributes to utopianism in that communism symbolically acts as the telos to the broken social contract of capitalism. Rather than making an axiological argument against capitalism, Marx’s analysis in both works relies on an understanding of the ways in which the bourgeois relations of production incentivize worsening exploitation of workers, which necessitates a move away from capitalism; however, some of his arguments are phrased in such a way as to emphasize ressentiment, or resentment born out of a frustrated desire for revolution, against the bourgeoisie. Tese instances are rhetorically efective but contribute to the utopianism of his work. Finally, Marx’s focus on the perspective of the workers and on the distribution of material resources as opposed to other aspects of society leads him to reduce the other relevant perspectives and factors that determine the makeup of society. Tis focused perspective on the workers shifts to a focus on the perspective of people in general in his proposal for communism, which is roughly analogous to Rawl’s notion of the original position. Tese three factors demonstrate the relationship between Marx’s prescriptions and utopianism.
Although Marx’s utopian elements can inhibit his pragmatism, they do help him to be persuasive, and provide a necessary degree of imagination to exceed the limits placed on ideation by capitalist material conditions. A relevant philosopher with regard to the
37 Ibid., 429.
necessity of utopianism in relation to social change is Martin Luther King, Jr.; In response to Nietzsche’s claim that Christian values of love and forgiveness are in confict with human survival, Martin Luther King argues that “power without love is reckless and abusive, and [...] love without power is sentimental and anemic.”38 Tis illustrates the way in which the contradiction between utopianism and pragmatism produces a necessity for idealism as well as real power, alongside material analysis of class, in order to maintain a movement that can surpass the problems of capitalism. Although Marx’s works contain utopianism, his philosophy remains relevant partly because of this feature.
38 Martin Luther King, Jr, “Love and Power – Martin Luther King, Jr.” YouTube, April 12, 2017, https://www.youtube.com/watch?v=MzcORJ1DRxo&t=11s.
Bibliography
Frye, Northrop. “Varieties of Literary Utopias.” Daedalus 94, no. 2 (1965): 323–47. http://www. jstor.org/stable/20026912
Geoghegan, Vincent. “Marxism and Utopianism.” Utopian Studies, no. 1 (1987): 37–51. http:// www.jstor.org/stable/20718884
King, Martin L. Jr. “Love and Power - Martin Luther King, Jr.” YouTube, April 12, 2017. https:// www.youtube.com/watch?v=MzcORJ1DRxo&t=11s.
Marx, Karl, and Friedrich Engles. “Capital,” in Marx (Great Books of the Western World #50). Edited by Mortimer J. Adler, 13-418. Encyclopaedia Britannica, 1990.
Marx, Karl, and Friedrich Engles. “Te Manifesto of the Communist Party,” in Marx (Great Books of the Western World #50). Edited by Mortimer J. Adler, 419-434. Encyclopaedia Britannica, 1990.
Miller, Richard. “Rawls and Marxism.” Philosophy & Public Afairs 3, no. 2 (1974): 167–91. http:// www.jstor.org/stable/2264905
Montesquieu, Charles de Secondat, Baron de. Te Spirit of the Laws. Translated by Tomas Nugent, vol. 1, Te Colonial Press, 1899, archive.org/details/spiritofaws01montuoft/page/n9/ mode/2up.
Nietzsche, Friedrich. Nietzsche: “On the Genealogy of Morality” and Other Writings Student Edition Cambridge UP, 2006.
Pangle, Tomas L. Montesquieu’s Philosophy of Liberalism: A Commentary on the Spirit of the Laws University of Chicago Press, 2020.
Rawls, John. A Teory of Justice: Original Edition. Harvard University Press, 1971. JSTOR, https:// doi.org/10.2307/j.ctvjf9z6v. van Tuinen, Sjoerd. Te Dialectic of Ressentiment: Pedagogy of a Concept. Taylor & Francis, 2024.
About the Author
Jack LeMasney is a rising junior at CNU majoring in English and Sociology. He is enrolled in both PLP and the Honors program. Tis is his frst published article. After graduation, Jack is intent on pursuing a law degree. On campus he is a member of Pi Lambda Phi and plays guitar in CNU’s Jazz Combo.
Te Impact of Dollarization on Monetary Stability
Charles Matzen and Justin Nordberg
Faculty Sponsor: Dr. Travis Taylor, Department of Economics
Abstract
Tis paper discusses the impact of dollarization on the severity of a nation’s recessions. It proposes that high levels of dollarization hinders a country’s ability to respond to economic shocks and therefore causes greater recessions. Additionally, this paper considers the efects of the business cycle of the foreign currency’s issuer and proposes that a country which adopts the currency of a nation with a similar business cycle would have minimal impacts, while a country which adopts the currency of a nation with a very diferent business cycle would have more signifcant impacts. Te paper constructs a theoretical framework to understand this efect.
Keywords: Dollarization; Currency Substitution; Monetary Policy.
Introduction
Consider the moment when a television commercial advertises a new product at a remarkably low price of $9.99. Although such advertising is typically associated with the United States, similar advertisements appear in various countries outside the U.S. In these cases, nations such as Ecuador, Liberia, El Salvador, Timor-Leste, and Panama employ the U.S. dollar through a process known as dollarization. Dollarization involves a country adopting a foreign currency—often to stabilize the economy by anchoring monetary policy to a more established system. In efect, these economies outsource key elements of monetary policy to the replacement currency’s country of origin. For example, in a country like El Salvador the actions of the U.S. Federal Reserve would have massive efects on its monetary policy. Tis is typically done due to concerns about infation: if a country is unable to use its local institutions to constrain the money supply, politicians could respond by adopting a currency not subject to local concerns. While dollarization occasionally happens due to direct government policy, it often occurs informally. As wealthy people lose confdence in the value of local currency, they begin making major purchases with a foreign currency they believe is more stable. Eventually, if confdence in the local currency continues to waver, smaller and smaller purchases are made using the foreign currency. Te fnancial system could begin incorporating these changes, with the government potentially permitting the deposit of foreign currencies in domestic banks or the fnancial sector primarily dealing in foreign currency. Once a country has adopted a foreign currency, it can be very difcult to go back to using their domestic currency.
Table 1 (Slivinski, 2008)
Unofcial Dollarization Index: Reported Ratios of Dollar Holdings in Foreign Economies (2003-2004)
Source: Edgar L. Fiege, University of Wisconsin-Madison
However, while the impact on infation is fairly straightforward, the efect of dollarization (or currency substitution) on a country’s ability to respond to unemployment and economic recessions is far less clear and has been relatively understudied. On one hand, the inability to use loose monetary policy to in theory constrains the ability to respond to recessions. On the other, increasing interconnectedness can lead to many countries having similar business cycles. In theory, could a country adopt the currency of a country with a highly correlated business cycle to prevent domestic infation while retaining the benefts of having a central bank that is responsive to economic downturns? Given this gap in the literature, the present paper examines the impact of dollarization on economic responsiveness during recessions. In our theoretical approach, the efect of dollarization on monetary policy’s efectiveness is modeled as a function of the proportion of money held in the local currency plus the proportion held in the foreign currency, multiplying the proportion of foreign money by the correlation between the business cycles of the local and international economies. Tis leads us to conclude that while currency substitution does decrease the ability to respond to recessions, the actual efect on the economy is highly dependent on correlations between business cycles.
Te remainder of the paper is organized as follows. Section 2 provides a review of the relevant literature on dollarization and currency substitution. It shows that while extensive research has been conducted on the subject, the vast majority of it is devoted to studying elasticity. Furthermore, much of the literature displays inconsistent or ambivalent results. As such, this paper aims to develop a theoretical framework that can fll this gap in the literature. Section 3 introduces the proposed model and ofers its theoretical justifcation. Te model aims to show that the degree of dollarization is positively correlated with severity of recessions. We expect each percentage increase in money supply in a non-local currency to lead to a decrease in the ability of that country to respond to recessions. Section 4 discusses the implications for fscal and monetary policy. It shows that while dollarization can lead to monetary policy becoming less efective, it can be more or less benefcial depending on the correlation of the foreign currency and the domestic currency. As such, it may be benefcial for a country to substitute currency if they believe that the country whose currency they are replacing has a similar business cycle to themselves. Section 5 looks at a case study in Bolivia. Section 6 concludes with suggestions for future research.
Literature Review
A signifcant challenge in this area of research is the lack of consensus regarding the defnition of currency substitution. Defnitions range from using a non-local currency as the means of exchange to a broader acknowledgment of the impact of capital mobility on domestic economies. Dollarization, which typically refers to currency substitution in the context of Latin America, is just as broadly defned (Giovanni and Turtelboom, 1992). For this paper, both terms are strictly defned as the adoption of a foreign currency by the residents of a territory as their medium of exchange.
Giovanni and Turtelboom (1992) describe two models—the Cash in Advance model and the Transactions Costs model—that assess the capacity of two currencies to substitute for one another by measuring elasticity. Teir work not only provides an overview of the extant literature but also points out limitations in some studies. For instance, one study on the amount of dollarization in Bolivia looking at the ratio of check clearings to demand deposits was considered too tied to the idiosyncrasies of the Bolivian banking sector to be broadly applicable. On the other hand, research on Argentina yielded more robust insights by looking at the shipments of dollars to the country. According to Giovanni and Turtelboom, foreign currency deposits can serve as a lower-bound indicator of the share of foreign currency circulating in an economy. Moreover, studies of extreme infation episodes, such as those experienced in Germany (1921-23) and the Soviet Union (192223), indicate that currency substitution rates tend to increase dramatically during periods of hyperinfation. Empirical evidence from Peruvian hyperinfation in the late 1980s supports this view, as real money balances declined even after the hyperinfation subsided, suggesting that prolonged high infation undermines confdence in the local currency (Uribe, 1997).
Other research has focused on the relationship between currency substitution and exchange rate dynamics. Teoretically, in countries with foating exchange rates, signifcant currency substitution might import volatility from the foreign currency into the domestic market. Tis possibility was explored early on in the context of Mexico, but eforts to study this was stymied by the lack of signifcant currency substitution (Ortiz, 1983). In contrast, evidence from Canada indicates that currency substitution does not necessarily disrupt monetary demand or compromise a country’s independent monetary policy (Bordo and Choudhri, 1982). By using both OLSQ and CORC regression analyses using multiple defnitions of money supply, they found minimal efects on currency substitution and demand for Canadian dollars. More recently, Castillo et al. (2024) demonstrated using VAR models that by engaging in targeted exchange rate interventions, central banks can mitigate the constraints imposed by dollarization. In fact, they argue it proved signifcantly more useful than traditional monetary policy because it does not necessarily depreciate currency or reduce foreign borrowing. Teir study shows that such interventions may stabilize both the exchange rate and borrowing costs, thereby ofering an additional tool for economic stabilization.
Not all studies are favorable toward dollarization. Miles (1978) contends that dollarization reduces a country’s capacity to implement an independent monetary policy by dispersing the efects of interest rate changes across diversifed currency holdings. Although Miles develops a model based on currency elasticity, its scope is limited compared to broader macroeconomic approaches. Feige (2003) similarly argues that dollarization impairs control over the money supply by diferentiating between the use of foreign currency as an asset and as a medium of exchange. His work introduces a refned metric for assessing the level of dollarization by only looking at currency used for exchange rather than held as an asset. Likewise, Girton and Roper (2003) warn that the impact of dollarization on exchange rate volatility is complex; while an increase in currency substitution may initially exacerbate volatility, endogenous adjustments by central banks could eventually have a stabilizing infuence. Tey argue, though, that purchase of foreign bonds is a more reasonable approach than currency substitution: because currency is denominated in itself while bonds are denominated in a currency, bonds are relatively insulated from exchange rate volatility.
Calvo and Gramont (1992) advocate for a laissez-faire approach to currency substitution, arguing that the use of foreign currency as a store of value is a natural response to infation. Tey point out that persistent infationary pressures drive consumers progressively toward using foreign currency for smaller and smaller transactions. Similarly, Cuddington (1983)
developed a comprehensive model in which currency substitution exhibited minimal impact compared to the broader efects of operating in an open economy. In a more recent study, Ju (2020) applied econometric tests to multiple countries and found mixed evidence regarding the relationship between currency substitution and exchange rate volatility. Of the six countries examined, four exhibited positive correlations while two showed negative correlations. Furthermore, his VAR model yielded positive correlations in four cases despite showing negative correlations in the other four. Ultimately, Ju’s research is a refection of the literature regarding dollarization: despite a wealth of well conducted research, the answers remain indeterminate.
Model
Tis paper posits that an increase in the degree of dollarization within an economy is causally linked to more severe recessions. As dollarization intensifes, the share of the currency under the control of the domestic central bank diminishes, thereby reducing the efcacy of monetary policy as an economic stabilizer. Since one of the primary mechanisms for mitigating economic shocks is the use of monetary tools, a reduction in domestic monetary control is expected to correspond with deeper recessions. Tis is demonstrated by the DAG in Figure 1. While tools like fscal policy can still be used to mitigate recessions, a good response to a recession requires both fscal and monetary policy.
Figure 1
For the purposes of this study, the treatment variable, the degree of dollarization, is defned as the proportion of money circulating in a foreign currency. In the event that a country has currency from multiple diferent countries circulating, this variable would have diferent values for each country. Te outcome variable is the severity of recessions, measured by the percentage decline in GDP from peak to trough. Tis model has some intermediate variables, one of which is the control of the money supply. Tis represents the country’s ability to cause meaningful change via monetary policy in response to economic problems. It additionally includes a variable for the efective monetary control, which represents the correlation between the change in the money supply and the change in
the money supply that would be implemented if the economy was not dollarized. Tis variable ranges from -1 to 1, with 1 meaning the business cycles are perfectly correlated and -1 meaning they are perfectly negatively correlated. Te model also includes a variable for the country’s ability to respond to shocks, which represents the government’s ability to implement policies that reduce the extremes of the business cycle. Te model includes another treatment variable for the correlation between business cycles. Tis represents the correlation between the GDP growth of the dollarizing country and currency issuing country. Much like the “degree of dollarization” variable, this variable can have multiple values if a country adopts multiple foreign currencies.
Finally, the model acknowledges several confounding factors. Government stability, for instance, represents having a smoothly functioning government for a long period of time. A lack of government stability may both induce higher dollarization and independently weaken the control over monetary policy, thereby afecting recession severity. Another confounding factor is infation, which represents the percentage increase in the price level of a country in their domestic currency. High infation often triggers increased dollarization while simultaneously infuencing recession dynamics and harming political stability (Uribe, 1997; Elbahnasawy and Ellis, 2021). Te impact of infation is bidirectional, meaning that dollarization and government stability can have an impact on the infation rate (Korab et al., 2023). Te model also addresses the impact of fscal policy, which represents the government’s ability to impact the economy through non-monetary means, like adjusting taxes or government spending. If properly implemented, this could mitigate the efects of a country losing control of monetary policy. Failure to account for such variables could lead to an overestimation of the dollarization efect.
To capture the mechanism through which dollarization impacts policy efectiveness, we conceptualize the efective monetary control as a function of both domestic and foreign currency supplies. Let D represent the degree of dollarization so that the portion of money in the domestic currency is (1 − D). When the central bank alters the domestic money supply by ΔM, the change in the overall money supply is ΔMTot = ΔM(1 − D). Tus, efective monetary control is given by (1 − D). Let C equal the efective control over monetary policy.
Because many dollarized economies are infuenced by the monetary policies of the currency’s issuer, it is important to consider the interplay between domestic policy and external conditions. Let r denote the correlation coefcient between the business cycles. In our framework, the efective control over monetary policy is diminished by the foreign country’s policy eforts, scaled by r, leading to an aggregate measure of efective control expressed as rD + (1 − D).
Some dollarized economies adopt multiple foreign currencies, instead of just one. In these cases, the monetary policies of each of these countries need to be accounted for. For each country, let Dn be the portion of the money supply denominated in that country’s currency, and let rn be the correlation between that country’s business cycle and the local business cycle. Te efective control of money supply gained from that country is RnDn Terefore, the efective control from all foreign currencies is , where x is the number of foreign currencies. Te portion denominated in the local currency is given by . Terefore, the efective control of the money supply is given by +(1- .
According to this model, a country with a high degree of dollarization will have a reduced ability to respond to economic shocks, but the signifcance of this efect is dependent on the business cycles of the dollarizing country and the currency issuing countries. If the currency issuing countries have a similar business cycle to the dollarizing country, the impact is expected to be minimal, but if they have vastly diferent business cycles, the impact could be exacerbated, especially if r is less than 0. Additionally, the model shows that the correlation between business cycles is important, but the signifcance of this variable is dependent on the degree of dollarization.
by
For a more mathematical explanation, since in a one country model the efective control of the money supply is given by C = rD+(1-D), which can simplify to C = rD+1-D the sensitivity of the efective control of the money supply to the degree of dollarization is given . Tis means that the closer r is to one, indicating perfect correlation, the less signifcant the impact of a change in the degree in dollarization will be, and the closer r is to -1, indicating perfect negative correlation, the more signifcant the impact of a change in dollarization will be. Te sensitivity to the change in the correlation of the business cycles is given by . Terefore, the greater the degree of dollarization, the more impactful a change in the business cycle correlation will have on the efective control of monetary policy. In the multi-currency model, each country has a diferent value of D and r. In this case, the sensitivity to changes in the degree of dollarization with a given country’s currency is only dependent on the correlation between the domestic business cycle and the business cycle of that country. Additionally, the sensitivity to changes in the correlation between the domestic business cycle and the business cycle of another country is only dependent on the degree to which the local economy has adopted that country’s currency.
Te ability to respond to economic shocks is assumed to be positively related to efective monetary control. Tat is, higher efective control facilitates the implementation of countercyclical measures that mitigate recession severity. Terefore, since efective monetary control is negatively impacted by dollarization, a country with high dollarization should lack the ability to respond to economic shocks. Consequently, they are expected to experience more severe recessions. Tese more severe recessions would be measured in terms of decline in GDP from peak to trough, but would also be expected to have higher unemployment rates and take longer to recover from.
As with any model, this model makes several simplifying assumptions. It assumes that there is a linear relationship between the portion of money controlled by a central authority and their ability to control the money supply, and the nations issuing the foreign currencies implementing countercyclical monetary policies as efectively as the domestic government.
If we relaxed these assumptions, the model would change slightly, for example, if the currency issuing country does not implement countercyclical monetary policy, the efective control of the money supply would just be C = 1 - D, since the only monetary policy to be considered is the domestic monetary policy. On the other hand, if the currency issuing country implemented a countercyclical policy but an insufcient one, the efective control of the monetary policy would be given by krD + (1 - D), where k is the actual change in the foreign money supply as a portion of the change in money supply under an ideal monetary policy.
Overall, the proposed model provides a theoretical framework that predicts a positive correlation between the degree of dollarization and the severity of recessions. Future empirical work will test this hypothesis by incorporating relevant control variables and carefully addressing potential confounders.
Results and Discussion
Tis model shows that there is a downside to dollarization. While it has some potential benefts, like providing a currency that people have more confdence in, it reduces the government’s ability to efectively respond to recessions, but that the severity of this issue depends on the economies of both the dollarizing and currency issuing countries. If a country adopts another country’s currency, either ofcially or unofcially, part of their monetary policy becomes dependent on the monetary policy of the currency issuing country. If they have the same business cycle, this is not a major concern, since the other country’s monetary policy will help them, but if they have very diferent business cycles, the other country’s monetary policy will be unhelpful or potentially even harmful while responding to an economic shock.
Tis paper uses a theoretical framework, which has some limitations. Teoretical models rely on simplifcations of the economy, since including every possible variable would make the model confusing and practically useless. Tis model also simplifes the complex relationship between dollarization and recessions. Due to this, future works should test this model to determine whether this model correctly predicts the relationship between the degree of dollarization and the severity of recessions. Tose works need to account for the confounding variables, including the infation rate and government stability. Te infation rate is relatively simple to account for, since that is easy to fnd for most countries, but government stability is more difcult to account for. While there is no objective measure for government stability, several organizations have published assessments of the stability of diferent countries, and these values could be used.
If this model is shown to be accurate it has implications for how countries manage their currency in the future. It indicates that there are conditions that need to be met for dollarization to be good for a country. If a country shares a business cycle with another country with a much stronger currency, dollarization could make sense, since the loss of control of their monetary policy is made up for by the monetary policy of the currency issuing country. Tis might suggest that European countries who are not in the European Union, but share similar business cycles to EU countries should consider adopting the Euro. Even if they do not beneft from adopting the Euro, the negative efects would be mitigated. On the other hand, countries should generally avoid adopting currencies of countries with vastly diferent business cycles. While this helps to determine when a country should ofcially dollarize, there is not much that a country can do to prevent de facto dollarization. Tis model should only be one of a variety of factors that are used to determine whether to dollarize. While control of the money supply is important, it only matters if the local government is capable of implementing efective monetary policies and avoiding problems like hyperinfation. If a country’s monetary authority is unable to do this successfully, due to corruption, lack of resources, or any other reason, dollarization could be the correct decision for a country, even if they sacrifce their ability to respond to recessions in the process.
Case Study
Te example of Bolivia is a classic example of the benefts, and negatives, of dollarization. In response to persistent infation in the mid-20th century, many wealthy Bolivians began purchasing big-ticket items in US Dollars rather than Bolivian Pesos. In an efort to prevent capital fight in response to the infation of the 1970s, the Bolivian government allowed the deposit of US Dollars at banks. Te fnancial industry came to be dominated by dollars. After an economic crisis caused by failed dedollarization saw negative growth and hyperinfation, Bolivia responded by redollarizing, with the fnancial sector in particular being nearly entirely conducted in Dollars. From 1990 to 2003, more than 95% of loans were in Dollars while more than 85% of deposits were in Dollars. However, difculties in
recovering from the 1998 Bolivian fnancial crisis led many Bolivian economists, including central bank president Juan Antonio Morales (2003), to reconsider their dollarization policy.
Morales notes that even partial dollarization “changes the nature of central banks” due to their inability to control the monetary base. Banks are nearly unable to adjust interest rates and their ability to lend to banks is compromised. Teir only meaningful way of adjusting the money supply is by adjusting the crawl of pegged exchange rates. As such, Bolivia was highly reliant on the hope that US monetary policy would align with Bolivia’s needs. Unfortunately, as the 1998 Bolivian crash did not occur concurrently with a crash in the United States, Bolivia was forced to rely on this exchange rate mechanism to stymie the crisis. Bolivian central bank president Morales (2003) notes that
Although we cannot dismiss entirely the results, the bulk of the quantity of money and of interest rates was almost completely endogenous, as predicted by standard economic theory with fxed exchange rates, and with perfect capital mobility, substituted this time by movements of dollars of-shore and on-shore. Attempts to guide the interest rates of the banking system were specially futile: expansionary policies only resulted in more capital fight and contractionary policies had a very high of-set coefcient.
Tis direct repudiation of dollarization by the leading economist of one of the most heavily dollarized countries in the world cannot be ignored; it becomes clear that dollarization causes major problems when responding to a recession. While the tactic is useful for fghting infation, it can be actively harmful in fghting recessions.
Conclusion
Tis paper developed a theoretical framework to determine the efect of currency substitution on a country’s ability to respond to recessions. By adding the percent of currency denominated locally and the percent of currency denominated abroad multiplied by the correlation between the domestic and foreign business cycles, this model aims to
Figure 2 (Morales, 2003)
determine how much capacity a country has to respond to economic shocks. Given that adopting a currency from a less aligned country can decrease the government’s ability to respond to recessions by hamstringing their ability to set interest rates or by acting as a lender, it is imperative that countries prevent informal dollarization of uncorrelated currencies. Tis could be done by requiring interactions with the government to be denominated in local currency or by preventing deposits of foreign currency at local banks. Of course, dollarization is best prevented by efective policymaking that promotes public trust in domestic currency. Te typical tools of monetary policy should be sufcient for this: managing expectations, being prudent when printing money, and resisting undue political infuence are essential. Tat being said, while the theoretical basis for this model is sound it remains untested. Future research that aims to empirically show difculty in responding to economic crises in heavily dollarized countries would be necessary. Furthermore, future models should aim to incorporate confounding variables like infation rates and government stability. Countries that substitute with multiple currencies also pose an interesting opportunity for study: does the difculty in knowing what each currency is worth cause additional costs on local economies? Opportunities for further growth aside, this paper makes a meaningful contribution in the literature on dollarization by showing that while it may come as a cure to infation, it also poses a danger when the business cycle swings the other way.1 Some text was generated using ChatGPT, OpenAI, 2025, https://chatgpt.com/.
References
Bordo, Michael D., and Ehsan U. Choudhri. “Currency substitution and the demand for money:
Some evidence for Canada.” Journal of Money, Credit and Banking 14, no. 1 (1982): 48-57.
Castillo, Paul, Luma, Ray, and Medina, Juan Pablo. “Escaping the fnancial dollarization trap: the role of foreign exchange intervention.” International Monetary Fund 2024, no. 127 (2024).
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About the Authors
A member of the class of 2025, Charles Matzen is graduating with degrees in Political Science and Economics. He has consistently demonstrated academic achievements, graduating Summa Cum Laude and as a member of the honors societies Alpha Chi, Pi Sigma Alpha, and Omicron Delta Epsilon. Prior to this paper, he conducted research with Dr. Katherine Rader and wrote a paper with Doctors George Zestos, Yixiao Jiang, and Robert C. Winder.
In 2021, Justin Nordberg began studying at Christopher Newport University. He is getting his degree in Computer Science and Economics. He has been on the dean’s list every semester and is a member of the Alpha Chi honor society, Upsilon Pi Epsilon honor society, and Omicron Delta Epsilon honor society. During the spring of 2024, he presented a paper on nuclear energy at the 22nd Annual Conference on the European Union at Scripps College in Claremont California. He is graduating summa cum laude in spring of 2025.
Housing First--Te Best Plan to End Homelessness
Sharayah McDonald
Faculty Sponsor: Dr. Jay Paul, Honors Program
Abstract
Homelessness is growing at an unprecedented rate, with billions of individuals lacking access to safe housing and millions of housing units requiring construction. While many countries attempt to solve this crisis through Treatment First or abstinence-based programsdemanding that individuals obtain jobs and sobriety before receiving housing- countless studies and experiments have proven that a Housing First approach is more successful for retaining housing long-term, and is more sustainable in terms of cost, mental health, and other resources. Housing First is a principle and belief system that housing is a human right and basic need which individuals should have access to before being expected to have a job or make lifestyle changes. In cities and countries in which Housing First is implemented on a large scale, homelessness rates decrease, money and emergency resources are conserved, and lives are saved as individuals have a program tailored to their specifc needs and can focus on their health. While Housing First has a high initial start-up cost, there are a multitude of solutions and partnerships that can be implemented to ensure its success, which is much more cost efective and successful in the long-term than other housing programs. While Housing First may seem like a radical concept to some, it is the most powerful tool for mitigating homelessness, and needs political willpower for further execution around the world.
One of the most important global problems facing nearly every country in the industrialized world today is homelessness and the lack of safe, adequate, afordable housing. While this is an issue especially familiar to Americans, it is also widespread across the globe, with diferent nations approaching the issue with diferent solutions (or lack thereof). Economist and journalist Daniil Filipenco writes for DevelopmentAid that according to a report by the United Nations, there are currently 1.6 billion people living in inadequate or unsafe housing worldwide, and 15 million are forcibly evicted annually (2023). Tis number may even be underestimated, for the unhoused are often considered an invisible population, and diferent countries measure their homeless diferently. For example, according to the organization “Greater Change”, Finland includes those who are temporarily living with friends or family in their defnition of homelessness, which is not common (Which country handles, 2022). Even more concerning, Forum Agenda Senior Writer Michael Purton reports that according to predictions by experts from the United Nations, the number of people lacking adequate housing could reach 3 billion by 2030 (2024). UN-Habitat argues that the world would need to construct 96,000 new afordable houses a day in order to house these people (Purton, 2024). Tis is also a current pressing issue, for according to Victoria Masterson, a Senior Writer for Forum Stories, America alone is currently defcient by 1.5 million houses (2022). Similarly, it is estimated that India is in a housing shortage of 34 million houses (Purton, 2024). While 1.6 billion people do not have adequate housing, UN-Habitat estimates that 100 million people globally do not have a home at all (Masterson, 2022). What is even more shocking is that many of those people are children. For instance, in the United States, 25% of the entire homeless population is under 24 years of age (Filipenco 2023). Furthermore, according to Kate Whiting, a Senior Writer for Forum Stories, of the 300,000 people in the UK who are thought to be living in temporary accommodations such as cars or friends’ houses, half are children (2024). Tis is even more concerning when compared with the fact that “people experiencing homelessness are more than twice as likely as the general population to report a physical health condition (78% vs 37%), while almost half (44%) have a mental health diagnosis compared to less than a quarter among the general public” (Whiting, 2024). Tese stipulations can make fnding help for adequate housing or employment even more difcult.
Te issue of homelessness is multifaceted and complex, but there are defnite underlying reasons for the trends. Daniil Filipenco explains that conficts such as war cause people to lose their homes and natural disasters destroy houses (2023). For example, Syria has one of the highest homelessness rates in the world at 29.6% or 6.56 million people in the country. Not only are Syrian refugees displaced because of the ongoing war, the UN reports that due to infrastructural failure 70% of Syrians lack access to safe water. Another cause of the housing crisis is that “in most countries, the cost of housing has grown faster than incomes” according to data from the IMF (Masterson, 2022). For example, a study of 200 cities worldwide found that 90% were unafordable to live in because the average house was more than three times the average income. Te 2008 fnancial crisis is also to blame for the shortage of housing in the United States, for builders have less incentives to build more homes, especially lower costing homes. Te Covid-19 pandemic is also considered a major cause, as workers moved to virtual work and wanted to move houses away from central locations, increasing the demand and costs of houses. According to research at JP Morgan, “house prices globally have risen at their fastest rate for 40 years as demand has outstripped supply” (Masterson, 2022). Furthermore, Dana Ferrante of Housing Matters explains that in 2023 in the US, there was no state, city, or county where a minimum-wage worker could aford a modest apartment (2024). Consequently, approximately 11 million Americans spend over half of their income on rent, and many renters in Asia are faced with the same
problem (as Asia is one of the fastest growing housing markets) (Masterson, 2022). Tis is all occurring while America has the least amount of housing for sale or rent than in the past 30 years. How do all these factors afect homelessness? A country’s “homeless population” is the number of homeless individuals on a given night in that specifc country, while a country’s “rate of homelessness” is the rate of homeless people in relation to a country’s total population (Filipenco, 2023). According to “Greater Change”, the United States has a homelessness rate of 0.15%, and a population of over half a million homeless people (What country has, 2022). By comparison, the United Kingdom has a homelessness rate of 0.34%, which is over four times higher than any other European country. Iceland has the lowest rate of homelessness in Europe at 0.009%, with Switzerland in second place at 0.02%. In Africa, the country with the lowest homelessness rate is Ghana at 0.32%. Finally, the country with the lowest rate in Asia and globally is Japan at 0.003%. As global homelessness spikes at unprecedented levels, countless studies and research have proven that the Housing First approach, as opposed to Treatment First and Abstinence-Based Programs, is the most sustainable and long-term solution to mitigating homelessness in every country it has been tested on, especially for diverse groups with unique needs.
Housing First was frst created in 1992 by clinical psychologist Dr. Sam Tsemberis, and was implemented as a program called “Pathways to Housing” in New York City (Whiting, 2024). In the Housing First approach, housing is viewed as a fundamental human right, and therefore any person experiencing homelessness will be given a home or rental with a contract without any preexisting conditions. Essentially, residents are not required to do anything before getting a house- such as get a job, get sober, or make lifestyle changes, for “the notion goes that once people have permanent housing; they will be able to seek the help they require to improve their lives” (Which country handles, 2022). According to a report compiled by the European Commission on Housing First being implemented throughout Belgium, the only requirements for housing are “to follow the normal residential tenancy laws and — in most cases — to accept regular home visits by
Fig. 1: OECD (2024) (Whiting, 2024)
service providers” (Aubry, et. al, 2016). Furthermore, Sarah Saadian of the National Low Income Housing Coalition explains that Housing First is not only permanent housing, but also includes access to support services such as substance use counseling, mental health counseling, and employment training (2023). When it was founded, in 1993 Pathways to Housing provided apartments to 242 previously homeless people in New York with on-site social service support, according to author David Brand of the Global Citizen (2017). Tis program was so successful that 88% of the Housing First participants retained permanent residence after 5 years, while only 47% of those who went through New York’s standard incremental residential treatment programs did the same. For this reason, Dr. Tsemberis has remarked that “What’s frustrating about homelessness is you can solve it right away. It’s not like you need to develop a cure…Tere is so much evidence showing how Housing First works, but it takes political will” (qtd. In Whiting, 2024). Te evidence does not end here, as Housing First has since been adopted around the world and seen great success in reducing homelessness in other situations and contexts.
For example, Finland currently has a homelessness rate of 0.08%, but 30 years ago this was 75% higher (Which country handles, 2022). Tis is by virtue of the Finnish government committing to adopting the Housing First policy in 2008. Furthermore, the Finnish government mandated that 25% of new housing in a city must be afordable. Rebecca Corbett of Homeless World Cup explains that this means that the rent for housing cannot make a proft for the landlord or housing association, and thus is 20-40% cheaper than private housing (Corbett, 2024). Additionally, this afordable housing physically looks just like any other housing to eliminate any stigma surrounding living there. In Finland’s approach, Elyse Lorenzo of Te HomeMore Project writes that these tenants pay rent and then depending on their income and situations, they can contribute to the social services they receive and the government then pays the rest (2022). In Finland’s Housing First program, those seeking housing can either be placed in “scattered housing” which are private apartments throughout the city and make up 80% of the total for this program, or community units in which an apartment building with many one-person units has access to constant support from medical and social welfare teams (Corbett, 2024). If someone is homeless, the steps they follow include meeting with a social worker to discuss which housing option is best for them, and while they wait for their preferred choice they are placed in temporary accommodations or a shelter. Moreover, in order to ensure the new homeowners are integrated into the community, once a month the housing units hold open-door days so the public can visit and meet the employees and tenants. Tere are also neighborhood work groups to assist these new tenants and upkeep the units such as an environment group which helps collect trash outside. With all of these initiatives, the government has a goal to eradicate long-term homelessness completely by the end of 2027. Conversely, while Japan does implement a Housing First approach, their strategies are actually quite diferent from others in the sense that there is help for the unhoused, but there is also a huge social stigma surrounding homelessness (Which country handles, 2022). Tere are laws that make begging illegal and even a criminal ofense, and the city is designed with anti-homeless architecture to prevent sleeping or sitting in the streets. However, there are organizations such as the Tsukuroi Tokyo Fund which provide housing and employment as well as increase shelters. Tey also create social services to assist the homeless to begin living independently. Furthermore, during Covid the Japanese government ofered accommodations in vacant hotels in Tokyo (Lorenzo, 2022). Tey also created training courses for the unhoused and then encouraged businesses to hire them while ofering subsidized rent and food aid. However, due to this stigmatization, many of Japan’s homeless take to sleeping in restaurants or internet cafes, which are often open for 24 hours, and have showers or laundry services (Which country handles, 2022).
Due to this invisibility of the population, Japan’s low homeless population may actually be underreported, as “internet cafe refugees” become more common (Which country handles, 2022). Ultimately, Japan has the lowest (reported) rate of homelessness in the world, and achieves this through a combination of Housing First policies and social stigmatization.
Fig. 2 Internet cafe refugess. (2017). Panos Pictures.
Brazil is also an interesting case because they are one of the only larger and developing countries that implement a Housing First program. Te majority of countries administering this program tend to be smaller countries in Europe with less population and thus less homeless individuals to begin with, and more streamlined political structures. According to Christina Queiroz of Pesquisa FAPESP, Brazil’s federal government launched its Housing First program, the “Visible Streets Plan” in 2023 (2024). Tis plan includes social welfare programs such as health, education, housing, and employment for the homeless, all guided by the National Policy for the Homeless. Up until this point, Brazilian strategies for homelessness mitigation included more abstinence-based treatment programs, where participants are frst required to be employed, sober, or maintain familial relationships before accessing housing. Typically, “Brazilian homeless shelters often accommodate up to 50 individuals per dormitory, impose strict check-in and check-out times, and provide pre-prepared meals, limiting independence. In addition, few shelters are equipped to accommodate entire families, requiring parents to separate from their children” (Queiroz, 2024). Tis makes it difcult for shelter guests to ever leave and fnd housing of their own. Now however, Brazil wishes to change their current model, taking inspiration from successful Housing First models in parts of Europe. Te NYU Silver Communications Ofce explains that the new president of Brazil, elected in 2023, is making Housing First a priority “as a rights-based and evidence-supported approach that fts well with his administration’s commitment to help Brazil’s homeless citizens” (qtd. In Dr. Deborah Padgett, 2023). New pilot projects are expected to be launched, and the program is expected to continue to grow.
Similarly, Denmark has a homelessness rate of less than 0.1% because they also implement a Housing First policy. Tey prioritize keeping people, specifcally children, of the streets. According to Housing First Europe, Denmark’s primary homelessness mitigation
strategy has been Housing First since 2009, and Housing First has been nationally funded since 2022 (Denmark, 2024). Furthermore, in municipalities where it is proven that citizens move from a temporary shelter to a permanent residence, there is assurance of partial refunds. Tis example is also not the only instance in which permanent housing has had economic benefts. In 2014, Canada conducted a study called the At Home/Chez Soi by the Mental Health Commission of Canada (Brand, 2017). In fve diferent cities, over 2,000 homeless men and women with severe mental illness were monitored for two years. In this study, half of the participants received housing immediately while the other half went through treatment as usual through social services (which entails staying in shelters and transitional housing programs rather than permanent housing). Te results showed that at the end of the study, 84% of those who were part of the Housing First initiative were still housed while only 54% of the control group were still housed. Additionally, permanent housing was found to cost less than traditional programs through social services due to less medical and criminal-justice related expenses, because the residents had housing necessary for survival. Tus, Canada is now allocating more resources to implement the Housing First approach.
In fact, Housing First has actually proven to be more cost efective in the long-term over and over again. For example, in the United States, Alayna Calabro of the National Low Income Housing Coalition writes that the Community Preventive Services Task Force has found that the intervention costs of Housing Firsts are far outweighed by benefts; as for every $1 invested yields a savings of $1.44 (n.d). Tese benefts and savings are derived from healthcare, emergency housing, judicial services, welfare, and disability cost reductions, as well as benefts from increased employment. A specifc example is New York City, in which unhoused residents with mental health conditions who had access to supportive housing yielded a $12,146 net reduction in cost per person per year. In another example, Charlotte, North Carolina implemented Housing First and saved $2.4 million in one year. Likewise, their tenants spent 1,050 less nights in jail, 292 less days in the hospital, and there were 648 less visits to emergency rooms that year. Another study estimates that for each person that enters a Housing First program, the average savings to the public is anywhere between $900-$29,400 per year. Similarly, in Denver, the Denver Supportive Housing Social Impact Bond Initiative (Denver SIB) provided permanent housing subsidies and services for those experiencing chronic homelessness, which is defned as experiencing homelessness with a disability for at least a year or four separate times that add up to a year (HUD Exchange, n.d.). A study compared those who were a part of the Denver SIB to those who received normal services, which is typically emergency shelter (Ferrante, 2024). While the SIB program helped increase housing stability and the use of needed healthcare services, it simultaneously decreased participants’ use of emergency services such as ambulances, emergency rooms, and jail. Tis led to each person in the Denver SIB program costing $6,876 less than those who went through the standard care.
Not only are these economic benefts worthwhile, but this study of the Denver SIB program also found that in the frst year of the program, people were housed for an average of 172 days, while those seeking standard care were only housed for 19 days (Ferrante, 2024). After three years, those in the SIB program were housed for an average of 654 days, while those who were not in this program spent 94 days housed. Not only did the Housing First program reduce emergency medical visits, it also increased standard medical visits, for “people referred to the Denver SIB program were also more likely to access prescription medications and ofce-based care services, and less likely to visit short-term or city-funded detoxifcation facilities. In other words, Housing First increased access to communitybased care while reducing reliance on emergency services that are not equipped to provide follow-up care” (Ferrante, 2024). People were receiving the medical treatment they needed
in a sustainable, long-term way. Another large review of over two dozen studies showed that Housing First programs led to “greater improvements in participants’ quality of life” than normal treatment for the homeless, and that those with severe mental health conditions experienced “more rapid improvements in community functioning and quality of life” than treatment as usual (Ferrante, 2024). Such an outcome can be attributed to Housing First programs that can be tailored to meet individual needs for unique circumstances, including adults or youth, people experiencing chronic homelessness, individuals struggling with addiction and substance use disorders, and those with mental health diagnoses (Calabro, n.d). In fact, Dr. Tsemberis actually had the severely mentally ill population particularly in mind when he frst created Housing First, as this group is at high risk for becoming chronically homeless (Brand, 2024). Dr. Tsemberis has found and shown that through Housing First, those who struggle with severe mental illness can maintain their care whilst assimilating into the community and reducing costs.
By contrast, Treatment First and Abstinence-Based programs do not accommodate the needs of individuals, and prevent those with deeper struggles from accessing the immediate care they need. Tese programs require participants to be “housing ready” before permanent housing, which translates to residents being in psychiatric treatment and substance free, according to Yinan Peng et. al at the National Institute of Health (2020). Tis review of 26 studies in the U.S. and Canada revealed that compared to Treatment First programs, Housing First decreased homelessness by 88% and improved housing stability by 41%. For participants with HIV, Housing First reduced homelessness by 37%, viral load by 22%, depression by 13%, emergency room use by 41%, hospitalization by 36%, and mortality by 37%. It literally helps save lives. What might seem backwards is the fact that participants of Housing First are actually less likely to misuse substances compared to those who are part of programs that require substance use disorder treatment as a precondition to receive housing (Calabro, n.d.). For example, in one study participants of Housing First noted large declines in alcohol use and likelihood of drinking to intoxication over time. Furthermore, compared to abstinence-based programs, those in Housing First programs are more likely to remain housed and less likely to report using stimulants or opiates. Tey are also more likely to continue taking medication assisted treatment medications (treatment for opioid use disorder) for three years. Tey are more likely to stop drug abuse and continue drug rehabilitation, because they are receiving the support they need through permanent housing frst, and not facing the stress of homelessness which can make sobriety more challenging.
Similarly, in the 2023 California Statewide Study of People Experiencing Homelessness by Margot Kushel and Tiana Moore, many surveyed participants revealed that the stress of homelessness actually contributed to their drug use, not the other way around (2023, p. 54). Many individuals were using substances to stay awake to protect their belongings, avoid interactions with police, or to self-medicate due to limited health care access. Housing eliminates this need and allows participants to have the space and autonomy for recovery. Moreover, another study found that 86% of those in Housing First programs with long histories of continuous emergency room visits and arrests coupled with substance use disorders and severe mental health diagnoses were able to remain in permanent supportive housing (Calabro, n.d.). Housing First improves participants’ mental health and mental health treatment, along with their physical health, especially for those who are experiencing chronic homelessness, substance use disorders, or severe mental illness. Tis is data that Treatment First programs simply cannot boast. Voluntary, culturally-competent, and trauma-informed community treatment services correlate with employment, crisis services, and peer support services which are delivered in the residents’ home and community, where they are comfortable, rather than a hospital setting. By contrast, involuntary treatment
in a coercive setting in order to receive housing as a precondition can create a cycle of hospitalization, unnecessary police interactions, and incarceration. One strategy cares for the individual and their circumstances in the safety of their home, while the other coerces an individual into treatment for the potential of housing. Housing First enforces the community aspect of what turns owning a house into a home, while those who are forced through treatment programs without shelter do not have this comfort or support.
Of course, the long-term economic, health, and societal benefts of Housing First programs are attractive, but the upfront costs are extremely expensive. Opponents may argue that the initial costs do not outweigh these enormous benefts, because with fnancial costs also come policy considerations and restructuring work. Dennis Culhane, Matthew Fowle, and Joy Moses author a report for the National Alliance to End Homelessness which calculates these costs and considerations in the United States. Utilizing data regarding homelessness from 2022, it would cost an additional $9.6 billion to rehouse all adult households who stayed in a shelter that year, at an annual cost of $20,115 per adult household for each placement in a Housing First program (2025). It is also important to note that these calculations only consider those who were sheltered homeless during 2022, not those who were unsheltered. Additionally, in 2022 only 16% of sheltered homeless households received any formal assistance to exit homelessness. Te authors explain that this $9.6 billion budget would require a tripling of the annual funding for the already existing assistance programs by the U.S. Department of Housing and Urban Development (HUD) and the U.S. Department of Veterans Afairs (VA). It is also double the estimated cost to close the gap in emergency shelter provision, which is $5.4 billion annually. However, the authors explain that as Housing First programs are implemented and more people become housed, the need for emergency shelters would decrease, thus lowering the estimated cost of closing this gap. It may be simply a matter of redirecting resources to prevention rather than intervention. For example, some solutions these authors ofer include increasing discretionary HUD and VA Housing First program appropriations. For families, necessary funding for Housing First programs can be achieved in 5 years through 5.9% annual incremental increases in the HUD Homeless Assistance Grants programs. For single adults, however, the prospects are not as bright, and would require an increase of 30.1% in discretionary funding to reach necessary funding in 5 years. Terefore, the authors call for more aggressive discretionary appropriations. Another proposed solution is to utilize Medicaid to pay for case management, move-in assistance such as deposits, and limited-time rental assistance. Some states have already started implementing this strategy, as homelessness is recognized to be a primary social determinant of health. However, not all care organizations that administer Medicaid would accept this expansion of services, the increased cost, or be able to serve this population. Another proposed solution is to drastically increase the availability of targeted housing vouchers to chronically homeless, non-veteran single adults. Tis approach could have closed the housing gap for this population for a cost of $2 billion in 2022. Lastly, states could bundle cash-based rental assistance with Supplemental Security Income (SSI) payments for elderly or disabled individuals facing homelessness. While this may require additional legislation or research, governments could fund this rental assistance as part of the SSI program. Terefore, while the initial upfront costs of Housing First are nothing to deny, there are feasible solutions to fnd and allocate funding for this necessary cause. While this plan is expensive, if the government has any desire to sustainability mitigate homelessness, Housing First is simply the best solution. But what are some other solutions to introduce Housing First and ensure that there are enough afordable housing units in general to support the program? One avenue is Community Land Trusts (CLTs), which are non-proft organizations that buy land and thus remove it from the real estate market through renewable long-term ground leases
(Purton, 2024). While the CLT owns the property, homes on the land can be rented, owner-occupied, or cooperatively owned, and any profts from the land are reinvested into the community rather than to private developers or landlords. Te goal is to ensure constant afordability for those in low-income groups and to prevent resale. Dudley Neighborhoods Incorporated (DNI) is a CLT which protects over 30-acres of community land in Boston. It was founded in 1988 and now consists of 288 afordable housing units, commercial properties, urban farms, community gardens, and playgrounds. Another solution is public-private partnerships (PPPs) in which the government and private companies collaborate to fnance, develop, and manage afordable housing. Te government will usually provide the land, development rights, and tax incentives or subsidies while the developers and investors fnance, design, construct, and manage the property. In Sydney, Australia, a $2.2 billion PPP was created to transform former public housing into a mixed-tenure residential precinct. 3,000 homes will be constructed through this PPP- 950 of which will be social housing and 128 of which will be afordable housing units for low-income families.
Tere are also some unique projects around the world to help provide housing to those who might otherwise not be able to access it. For instance, Patrick Henry of Forum Stories reports on the creative solutions to mitigate homelessness, such as in Cambridge, UK where mini-homes are being constructed at a cost of $50,000 per house (2021). Residents are required to become clean and sober before gaining access to these mini-homes, which does contrast from Housing First ideology. Some residents also received training for new lines of work, while others returned to their old jobs. Tese micro-houses are also popping up in villages in Los Angeles. Another example is in India, Habitat for Humanity International is investing in 3D-printing houses to build 20 million houses for low-income families. 3D printed homes in India are easily customizable and can be constructed in fve days. Tis is also being implemented in Kenya where a house can be 3D-printed in 12 hours for less than $10,000. Tis strategy also reduces CO2 emissions by 70% compared to standard house-building projects. India also makes afordable housing using glass fbre reinforced gypsum (GFRG), which is 20-30% cheaper than a typical house construction (Purton, 2024). Finally, in downtown LA, shipping containers were repurposed into lowcost apartments as a response to Covid over the course of just six months (Henry, 2021). Tey were completed with windows and insulation, and include a bed, microwave, fridge,
Fig. 3 Dudley Neighbors, inc.
television, and bathroom. Te facility cost the US government $57 million to build and was part of its Covid-19 response. While there is a global housing shortage, these costefective, environmentally sustainable solutions help minimize the barrier to housing access for everyone, including Housing First implementation.
In order to ensure the success of such a bold and ginormous program such as Housing First, all of the implications and efects of implementing such change must be considered. Te frst argument against the program is its cost and the efect on the economy. Te upfront cost of building new shelters to close the housing shortage and initiate welfare programs stands as a barrier for poorer countries to implement this program. Tis then becomes an issue of equitable distribution and access around the world of fair and equal housing. As of right now, only wealthier countries appear to be able to or are choosing to implement Housing First, with Brazil as the outlier. What needs to be done to initiate Housing First programs in developing countries, or even countries currently engaged in
Fig 4. India’s 3D-printed house. Habitat for Humanity.
Fig. 5 Mesa, D., et. al. (2019). Shipping containers help Los Angeles Homeless Crisis
confict? Will this conversation of housing as a human right even be feasible for countries whose majority population lives in poverty? While countless studies have proven that Housing First is more sustainable and cost efective in the long-term, making up for its costs over time, this huge start-up cost may prevent poorer countries from even considering the idea. Tis then begs the question if through globalization, wealthier countries should assist developing countries with their Housing First upstart initiatives. Similar to USAID or foreign aid, should world leaders be responsible for aiding countries with this program? Furthermore, the environmental cost and regulations of building shelters can also act as a barrier to Housing First. For example, according to Marisa Kendall at CalMatters, in recent years Texas has seen its homeless population shrink by a third while California’s has increased by 43% (2023). Part of California’s problem is rules and regulations that must be followed when constructing housing or buildings, such as the California Environmental Quality Act. Conversely, Texas does not have these environmental laws, any zoning laws for land in unincorporated counties, any zoning laws in the entire city of Houston, and they also have fewer building regulations in general. Consequently, California has a population of 9 million more residents than Texas, but Texas builds double the amount of housing. While environmental protection and building regulations are not necessarily a bad thing, they do act as red tape to constructing quick, afordable housing for those who could beneft from Housing First.
If countries did implement the program, to ensure equal access to everyone, leaders would need then to make the public aware and get them in touch with case workers for assistance. Tey would also need to ensure that on every scale, no individual or group is being discriminated against for the program. It would need to be available everywhere, so that the most marginalized groups and populations that need it the most would be served by it, and no one is left out, intentionally or unintentionally. Additionally, some countries might not even be willing to implement Housing First due to cultural diferences and moral divides. If a culture sets the precedent that homelessness is a moral failing or personal responsibility, convincing lawmakers and ofcials to invest in the ideology of housing as a human right may be difcult. However, Japan is one such country with a stigma surrounding homelessness, but has used this to implement supportive services such as Housing First. Other countries with diferent standards and norms may not be as accepting of the idea. As previously mentioned, implementation of this program anywhere would take immense political power and convincing. Politicians may face backlash for their support due to its cost and ideology. Some leaders may not be willing to risk their positions for this cause, as it is likely to be viewed as radical in some places. How could leaders get the general public on board with this newer idea? Once implemented, countries would also need to ensure that the program was expanded enough with adequate funding, employees, and support staf to guarantee its success. Tis includes case workers, care takers in apartments, those helping with rehabilitation, those helping to train participants for new jobs, and more. Housing First is the most sustainable solution to homelessness, but its success would also need to be invested in to establish this sustainability. Ultimately, Housing First has been proven through research and personal testimonies to be the most efective solution for homelessness mitigation, and improves mental health, physical health, and is cost efective. As new Housing First initiatives are implemented around the world, increased funding, data, and research are required to improve the level of integration to a national scale. After testing the approach in Belgium, the European Commission writes that the evaluation in Belgium “adds to the evidence that this approach is efective in diverse European locations, diferent welfare regimes, and also under complex governance structures” (Aubry, et. al, 2016). European countries such as Austria, Belgium, the Czech Republic, Denmark, Finland, France, Hungary, Ireland, Italy,
Lithuania, Luxembourg, the Netherlands, Norway, Portugal, Romania, Slovenia, Spain, Sweden and the UK have all begun to implement some Housing First principles, but some have struggled to secure an adequate supply of afordable homes with security of tenure (that residents will be able to retain housing without fear of displacement or eviction) (2019 housing First in Europe, 2022). Terefore, securing resources to implement Housing First on a national level, such as funding and afordable housing, is necessary. While homelessness might often be conceptualized as a stigmatized personal or moral failing, “homelessness is not an individual’s fault, it is the system’s fault, and we need to make the systems work for the people and not the other way around,” (Juha qtd. In Corbett, 2024). Te United Nations considers housing to be a human right, as does the Housing First approach. As the housing crisis disproportionately afects the world’s most vulnerable populations, “homelessness is just the most visible manifestation of economic and social policies that exacerbate worldwide poverty and inequality” (Brand, 2017). As this gap of quality of life widens and the housing market worsens, the Housing First approach is one that statistically reduces homelessness while caring for individuals empathetically as people. Supplying society’s most vulnerable populations with housing before any conditions are met has proven to be most efective and sustainable in the long-term, as well as most helpful to individual circumstances in the short-term.
References
2019 housing First in Europe: An overview of implementation, strategy, and Fidelity. (2022). Housing First Europe. https://housingfrsteurope.eu/research/2019-housing-frst-in-european-overview-of-implementation-strategy-and-fdelity/#:~:text=Te%20countries%20were%20 Austria%2C%20Belgium,Spain%2C%20Sweden%20and%20the%20UK
Aubry, T, et. al. (2016). Housing First Synthesis Report. European Commission. doi: 10.2767/300657
Brand, D. (2017). “Housing frst” approach is catching on around the world. Global Citizen. https://www.globalcitizen.org/en/content/housing-frst-ending-homelessness-human-right/
Calabro, A. (n.d.). Te evidence is clear: Housing First Works. National Low Income Housing Coalition. https://nlihc.org/sites/default/fles/Housing-First-Evidence.pdf
Corbett, R. (2024). Finland: Can housing frst end homelessness?. Homeless World Cup. https:// www.homelessworldcup.org/cities-ending-homelessness-global-lessons/fnland-can-housingfrist-end-homelessness
Culhane, D., Fowle, M., & Moses, J. (2025). How much would it cost to provide housing frst to all households staying in homeless shelters?. National Alliance to End Homelessness. https:// endhomelessness.org/resources/research-and-analysis/how-much-would-it-cost-to-providehousing-frst-to-all-households-staying-in-homeless-shelters/
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Kushel, M., & Moore, T. (2023). Toward a New Understanding: Te California Statewide Study of People Experiencing Homelessness. Beniof Homelessness and Housing Initiative. University of California San Francisco. https://homelessness.ucsf.edu/sites/default/fles/2023-06/ CASPEH_Report_62023.pdf
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Which country handles homelessness the best? (2022). Greater change. https://www.greaterchange. co.uk/post/which-country-handles-homelessness-the-best
Whiting, K. (2024). Homelessness: What drives it and what’s needed to end it. World Economic Forum. https://www.weforum.org/stories/2024/08/homelessness-urban-housing-afordability/
About the Author
Sharayah (Shay) McDonald is a rising senior at Christopher Newport University majoring in Environmental Studies and minoring in Geography and Leadership Studies. She is graduating in December of 2025. She is a member of the Honors Program and President’s Leadership Program. Sharayah is particularly interested in the intersection between human rights and the environment, or environmental justice. She is an intern for the Reif Center for Human Rights and Confict Resolution at CNU and an intern for the Center for Sustainability in Education (CSE) at CNU. She is a member of the Student Sustainability Commission and founded a club for homelessness outreach at CNU for the Newport News and Hampton communities called Homelessness Outreach Made Easy (H.O.M.E.) for which she acts as the President. Sharayah hopes to attend graduate school this spring for Sustainability Management to learn more about environmental justice and policy and oneday work with local organizations or governments to put her passions to work.
“It Might Be Nice” … But It Wasn’t Enough: Patronage, Alienation, and the Limits of Hamilton’s Ambition
Emily McKenna
Faculty Sponsor: Dr. Frank Garmon, Department of Leadership and American Studies
Abstract
Tis paper explores Alexander Hamilton’s strategic use of patronage in Lin-Manuel Miranda’s Hamilton: An American Musical. Trough key relationships with fgures like George Washington and the Schuyler family, Hamilton leveraged his intellectual talents to form infuential personal networks. Tis analysis situates Hamilton’s career within the broader context of merit, patronage, and power dynamics in the early American republic. Trough a comprehensive understanding of Hamilton’s life, this paper argues that while patronage enabled Hamilton’s rise to power, it also laid the groundwork for his political isolation and, eventually, his undoing.
“How does a bastard, orphan, son of a whore and a Scotsman, dropped in the middle of a forgotten spot in the Caribbean by providence, impoverished, in squalor, grow up to be a hero and a scholar?”1 In opening Hamilton: An American Musical with this question, Lin-Manuel Miranda frames an important thesis: how did Alexander Hamilton go from an orphaned outcast from the Caribbean to one of America’s most important founders? Social mobility in the colonial era, although not as rigid as in continental Europe, was difcult for those not born into the wealthy elite. Historian Jackson Turner Main argues that “revolutionary society was certainly not classless, yet neither was it entirely aristocratic. It contained the essential elements for an aristocracy while at the same time possessing the potential for social and economic democracy.”2 Social mobility, while rare, was possible but required a mix of rare intellectual skill and work ethic, which prompted the colonial elite to sponsor the less fortunate in a system called patronage.3 Patronage, while commonplace in the colonial era, was viewed with skepticism, as there was a strong emphasis on individual ideas, independent thought, and merit as a basis for social standing.4 As public policy professor Domonic Bearfeld points out, in many colonies such as New York, “the limited sufrage of the era essentially restricted most political activity to a few prominent families,” which means that in order to gain social footing there is a need to align politically with those already in power.5
Few fgures played into the paradox of patronage better than Alexander Hamilton, who rose from an outsider with no status or connections to one of the most infuential fgures of the colonial era. His journey to infuence was paved with powerful patrons, from those who sponsored his education to his relationship to George Washington, whose status gave Hamilton access to powerful political circles. Hamilton did not simply use patronage as a building block to political prominence, but internalized the system as a leadership strategy that prioritized achievement and loyal supporters over working across the aisle and building political consensus. His reliance on patronage as both a leader and follower, however, also created many enemies for Hamilton, as he was seen as a monarchist by many of his contemporaries for his ideas on government. In an exchange recounted by Tomas Jeferson in an 1811 letter to Benjamin Rush, John Adams stated that if it were not for the corruption and aristocratic nature, the British Constitution would be perfect, to which Hamilton replied that “with its existing vices, it was the most perfect model of government that could be formed; & that the correction of it’s vices would render it an impracticable government.”6 Tis exchange, while apparently revealing only a diference of opinion, represents the ideological divides that greatly exacerbated the divides that Hamilton’s leadership style creates. While patronage allowed Alexander Hamilton to rise above his station in life and play an essential role in the founding of the United States, his combative reliance on the practice alienated political allies, intensifed factionalism, and created the conficts that eventually ended his career and his life.
1 Lin-Manuel Miranda, Hamilton: An American Musical, directed by Thomas Kail, (filmed June 2016), 1.
2 Jackson Turner Main, The Social Structure of Revolutionary America, (Princeton: Princeton University Press, 1965), 133.
3 Pauline Maier, Review of Poverty, Mobility, and the Problem of Class in Colonial Cities, by Gary B. Nash. Reviews in American History 8, no. 4 (fall 1980): 471–77.
4 Ibid.
5 Domonic Bearfield, “What Is Patronage? A Critical Reexamination,” Public Administration Review 69, no. 1 (2009): 64–76.
6 Thomas Jefferson, “Thomas Jefferson to Benjamin Rush, 16 January 1811”, 16 January 1811, Papers of Thomas Jefferson: Founders Online.
Hamilton’s Patronage Avenues
As a consequence of his impoverished illegitimacy, Alexander Hamilton was denied traditional paths of social advancement, which led to his understanding that he would need the support of powerful benefactors in order to rise above his station. Tus, he utilized three avenues to achieve social standing in colonial America, leveraging relationships built through education, war, and marriage to showcase his intellectual talents and rise through social and political circles. Born in St. Kitts and Nevis to an unwed mother, young Hamilton’s life was riddled with tragedy. Te title of “bastard” followed him at every turn, he was fatherless, forced to watch his mother die and cousin commit suicide, and unable to attend formal schooling as a result of his parentage. However, he was privately tutored by both his mother and in the Hebrew tradition, allowing him to master languages that would assist with his later endeavors. After his mother’s death, Hamilton received his frst act of patronage in the form of his cousin, Peter Lytton, who bought his trove of books before he died, allowing Hamilton to continue to study and become well-versed in the Enlightenment philosophies that would later inform his ideas on government.7
While Hamilton was denied the privilege of formal schooling, his natural ability to observe and write about the world around him served him well. He started clerking for Nicholas Cruger and learned the practicality of business while observing the horrors of slavery in the West Indies. When a hurricane devastated St. Croix in 1772, Hamilton’s frsthand account was published in the Royal Danish American Gazette, which Ron Chernow argues was Hamilton’s way out of poverty, as local businessmen raised money to send him to be formally schooled in North America.8 Hamilton’s ability to combine the spiritual terror, complete desolation of his home, and the quality of his prose provided a platform for others to see that he was worth investing in. Tis moment can be seen in the introductory song of Hamilton, where sending Hamilton to New York to be formally educated allows him to “be a new man,” which Chernow explicates is a psychological strategy utilized by orphans and immigrants to cut of their old identity and focus on fnding an environment that accepts them not for where they came from, but for what they can ofer.9 Tis tragedy allowed Hamilton’s incredible intellectual talents to be brought to the attention of prominent people who could help further develop his gift.
When Hamilton arrived in New York City, he was armed with letters of introduction from Hugh Knox, a minister who had become fond of him after their introduction was facilitated by Cruger in St. Croix. As Hamilton had no connections in America, these letters of introduction by Knox served as an essential point of patronage to allow alignment with the local elite, as Chernow points out that “Hamilton always displayed an unusual capacity for impressing older, infuential men … crossing over an invisible divide into a privileged, patrician world in a way that would have been impossible in St. Croix.”10 Te patronage displayed through funding Hamilton’s trip to America and his letters of introduction were essential because they facilitated social relationships, which benefted him by allowing him to make an impression based on his merit rather than his parentage and past. Hamilton enrolled in Kings College, where he was able to make up for his lack of formal education with his quick ability to absorb information and drive to prove himself. It was here that Hamilton began writing politically, meeting like-minded individuals, and speaking out against British injustices. Tis led to Hamilton developing a reputation as “a
7 Brooke Allen. “Alexander Hamilton: The Enlightened Realist.” The Hudson Review 57, no. 3 (2004): 497–508.
8 Ibid.
9 Ron Chernow, Alexander Hamilton, (New York: Penguin, 2004), 20.; Miranda, Hamilton, 2.
10 Chernow, Alexander Hamilton, 43.
youthful hero to the cause” by the Sons of Liberty.11 Hamilton’s experience in college was facilitated by patronage, but his intellectual superiority to his peers led him to receive the support of the colonial elite that would allow for his future success.
From as early as 1769, Hamilton seemed to recognize that war might be his best shot at upward mobility. He famously wrote to his friend Edward Stevens, “I wish there was a war,” revealing his willingness to risk death for the chance to transcend his circumstances and make something of himself.12 Hamilton’s musing to Edward Stevens came to fruition as tensions between the American colonies and Great Britain continued to brew. Hamilton wrote under a pseudonym in support of the colonial cause with such impressive style, as shown in his Farmer essays where he advocated for political rights which are “by the hand of divinity itself and can never be erased or obscured by mortal power.” His publications were often attributed to more established fgures of the time, especially given his complex understanding of Enlightenment social contract thinkers that can be seen through this quotation.13
Not just skilled with an ability to write, Hamilton was also able to prove himself on the battlefeld in the war efort against Britain with his brilliant tactical mind and neverending drive. Tis invaluable skill set caught the eyes of George Washington, as well as other important military personnel such as Nathanael Greene, Alexander McDougall, and Henry Knox. Chernow attributes Washington’s hiring of Hamilton as an aide-de-camp as a pivotal moment, “for that job won him the patronage of America’s leading fgure and ushered him into the presence of military ofcers who were later to form a critical sector of his political following.”14 Tis point highlights the interplay between patronage and ability, as they form a loop–the more Hamilton proved his natural ability, the more patronage he received, yet the more patronage he received, the more he was able to prove his natural ability. Hamilton and Washington served as two halves of the military coin, with Hamilton taking over Washington’s correspondences to allow focus on military strategy. His intellectual contributions made him too valuable to send into combat, which left him to remain largely behind the scenes for much of the war efort. Although his position was important, Hamilton had always felt that direct combat was the best way to move up the social ranks, which he recognized as early as 1769.15 Hamilton’s requests for a command were often turned down as portrayed in Hamilton’s “Stay Alive,” where Hamilton says of the war efort “and ev’ry day ‘Sir, entrust me with a command,’ and ev’ry day he dismisses me out of hand.”16 Tis continued until Washington granted his request during the Battle of Yorktown, allowing Hamilton to prove himself as a military leader on top of his reputation as a trusted aide of Washington.
Hamilton’s fnal leap in social mobility came through his marriage. Te Schuyler family, of Dutch wealth and military prominence in upstate New York, was Hamilton’s chance to raise his social class. As Aaron Burr sings in “A Winter’s Ball,” if you can marry a sister, you’re rich, son,” which showcases that social mobility can also be achieved through marriage in the colonial era.17 Hamilton courted Elizabeth Schuyler after she arrived in 11 Ibid, 56.
12 Alexander Hamilton, “My Ambition is Prevalent,” 11 November 1769, in Joanne B. Freeman ed., The Essential Hamilton: Letters & Other Writings (New York: The Library of America, 2017), 22.
13 Alexander Hamilton, “The Farmer Refuted,” 23 February 1775, Papers of Alexander Hamilton: Founders Online
14 Chernow, Alexander Hamilton, 86.
15 Alexander Hamilton, “My Ambition is Prevalent,” 11 November 1769, in Joanne B. Freeman ed., The Essential Hamilton: Letters & Other Writings (New York: The Library of America, 2017), 22.
16 Miranda, Hamilton, 14.
17 Ibid., 33.
Morristown in 1780 to live with her uncle, Dr. John Cochran, and Hamilton’s fellow aides reported that he was “a gone man” from the moment they met, with them deciding to marry about a month later.18 Tis observance from Hamilton’s peers raises an interesting question of the Hamilton-Schuyler marriage, as it is unclear if this relationship was pursued because of Eliza’s last name and the social standing that comes with it, or if it was simply a matter of love between two people who want to be together.
In marrying into the prominent family, Hamilton was able to enter elite social circles that he never would have had access to otherwise, given his immigrant background and shameful parentage. By the time he and Eliza had met, Hamilton had already proven himself to be a gifted mind, prolifc writer, and an indispensable part of the war efort. What he lacked in capital to marry into such a prominent family, he made up for in his skill and drive. He utilized his poetry skills to woo Eliza, writing “before no mortal ever knew/a love like mine, so tender, so true.”19 Hamilton used his skillset not only to win over the Schuyler family’s approval of their relationship, but woo Eliza until she returned his advances. In this manner, he and Eliza’s marriage mirror the relationships Hamilton had created with Washington and other fgures in his life, with his talent securing him the reputation of a worthy investment, and the investment creating a platform to further develop and display his talent.
Hamilton’s frst twenty-fve years showcase the balance between his reliance on natural genius and external support, with his intelligence and ambition attracting patrons who elevated his status, turning patronage into personal progress. Chernow captures this dynamic by observing that Hamilton’s “abominable childhood produced such a strong, productive, self-reliant human being,” which provided him the drive to succeed when the odds were stacked against him and engineer his own success.20
Constitutional Convention and the Washington Administration
Te period following the victory of the American Revolution saw not only a struggle to fgure out how to strive as a new nation in lieu of separation from Great Britain, but also an attempt to reconcile ideological diferences on how to best create a new form of government. Hamilton’s intellectual contributions in the founding era are difcult to ignore when faced with the sheer quantity of it. As Hamilton self-studied for the bar after the conclusion of the Revolutionary War, he saw himself quickly become disdainful towards the direction the government was headed. Tis was the beginning of Hamilton’s recorded belief in natural aristocratic forms, which can be seen many times throughout his writings on what type of men are ft for government, as he wrote to Morris in July 1782, “the inquiry constantly is what will please, not what will beneft the people. In such a government there can be nothing but temporary expedient, fckleness, and folly.”21 Tis quotation points to a much bigger belief of Hamilton’s, which is the need for a strong, central government with enumerated powers to manage money, regulate trade, and create military to ensure national security, all faults he saw in the Articles of Confederation through his work lobbying for taxes within New York. A strong central government, in Hamilton’s view, is essential in counteracting the temporary passions of humankind and those in power. Tese beliefs lay central to the Federalist party and his later work that helped shape the Constitution.
Despite Hamilton’s intellectual prowess, Hamilton could not have achieved his level of notoriety without strategic work of social networks through the patronage system. Most notably, Hamilton’s relationship with George Washington, created through his service as Washington’s aide-de-camp, created a deep bond of mutual respect among the men
18 Chernow, Alexander Hamilton, 129.
19 Alexander Hamilton to Elizabeth Schuyler, “Answer to the Inquiry Why I Sighed,” 2 July 1780, Papers of Alexander Hamilton: Founders Online.
20 Chernow, Alexander Hamilton, 26.
21 Ibid., 171.
based on their abilities and character. Washington, like Hamilton, believed the Articles of Confederation were inefectual, writing in a letter to John Jay before the Philadelphia Convention “it is more than probable we shall exhibit the last melancholy proof that man-kind are not competent to their own Government without the means of coercion in the Sovereign” in 1787.22 At the Constitutional Convention, George Washington, despite his role as president of the proceedings, frequently found himself agreeing with Alexander Hamilton’s perspectives on the structure of the new government. According to Ron Chernow, this period also represented the frst time since the war that the two men communicated with such frequency and candor. Chernow also considers that Washington “had seen no better gloss on the Constitution than Te Federalist,” which Hamilton sent directly to Washington in volumes.23 In a letter to Hamilton in November 1787, Washington thanked Hamilton for sending his writings and further stated that “for the remaining numbers of Publius, I shall acknowledge myself obliged, as I am persuaded the subject will be well handled by the Author.”24 Although Washington never publicly endorsed Hamilton’s intellectual abilities, his extensive reliance on Hamilton as his primary writer gave his work validity. Washington’s reliance on Hamilton’s writing, coupled with Washington and Hamilton’s close relationship, allowed for the other delegates at the Constitutional Convention to consider Hamilton’s points of view, however outlandish, as a result of the respect Washington bestowed upon him. Teir relationship is evident in their letters, as Hamilton wrote to Washington to clear up rumors of a rift between the two in October of 1787, “among many contemptible artifces practised by them they have had recourse to an insinuation that I palmed myself upon you, and that you dismissed me from your family. Tis I confess hurts my feelings, and if it obtains credit, will require a contradiction.”25 To this, Washington responded that he has “the highest esteem and regard” for Hamilton, showing the value of their relationship in the eyes of both men.26 Although Hamilton did not have a large formal role in the Constitutional Convention, he was still able to assert his infuence on the document through his alliances among the other delegates. He may have come from diferent circumstances than the other delegates, but his ability to speak convincingly and openly gained him respect from his peers. In Hamilton, Miranda portrays Hamilton’s contributions to the Constitutional Convention as presenting “his own plan for a new form of government, talks for six hours, the convention is listless, ‘Bright young man,’ ‘Yo, who the ef is this?”27 Tis brief mention in the musical represents Hamilton’s speech to the Convention on June 18, 1787 about his plan of government. Historian Richard Morris presents Hamilton’s plans as “tentative and exploratory, and soon dropped when they seemed too extreme for his colleagues. Hamilton’s proposals for centralizing power in the national government deeply shocked the handful of anti-federalists present at the Convention and were unacceptable to the entire body.”28 While this plan did not succeed in garnering popular support, it demonstrated to the rest of the Convention the depth and power of Hamilton’s mind and earned their respect, shown through Connecticut delegate William Samuel Johnson in a June 1787 letter to his son, where he stated that Hamilton’s plan was “praised by every gentleman, but 22 George Washington to John Jay, 10 March 1787, Papers of Alexander Hamilton: Founders Online.
23 Chernow, Alexander Hamilton, 270.
24 George Washington to Alexander Hamilton, 10 November 1787, The Papers of George Washington Digital Edition. Charlottesville: University of Virginia Press, Rotunda, 2008.
25 Alexander Hamilton to George Washington, 11–15 October 1787, Founders Online.
26 George Washington To Alexander Hamilton, 18 October 1787, The Papers of George Washington Digital Edition. Charlottesville: University of Virginia Press, Rotunda, 2008.
27 Miranda, Hamilton, 23.
28 Richard Morris, “Washington and Hamilton: A Great Collaboration.” Proceedings of the American Philosophical Society 102, no. 2 (April 1958): 111.
supported by no gentleman.”29
When Washington assumed the Presidency in 1789, he appointed Hamilton as his Secretary of the Treasury. In this role, Hamilton fundamentally shaped the United States’ fnancial future with the implementation of his fnancial plan. As expressed by Jeferson and Madison in Hamilton, “he took our country from bankruptcy to prosperity … his fnancial system is a work of genius.”30 Hamilton inherited a fnancial crisis as a result of accumulated war debt. At the same time, he set the precedent for a country built on capitalist principles and the federal government as an economic player. His two major projects, establishing the First National Bank and the assumption of state debts after the Revolutionary War, serve as a transformation of Hamilton’s understanding of Enlightenment ideas into fscal policy, both of which show the strong interplay between Hamilton’s genius and his use of patronage to garner support for his plans.31
At the conclusion of the Revolutionary War, the states were drowning in debt and unable to keep up with the payments enough to pay them down. Hamilton’s 1790 Report on Public Credit articulated the necessity of maintaining public credit, as it benefted trade, both domestically and abroad, it promoted employment in agriculture and manufacturing, and lowered interest rates, making it easier to acquire loans.32 In order to accomplish these goals, the federal government would assume both national and state debt and pay it of with low interest loans. Roger Sherman, a Connecticut congressman, joined the ranks of supporters of Hamilton’s plan, stating “[Hamilton] supposed that sufcient provision may be made for the whole debt, without resorting to direct taxation, if so I think it must be an advantage to all the states, as well as to the creditors.”33 While those in the North were particularly in favor of Hamilton’s plan, the Southern states were less inclined to support the assumption of debt, as they had mostly repaid theirs, as Tomas Jeferson quips in Hamilton, “if New York’s in debt—why should Virginia bear it? Uh! Our debts are paid, I’m afraid. Don’t tax the South cuz we got it made in the shade.”34 While this plan was a work of Hamilton’s incredible intellect and understanding of fnancial circumstances, it was not compelling enough to pass on merit alone.
Te result was the Dinner Table Bargain, where Hamilton turned to Tomas Jeferson, his political rival, for a quid pro quo in order to see his plan through the House of Representatives, where it kept failing. In the only account of the dinner in existence, Jeferson noted that ‘“it was observed … that as the pill would be a bitter one to the southern states, something should be done to soothe them.’”35 At the same time, Congress was grappling with where to put the capital of the United States, with the debates so intense that Chernow points out that “it didn’t seem far-fetched that the union might break up over the issues.”36 In the end, Hamilton, Jeferson, and Madison came to a compromise that would secure Hamilton the support for his debt assumption plan in exchange for Northern support to place the capital of the United States along the Potomac River, appeasing the Southern states.
29 William Samuel Johnson, “William Samuel Johnson: Diary.” The Records of the Federal Convention of 1787. Vol. 3d. Max Farrand. (New Haven: Yale University Press, 1911) III.
30 Miranda, Hamilton, 46.
31 Samuel Gregg, “Alexander Hamilton and American Nationalism, in His Time and Ours.” (Public Discourse, 2020).
32 Alexander Hamilton, “Report on Public Credit,” 9 January 1790, in Joanne B. Freeman ed., The Essential Hamilton: Letters & Other Writings (New York: The Library of America, 2017), 169.
33 Roger Sherman to Governor Samuel Huntington, 11 March 1790, Papers of Alexander Hamilton: Founders Online.
34 Miranda, Hamilton, 25.
35 Chernow, Alexander Hamilton, 328.
36 Ibid., 326.
Hamilton’s plan to establish a National Bank was met with similar criticism, especially by Jefersonians who believed the bank to be outside the scope of the federal government’s constitutional authority. In “Opinion on the Constitutionality of a National Bank,” Hamilton articulated that not only is a national bank constitutional, but necessary to national prosperity. Te power to incorporate a national bank was an implied power that was constitutional under the necessary and proper clause of the Constitution because it would assist in the enumerated powers of Congress, like collecting taxes.37 In the end, Hamilton was able to secure support for the National Bank, despite DemocraticRepublican opposition, and his doctrine of implied powers continued to expand the scope of federal government powers. He frequently consulted with his father-in-law Philip Schuyler, merchant Robert Morris, and a member of Congress representing New York, James Duane, which allowed him to garner support for his economic ideas based on a shared vision for the future of the United States.38 In aligning himself with those of a higher stature with similar political agendas, Hamilton was able to propel his ideas to the Convention with the backing of key political fgures, giving him the validity to be taken seriously.
Although Hamilton’s fnancial plans stemmed from his incredible understanding of fnancial systems and determination to make the new American government succeed, it is undeniable that his reliance on political patronage was necessary in putting these plans into action. Te votes necessary for enacting his fnancial systems necessitated infuence secured by favors and background deals like the Dinner Table Bargain. Hamilton’s political enemies regarded him as a “monarchist in principle” and thought him to be the pinnacle of tyranny in the new American republic, but his complex understanding of the necessity of political patronage in securing Congressional support highlights not only his intellectual but political mastery.39
Political and Physical Death
Hamilton’s political career was marked by both intellectual prowess and a strong network of political alliances, which led to both his rise and, eventually, his downfall. After stepping down as Secretary of the Treasury in 1795, Washington announced that he would not be running for reelection. John Adams remained the only other signifcant member of the Federalist party, but after Hamilton supported Tomas Pinckney’s candidacy over Adams’ in the election of 1796, Adams swore in a letter to his wife Abigail to “keep him at a distance,” leaving Hamilton to fade to political irrelevancy.40 He continued to antagonize his political rivals and stray away from his once-allies in the late 1790s, until it led to his demise.
Despite the split in the Federalist party between Hamilton and Adams supporters, the Federalists had a showing in the presidential election of 1800, as Chernow explains that “Jeferson and Burr tied with seventy-three electoral votes apiece, while Adams and Pinckney trailed with sixty-four and sixty-three votes respectively.”41 Although Adams had overwhelming support from New England, Hamilton’s “Letter from Alexander Hamilton, Concerning the Public Conduct and Character of John Adams, Esq. President of the
37 Alexander Hamilton, “Opinion on the Constitutionality of a National Bank,” 23 February 1791, in Joanne B. Freeman ed., The Essential Hamilton: Letters & Other Writings (New York: The Library of America, 2017), 169.
38 Richard Sylla and David Cowen, “To Robert Morris (April 30, 1781): Most Commercial Nations Have Found It Necessary to Institute Banks, and They Have Proved to Be the Happiest Engines That Ever Were Invented for Advancing Trade.” In Alexander Hamilton on Finance, Credit, and Debt, (New York: Columbia University Press, 2018), 33–46.
39 Chernow, Alexander Hamilton, 330.
40 Ibid., 511.
41 Ibid, 625.
United States” undoubtedly hurt John Adams’ chances of reelection. Hamilton, driven by both personal animosity and ideological diferences, painted Adams as an unft leader, discouraging Federalists from voting in Adams’ favor. Adams, furious at the betrayal by a majorly infuential member of his party, stated that Hamilton and his supporters had “killed themselves … and indicted me for the murder.”42 In Hamilton’s support of Charles Cotesworth Pinkney over Adams, Hamilton had bestowed his own form of patronage, believing that Adams was too independent-minded to listen to prominent Federalist opinions. Tis strategy, fueled by Hamilton’s desire to maintain control, backfred by publicly showcasing the deep divides within the Federalist party.43
Te presidential race came down to Tomas Jeferson and Aaron Burr in the House of Representatives, and Hamilton was pressured by fellow Federalists to back Burr and stall the control that southerners had in the executive branch. In a private letter to James A. Bayard, however, Hamilton expressed his trepidation in supporting Burr for the presidency, stating that “he is a man of extreme & irregular ambition–that he is selfsh to a degree which excludes all social afections & that he is decidedly profigate … Mr. Burr loves nothing but himself.”44 Te signifcance of Hamilton’s patronage in this election is shown in Hamilton in “Te Election of 1800” when Madison laments to Jeferson that “it might be nice to get Hamilton on your side.”45 Although Jeferson and Hamilton had been political enemies for years and held major ideological diferences, Hamilton believed that “when all is said and all is done, Jeferson has beliefs, Burr has none,” putting the full force of his support behind Jeferson’s candidacy.46 In the end, after thirty-six rounds of voting, Federalist abstentions in Delaware, Vermont, and Maryland led Jeferson to obtain the ten votes he needed to win the presidency and decisively signing the death warrant of the Federalist party.
Jeferson’s presidency saw Hamilton retreat back to political irrelevance in Manhattan, where he focused his attention on his law practice and his family. Aaron Burr, now the vice president, was a pest to Jeferson, with Robert Troup reporting that “we believe that Jeferson and [Burr] hate each other and Hamilton thinks that Jeferson is too cunning to be outwitted by him.”47 Knowing that he did not have the public support necessary to win the presidency, Burr decided to focus his eforts on dominating New York politics. When the gubernatorial of 1804 began to approach, the Federalist stronghold in New York had to decide which candidate to back, with Hamilton vehemently opposing Burr’s candidacy once again. While Burr pretended not to know of Hamilton’s opinions of him, the American Citizen reported that “General Hamilton did not oppose Mr. Burr because he was a democrat … but because HE HAD NO PRINCIPLE, either in morals or in politics.”48 Having been attacked for both his personal and public character, Burr challenged Hamilton to a duel, as in his eyes, Hamilton was responsible for his consistent political failing. In ‘Your Obedient Servant,’ Burr states “I am slow to anger but I toe the line as I reckon with the efects of your life on mine. I look back on where I failed and in every place I checked, the only common thread has been your disrespect,” refecting just how much Burr projected his failings onto Hamilton’s political involvements.49 Tis quotation reveals
42 Ibid.
43 Alexander Hamilton, “Letter from Alexander Hamilton, Concerning the Public Conduct and Character of John Adams, Esq. President of the United States, 24 October 1800,” Founders Online, National Archives.
44 Alexander Hamilton, “Burr has ‘No Fixed Theory,’” 16 January 1801, in Joanne B. Freeman ed., The Essential Hamilton: Letters & Other Writings (New York: The Library of America, 2017), 309.
45 Miranda, Hamilton, 42.
46 Ibid.
47 Chernow, Alexander Hamilton, 644.
48 Ibid., 674.
49 Miranda, Hamilton, 43.
that Burr saw himself as a victim of Hamilton’s infuence, whereas Hamilton’s opposition to Burr obtaining power was what denied the positional power Burr felt he deserved. Burr’s perception of Hamilton granting patronage to anyone but him fueled the resentment that led to the tragic duel between the two.
Hamilton was unable to back away from Burr’s duel challenge and defend the character of his words and actions thus far. When looking at the circumstances of Hamilton’s life in the early 1800s, however, it is clear that he did not have much to lose at this point. His son had died in a duel defending the Hamilton name, he was politically irrelevant, and his enemies were in power and had undone the legacy he worked so hard to create. Tere was no doubt he was depressed, and this duel gave him the opportunity to defend his name one last time. In the end, Hamilton was mortally wounded by Burr and died on July 12, 1804, and Oliver Wolcott Jr. lamented, “thus has perished one of the greatest men of this or any age.”50
Although Hamilton’s employment of patronage was an efective leadership strategy, it ultimately contributed to his downfall. His support network, gained through his intellectual genius and maintained by his tireless work ethic, allowed Hamilton to build alliances that facilitated his extraordinary rise from obscurity to prominence. Tose who served as his patrons recognized and nurtured his gifts, granting him opportunities that would not be possible for someone of his station. Tis method of leadership contributed to a prioritization of achievement and personal loyalty above all else, which alienated those with diferent views and intensifed the partisan politics of the era. Hamilton’s unwavering conviction in his vision for America, coupled with his recognition of the necessity of patronage, is what allowed him to accomplish much in his short life, but is also what led to the end of his political career and his life. Te duel between Hamilton and Burr, a product of years of political antagonism, saw Hamilton sign his own death certifcate through his belief that Burr was unworthy of his patronage due to his public and private character. Hamilton’s story is not just one of personal struggle, but a refection of the broader tensions in early American democracy between merit and privilege and between the individual and a political system which both supports and contains them. Although patronage is what allowed Hamilton to reach the immense levels of power and infuence he wielded in colonial America, the confrontational style in which he utilized the system is what contributed to the end of his career, and shortly thereafter, his life.
50 Chernow, Alexander Hamilton, 708.
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Allen, Brooke. “Alexander Hamilton: Te Enlightened Realist.” Te Hudson Review 57, no. 3 (autumn 2004): 497–508.
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Chernow, Ron. Alexander Hamilton. New York: Penguin, 2004.
Cowen, David, and Richard Sylla. “Chapter Tree To Robert Morris (April 30, 1781): Banks . . . the Happiest Engines Tat Ever Were Invented for Advancing Trade.” In Alexander Hamilton on Finance, Credit, and Debt, 33–46. New York; Columbia University Press, 2018.
Freeman, Joanne B., ed. Te Essential Hamilton: Letters & Other Writings. New York: Te Library of America, 2017.
Gregg, Samuel. “Alexander Hamilton and American Nationalism, in His Time and Ours.” Public Discourse, June 17, 2020. https://www.thepublicdiscourse.com/2020/06/64284/.
Hamilton, Alexander. “Letter Concerning the Public Conduct and Character of John Adams, Esq. President of the United States.” October 24, 1800. In Te Papers of Alexander Hamilton, edited by Harold C. Syrett. New York: Columbia University Press, 1961–1987.
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About the Author
Originally from Somerset, Massachusetts, Emily McKenna is a member of the Christopher Newport University Class of 2026, double majoring in Political Science and American Studies with a minor in Leadership Studies. Deeply engaged in campus life, she serves as the 2025–2026 Student Body President, Vice President of Accountability for the Panhellenic Council, a Senior Resident Assistant on East Campus, and a sister of Gamma Phi Beta Sorority. She also leads community service eforts as a Team Leader with the Youth Volunteer Corps of Hampton Roads, contributing over 200 hours of service. Her research experience includes working as a Junior Fellow at the Center for American Studies, a member of the 2024 cohort of Georgetown University’s Political Science Predoctoral Summer Institute, and a 2025 Summer Scholar, where her research focused on First Amendment rights on college campuses.
Cheap and Trendy: How Your Closet Impacts the Planet
Brenna McManus
Faculty Sponsor: Dr. Bill Connell, Honors Program
Abstract
Following the rise of Industrialization and the exponential growth of the textile industry in the 21st century, the social expectations surrounding fashion have shifted the demands of consumers. Many western capitalist societies have perpetuated and democratized the social values of fashion, making way for a booming fast fashion industry. At its core, fast fashion is the efcient and inexpensive production of low-quality clothing following the demand of trend cycles. Well-known brands, such as SHEIN and H&M heavily proft through this accessible form of mass consumption. However, these business practices result in serious damage to our global climate and environment. Te fashion industry, alone, is responsible for up to 10% of our global greenhouse gas emissions. While the global textile consumption averages at thirty million tons per year. Tis production continues to contribute to the degradation of our global climate due to the waste produced through manufacturing and abbreviated life cycles of most garments. Consumption has continued to increase, but the life cycles of these products have not. By following the example of brands such as Patagonia and Madewell, consumers can better understand what to look for within the brands they purchase from, as well as research other brands for not only ethical but sustainable consumption.
Introduction
Many people today understand the feeling of taking out a load of laundry only to fnd a brand-new shirt practically ruined after its second or third wear. Regardless of an individual’s skills at laundry, the manufacturing of the product itself may be to blame. Tis world of industry, social comparison, and the ease of consumerism promotes many people to forget the global implications of the clothing we so carelessly throw on every morning (Boykof et al., 2021; Webster, 2023). Social media promotes the idea of mass ‘clothing hauls’, excessive spending, and overfowing closets for every new season (Principe, 2022). Society expects consumers to buy a new outft for every event or to follow every weekold fad as they pass through. With the rise of social media, the concerns surrounding the prevalence of microtrends and fast fashion are quickly becoming a global environmental concern (Webster, 2023).
In its simplest form, fast fashion is the production of inexpensive clothing manufactured rapidly through mass-market retailers to appease current fashion trends (Rukhaya et al., 2021: Webster, 2023; Wren, 2022). Tese articles of clothing are often of incredibly inferior quality, made of low-grade materials, and are created with the aim of providing a quick buck for marketers rather than providing long-lasting quality products (Niinimäki et al., 2020; Michel, 2019). Tis, alongside the 75% increase in overall textile production within the last ffteen years, only contributes to the growing carbon dioxide emissions and wasteful usage of precious freshwater resources (Peters et al., 2021). Many of these brands include well-known inexpensive brands including Shein, Hot Topic, Forever21, H&M, and Zara. However, these brands expand to many other well-known companies including Nike, GAP, GUESS, Adidas, and Urban Outftters (Peters et al., 2021; Rukhaya et al, 2021). Engagement with these brands is deeply embedded within our media exposure and expectations of society (Webster, 2023; Wren, 2022). However, this toxic cycle can be broken and even the smallest change within an individual’s personal habits can help make a global impact.
Due to the economic need for sales in capitalist societies, there is a growing environmental cost to the production and distribution of overly consumed fast fashion. By educating consumers to better understand the historical context of our modern society and the far-reaching environmental impact fast fashion has on our climate, consumers will better recognize how the brands they purchase from actually address these global issues. Fast fashion and climate change are actively discussed across disciplines in the academic world, but all of this information can be difcult to consume and tedious to decipher. Instead, this paper will provide individuals with a frm knowledge of the bigger picture surrounding fast fashion consumption and provide a strong stepping-of place for individuals to research their favorite brands, purposefully introducing a mindset for people to better equip themselves in a world of easy consumption.
Te History of Fast Fashion
What we know as fast fashion today can be traced to the 14th century throughout Europe, but by the 18th century, the Industrial Revolution would set the pace and scale for a new period of clothing production (Boykof et al., 2021). With the Industrial Revolution’s initial boom within the United Kingdom and later migration to the United States, the two major powerhouses of the world began to shift their focus towards the mass production of goods for the growing middle class and the building of an accessible market for everyday people (Webster, 2023). During the Renaissance and neoclassical eras, elites in Europe set the tone of fashion and the exclusivity of the elite’s consumption (Petra, 2019). Products lined with gold, embedded in real gemstones, and exotic resources that only the most rich and well-connected could obtain. Te wealthy expressed their wealth and infuence through what they wore, while working class individuals relied on a more practical wardrobe
(Petra, 2019). Fast fashion is a way of expressing these beliefs in a capitalist economy. As a society, there is still a need to stand out amongst one’s peers and produce a public image to strengthen an individual’s status in society. However, now everyone has the budget for intricate, exotically sourced garments. Instead, the fashion industry provided consumers with the means to buy more pieces for a signifcantly lower cost (Petra, 2019). Tis resulted in higher rates of consumer demand for new products by companies that quickly formed a market of competition for goods that industry leaders pounced upon. In order to compete and keep up with one another, brands needed to implement faster change and quickly produce products to appeal to audiences (Webster, 2023). Tis began the expansion of consumerism towards younger children through the extra emphasis on play clothing versus everyday wear. Additionally, brands began to create their own markets for adolescents and young adults, who had their own money and craved a sense of individuality. Within this point in history, the environment was not a social concern as seen in the continual use of harmful chemicals or elements in products. Famously, fabric companies were known for their use of arsenic, asbestos, and even radium within costume production as well as everyday clothing purchases (Lenci-Cerchiara, 2016).
Historically, clothing was originally sold within a seasonal calendar, with new products being released for the needs of Spring, Summer, Fall, and Winter all for it to repeat the next year (Boykof et al., 2021; Niinimäki et al, 2020). However, with this new sense of competition, brands began to market based on holidays like Labor Day, Boxing Day, Fourth of July, and other holidays throughout Western Countries. Promoting a trend cycle in which products could be released at a continued quickening rate. Tis was only the beginning of the hyper-consumption we refer to today as ‘fast fashion’ (Papadopoulou et al., 2022). In the modern age, fast fashion works on a multi-seasonal calendar in which pieces are produced at a constant rate throughout the year to maintain the quick turnover of trends and public demand. On average, twenty new garments are made for every person every year on the planet and fashion purchases have increased 60% since the year 2000 (Boykof et al., 2021). Te life of a collared shirt, everyday pair of pants, or tee shirt averages about 3.5 years of use, however, following the boom of the textile industry, the fashion industry now produces twice the amount of clothing as it did in the year 2000 (Boykof et al. 2021). Additionally, research has found that the time in which these clothing is worn has not signifcantly increased, suggesting that the disposal rate of these goods is remarkably high (Webster, 2023).
Te Sociological Impact of Fashion
As a society, our appearances impact us in every aspect of our lives, from job interviews and maintaining social connections to receiving compliments on our shoes. Fashion itself is defned as “a popular trend, especially in styles of dress and ornament or manners of behavior,” (Oxford Languages, 2022; Webster, 2023). Tis choice of language indicates how fashion may not only relate to one’s psychological behavior, but also sociologically within relationships or communities in a global society (Webster, 2023). Te way others perceive us helps to build our sense of self-image, self-confdence, and our overall mental health. One’s appearance is a way of controlling these narratives, but with that comes the expectation or push to continually buy more clothing to address almost every situation imaginable (Webster, 2023). In a 2019 poll, 33% of women considered an outft to be old after wearing it as few as three times (Principe, 2022). However, what is often a form of instant gratifcation or reward in our social groups, heavily disrupts and afects current social trends (Papadopoulou et al., 2022). Te Urban Land Institute found that 45% of millennials spend over an hour each day looking at retail sights. 50% of men and 70% of women felt as though they shopped as a “form of entertainment” (Principe, 2022).
Every generation has their own trends that haunt their childhoods from Kool-Aid hair
dye to dresses over jeans. Many of these trends are focused on gender and the social norms that are associated with them (Titton, 2019). Tere are historical phenomena that indicate a woman’s hem length or waistline is an economic indicator for recession or growth (Richards, 1983). Tis has been seen through not only the 1920s and Great Depression, but the fashion trends of the 1980s or 1990s (Richards, 1983). In the modern era of economic unrest, there is evidence of this phenomenon’s return to society as new fashion trends arise (Titton, 2019). Although, these examples of behaviors can quickly become dangerous as seen in the prevalent ‘anorexia’ trend within the 1990s where the promotion of dangerously thin individuals posed impossible and unachievable standards for women (Boykof, 2021). Men are also not free of these behavioral patterns in which tall, muscular men have been perceived as the ideal partner for women and trapping individuals in rigid, sometimes crippling gender norms. Tis can be seen through the limitations in “socially acceptable” style choices for men and the use of more “feminine” silhouettes in times of protest (Titton, 2019). Te 1960s and 1970s were well known for their application of cohesive silhouettes across genders (Titton, 2019). Whereas the traditional male fashion remains poised on clean and uniform lines that often limits men’s individuality within what they wear.
All of this to say, as the global society becomes more socially conscientious of how citizen’s actions afect others through food consumption, way of living, and social norms, it is fair to assume that this should translate to the textile products we consume. It may just be a haircut or a style of shoe, but the ignorance of these systems and companies have had grand repercussions on the global scale. If the products consumers buy and use in their day-to-day lives is a refection on their individuality and values, it is crucial to push the fashion industry to follow these ideals as well. If as a global society, people choose not to buy from brands that pollute water systems, lack transparency within their supply chain as to wear they source their products, deceive consumers of the sustainability of products, better known as greenwashing, or overly produce greenhouse contributing to global warming, individuals can use capitalist systems in place to change the market as a whole (Petra, 2019).
Unethical Fashion Production and Climate Change
As many people very well know, human action has exponentially impacted the global climate through a variety of means, but most prominent is the production of greenhouse gases. Tese include Methane (CH4), Nitrous Oxide (N2O), Carbon Dioxide (CO2), Ozone (O3), Chlorofuorocarbon (CFC), Carbon Monoxide (CO), and Sulphur Dioxide (SO2), (Niinimäki et al., 2020). In today’s world, the fashion industry has been deemed responsible for up to 10% of global greenhouse gas emissions (Boykof et al., 2021). For context, this is such a large issue that if the garment industry were instead a physical nation, it would be the fourth largest climate polluter on the planet. Every second, one garbage truck full of clothes is sent to landflls or incinerated (Boykof et al., 2021; Principe, 2022). Without change, these numbers are predicted to climb up to 66% of the world’s total carbon footprint by 2050 (Principe, 2022). Nonetheless, the fashion and textile industry afect far more than just global greenhouse gas emissions. Tere have also been found connections to rising sea levels, precipitation changes, and ocean acidifcation (Boykof et al., 2021; Webster, 2023).
With an average global textile consumption estimated at more than thirty million tons per year, there is a lot that goes into making your favorite pair of jeans or cotton shirt (Shen, 2014). On average, each consumer discards about 60% of their new clothes in the frst year (Principe, 2022). It takes over two hundred tons of water to produce one ton of cotton textiles, and the petrochemicals used in production contribute signifcantly to ocean microplastic pollutants. Tere must also be consideration for the pesticides or
fertilizers used to grow some materials even before they reach manufacturer facilities (Shen, 2014). As well as transparency surrounding supply chains and labor demands, which range from farming to factories, production, and even retail staf (Webster, 2023). Boykof et al. (2021) refers to these as the hidden costs of fast fashion retail and an adaptation of consumer’s logic behind consumer capitalism.
Outside of people’s personal lives, these behaviors contribute to the social injustices occurring in workplaces and communities of workers involved within the industry (Chouinard & Stanley, 2012; Niinimäki, 2020). Producers of clothing should be the ones to bear the costs for their actions, but instead it is the global community and planet that feel the efects (Boykof et al., 2021). Unethical work environments, unlivable wages, and harmful working conditions are all extremely common in production facilities of fast fashion garments. Te industry’s production facilities do not require extremely skilled labor and often exploit foreign nations to obtain cheap labor communities (Peters et al., 2021; Wren, 2022). Daily hired workers, child labor, sweatshops, and illegal production facilities are only small examples of how these companies are able to produce these products so quickly (Wren, 2022). Workers face unemployment, poor wages, or no income at all. Especially during the COVID-19 pandemic when the health concerns of these individuals only increased. Not to mention the many instances where these workers are forced against their will and hide messages or pleas for help on tags and inside garments (Webster, 2023). Tough they are not explicitly within the realm of sustainability, these issues are still important to mention as they do apply to the ethical practices of fashion manufacturing and production. Webster (2023) states that when one company becomes successful, others are more likely to follow suit. Normalizing higher rates of clothing production, dangerous working conditions, unethical wages, and environmentally dangerous practices. Te success of companies that follow in these footsteps builds the foundation for more fast fashion companies and continues unsustainability for our future (Ho, 2014; Principe, 2022; Shen, 2014). However, with a better mindset, the success for companies that choose to think of our environment can prove that a new dawn is breaking (Gerlick, 2019; Michel et al., 2019).
Case Study: Shein
When individuals think about the fast fashion industry, for many the Chinese brand Shein is the frst that comes to mind. In just the United States alone, U.S. citizens consume at least 400% more clothing than we did thirty-fve years ago (Principe, 2022). Tis percentage only continues to increase following the COVID-19 pandemic and lockdown. Tis shift towards online shopping and retail has also boosted the popularity and proft of fast fashion retailers. Paired with the efects of social media advertisements and infuences, shopping has become an integral part of our lives. A brand that has benefted the most from these consumption habits is the brand Shein. As of May 2021, Shein surpassed Amazon to become the United States’ most-downloaded shopping platform in both Apple and Android App Stores (Principe, 2022). Tis company is incredibly well known among young people for their exceedingly wide selection of products that can be made for a fraction of their typical retail price (Principe, 2022). In many ways, this pricing is due to their direct use of cheap labor, especially in Southeast Asian countries, and polyester or rayon-based materials. Tese fabrics are known to shed microplastics into the environment and make up most of the textile fabrics used by Shein (Zimand-Sheiner & Lissitsa, 2024). In 2023, the company Shein emitted 16.7 million total metric tons of carbon dioxide, or the equivalent to what four coal power plants spew in a year (Zimand-Sheiner & Lissitsa, 2024). Additionally, the company averages about nine-hundred new clothing items per day on its website and makes up one-third of the United States’ fast fashion market (Principe, 2022). A majority of the items sold on Shein’s website do not last longer than three months in stock and
require extreme turnaround from suppliers. However, to support these demands, Shein is known to copy designs from runways, social media platforms, and even small businesses. Racking up a multitude of copyright and intellectual property lawsuits from both small businesses and large corporations alike.
Shein remains one of the most powerful and unsustainable fashion companies in the current market. Teir disregard for the environmental damage they cause and the unethical standards they keep maintains a dangerous precedent of manufacturing that is unsustainable for our global climate (Webster, 2023). Although there is some progressive legislation from the United Nations and countries like the United States, they fail to fully take charge of the situation (Zimand-Sheiner & Lissitsa, 2024). As consumers, buyers need to understand the cost of purchasing goods for so cheap. Tough it may seem like a simple fx or quick way to pick up a few pieces, these practices perpetuate this corporate behavior and only feed into the environmental concerns we see today.
Case Study: H&M
H&M is one of the foremost fashion companies that has received the most backlash from consumers concerning their environmental impact and sustainability (Papadopoulou et al., 2022). In response, there has been what appears to be a signifcant shift in not only H&M’s marketing strategies, but their overall product range as well. H&M has become recognized for their recycling initiatives and branding of their past “conscious” collection. Like many other retail websites today, H&M has pages upon pages of climate initiatives, supply chain details, environmental impacts, and awards. As a corporation, they have curated their image to appear as though it has become greatly streamlined and repented from its unethical ways. However, under a closer look, the details fall short in ensuring ethical and sustainable practices for a widespread audience.
H&M adopted a polarizing approach to sustainability that was originally developed by Te World Commission on Environment and Development, which refers to sustainable development as the ability to “meet the needs of the present without compromising the ability of future generations to meet their own needs” (Ho, 2014). Within their new initiatives, many of H&M’s target goals are centered around future actions or “reduction” within the years to come (H&M, 2025). Tough these goals are paired with statements of their progress, these statements do not describe what actions are being taken by the company or manufacturers and remain incredibly vague within any of their descriptions. For example, there is no explanation for what “certifed recycling” means or how much “30% of their products” actually amounts to (H&M, 2025). It is reported that on average three billion garments are produced through H&M and their manufacturers per year. Banana Republic and Zara are reported to produce similar numbers as well as prioritizing their profts over sustainable production (Ho, 2014). Tere are very few national restrictions as to how companies are able to label their products, meaning that many brands, H&M included, can market their goods as recycled, when in actuality it is just the tag or a small portion of the garment that is recycled rather than the garment as a whole. Positively, the brand does remain one of the most transparent scoring brands of its size, scoring at 66% on supplier policies, audit procedures, and measures for addressing inhumane labor practices (H&M, 2025). However, within an academic mindset, though they do pass, H&M still does not meet the desired expectations of the public. Teir eforts to increase transparency in their supply chain and zero tolerance policy towards child labor are excellent stepping stones, but it is still not enough. Tese eforts do not guarantee ethical practices nor sustainability, within recent years, there have still been several allegations and controversies regarding their involvement in employing underaged workers as well as other major gaps in the company’s information. Greenwashing is a term that regularly comes to mind when it comes to H&M.
Te Carmen Collection Program encouraged customers to return their used clothes to be recycled through H&M. Tis resulted in the collection of eighteen thousand unwanted garments in 2020. Tis is the equivalent to ninety-four million t-shirts (H&M, 2025).
Despite the amazing feat there has been minimal evidence that these items were properly recycled in addition to speculation of where all of these garments went (Ho, 2014). Tis program, though well intentioned, only perpetuates the greenwashing and skepticism of H&M and their values as a company. What we do know is that the brand is reported burning twelve tons of their unsold inventory annually, adding to carbon emissions and vaporizing the petrochemicals or synthetic materials into the air (Shen, 2014). More positively, H&M has made a shift away from traditionally grown cotton, involving extreme use of water and pesticides, in turn opting for organic cotton, also known as Better Cotton.
Te Better Cotton Initiative signifcantly reduces the use of chemical fertilizers, pesticides, and efectively recycle cotton (Ho, 2014). H&M successfully achieved their goal of using these preferred cotton methods in 100% of their cotton products by 2020 (H&M, 2025). Additionally, H&M uses reusable transport boxes instead of cartons to ship garments from distribution centers to stores, which ultimately saves more than four hundred thousand trees each year (Ho, 2014). However, due to the fact that H&M does not own any of its transportation facilities and relies heavily on third party companies, they can only go so far in the name of sustainability. H&M stores accounted for the biggest share of absolute emissions in part because of the sheer amount of electricity it takes to keep them open (up to 50% of the company’s total footprint) (Ho, 2014). As a company, H&M has made strides to better their overall impact on the environment, focusing heavily on clear supply chain management and efective sourcing of the fbers that go into their products, however, this does not redefne the company outside of fast fashion, nor does the company match the standards set by other brands who are recognized by global organizations to be ethically and sustainability run.
Case Study: Patagonia
One of the most well-known brands leading the charge towards sustainability in business enterprises and one that demonstrates the capabilities of large name brands to work within the complexities of our world is Patagonia (Gerlick, 2019). Teir founder, Yvon Chouinard, argues against these defaming practices and actively works with like-minded business people to collaborate towards rewritten standards of practices that promote positive impacts. Tough he does not label his company as “the model of a responsible company” and does not believe they do everything right, Patagonia’s mission is to ensure that people take environmental responsibilities to how they manage their businesses (Chouinard & Stanley, 2012). Despite some vagueness in their public sustainability statement, the company still does an excellent job ensuring ethical source products, efective manufacturing, and the integration of recycling or reduction methods to ensure minimal environmental impact from manufacturing (Patagonia, 2025). One of the best-known examples of Patagonia’s sustainability initiatives is their extensive repair and extended use policies within Patagonia brand apparel (Michel et al., 2019). Tis paired with their open and active social media presence allows consumers to educate themselves on these initiatives as well as obtain the resources they need to be more sustainable as well. Patagonia is a household name for outdoor essentials and apparel; however, this California-based company prides itself on their concern for the environment (Michel et al., 2019). In order to be more responsible in their manufacturing and consumption, the brand has exacting standards for the level of quality they put into the market. Tis is meant to encourage the extended use of their apparel and reduce the postconsumer apparel waste. Teir Worn Wear helps to ensure their products have a lifetime guarantee through either repairing items sent in by consumers or replacing the item entirely if it is unrepairable. Tese repair services are free, they also ofer
discounts for trading in used Patagonia apparel or ofer online repair tutorials for those who need a quick fx at home (Michel et al., 22019; Patagonia 2025). As previously mentioned within this paper, outside of the production of the product itself, the environment receives the worst efects from the subsequent waste of overconsumption. Individuals are buying more clothes, but the turnover rate has yet to change, meaning thousands of tons of clothing are being incinerated or left in landflls each year (Niinimäki et al., 2020; Principe, 2022). Patagonia’s marketing and community presence sets to tackle these issues head on. By not only providing high quality products but also providing consumers with the means of guaranteeing that their Patagonia apparel will last generations.
Case Study: Everlane
Inspired by Patagonia’s business model and encouraged by their support from Chouinard, the San Francisco-based company, Everlane began their fght for “radical transparency” (Gerlick, 2019). Teir values embed ethical principles in not only their company’s culture, but the entire values chain, demonstrated by their estimated revenue of $115 million dollars in 2017 (Gerlick, 2019). Te company views transparency as a competitive edge and an opportunity to exploit by ensuring stakeholder collaboration, environmental auditing, and the formation of unique company competencies that are made exceedingly difcult for others to recreate. One of the most well-known habits of the company is their refusal to keep its cost model secret from the public (Gerlick, 2019). Instead, opting to post on social media not only the genuine cost of goods sold, but the complete breakdown of materials, labor, transportation, and even packaging or advertising. Choosing to ofer staple calculations of each product, incorporating their gross margin and their competitors (Gerlick, 2019). Tis kind of business model is unheard of in our modern age of fashion and is a demonstration of what it truly means to be a sustainable brand. After years of research and vetting suppliers, Everlane’s denim production has been found to reduce the required water consumption of 1,500 liters per pair of jeans down to 0.4 through a process of recycling wastewater and diverting “chemical sludge” to concrete mixers where it can be rendered inert (Everlane, 2025). Tis concrete can then be turned into bricks to build afordable homes for the communities that supply their laborers (Gerlick, 2019). Teir use of solar panels helps to reduce carbon-energy consumption by 80% and rather than using traditional driers, their jeans simply air dry from hot factory exhaust during the manufacturing process. Saitex plants trees to attempt to ofset an additional or remaining carbon footprint (Everlane, 2025). Customers still receive a high-quality product, but at a reduced and afordable price because of cost transparency with simply no adverse tradeofs. Additionally, the company chooses to intentionally underestimate demand for products to minimize waste and leverage scarcity as a mechanism to motivate customers to purchase. In comparison to H&M their environmental statements are incredibly detailed with detailed models, explicit examples of how the company makes a diference, educational pages on their recycling processes as well as their reduced water usage, and detailed records of their yearly impact report (Everlane, 2025).
Relying on Consumers
As consumers have become more aware of environmental issues, consumer attitudes have quickly shifted towards eco-fashion consumption (Shen, 2014). Tere is an understanding that if supply chains are more sustainable, more natural resources are used, less CO2 will be emitted and there will be less of an environmental impact on the planet. However, this trade of comes with a slightly higher price tag attached (Shen, 2014). Part of this stems from the concept of eco-efciency, frst introduced by the World Business Council for Sustainable Development (WBCSD) in 1992. Tey stated that eco-efciency can be achieved by the delivery of competitively priced goods and services that satisfy consumer needs, while progressively reducing the ecological impacts and resource intensity to a level
at least in line with the Earth’s predicted carrying capacity (Ho, 2014). In other words, companies should be focusing on creating more value in their products with less impact on the world around them. Customers should stand frmly in terms of minimal resource depletion and pollution on a product or value basis. Companies should be considered to have achieved sustainability if they use materials and natural resources in their production more efciently and reduce the outputs of toxic substances into the environment (Ho, 2014). Tough this theory has been criticized as being focused on “less bad” production or insignifcant changes overtime, it is an excellent part of what should be considered criteria for corporate sustainability. A related theory to eco-efciency, would be the concept of eco-efectiveness, meaning the working of the right products, services, and systems, instead of making the wrong things less bad. Rather companies need to work in systems that replenish, restore, and nourish the rest of the world (Ho, 2014).
Bang for Your Buck
Despite the often doom and gloom of climate concerns and sustainability, there are brands and companies that are truly pushing for change. Outside of the case studies, previously mentioned, brands such as Colorful Standard, a Portugal based brand that focus on responsible manufacturing, fair wages, and reduced water and energy consumption in the creation of their products without sacrifcing color or creativity (Colorful Standard, 2025). CHNGE creates clothes with a purpose using organic and recycled materials to provide functional, practical pieces to consumers. Tis brand also allows shoppers to shop through various causes and charities, in which the brand donates to, including mental health organizations, Say No to War, reproductive rights, zero waste initiatives, and more (CHNGE, 2025). Like Patagonia, Parks Project created an outdoors-centered company, but one that specifcally supports U.S. National Parks. Tey collaborate with both small and big named artists to create pieces. As well as producing high-quality goods comparable to what you would fnd in any Patagonia, but a percentage of proceeds go directly to the U.S. National Parks and wildlife conservation (Parks Project, 2025).
For those quick fxes or more everyday pieces, thrift stores and shopping second hand can be excellent ways to accomplish the need to shop as well as sustainable motivations (Ho, 2014). Second hand stores, consignment shops, and thrift stores are great ways for people on the hunt for good pieces for the best prices. Tese stores have become exceedingly popular within the last few years and allow consumers to fnd both vintage and trendy pieces while saving garments from going to the landfll. Tough these systems are far from perfect, with only a small percentage of clothing donated to these shops being put onto the foor, these businesses are an excellent option for those willing to go on the hunt for pieces they can love and cherish. For the best options, it is better to support smallbusiness or mom and pop shops over big-name thrift stores, for not only better pricing, but often quality goods as well. Online resale sites, such as TreadUp, can meet the needs of a variety of budgets but also provide the convenience of online shopping in our modern age (TreadUp, 2025). Many of the retailers on these sites source their goods from their own closets or thrift stores to sell to the public. TreadUp is designed to be an online thrift store for second hand clothing just as you would fnd it in stores. Te company also provides consumers with options to donate their clothes in exchange for store credit. Online sites like these are becoming exceedingly more popular as they sell not only designer goods, but afordable brands that help accommodate any kind of budget.
Nonetheless, the best way to remain sustainable in not only your fashion purchases, but your life as a whole is to maintain both conscientiousness about where your money is going and intentionality in what you are purchasing. It is too easy in the world of social media and never-ending advertising we expose ourselves to throughout our daily lives. For even the social media craze of closet cleanouts can push the capitalist mindset of replacing
all the pieces you have “lost” (Ho, 2014). Instead, individuals should take note of what pieces in their closet they get the most wear, what kinds of silhouettes, fabrics, or colors they gravitate towards, and visualize the kinds of pieces they wish to see themselves in. A conscientious shopper maintains an understanding of what they already own, how to take care of the pieces they wear most often and takes the time to evaluate new pieces before they enter their wardrobe. Spontaneity is the ultimate enemy of sustainability. It is the quick and cheap production of garments that put our society into this predicament in the frst place. To be sustainable is to be educated in what you are looking for within companies and the brand people shop with. Society is dripping with exposure to advertising and marketing to make people quick bucks. Purchases can be made at the click of a button, but at this rate so can the destruction of our planet.
Conclusion
Within our capitalist world of endless consumption and proft, fast fashion has become a booming industry taking advantage of our human need to build an identity for ourselves (Petra, 2019; Webster, 2023). Tese systems emerged through industrialization and built the foundations for easy afordable access for anyone’s fashion desires (Boykof et al., 2021; Petra, 2019). Tese actions have resulted in extreme greenhouse gas emissions, water pollution from not only production of textiles, but the agricultural processes that pair with them as well (Boykof et al., 2021; Principe, 2022; Webster, 2023). Te global textile industry and exponential growth of the fashion industry results in overconsumption and the cyclical waste of textiles left to rot in landflls or incarcerated (Shen, 2014). Following the Covid-19 pandemic, this industry saw an additional resurgence through online shopping and retail (Principe, 2022). Tis is where brands like Shein were able to become some of the biggest retail platforms world-wide. Spanning so large that it is hard to grasp the true nature of the damages this brand is inficting on the planet at any moment in time until it is too late. Just to provide thousands of consumers with thousands of products at a touch of a button. However, brands such as H&M have attempted to make changes in the midst of backlash to in turn produce products made more sustainably and ethically (Papadopoulou et al., 2022; Ho, 2014). Despite these attempts at change, H&M continues to bear its label as a fast fashion brand because of their vague descriptions of change and continual allegations of greenwashing (Ho, 2014). Brands that have paved the way for sustainability, like Everlane and Patagonia face sustainability concerns head on (Michel et al., 2019; Niinimäki et al., 2020; Principe, 2022) . With both a need for radical transparency and generational pushes to slow down product consumption, these brands demonstrate the possibilities for accessible fashion in the future (Gerlick, 2019).
Although it should be the producers of clothing that hold responsibility for the global impact fast fashion has on the global environment, it is up to the consumer to understand these systems. By maintaining mindfulness in purchases and the brands we support, the values of the consumers must become the values of the producers if they are to survive. Sustainability is accessible to anyone, regardless of their budget and can be incredibly rewarding. Tere is nothing wrong with owning a ton of clothing, but it is how you source and maintain them that truly matters. Rather than allowing social media to push fast fashion down our throats, we can use it to explore alternative avenues and ensure that others looking to be more sustainable have platforms they can look towards. Take a closer look into the brands we support or just take care of the pieces we already own. By taking care of what is in our closets, we will ultimately take better care of the world we live in.
References
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CHNGE. (2025). Sustainability. https://chnge.com/sustainability.
Chouinard, Y., and V. Stanley. (2012). Te responsible company: What we’ve learned from Patagonia’s frst 40 years. Ventura, CA: Patagonia Books.
Colorful Standard. (2025). Transparency and responsibility at colorful standard. https:// colorfulstandard.com/en-us/pages/promise
Everlane. (2025). CA SB657: Supply chain transparency act. https://www.everlane.com/supplychain/.
Gerlick, J. (2019). Transparency in apparel: Everlane as a barometer for global positive impact. Te International Journal of Ethical Leadership, 6(1), 87-95.
H&M. (2025). FAQ production, H&M career. https://career.hm.com/content/hmcareer/en_et/ workingathm/get-to-know-us/faq-production.html.
Ho, D. C. K. (2014). A case study of H&M’s strategy and practices of corporate environmental sustainability. Logistics Operations, Supply Chain Management and Sustainability, 241–254. doi:10.1007/978-3-319-07287-6_16.
Lenci-Cerchiara, A. (2016). Fashion victims: Te dangers of dress past and present. Journal of Design History, 29(2), 205–206, https://doi.org/10.1093/jdh/epw012
Michel, G. M., Feori, M., Damhorst, M. L., Lee, Y. A., & Niehm, L. S. (2019). Stories we wear: Promoting sustainability practices with the case of Patagonia. Family and Consumer Sciences Research Journal, 48(2), 165-180.
Niinimäki, K., Peters, G., Dahlbo, H., Perry, P., Rissanen, T., & Gwilt, A. (2020). Te environmental price of fast fashion. Nature Reviews Earth & Environment, 1(4), 189-200.
Papadopoulou, M., Papasolomou, I., & Trassou, A. (2022). Exploring the level of sustainability awareness among consumers within the fast-fashion clothing industry: a dual business and consumer perspective. An International Business Journal, 32(3), 350-375.
Parks Project. (2025). Our mission. https://www.parksproject.us/pages/parks-project-ourcontribution.
Patagonia, 2025. Patagonia our footprint. https://www.patagonia.com/our-footprint/.
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Petra, E. (2019). Fashion meets capitalism: Representation of poverty in fashion. People and Teir Values in the Society, 119-28.
Principe, M. M. (2022). Dressed to kill: How the lack of environmental regulations tailored to the fashion industry is destroying our planet. Duquesne Energy & Environmental Law Journal, 10, 79-105.
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About the Author
Brenna McManus is a Psychology major at Christopher Newport University minoring in Leadership and Childhood Studies. Trough her work in undergraduate research, McManus has grown tremendously in her research skills and developed an immense passion for research. McManus will be working as a 2025 Summer Scholar and on her second research publication moving into her senior year of undergrad. Following her graduation in the Spring of 2026, McManus hopes to earn her PhD in Educational Psychology to pursue a career as a literacy specialist. Under the guidance of Dr. Bill Connell in HONR 490, McManus was able to combine her love for human behavior with the important issues surrounding sustainable consumption in our ever-changing global climate. Allowing for a new perspective on sustainability in not only what we wear as individuals, but the processes that remain behind the scenes for the brands we choose to support.
Global Impact of Smartphone Dependence
Sam Senfeld
Faculty Sponsor: Dr. Bill Connell, Honors Program
Abstract
Smartphones have become indispensable around the globe. A handheld hub for connectivity, productivity, entertainment, and more; these devices are difcult to put down. With a global average of 6 hours and 40 minutes of screen time per day (and youth consistently averaging higher than any other generation) smartphone use is getting out of hand. Excessive use, termed Problematic Mobile Phone Use (PMPU) raises serious public health concerns. Tis paper explores PMPU as a behavioral phenomenon with parallels to addiction, examining its widespread prevalence and its physical, psychological, and cognitive consequences. Evidence is presented linking PMPU to eye problems, weight issues, disrupted sleep, increased anxiety and depression, and decreased academic performance. Despite the parallels to addiction and its severe impacts, PMPU remains underrecognized in formal diagnostic manuals like the DSM-5, preventing it from being talked about, much less diagnosed and treated. Tis review synthesizes global statistics, neuroscientifc evidence, and recent scientifc research to underscore the urgency of recognizing PMPU within clinical frameworks like the DSM and reducing the excessive smartphone overuse that is currently occurring. Tis paper evaluates policy-based and educational interventions to fght smartphone overuse, advocating for both individual awareness and structural reform to minimize harm. Given the inescapable importance of smartphones in daily life, strategic action is required to promote healthier digital choices and thus preserve well-being.
Introduction
It is 8:00 am on a Wednesday. Te alarm you set last night on your phone starts ringing, and you reach your phone on your bedside table to shut it of. As you pick up your phone, a notifcation! A friend commented on your Instagram post! Before even getting out of bed, without even thinking, you have opened Instagram. You like and reply to the comment (would not want to leave anyone hanging) and scroll downward unconsciously. A funny video makes you laugh, and you begin to scroll through more short videos. Just fve minutes of reels and you will get out of bed and start your day… you tell yourself. Next time you look at the time, it is 8:30 am. Wow, time got away from you. You have a class at 9:00 and need to get out of bed. One more scroll, and you will put the phone down, you think. You scroll several more times. Suddenly, it is 8:45. You throw the phone down, angry at yourself. Rushing to get ready, unable to fully prepare yourself for the day, you show up late to class. Embarrassed, disheveled, and upset, you are unable to focus. You choose to play games on your phone under the desk instead. When you get back to your room you are desperate to escape the negative emotions lingering from your morning. You lay down, and open Instagram.
Tis routine is just one example of what phone addiction might look like. For many, smartphone use is daily and often unconscious. With the introduction of 5G networks, artifcial intelligence (AI), and always-improving camera technology, smartphones have evolved from simple communication devices into multifunctional digital hubs that people rely on. It is impossible to go to any public place without seeing someone head down glued to their screen, illustrating just how indispensable these devices have become in the modern era. Yes, they are powerful tools with positive contributions, but continued dependence on smartphones warrants research on their impact on human health, psychology, cognition, and overall well-being. Accumulating research has unveiled disturbing consequences of smartphone overuse including problems like disrupted sleep patterns, increased anxiety, and decreased academic performance.
Yet despite these fndings, little has been done to address the issue in a way that helps individuals maintain health and balance in their daily lives. Tech companies lie at the root of this problem, designing smartphones and apps to maximize user engagement, leveraging psychological tactics that keep people hooked. Te longer users stay on their devices, the more data is collected, and the more revenue is generated through targeted advertising and in-app purchases. Tis proft-driven model prioritizes corporate gain at the expense of user well-being and the healthy functioning of society. Because these companies’ maximum proft is conditional to maximum individual phone use, they are unwilling to autonomously make the changes that would be needed to reduce the problem of smartphone addiction.
Te thesis of this review is: Problematic Mobile Phone Use (PMPU) is a common phenomenon among smartphone owners, especially the youngest generation. Te smartphone’s accessibility, multifunctionality, and built-in reward systems promote the excessive use of smartphones, which has signifcant physical, psychological, and cognitive consequences on the global population. Emphasis needs to be placed on researching solutions to this issue, at both an individual level and with government intervention. Tis paper will begin with a discussion on the addictive qualities of phones, and debate if overuse should be considered an addiction. Tat will be followed with a review of literature exploring potential psychological, and cognitive outcomes correlated with excessive smartphone use. Finally, potential interventions/solutions will be considered alongside the ethical responsibilities of governments, technology corporations, and individuals regarding these devices and apps.
Global Domination of Smartphones
Since the invention of the smartphone, their worldwide infuence has skyrocketed. In 2024, it was reported that there were 8.7 billion mobile phones in use, which outnumbers the number of people on this planet at 8.08 billion (Ericsson, 2024). According to Kemp’s (2024) January 2024 data, 5.61 billion people owned a mobile phone worldwide, indicating 69.4% of the total global population is a mobile phone user (Kemp, 2024), frmly establishing it as the most widely used type of device. Over the past 10 years, there has been a consistent incline in mobile phone ownership. In America, the average yearover-year (YOY) growth rate of mobile phone ownership has been 16.3% since 2015 (Turner, 2025). Total global smartphone ownership has increased by 115% from 20192024 (Turner, 2025) and is projected to rise another 30.73% up to 6.38 billion users by 2029 (Phonesaaz, 2024). Statistics indicate that smartphone ownership varies signifcantly by country. According to Newzoo’s 2022 Global Mobile Market Report reported by Gill (2024), China had the most users by number: 974.6 million users, followed by India with 659 million users. Te United States had 276.14 million users. Te accompanying smartphone penetration rate in the United States is 81.6%, meaning 81.6% of the U.S. population owns a smartphone. According to a diferent survey done by the Pew Research Center (2024), there was a 91% penetration rate in the United States in 2024. Other countries that display high smartphone penetration rates include the UK, the Netherlands, Germany, Italy, Sweden, Belgium, France, Spain, and Canada - all with penetration rates above 70% (Turner, 2025). Phone ownership is particularly high in the young population and that is consistent across countries. According to the Pew Research Center (2024) 97% of Americans aged 18-29 owned smartphones. Kemp (2024) reported that of internet users aged 16-24, 97.8% own a mobile phone. With smartphone ownership at an all-time high, the amount of time spent on these devices continues to rise. Globally, an average of 6 hours and 40 minutes is the average time spent per day for internet users ages 16-64 (Kemp, 2024). Of the countries that Kemp’s (2024) report covered, South Africa showed the highest average time on the internet with 9 hours and 24 minutes per day, which is 60 percent of waking hours for those people. However, Japanese citizens spend less than 4 hours per day on the internet on average (Kemp, 2024). Tere is also a diference in the amount of time spent on phones when compared across generations. Older internet users aged 55-64 averaged 2 hours less daily time online than those aged 16-24 (5.17 hours versus 7.32 hours; Kemp, 2024). Even some infants are reported to have screen time; children one year old were reported to spend an average of 30 minutes on screens (National Institutes of Health, 2020). Tis daily average increased to 120 minutes when children were reexamined at 3 years old, with 87% of the sample having screen time more than an hour (National Institutes of Health, 2020).
Given the signifcant amount of time people spend on their phones, it’s important to examine how that time is being divided. According to the Digital 2024 Global Overview Report (Kemp, 2024), across all ages the most popular use of phone time is chat and messaging apps, with 94.7% of all internet users aged 16-64 reporting that they have used these apps in the past 30 days. Social media is a close second with 94.3% use in the last 30 days for the same sample and was shown to be the most used app for the group aged 16-24 (96.9% use within this age group in the past month). Across all ages, the next in line there are search engines, shopping, and location-based services. Tere are defnite generational diferences: younger people are more likely to use music platforms than older people, who are much more likely to use email. Although mobile phones ofer countless uses, the deeper question is what keeps people so consistently engaged with them. Kemp reported that the top reasons behind phone use were: “to fnd information”, “to stay in touch with friends and family” and “watching videos, TV shows, and movies”. When looking at the reasoning
behind social media use specifcally, the top answers were: “keeping in touch with friends and family”, “flling spare time”, “reading news stories”, and “fnding content (articles, videos)”. Some of these categories, such as “flling spare time,” could suggest compulsive usage patterns associated with addiction. Te reality of phone dependence is supported by real population research. In a 2024 random screening of 1,001 Americans, 51% of them wanted to cut down on phone usage in 2025, and 49% would consider themselves addicted (Harmony Healthcare IT, 2024). Te next area of interest is determining when excessive phone use crosses the line into addiction.
Phone Addiction Versus Dependence
Foundations of Substance Use Disorders
Te Fifth Edition of Diagnostic and Statistical Manual of Mental Disorders (DSM5) is a comprehensive classifcation system that is published by the American Psychiatric Association (APA), used by clinicians and researchers to diagnose and classify mental disorders. One section titled “Substance-Related and Addictive Disorders” outlines two categories of addictions: “Substance Use Disorder (SUD)” and “Addictive Disorders”. Under the SUD section, the DSM-5 lists nine specifc substance addictions: alcohol, cafeine, cannabis, hallucinogens, inhalants, opioids, sedatives/hypnotics/anxiolytics, stimulants, and tobacco. To be diagnosed with an SUD, a patient must display at least 2 symptoms from the list of 11 overarching criteria outlined below in the past year.
1. Taking the substance in larger amounts or for longer than you’re meant to.
2. Wanting to cut down or stop using the substance but not managing to.
3. Spending a lot of time getting, using, or recovering from use of the substance.
4. Cravings and urges to use the substance.
5. Not managing to do what you should at work, home, or school because of substance use.
6. Continuing to use, even when it causes problems in relationships.
7. Giving up important social, occupational, or recreational activities because of substance use.
8. Using substances again and again, even when it puts you in danger.
9. Continuing to use, even when you know you have a physical or psychological problem that could have been caused or made worse by the substance.
10. Needing more of the substance to get the efect you want (tolerance).
11. Development of withdrawal symptoms, which can be relieved by taking more of the substance.
Tese eleven criteria are a well-established gauge that clinicians can use to diagnose and measure the severity of a SUD. Showing 2–3 of these criteria indicates a mild disorder, 4–5 criteria suggest a moderate disorder, where 6 or more suggests a severe SUD. Tere has been extensive research on the various neurobiological efects of substance use, the biological mechanisms that make each substance on the list “addictive”. Koob et al. (2019) described three key neurobiological stages within addiction: binge/intoxication, negative afect/withdrawal, and preoccupation/anticipation.
Binge/Intoxication relies on the basal ganglia, a brain region associated with voluntary motor control, procedural learning (routine formation), and reward processing and motivation. Dopaminergic neurons project to the basal ganglia, specifcally the nucleus accumbens. Dopamine is a neurotransmitter responsible for feelings of pleasure and is
responsible for reinforcing habits. Dopamine systems are usually under control, with dopamine release activated by natural rewards like food and sex. However, in a state of addiction, these systems become dysregulated. Here, if the individual uses a drug or performs a behavior where the dopaminergic neurons are over-stimulated, dopamine levels surge dramatically. In an excess of dopamine, the basal ganglia senses a reward and strongly reinforces the behavior.
All good things must come to an end, and the end is the Withdrawal/Negative Afect Stage. As addiction progresses, the pleasurable efects diminish, and the individual enters a state of withdrawal, driven by dysfunction in the extended amygdala. Tis stage is marked by negative emotional states such as anxiety, dysphoria, irritability, and stress. Te drug or behavior use becomes less about pleasure and more about relieving discomfort, a shift from positive to negative reinforcement. Neuroadaptations to excess dopamine reduce sensitivity to natural rewards while activating stress-related systems like CRF (corticotropin-releasing factor) and dynorphin.
Te fnal stage, Preoccupation/Anticipation is dominated by activity in the prefrontal cortex, which governs executive function and decision-making. Here, the individual becomes preoccupied with thoughts or cravings, often triggered by internal cues or external stimuli. Te balance between the brain’s “Go” system (which promotes habit seeking) and “Stop” system (which inhibits impulses) is disrupted, resulting in impaired self-control and increased vulnerability to relapse. Tese stages are widely accepted for SUDs. Whether behavioral addiction shares the same diagnostic criteria, follows the same stages of addiction, and afects the same brain regions remains an ongoing question in the feld.
Behavioral Addiction Disorders
Te concept of addictive behavioral disorders, what they are exactly, and how they afect the brain has been covered less in the research; it is a more controversial topic of conversation than the widely accepted SUD framework (Grant & Chamberlain, 2016). In 2013 the ffth edition of the DSM pioneered the switch from just “Substance-Related Disorders” to “Substance-Related and Addictive Disorders”. Under the new “Addictive Disorders” section, there was a single disorder added: gambling disorder (GD). Moved from its previous position under “Impulse Control Disorders” (characterized by impulsivity instead of compulsivity, and in a diferent section of the manual entirely), this updated categorization implies that GD (and potentially other behavioral addictions as research grows) closely resembles substance addiction clinically and neurobiologically. Nine criteria (which are similar, but not the same to the SUD criteria) defne GD, and they are listed below.
1. Needs to gamble with increasing amounts of money to achieve the desired excitement.
2. Is restless or irritable when attempting to cut down or stop gambling.
3. Has made repeated unsuccessful eforts to control, cut back, or stop gambling.
4. Is often preoccupied with gambling (e.g., reliving past gambling experiences, planning the next venture, thinking of ways to get money to gamble).
5. Often gambles when feeling distressed (e.g., helpless, guilty, anxious, depressed).
6. After losing money gambling, often returns another day to get even (“chasing” losses).
7. Lies to conceal the extent of involvement with gambling.
8. Has jeopardized or lost a signifcant relationship, job, or educational/career opportunity because of gambling.
9. Relies on others to provide money to relieve desperate fnancial situations caused by gambling.
To be diagnosed with a GD, an individual must exhibit four of these nine behaviors in the previous year. While GD is the only behavioral addiction verifed in the ffth edition of the DSM currently, there is a mention of internet gaming disorder. Te manual identifes this as a problem requiring further research before it is validated as a formal addictive disorder. In more recent research there has been more attention on potential behavioral addictions other than gambling, such as overeating, sex, exercise, cosmetic surgery, and even tanning. Tis paper focuses on the concept of problematic smartphone use as a behavioral addiction.
Published research identifes similarities between behavioral addiction and substance addictions, including: their chronic nature, prevalence of relapsing; high frequency in adolescents and young adults; feelings of craving, intoxication, and withdrawal; tolerance; genetic contributions; and mechanisms in the neurobiological systems (Grant et al., 2010). Dopamine is a main player in addiction, as seen in the binge/intoxication stage. Recent neuroimaging studies have explored the relationship between dopamine synthesis and smartphone use, with particular focus on social media apps. Westbrook et al. (2021) used PET scans in a sample of 22 healthy adults and found that individuals who spent a higher proportion of their smartphone activity specifcally on social apps exhibited a lower capacity for dopamine synthesis in the striatum. Tis suggests that excessive social media use may lead to overstimulation of the dopamine system, causing the brain to reduce its natural dopamine production in response to regular reward situations and ultimately alter baseline reward processing. Teoretically, this altered baseline may push users to re-engage with their phones to regain the dopamine response, creating a feedback loop. If frequent engagement with social digital platforms may be driven partly by a neurobiological reward defciency, PMPU may share common mechanisms with SUDs. Given the commonalities, Bragazzi and Del Puente (2014) argued that the DSM-5 should include nomophobia (the fear of being without a mobile phone) to provide clinicians with the ability to diagnose this issue and advance treatment development.
As it stands however, the DSM-5 does not recognize any other behavioral addictions other than gambling disorder. Yet, public behavior tells a diferent story. From digital detox retreats and widely reviewed smartphone lock boxes to self-reported questionnaires, it’s evident that many people view their relationship with their phones as compulsive or even beyond their control. Tis widespread acknowledgment of phone-related dependence yet lack of formal recognition raises questions about how addiction is defned, measured, and experienced. Te tension between public perception and clinical validation highlights a need to distinguish between dependence and addiction, and to evaluate how smartphone use may meet criteria associated with other recognized addictive behaviors. As Alter (2017) writes, “the age of behavioral addiction is still young, but early signs point to a crisis”. If these behaviors are truly addictive disorders, it is imperative that they can be diagnosed and treated.
Because excessive phone use is not defned by the DSM-5 as an addiction at present, this paper will refer to it as Problematic Mobile Phone Use (PMPU). Sources that are included in this paper have referred to excessive phone use with the following terms: “smartphone addiction”, “excessive smartphone use”, “problematic smartphone use”, “mobile phone involvement”, “mobile phone addiction”.
Consequences of PMPU
Research shows a range of consequences accompanying PMPU. Many of the studies use “screen time” as a key measurement because screen time is a simple unit for how much and how often a person is engaging with their smartphone and other digital devices. While other devices are included in screen time measures, smartphones dominate daily use
(Kemp, 2024), making these fndings directly applicable to PMPU.
Physical Health
PMPU has been hypothesized to be linked to a range of physical health outcomes. Tis section is a review of studies examining associations between PMPU with the physical health concerns: weight patterns, eye functioning, and sleep quality. PMPU often encourages sedentary behavior, which is associated with weight gain and related health issues. It has been found that frequent and prolonged device use can contribute to digital eye strain, leading to symptoms like dry eyes, headaches, and blurred vision. Finally, excessive screen time, particularly before bed, disrupts sleep patterns and contributes to poor sleep quality, further impacting overall physical well-being.
Weight Pattern : Physical Activity & Nutrition
Excessive time spent using a phone seems to displace physical activity required for a healthy human. Singapore children aged 2-3 who were spending more than 3 hours a day on a screen (parent-reported) showed a decreased likelihood of even light physical activity at age 5.5 (measured with wrist accelerometers; Chen et al., 2020). Another study (Ahammed et al., 2022) analyzed the Demographic and Health Survey data collected from 2015-2020, looking at 175, 370 women across 21 low- and lower-middle-income countries (LLMICs). Ahammed et al. found that 27.1% were overweight or obese, though rates varied by country. What is signifcant is that women who owned a mobile phone were 72% more likely to be overweight or obese (AOR = 1.72) after adjusting for other infuencing factors such as age, residence, education, working status, wealth index, number of household members and the number of children. Tis is an important fnding because it highlights how ownership and use of mobile phones can be associated with major health risks at a population level, even after controlling for socioeconomic and demographic diferences. Tis study is also special because it shows this relationship is evident even in low- and lower-middle-income countries, indicating that the health risks of digital overuse are becoming a truly global concern, not just a problem in wealthier nations.
Obesity and decreased physical activity have also been linked to increased anxiety (Mayo Clinic Staf, 2023), which may pressure individuals to turn to smartphones for comfort or distraction. If increasing screen time continues to hinder physical activity, a vicious addiction-like cycle has been created, exacerbating both weight gain and anxiety over time. Weight gain is linked to a cascade of health problems, including type 2 diabetes, heart disease, high blood pressure, certain cancers, and joint disorders, due to the systemic infammation and metabolic strain excess fat places on the body (Mayo Clinic Staf, 2023). In the battle against the epidemic of obesity, it is important to promote physical activity during free time instead of sitting or lying down to use a phone.
PMPU may also infuence weight gain through its impact on dietary habits. A study of over 1,100 medical college students in Shanghai found that higher scores on the Mobile Phone Addiction Index (MPAI) were signifcantly associated with greater intake of sugarsweetened foods, including carbonated beverages, other sugary drinks, and chocolate, controlling for sex. Tis association persisted even among these students with high nutrition literacy. Tese fndings suggest that PMPU may occur in parallel with other compulsive behaviors like overconsumption of sugar-rich foods, highlighting potential defcits in selfregulation in these behaviors. Emerging research has found that PMPU was associated with decreased microbial diversity and abundance in the gut, disruptions linked to broader physiological imbalances and metabolic health concerns (Zhu et al., 2023).
Eye Function
Digital eye strain (DES), also known as computer vision syndrome (CVS), encompasses several symptoms of unhealthy eye functioning, including dryness, itching, sensation of foreign bodies, watering, blurring, and headache. According to the American Optometric Association, two consecutive hours of device use is likely to bring about DES (American Optometric Association, 2017). Bahkir & Grandee (2020) explain the pathophysiology behind DES; device use can cause a decrease in blink rate and incomplete blinking, causing the eye to dry out. At the same time, the ciliary muscles of the eye are working hard to keep focusing on the screen up close to the face, putting the eye in a constant state of accommodation and convergence. Overworking the eye like this can produce the previously stated DES symptoms (Bahkir & Grandee, 2020). In a survey study of 10,000 adults from the USA, the average prevalence of DES was 65% (Kaur et al., 2022). Laptops and computers have been a main culprit in the research. A study in Egypt used a questionnaire to assess 108 IT professionals, 82.41% of which showed symptoms of DES. Te most common symptoms shown by the professionals were headache (81.5%) burning of eyes (75.9%) and blurred vision (70.4%; Zayed et al., 2021). Of a sample of 364 Saudi Arabian university students, 84.6% were using their screens for more than 5 hours, and 76.1% showed symptoms of DES (El Sayed El Keshky et al., 2022). DES symptoms are cause for concern since they can directly impact the way someone is able to function at their job, function in general, and may negatively afect their quality of life.
Some studies have not found any signifcant correlation between screen time and ocular problems (Chidi-Egboka et al., 2022; Kunboon et al., 2024). More research is needed on this subject, particularly interventional studies that collect the screen time data and on the efects of smartphone use in general.
Blue light exposure is also a concern when considering eye health and PMPU, as it may lead to more severe outcomes than digital eye strain (DES), including the possibility of permanent damage. Smartphones emit a low-level light frequency, but users are subjected to it for a long period of time. In an ex-vivo preclinical pig study, blue light hitting the eye began photochemical reactions that caused lasting damage to the retina (CougnardGregoire et al., 2023). In a preclinical in vivo rat study using simulated smartphone blue light, degeneration was observed in both retinal photoreceptor and ganglion cells (Li et al., 2021). A clinical investigation using multifocal electroretinogram (mfERG) analysis found that medical staf who used video terminals for more than eight hours per day showed reduced amplitude of retinal photoreceptor cells in the parafoveal region of the macula (response to visual stimuli is weak), along with delayed peaks (sluggish reaction to visual stimuli; Li et al., 2021). Trough eye exposure, blue light also has important potential impacts on sleep, discussed next.
Sleep Quality & Quantity
Perhaps the most well supported physical consequence of PMPU is the negative impacts on sleep. A major factor contributing to disrupted sleep is the common habit of using phones in bed, which is especially common in the younger populations. Gradisar et al. (2013) performed a nationwide survey done in the US asking about American device habits right before they go to sleep. Tey found that an average of 39% of respondents used mobile phones in their bedroom the hour prior to going to bed. When the sample was divided by age, substantial diferences emerged between the groups. A prominent majority of adolescents (72%) and young adults (67%) reported using their phones in this hour directly before bed. In the Bozkurt et al. (2024) study, a huge majority of adolescent participants (aged 13-18) used their phone in bed. 90.6% of participants used their phone
in bed. Of those participants, the average duration of smartphone use in bed per day was 2.3 hours.
In some cases smartphone use before bed can delay the time that individuals fall asleep. Of the total population of 407 participants in Bahkir & Grandee’s study (2020), 62.41% state that digital device usage prevented them from sleeping at an optimal time. Tis percentage was even larger in the group of students, showing 66.9% unable to fall asleep at the time they would like to. In students 12–18 years old, evening cell phone use was associated with signifcantly longer sleep latency (the amount of time it takes a person to fall asleep after they go to bed) compared to non-users (24 vs. 20 minutes, p < 0.001), suggesting that nighttime phone use disrupts the ability to fall asleep, though there were also signifcant correlations between physical activity and sleep. Maintaining being asleep has also been proven more difcult when a phone is nearby, with 10% - 20% of sampled adolescents being woken up due to a text message on an average night (Gradisar et al., 2013). It isn’t surprising then that PMPU has been shown to decrease sleep quality. Kumar et al., (2025) composed a systematic review of research about smartphone use and sleep from 2014-2024. Of the 25 studies that ft the inclusion/exclusion criteria, all but one of them showed a signifcant correlation between high phone use and low sleep quality. Other more recent reviews only further these fndings, with more signifcance between PMPU and poor sleep. (Lu et al., 2025). Tis is striking evidence with serious implications. Tere is less data on the impact of PMPU on sleep duration, but the research is starting to expand. A Norwegian study with over 45,000 participants aged 18 to 28 found that each hour of screen time in bed was associated with 24 fewer minutes of sleep and a 59% higher risk of insomnia (Hjetland et al., 2025).
Tis relationship is strengthened by fndings showing that when smartphones are not used at bedtime, the problem decreases. In a longitudinal randomized controlled trial, authors He et al., (2020) restricted mobile phone use at a personalized bedtime for a period of four weeks. Tey found that restricting mobile phone use before bedtime has been shown to pre-sleep wakefulness, reduce sleep latency, and help increase duration based on the participants’ baseline data (He et al., 2020).
Diferent physiological and psychological mechanisms work in sync to explain why smartphone use may prevent sleep. One mechanism is that stimulating devices that one interacts a lot with like smartphones (also video games and computers) prevent the withdrawal of the sympathetic nervous system (Gradisar et al., 2013). Te sympathetic nervous system is the “fght or fight” system that responds to stimulus and will keep an individual awake leading to late night for dependent smartphone users. Tis is supported by the research, Heo et al. (2017) showed that use of smartphones was associated with decreased sleepiness.
Another issue that may be causing these adverse efects on sleep is the blue light emitted from phones and other digital tech. Blue light exposure has been found to reduce tiredness in various publications (Silvani et al., 2022; Cougnard-Gregoire et al., 2023). Exposure to blue light from smartphones suppresses melatonin secretion, disrupting circadian rhythms and leading to the previously discussed sleep disturbances (Tordjman et al., 2017). In a systematic review looking at young adults, bluelight and overall well being by Silvani et al., (2022), there were many mixed fndings on the direct efect of blue light on sleep. Tere is a lack of reputable evidence to indicate that blue light is a contributor to PMPU associated sleep problems.
An interesting component is bedtime procrastination. Bedtime procrastination is when an individual delays sleep by scrolling on their phone, commonly referred to as “doomscrolling” by younger generations (Bozkurt et al., 2024). Surveys have shown that this behavior is especially common after a busy day without much time to relax. Another study
focusing on Chinese college students found that mobile phone addiction was signifcantly correlated with bedtime procrastination (Meng et al., 2024). Te research indicated that anxiety played a partial mediating role in this relationship, implying that individuals with higher anxiety levels might use smartphones as a coping mechanism, leading to delayed sleep (Meng et al., 2024).
Getting enough quality sleep is imperative to daily life (Luyster et al., 2012). Chronic sleep deprivation is associated with a large variety of comorbidities including heart disease, lung disease, kidney disease, appetite suppression, poor weight control, weakened immune functioning, lowered resistance to disease, higher pain sensitivity, slowed reaction times, mood fuctuations, depressed brain functioning, depression, obesity, diabetes, and certain cancers (Alter, 2017) and ultimately a shorter lifespan (Luyster et al., 2012). Considering how PMPU can negatively impact sleep, it is worth considering how these disruptions might also contribute to broader efects on physical health, psychological health, and cognitive performance. Future research should further investigate these potential pathways and their independence to better understand the full scope of PMPU’s impact.
Te New York Times Bestseller Arianna Hufngton, the author of Te Sleep Revolution (2017), has an impactful quote and simple solution to avoid harmful smartphone use at night: “People spend more time on their digital devices than sleeping… we’re obviously all addicted to technology. So how do we put it in its place? And not on your nightstand. Tat is the key, do not charge your phones by your bed” (as quoted in Alter, 2017).
Psychologial Health
PMPU is closely linked to poor psychological health, particularly depression and anxiety. Individuals may turn to their phones to escape negative emotions, but excessive use often worsens symptoms, creating a cycle of emotional dependence. For both depression and anxiety, the very tool used to cope can end up reinforcing the distress it aims to relieve.
Depression
Endless scrolling may feel like a break from reality, but for many, it’s a descent into deeper emotional distress. Depression is a mood disorder characterized by persistent feelings of sadness, hopelessness, and loss of interest, and PMPU has been associated with it in several studies. In the Khan et al. (2023) study of Australian adults of varying ages, the authors aimed to analyze the relationship between smartphone use and psychological problems. With a mobile phone problem use scale (MPPUS) participants were grouped into categories by smartphone use: low-moderate, moderate-high, and high-severe. A Depression, Anxiety, and Stress Scale (DASS-21) was completed by each participant to assess mental health outcomes. Compared to low-moderate users, depression scores were 3.5 points higher in moderate-high users and 6.9 points higher in high-severe users. Tis is especially signifcant because this relationship is dose-dependent, meaning that the more problematic the phone-use (more time spent on the phone), the worse the depression. Tis study is somewhat limited because it was cross-sectional and not longitudinal, and therefore does not show how mental health outcomes evolve in a person over time. In one study done in China, a bidirectional relationship between smartphone addiction and depression was found in university students over time (Zhang et al., 2023). Tese measures were acquired at baseline and at a 12 month follow up using validated instruments: the Zung’s Self-Rating Depression Scale and the Smartphone Addiction Scale-Short Version. Tis means that while depression predicts PMPU, PMPU also predicts future depressive symptoms, suggesting a mutually reinforcing cycle between the two conditions.
Not all studies have found the same results though. Te Copenhagen Network Study
by Dissing et al. (2022) investigated whether nighttime smartphone use increases the risk of poor mental health among young adults. Tis study reported no signifcant relationship between nighttime smartphone use and poor mental health.
Altogether, the research suggests a concerning relationship between PMPU and depression, underscoring the need for increased awareness and preventive strategies targeting smartphone overuse to reduce depressive symptoms. More rigorously designed randomized controlled trials are needed to strengthen the directionality, clarify the underlying mechanisms, and assess long-term outcomes of excessive smartphone use in relation to depression.
Anxiety
Anxiety is also closely related to PMPU, with some individuals even reporting anxiety when separated from their phone. As previously noted, “nomophobia” is the term for fear of being without a phone. A systematic review of the phenomenon (Notara et al., 2021) found that of 40 articles, the percentage of participants displaying nomophobia never dipped below 15.2%, and ranged as high as 99.7% in one study. In that research, Bajaj et al., (2020) had looked at 300 Indian undergraduate students, implying this age group is particularly susceptible to experiencing nomophobia.
Similarly to depression, there may be a cyclical relationship between PMPU and anxiety. Te Khan et al. (2023) study discussed in the last section also found a relationship between participants with high smartphone use and anxiety levels. Compared to those who displayed occasional use (bottom 15th percentile of smartphone users in the study), the DASS-21 anxiety scores were 2.3 points higher in habitual use (15th through 80th percentile), 4.6 points higher for at-risk smartphone use (80th through 90th percentile), and 6.8 points higher for problematic smartphone use (95th through 100th percentile). Tis displays that same dose-dependent relationship between PMPU and phone use that was found for depression. Lepp et al. (2014) also found a positive relationship between PMPU and anxiety with a Beck’s Anxiety Inventory (BAI) test (greater PMPU is related to higher anxiety scores).
Te Lepp et al. (2014) study ofered a comprehensive perspective because they not only measured PMPU and anxiety, but were looking for connections between academic performance and Satisfaction with Life (SWL) as well. In a sense, the SWL test is the ultimate psychological measure that refects the individual’s overall evaluation of their life quality and well-being. Anxiety showed a negative correlation with their SWL test while GPA showed a positive correlation with the SWL. Using this data, the authors performed path analysis, deducing that PMPU is related to SWL, mediated by anxiety and GPA. Tis highlights how broad PMPU’s infuence can be: inducing not only anxiety but also poor academic performance and even lowering overall Satisfaction with Life. Tat is a huge and concerning fnding that emphasizes the impact that PMPU can have on an individual’s overall mental health.
Cognitive Function Trough the Lens of Academic Performance
Tere is growing concern revolving around PMPU and its impact on cognitive function, particularly in the domains of memory and attention. Tese cognitive processes are central to efective learning and academic achievement, making academic performance a useful proxy for assessing potential cognitive disruption.
PMPU does not do the GPA any favors. One reason that PMPU may negatively impact academic performance could be that the phone use displaces productive academic activity. Time spent scrolling, watching videos, playing games on a smartphone means time
not spent doing academic tasks such as studying, reading, doing homework. Felisoni & Godoi (2018) performed a study with 43 students in Brazil to determine if a relationship between academic performance and PMPU exists. By using tracking apps these scientists collected direct measurements of screen time they were able to discern a high correlation between PMPU and academic performance. With an average of 3.8 hours (or 230 minutes) of phone use, every additional 100 minutes of daily phone use corresponded with a 6.3 point drop in a student’s academic ranking, from the school’s system from 0 to 100. By consuming time that could otherwise be dedicated to learning, smartphones can erode academic performance.
Felisoni & Godoi (2018) found their efects even more pronounced when phone use occurred during class time, suggesting that multitasking and cognitive interference could also be a second key mechanism linking PMPU to poorer performance. Smartphones encourage constant task-switching through push notifcations, app use, and social media updates, often pulling attention away from academic endeavors whether that is lectures, assignments, or studying. Tis mechanism was further emphasized in a study by Campbell (2021), who surveyed educators and analyzed standardized math test scores to examine the relationship between PMPU and student learning outcomes. While no signifcant relationship was found between PMPU and procedural fuency, there was a statistically signifcant negative correlation between PMPU and conceptual understanding. Conceptual understanding demands sustained attention, working memory, and deep cognitive engagement. Tese fndings highlight how the distracting nature of smartphones may specifcally impair more complex aspects of cognition.
Whatever the mechanisms are, decreased academic performance and correlations to PMPU has been well supported in research. Domof et al., 2019 of 641 adolescents in the US used an Addictive Patterns of Use (APU) scale and found that higher levels of addictive smartphone use were signifcantly associated with poorer academic performance as refected in students’ self-reported typical grades (a four point range from “mostly As” as 1, to “mostly Ds” as 4). Tis self-reported grouping of grades into very categorical units may limit the precision of these fndings; using a continuous measure like exact GPA could have provided stronger statistical insights. Mentioned in the last section, Lepp et al. (2014) found that PMPU was negatively correlated to college students’ self-reported GPA, and through that measure, anxiety levels.
Much of the research is cross-sectional. It has captured data at a single point in time, which allows for the identifcation of diferences across a population but not within individuals over time, making it difcult to infer causality or track behavioral changes. Amez et al. (2021) was determined to expand the limited longitudinal research between PMPU and academic performance, spearheading data collection over three consecutive years at two Belgian universities. Participants included students enrolled in 11 diferent academic programs, and data were collected on general smartphone use, along with other factors known to infuence academic achievement. Tese survey responses were merged with the students’ ofcial exam scores. Controlling for unobserved individual characteristics, the researchers found that a one standard deviation increase in overall smartphone use (determined by averaging responses to nine daily smartphone activities rated on a 10-point frequency scale) led to a 0.349-point decrease in average exam scores (on a 20-point scale) and a 2.616 percentage point decline in the proportion of exams passed. While the decrease in scores may appear modest, both efects were statistically signifcant at the 1% level and provide compelling longitudinal evidence that excessive smartphone use can hinder academic success.
It is important to acknowledge that smartphones can also beneft academics. Teir portability allows students to access course-related information anytime, anywhere,
supporting learning outside traditional environments. Smartphones can also facilitate collaboration through group chats, instant communication, and shared resources. Tus, the impact of smartphones on academic performance is nuanced. While PMPU seems to have harmful efects on cognitive function as seen in academic performance, mindful use may support education as an entity.
Strengths and Limitations
One notable strength of the current body of PMPU research is its geographical diversity. Sources included in this paper were conducted across a multitude of countries spanning six out of the seven continents (Antartartica seems to have little problem with PMPU). Te variation in country and methods/measures enhances the generalizability and validity of fndings, and demonstrates that PMPU is not confned to any one cultural context. However, there are several limitations that warrant attention. A signifcant portion of the research relies on self-reported data, often using tools like the Mobile Phone Involvement Questionnaire (MPIQ), which introduces the potential for reporting bias. Few studies collect usage data directly from smartphones, which would provide more objective comparisons. Tere is a shortage of randomized controlled trials, as most of the existing research is observational without a “treatment” group. More randomized controlled trials are needed to better establish causation between smartphone use and its impact on mental health, sleep, or overall well-being. Tere is also limited use of wearable technologies that could ofer more accurate tracking of sleep patterns, heart rate, and physiological responses. Finally, the absence of standardized diagnostic criteria also complicates eforts to defne PMPU as a distinct and measurable phenomenon. Future research would beneft from more rigorous methodologies and consideration of PMPU as a potential behavioral addiction with clear diagnostic thresholds.
Fighting PMPU Across the Globe
Policy Interventions
Seeing the scope of this issue, institutional and governmental policies have begun to confront PMPU more directly. In 2017, French President Emmanuel Macron pledged to ban smartphones in schools. He fulflled this promise with the enactment of a law in September 2018. Macron’s legislation prohibits students under 15 from using mobile phones, tablets, and smartwatches during the school day, including breaks and mealtimes. Similar discussions have taken place around the world. Te reports from the UK stated that 49% of a survey of parents support such a ban (BBC News, 2019). Meanwhile in China, strict national-level regulations limit screen time and online gaming for minors, refecting a top-down approach to digital health. China enforces its screen time limits for minors through a comprehensive “minor mode” system, which is now mandatory on all smartphones, tablets, and digital platforms. Tis mode automatically activates for users under 18 and imposes strict daily usage caps: 40 minutes for children under 8, one hour for those aged 8 to 15, and two hours for 16- to 17-year-olds. Devices are programmed to disable most apps between 10 p.m. and 6 a.m., unless parents grant specifc exemptions (Michaelson & Tang, 2025).
However, these policy measures raise ethical and philosophical concerns about the morality and efectiveness of restricting digital access, and whether governments or schools should have the authority to control personal device use. It is due to China’s authoritarian governance structure, which does not require public consent or electoral accountability, that they are able to enforce the restriction above. Teir model is less applicable in
democratic societies where individual freedoms are prioritized, public support is essential for policy implementation, and government overreach into personal choice is often met with resistance. Finally, while such policies can successfully decrease screen time and have important benefts like improving academic outcomes and reducing distraction, one could argue that these interventions may contribute to a lack of digital literacy among youth. In a world increasingly shaped by digital tools and platforms, ensuring that young people build the skills to navigate and engage with technology is essential. Without this foundation, children risk being left behind socially, academically, and later, professionally.
A diferent more modern strategy targets the functionality of the overused device itself. Tis approach could involve mandating design changes to reduce especially addictive app features (such as infnite scroll, autoplay, and personalized algorithms). Governments could also enforce stricter app store regulations, requiring warnings, usage data transparency, or built-in timers for high-risk apps. Tese kinds of policies would be similar to how governments regulate food labeling, alcohol, or gambling which revolves around the idea being that certain design elements in phones and their apps exploit psychological vulnerabilities, particularly in youth. Giving users more information and a choice about how and what they are consuming digitally empowers them to be more intentional about their screen time.
Educational Strategies
Addressing PMPU begins with education, not just for children receiving their frst device, but for parents as well. Parents play a critical role in shaping early digital habits and setting boundaries that children carry into adolescence. Te American Academy of Pediatrics (2016) recommends avoiding digital media exposure entirely for children under 18 months and gradually introducing screen time thereafter, capping usage at one hour per day for children aged 2 to 5. However, studies show that the vast majority of children exceed these limits, highlighting a disconnect between guidance and practice. To close this gap, a broader conversation around why limiting phone use is vital, and these conversations should be discussed openly. Families can implement proactive strategies such as delaying the purchase of a smartphone until children are older, limiting phone use in bedrooms (particularly before bed), setting screen time restrictions through built-in app settings, and avoiding downloading and creating profles for addictive social media apps like TikTok or Instagram altogether. Teaching and practicing self-control and healthy habits when it comes to smartphones and other devices empowers everyone to manage their usage more consciously. Alter (2017) writes how this is impactful, saying that “our attitude to addictive experiences is largely cultural, and if our culture makes space for work-free, game-free, screen-free downtime, we and our children will fnd it easier to resist the lure of behavioral addiction. In its place, we’ll communicate with one another directly, rather than through devices, and the glow of these social bonds will leave us richer and happier than the glow of screens ever could”.
Ultimately, while both education-based and policy-driven strategies ofer promising paths to reduce smartphone overuse, there is no simple solution. What is clear however, is that problematic smartphone use is not a niche concern. It’s a widespread behavioral pattern that warrants serious attention. Whether or not it is formally classifed as an addiction, acknowledging its harmful potential is a crucial frst step.
Conclusion
Problematic Mobile Phone Use (PMPU) is a growing global concern, particularly among younger populations who are the most frequent users of smartphones. Tese devices are highly accessible, portable, and deeply embedded into daily life, making them not only
convenient, but difcult to disengage from. Although smartphone addiction has not yet been formally recognized in the DSM, it shares notable neurobiological and behavioral similarities with other forms of addiction. Overdependence has been linked to a range of negative outcomes, including physical health issues such as weight gain, visual strain, and sleep disturbances; psychological problems, most notably depression and anxiety; and cognitive impairments, as evidenced by a strong, statistically signifcant relationship between smartphone overuse and academic decline. If smartphones continue to be practically indispensable in modern life, it is critical that researchers further investigate both the mechanisms behind this behavioral phenomenon and the interventions that can mitigate its efects.
On a positive note, it is important to remember that we are more than our addictions, and it is possible to fght. As Alter (2017) writes: “Te good news is that our relationships with behavioral addiction aren’t fxed. Tere’s much we can do to restore the balance that existed before the age of smartphones, emails, wearable tech, social networking, and ondemand viewing. Te key is to understand why behavioral addictions are so rampant, how they capitalize on human psychology, and how to defeat the addictions that hurt us, and harness the ones that help us”.
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About the Author
Sam Senfeld is a senior Neuroscience major at CNU. Tis paper was inspired not just by academic curiosity, but by personal experience. With a screen time average she would say is too high to publish, Sam feels discouraged when she fnds herself mindlessly doom scrolling. Tis project gave her the opportunity to explore why that occurs and why it matters. Sam now views smartphone overuse as one of the most detrimental issues facing her generation. She hopes readers pause to refect on their own habits and feel a spark to push back against the designs keeping users hooked. When she is not on her phone, Sam enjoys traveling, going to the beach, playing sports, taking walks, and reading. At CNU, she was involved with varsity and club volleyball, the Neuroscience Club, Nu Rho Psi, Phi Mu Fraternity, Premed Scholars, and assisted in preclinical neuroscience research. After graduation, Sam plans to take a gap year before attending more school to become a Physician Assistant, with interests in pediatrics and sports medicine.
Cognitive Efects Associated with Adolescent Nicotine Exposure in Humans
Philip Sherrill, Dayanara Rivera, Anna Sine
Faculty Sponsor: Dr. Gina Fernandez, Department of Psychology
Abstract
Te increasing popularity of e-cigarettes and vape products has led to increased concern about the long term impacts of nicotine (the major psychoactive component in vapes) on brain development and behavior in adolescents. Research examining the relationship between adolescents and nicotine use has increased within the past two decades, and has found long-term consequences following prolonged nicotine use. Tis review summarizes a component of that literature, demonstrating that adolescent nicotine use can lead to the disruption of critical regulatory processes in the developing brain. Due to the continuous development of the prefrontal cortex and hippocampus in adolescence, both of which are involved in cognitive processes such as executive function, attention, and decision making, these regions are especially vulnerable to impairments mediated by nicotine. Certain external factors, such as social pressure, also make adolescents vulnerable to prolonged nicotine use.
Keywords: nicotine abuse, adolescents, prefrontal cortex, attention, hippocampus
Introduction
Te adolescent brain fully matures by the age of 25, making it vulnerable to developmental changes (Mercurio et al., 2020). Nicotine is commonly used by adolescents and has long-lasting efects in terms of brain development and behavioral impairments (Yuan et al., 2015). While brain structures such as the limbic system and posterior cortices develop earlier in adolescence, other structures, such as the prefrontal cortex (PFC), mature at a gradual pace, leading to risky and impulsive behavior (Rømer et al., 2018). Te limbic system involves many brain structures such as the hippocampus, and is responsible for emotional regulation and its associations with specifc memories (Rajmohan & Mohandas, 2007). Posterior cortices are components of the cerebral cortex located in the parietal, temporal, and occipital lobes (Pagnotta et al., 2022). While each region is responsible for specifc functions, the overall posterior cortices encode sensory information from external stimuli, such as visual, auditory, and tactile input (Squire et al., 2013). Te inconsistent brain structure development throughout adolescence puts this demographic at risk for long-lasting defcits in cognitive function due to nicotine use.
Ongoing brain development leads to attention defcits, poor risk evaluation, and a focus on seeking reward-related cues (Pagnotta et al., 2022). Tese impulsive behaviors, in which adolescents continue to engage, can include nicotine abuse. Nicotine abuse accounts for attention defcits due to its impact on neuronal development, which can precede impulsive behaviors (Reynolds et al., 2024). Preclinical studies show decreased attention and cognition in rodents who underwent nicotine exposure as adolescents (Hahn et al., 2009; Reynolds et al., 2024). Even if some brain structures are mostly matured, nicotine, a powerful stimulating drug, can alter other neuronal circuitries. For example, release of the brain chemical glutamate is important for proper functioning of the PFC; however, nicotine exposure and attention defcits during adolescence complicates this process (Jacobsen et al., 2005). A reduction in activation of glutamatergic pathways in this brain structure reduces risk-evaluation (Jacobsen et al., 2005).
Adolescent nicotine use results from the tendency for this demographic to partake in risky behaviors which can cause chronic problems with attention and cognition (Counotte et al., 2011). Tis review discusses decision-making and attention systems that are altered as a result of adolescent nicotine exposure.
Decision Making in Adolescents
Adolescents are faced with a slew of decisions in their day-to-day lives. Teir decisions are informed by a multitude of factors, including ones that have high novelty and high signifcance (events that have a high chance of having severe consequences; Icenogle & Caufman, 2021). Tis proclivity towards risky and exciting behaviors is due in part to the ongoing development in both the hippocampus (HPC) and PFC, which are involved in spatial learning and memory and long-term decision making, respectively (Sneider et al., 2018, Icenogle & Caufman, 2021).
Networks in charge of self-regulation and inhibition, like the PFC, fully develop later in adulthood, while structures concerned with social processing, such as the limbic system, rapidly develop in order to meet the needs of the social pressures of adolescence (Rømer et al., 2018). Compared to adults, adolescents lack fully matured cognitive processes, which is ofset by a fully functioning limbic system. Tis developmental imbalance results in adolescent- specifc behavior that focuses on social interaction and risk taking. One study observed that adolescents were more likely than adults to perform risky behaviors when infuenced by peers, and in fact perceive risky behaviors more positively when surrounded by their peers (Gardner & Steinberg, 2005).
Due to the desire for social status and recognition, and the lack of development in
critical areas, adolescents are more likely to make risky decisions that may impact their long-term health and wellbeing. Tis can be observed in a longitudinal study of middle school students that found that students who used e-cigarette products were less likely to perceive the harmful efects (Lechner et al., 2018). It was concluded that the cognitive factors of expectations, intentions, and perception of harm played a role in how likely a student was to start using e-cigarettes. Lechner et al. (2018) note that adolescents who had already begun using e-cigarettes reported that e-cigarettes were less harmful compared to regular cigarettes. Intention and willingness to smoke may be higher in those who perceive less harm. Conversely, adolescents who reported high perceived harm indicated they were less likely to start using e-cigarettes.
Expectations about smoking may also be distorted, especially when social pressures and social gain come into play. As stated by Gardner & Steinberg (2005), expectations and outcomes of actions may be viewed positively when groups are present. Tis means adolescents may not see the dangers,and in fact, may view nicotine use positively,when in a group setting that encourages that behavior.
Substance abuse also contributes to poor decision-making skills in adolescents. Slower inhibition responses (i.e., reduced ability to stop certain actions) and blunted prefrontal cortical activity has been linked to substance use among adolescents (Rømer et al., 2018). Problem-solving has also been found to be decreased in adolescents with substance use, and an indiference towards decisions and decision making can be indicative of the abuse severity. Irritability is also higher for those who abuse substances, indicating a lack of social inhibition, as they are more likely to react without thinking through the efect of their actions (Bilaç, 2021).
Te immaturity of the PFC, and thus an immaturity in decision making, means that adolescents are more susceptible to risky behaviors, and the introduction of addictive substances can further decrease the ability to inhibit oneself and make informed decisions.
Attention Systems
Te development of attentional systems in adolescents diverges into sustained and selective attention, which is accounted for by diferent brain regions and cognitive functions (Hobbies & Lavis, 2024). As the human brain develops, the prefrontal cortex becomes increasingly responsible for engaging our attention. If drug use occurs early enough during this developmental time period, it puts individuals at a higher risk to pursue harmful activities (Squire et al., 2013).
Te frst attention system mentioned, sustained attention, can be defned as goaldriven attentional regulation over long periods of time, with the cognitive control to tune out distracting stimuli (Ernst et al., 2011; Mashhoon et al., 2019). It involves primarily fronto-parietal networks, especially dorsolateral prefrontal cortex (Sarter et al., 2001). On average, mind-wandering begins as sustained attention struggles to stay active after 14 minutes (Goncalves & Dias de Silva, 2022). Studies have demonstrated that early onset smoking compromises sustained attention, as impulsive behavior is not as well controlled (Mashoon et al., 2019). It is important to restate that sustained attention is regulated by the prefrontal cortex. Terefore, selective attention can be impaired due to the immaturity of the prefrontal cortex, since this region relays information to fully mature posterior cortices to focus on task-relevant stimuli (Squire et al., 2013; Hobbiss & Lavis, 2024).
Te second attentional system mentioned was selective attention, also known as bottom-up attention. It can be defned as more stimulus-driven attention (Hobbiss & Lavis, 2024). Tis attention system focuses on one stimulus and tunes out irrelevant ones. Due to the relaying of critical information from the PFC to posterior cortices, the immature frontal brain region will have impaired executive function and cognitive control,
which can put the adolescent at risk for impulsive activities due to poor risk evaluation (Pagnotta et al., 2022) Such activities could include substance abuse, since bottom-up attention could cause the brain to seek reward-stimulating cues as a task and tune out any “distractors” that could otherwise deter them from disengaging from these behaviors (Hobbiss & Lavis, 2024).
As the human brain develops, the perceptual load of our surroundings infuences our attention regulation, and is interpreted through the dorsolateral prefrontal cortex (DLPFC; Hobbiss & Lavis, 2024). Perceptual load can be defned as the amount of information that is given at any point in time, wherein the individual must distinguish a task-relevant stimulus from distracting ones (Murphy & Greene, 2016). As multiple studies show, high perceptual load, meaning a high amount of sensory input that is task-relevant, reduces processing of distracting stimuli (Forster & Lavie, 2009). Perceptual load is processed by both attention systems, diverting high perceptual load to be analyzed with selective attention, and low perceptual load through sustained attention (Murphy & Greene, 2016). Tis is to say that a high perceptual load may include focusing on one shape, in a room flled with similar surrounding shapes, while a low load may include focusing on a repetitive task for a prolonged period of time (Murphy & Greene, 2016).
Attention Defcit Hyperactivity Disorder (ADHD), characterized by inattention, impulsivity, and locomotor hyperactivity, further complicates attentional regulation in adolescents (Arnsten, 2009). Adolescents that are diagnosed with ADHD have an underdeveloped prefrontal cortex compared to adolescents without the condition, which further exacerbates their weak inhibitory control. Te delayed PFC maturation is accounted for by weaker signaling of brain signaling chemicals, such as the “feel-good” chemical otherwise known as serotonin (Arnsten, 2009). As mentioned earlier, individuals with ADHD have impaired attentional regulation, indicating that they are more likely to use selective attention which can lead to impulsive behaviors (Arnsten, 2009; Ernst et al., 2011). Tese behaviors can include the use of drugs, although adolescents without ADHD can also engage in these behaviors, as previously mentioned (Quach et al., 2020).
Overall, attentional systems are related to the prefrontal cortex and posterior cortices, highlighting the importance of proper brain development during adolescence. Attention defcit disorders can further hinder the ability for adolescents to evaluate sensory input for risk assessment. Te consequences of under-developed brain structures on the loss of inhibitory control must be further addressed, specifcally in assessing how attention systems are afected by impulsive tendencies, to better understand how to prevent longterm maladaptive behavior (e.g., drug use).
Nicotine Efects on Attention
Advancements in our understanding of tobacco’s long term health efects, and subsequent policies, have reduced the number of nicotine product days in American adolescents (Sun et al., 2021). Tis decrease began in the late 1990s, but there was a marked increase in the early 2010 decade due to the increasing popularity of E-cigarettes and other electronic nicotine delivery devices.
As mentioned previously, critical components of attention begin to fully mature during adolescence, and individuals with attention defcits often face interpersonal and occupational challenges. Adolescent nicotine use has been well documented as a risk factor for attentional impairments (Counotte et al., 2011). Notably, early exposure to nicotine during adolescence in animal models appears to result in impairments in cognition compared to later use, refecting human observational studies (Hahn et al., 2009; Reynolds et al., 2024). In humans, a longitudinal twin study found that those who began smoking before their twin during adolescence experienced signifcantly more attentional defcits
(Treur et al., 2015).
Glutaminergic expression, which refers to the activity of glutamate, is a primary excitatory neurotransmitter with the function of activating neurons in order to send signals to one another. Tis pathway is well documented towards playing a role in attention, with less expression being linked to ADHD-like symptoms (Huang et al., 2019). A rodent study found that the expression of mGlur2, the synaptic receptor that responds to glutamate, was reduced in the PFC of adolescent rats treated with nicotine, with prior studies suggesting the importance of mGlur2 on sustained attention and working memory (Spinelli et al., 2005; Counotte et al., 2011). Tis reduction in mGlur2 expression leads to diminished synaptic plasticity of the PFC, and the inability to flter out irrelevant stimuli (Jacobsen et al., 2005).
Other disruptions to the PFC caused by nicotine include an upregulation of nicotinic acetylcholine receptors, or nAChR (Cano et al., 2020). Acetylcholine signalling mediates both sensory and cognitive related attention processes, with the nAChR being a primary target for nicotine (Parikh & Bangasser, 2020). Te nAChR is known to play a role in multiple processes related to executive functioning, such as attention and decision making, with excessive upregulation seeming to have negative efect on both these processes. One mechanism believed to be involved with nicotine’s efects on attention is the longterm disruption of cholinergic signaling through nAChR upregulation (Poorthuis & Mansvelder, 2013). It has also been documented that nAChRs play a role in plasticity, protein interaction, and neurotransmitter release through upregulation (dos Santos Coura & Granon, 2012). Tis dual impairment in attention and decision making is refected by the overlapping attentional pathways originating from the PFC.
Ultimately, by altering the expression of the molecular underpinnings of cognition, nicotine exposure during adolescence compromises the mechanisms essential for both decision making and attention, leading to lasting defcits into adulthood.
Conclusion
Adolescence is a critical developmental period marked by heightened risk-taking and an evolving brain. Te immaturity of the prefrontal cortex, responsible for executive functioning and decision-making, combined with a highly responsive limbic system, creates a neurodevelopmental susceptibility that makes adolescents particularly vulnerable to substance use. Tis vulnerability is further exacerbated by the underdevelopment of attentional systems, such as selective attention, which is essential for evaluating risks. Furthermore, social infuences, including peer pressure, increases the susceptibility adolescents have for risky behavior. Nicotine use during this sensitive period has been suggested to disrupt key neurobiological mechanisms, resulting in impairments in both attention and decision-making. Tese fndings highlight the importance of continued research to address both the neurological and social vulnerabilities of adolescent nicotine use. Further research should examine individual diferences through genetics, as well as the role of comorbid disorders, such as ADHD, to potentially develop targeted treatment and preventative measures.
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About the Authors
Philip Sherrill is a junior at Christopher Newport University majoring in Neuroscience with a minor in Chemistry. He has been working with the Fernandez lab since the fall of 2023 as a research apprentice. Trough his experiences working under Dr. Fernandez, he has been able to gain extensive research experience through both hands-on lab work, and communication with other researchers through conferences such as the Society for Neuroscience. After his bachelors, his goal is to become a Physician-Scientist specializing in addiction medicine. His research interests include the overlap of addiction science and neuroeconomics, fueled by his experiences in the Fernandez lab and his work as a volunteer Firefghter/EMT.
Dayanara Rivera is a recent graduate of Christopher Newport University (CNU), with a major in Neuroscience and minor in Criminology. Tese past two years, she has joined an undergraduate rodent behavioral psychology lab, examining the long-term efects of nicotine exposure into adulthood, with Dr. Gina Fernandez. Her research has provided her with ample scientifc communication and hands-on preclinical research experience. She has attended several research conferences, such as Paideia and Tidewater to present her team’s fndings. After her bachelor’s she plans on pursuing a M.S in biomedical engineering at George Mason University (GMU). With an undergraduate education in neuroscience and a graduate education in biomedical engineering she plans on exploring clinical research further to develop improved therapeutic approaches for diferent neurological disorders.
Anna Sine is a recent graduate of Christopher Newport University, graduating with a major in Neuroscience. Her interest in addiction led her to work in Dr. Gina Fernandez’s behavioral psychology lab and she has been fortunate enough to present research at multiple research conferences. Although her main interest is how addiction impacts the brain, past jobs and research opportunities have meant she has worked closely with neurodegenerative diseases, learning disorders, and mental illness. After graduation, she will pursue a career as a clinical research coordinator - combining her love of the research environment and her skills as a project manager. She wants to work in a lab that studies addiction and hopes to help people through her work.
Reclaiming Susanna: Artemisia Gentileschi’s New Gendered Lens on Susanna and the Elders
Savannah Spady
Faculty Sponsor: Dr. Rebecca Wolf, Department of Fine Arts and Art History
Abstract
As the Renaissance transitioned into the Baroque period, a new style of art was accompanied by new social changes in the early seventeenth century of Italy. Amongst these changes was a shift in gender dynamics. A defning fgure intertwined with art and gender was the female painter Artemisia Gentileschi. In her oldest surviving painting, she paints the biblical story of Susanna and the Elders, a male dominated subject that often objectifes and sexualizes the female subject, Artemisia diverts from her male contemporaries and gives a much diferent interpretation of this well known tale. In this paper, I will demonstrate that her gender is the leading factor for these discrepancies. By performing a comparative analysis of her 1610 Susanna and the Elder with other renditions of the same subject, created in the same time period and location by male artist. I situate these diferences in depiction alongside gendered and religious tensions, and then pair them with Artemisia’s unique experience as a female artist, the changes to the art market and viewership, as well as the normalization of sexual crimes, in order to explain her motives behind her painting. Tis contextualizing will address gaps in both gender and sexual assault, assimilating a greater understanding of the attitudes casted on women in the early seventeenth century Italy, of which are refected in images of Suanna and the Elders, including the work of Artemisia Gentileschi.
In our modern day, no country has yet to have achieved a utopian society. Issues such as sex, gender, violence, and power dynamics are at the root of many controversies and debates throughout the world today. Tis is not a new development, but rather something that history has long struggled with. During the seventeenth century, throughout Italy in particular, issues pertaining to gender relations were reaching a boiling point, as the social dynamics previously instilled began to shift. An image that encapsulates these changes of the time is of Artemisia Gentileschi’s Susanna and the Elders, a painting depicting the biblical story of the attempted rape of a woman. Her painting varies drastically from her male contemporaries, as she depicts the subject from a feminine perspective. Her unique point of view as a woman is the leading factor for these discrepancies, as her painting was a reaction to the misogynist views that had overtaken the fgure of Susanna, as demonstrated in versions by male contemporaries. Her painting, once contextualized within the time and location of its creation, is understood to refect the attitudes cast on women during the seventeenth century, creating a more expansive understand of the views of sexual assault during Artemisia’s lifetime.
Artemisia Gentileschi was born in 1593 in Rome, to her mother Prudentia Montone and her father Orazio Gentileshi, who was a painter by trade.1 Her upbringing was a rather unique one in many aspects. Artemisia’s life according to society was laid out from the moment she was born. She could be married of and become a vessel to bear children to a husband, or alternatively, only at the permission of her father, she could join a convent and dedicate her life to Christ. Becoming a nun was also often the only opportunity women could have to learn to read and learn trades, such as the art of painting. Artemisia was a rare exception to this rule. Her father, following her mother’s death when Artemisia was twelve, wanted to send her to a convent, to separate her from the dangerous community she had grown up in.2 Living in the Papal State, the population inhabiting the city was incredibly diverse, with travelers and pilgrims, as well as criminals and thieves. Since her father made a living working as an artist, they lived in the artist quarters of the city, which were known to be crime ridden and popular for prostitution.3 Without a mother fgure for Artemisia’s formative years, her father intended on sending her to a convent for better opportunities than could be provided within Rome. However, Artemisia strongly contested this, and began training under her father in the privacy of her own home instead. Unfortunately her life would fall at the same fate as the subject of her frst painting, and she would be sexually assaulted in her own home at the age of nineteen.4 However she did not let this hinder her career, and continued to paint, moving to Florence and becoming the frst woman ever recorded accepted into the Accademia di Arte del Disegno, a prestigious art institute in Florence, which other immensely impactful artists such as Michelangelo and Giorgio Vasari had previously been members of.5 Artemisa went on to become a self-sustaining artist for both her and her future husband. Artemisia holds the legacy as the most well known Caravaggisti, follower of Caravaggio, for her incredible ability to depict naturalism, emotion, and color. As an avid Caravaggisti, her father would have made Artemisia well aware of the career of Caravaggio, who came from nothing, to become a revolutionary
1 Mary Garrard, Artemisia Gentileschi and Feminism in Early Modern Europe, Reaktion Books, 2020, 6.
2 Sheila Barker, “The First Biography of Artemisia Gentileschi: Self-fashioning and Protofeminist Art History in Cristofano Brozini’s Notes on Women Artists, ” Mitteilungen Des Kunsthistorischen Institutes in Florenz 60, no. 3 (2018), 418.
3 Garrard, Artemisia Gentileschi and Feminism in Early Modern Europe, 8.
4 Elizabeth Cohen, “The Trials of Artemisia Gentileschi: A Rape as History.” The Sixteenth Century Journal 31, no. 1 (2000), 47.
5 Ward Bissell, “Artemisia Gentileschi-A New Documented Chronology.” The Art Bulletin 50, no. 2 (1968), 154.
fgure in the art of painting. It is possible she used his career arc as an inspiration that she too could defy her circumstances and become a renowned artist. However unlike Caravaggio, after her death in 1653, her career faded into obscurity, only being rediscovered less than a century ago. Tis brings to light a larger question if history aimed to cover up the successful career of an artist, because they did not want to give a woman such credit.
Te work of art in discussion, as previously mentioned, is Artemisia Gentilechi’s painting of Susanna and the elders, a story found in the Book of Daniel in the Bible. Te story of Susanna takes place in Babylon, and begins with Susanna, who was the wife of Joacim and was known for both her beauty and virtue.6 Two men, both of high status, began to spy on her as she bathed in the garden of her own home she shared with her husband. Te two men conspired a plot to manipulate her into sleeping with them. One day the men confronted her, and threatened that if she did not sleep with them, they would accuse her of committing adultery, which was a crime punishable by death. Not wanting to sleep with them, nor die, Susanna prayed to God. She did not submit to the men, and was taken to trial for adultery. Unallowed to share her version of events, she was found guilty.7 She again prayed to God, who sent Daniel to attest for her innocence. He convinced the jury that Susanna had not submitted herself to anyone, God as her witness, and was found innocent and the men were put to death.8 Even as the subject of this story, Susanna is not the protagonist, and its central theme is the savior complex of men, and the passive nature of women. Some minor details have vastly infuenced some perceptions of this story. Some accounts say that Susanna asked her maid to bring her smegma, also known as soap, while she bathed. A common trend in the Bible is women applying smegma to themselves before engaging in sexual activities, so more blame has been assigned to Susanna as a result of this version, as it insinuates she was a willing participant.9 As scholar Caryn Tamber-Rosenau’s comments, “Despite what is not a hint of seductive intent in their stories, many interpreters have portrayed these two [she also makes reference to the biblical fgure Bathsheba] as, essentially, ‘asking for it.’”10 Tis perception that Susanna was not opposed to entertaining the elders is often elaborated on in paintings of her, as well as in literature. Poets in the seventeenth century, such as Vondel, made lustful remarks on the appearances of Susanna, acting as a modern elder himself.11 Te overt sexualization and victim shaming refects the common ideologies applied to all women, by men, in the seventeenth century Italy, and was not confned to just interpretations of Susanna, as will be demonstrated.
Susanna was a very common subject of paintings in the seventeenth century, but her popularity was no accident or coincidence, but rather was a result of political tensions, a seed planted for nearly two centuries before Artemisia would pick up her paintbrushes. Prior to the lifetime of Artemisia, in Italy and specifcally Florence and the surrounding provinces, the reign of the Medici family of bankers infuenced all sectors of life in the ffteenth century. Tis family promoted humanism and the arts, diverting power away from the church, and therefore its theological teachings. Prior to and succeeding the Medicis, the Church was the navigation guide on all sectors of life, not just religion.
Te reign of the Medicis was a more progressive time in terms of gender equality. Te
6 “Susanna and the Elders,” Litigation 12, no. 1 (1985), 72.
7 Kathryn Smith, “Inventing Marital Chastity: The Iconography of Susanna and the Elders in Early Christian Art,” Oxford Art Journal 16, no. 1 (1993), 3.
8 Smith, 3.
9 Caryn Tamber-Rosenau, “Biblical Bathing Beauties and the Manipulation of the Male Gaze: What Judith Can Tell Us about Bathsheba and Susanna,” Journal of Feminist Studies in Religion, vol. 33, no. 2, (2017), 26.
10 Tamber-Rosenau, 55.
11 Stephanie Dickey, “Damsels in Distress: Gender and Emotion in Seventeenth-Century Netherlandish Art,” Nederlands Kunsthistorisch Jaarboek (NKJ) / Netherlands Yearbook for History of Art 60 (2010), 63.
Medici family’s humanism teachings included Plato’s Republic and Laws, in which he stated that men and women match one another intellectually and dynamically, they are of equal worth.12 A fgure whose ambition was to combat the rise in these pagan ideologies was friar Savonarola. Savonarola held the belief that he had a divine calling to bring the citizens of Florence back to Christianity, and away from the materialistic tendencies cast down by the members of the Medicis.13 Savonarola sought to reconstruct the religion in Florence, and condemned owning worldly possessions, claiming this greed would land them all in hell, an issue that weighed heavily on Italians after the publication of Inferno by Dante in 1321, which even predating Artemisia by over two centuries, already arises questions on the restraints placed on women.14
Te fear of damnation led to mass burnings of clothes, furnishings, literature, and art. As the epicenter of art, the infuence of burning artwork was a strong message that attitudes and education should be reverted back to being centered around religion, and away from art.15 Te long-term implications of the destruction of artworks was the shift back to art being a means of worship, and no longer for viewership or promotion of humanistic ideals. Aesthetics should not be prioritized over the message, which should be one of faith. Savonarola continued to have a strong infuence over art for over a century after his death, which was beginning to unravel by the time Artemisia requested her father to mentor her.16
Following the death of Savonarola, another drastic change for Christianity would follow in 1517. Catholicism would be forever revolutionized when Martin Luther nailed his 95 theses to a church door, creating a permanent separation from the Catholic Church, into a new denomination known as the Protestants. Many scholars will refer to this moment as the starting point of the Reformation. In reformative art, Christianity grew to be far more symbolic and less fgural, reacting to the grievance that the Catholic church praised other fgures too highly in comparison to Christ. Te Catholic church combatted this movement by putting more emphasis on their own doctrine in their artwork, known as the ‘Counter Reformation,’ and Italy was at the heart of it. Te driving force behind the Counter Reformation was the council of Trent. Trough these meetings taking place between 1545 and 1563, there was a reiteration of the importance of promoting devotional artworks over secular.17 Te Counter Reformation theologically reverted Italy back to a time predating the Medicis, when humanism and discussions of gender were not relevant. As scholar Ginevra Conti Odorisio concludes, “seventeenth century misogyny is to be viewed within the general framework that emerged in Italy with the Counter Reformation... and a negative judgement, at least as far as women are concerned, cannot be modifed. After the Council of Trent woman became in the hands of the Jesuits an instrument of spiritual and civic Servility.”18 Women once again were pushed to the side to make room for more important issues to the church. One result of the rise in Catholic art was the reemergence in interest in the story of Susanna and the elders. Te story was considered ‘apocryphal’
12 Allen Prudence, and Filippo Salvatore, “Lucrezia Marinelli and Woman’s Identity in Late Italian Renaissance,” Renaissance and Reformation / Renaissance et Réforme 16, no. 4 (1992), 11.
13 Thomas Davidson, “Savonarola,” International Journal of Ethics 19, no. 1 (1908), 31.
14 Teodolinda Barolini, “Dante and Francesca Da Rimini: Realpolitik, Romance, Gender,” Speculum 75, no. 1 (2000), 28.
15 David Reis, “Savonarola and Apocalypticism in Renaissance Florence,” Empire and Apocalypse, University of Organ (blog), 2015.
16 Dickey, “Damsels in Distress: Gender and Emotion in Seventeenth-Century Netherlandish Art,” 55.
17 Erwin Iserloh, “Luther and the Council of Trent., The Catholic Historical Review, vol. 69, no. 4, (1983), 572.
18 Ginevra Odorisio, “Donna E Società Nel Seicento : Lucrezia Marinelli E Arcangela Tarabotti,” Bulzoni eBooks, (1979), 36.
by the Protestants, condemning it as not canon scripture, since its linkage back to the Hebrew text was questionable.19 Catholics during the Counter Reformation honed in on apocryphal fgures since it was their belief that the other denominations were suppressing teachings of the Bible, and they wanted the truth to be spread. Since Protestants denounced apocryphal fgures, such as Susanna, this also fueled Catholics more to depict them as a symbol of devotion and pride to their faith. Te Counter Reformation alone can not be accredited with the rise in popularity of Susanna within art. Te vast multitude of paintings of Susanna was also largely infuenced by her of bypassing the restrictions placed on art by the infuences of Savonarola and Martin Luther. Besides Eve, Susanna was the only female fgure that was acceptable to be depicted nude, not including Roman gods who were not popular with the reign of Christianity. During this time, female nudity was only beginning to be acceptable in artworks, and was quickly eroticized. In a time when art was largely commissioned by male patrons, Susanna was a very common subject in Italy during the Renaissance and into the Baroque period, as these works primarily focused on the sexual appeal of the vulnerable Susanna, depicting her as alluring and captivating, even as a seductrice.
Religion was not the only infuence that impacted mens ideologies towards women during this time. Troughout the life of Artemisia, women were viewed less as individuals and more as property to a man.20 A woman was property of her father’s, and then passed on as a liability to her husband after marriage. In the case when a woman becomes a nun, she is considered property of the church. But never was a woman a free individual in this society the same way her male counterpart could be. A woman was often viewed as “helpless,” needing guidance from a man in all aspects of life.21 Tis ideology was aided by the recent publication of I Donneschi Difetti, in 1599 by Giuseppe Passi. Tis book, as insinuated by its title, “Te Defects of Women,” is a collection of criticisms of women by men, focusing on women’s promiscuity and lustful nature, reducing them to only their sexualities. Passi recommends that women found cheating shall be put to death, while men should not be punished, as the blame should be placed onto the woman for the man’s actions.22 It overall concludes that women are untrustworthy, and need to be controlled by men.23 Tis publication also emphasizes and promotes masculinity, to quite an extreme extent. As Allen Prudence and Filippo Salvatore explain, “woman is treated as a synonym of every possible sin and the embodiment of a devilish nature.”24 While Passi lacks credibility, as he cites ancient authors like Juvenal, who wrote under a fctitious, ultra-misogynistic character, the book received a decent amount of attention from the public, and even received retaliation from female authors.25 Te ideology that Passi promoted contributed to ideologies that objectifed women and dehumanized them, and may have contributed to the rising rate of sexual assaults on women in the seventeenth century. Tis book refects the ideologies cast on women in Artemisia’s formidable years, and created a lasting impact that Artemisia sought to redefne, as will be demonstrated in her painting of Susanna and the elders.
19 Susanna Drake, “Slandering the Jew: Sexuality and Difference in Early Christian Texts,” Philadelphia: University of Pennsylvania Press, 2013. 184 Pp.” AJS Review the Journal of the Association for Jewish Studies 38, no. 1 (April 1, 2014), 59-60.
20 Garrard, Artemisia Gentileschi and Feminism in Early Modern Europe, 11.
21 Androniki Daileti, “Defending Women, Negotiating Masculinity In Early Modern Italy,” The Historical Journal 54, no. 1 (2011), 18.
22 Daileti, Defending Women, Negotiating Masculinity In Early Modern Italy, 12.
23 Stephen Kolsk, “Moderata Fonte, Lucrezia Marinella, Giuseppe Passi: An Early Seventeenth-Century Feminist Controversy,” The Modern Language Review 96, no. 4 (2001), 974.
24 Prudence and Salvatore, Lucrezia Marinelli and Woman’s Identity in Late Italian Renaissance, 6.
25 Lucrezia Marinelli, La nobiltà et l’eccellenza delle donne. (1601).
Artemisia’s Susanna and the Elders is her oldest known surviving work, dating back to 1610, when she was only seventeen years old, and her infuences were still restricted to her own life experiences while residing in the artist quarters of Rome. Tis oil painting (Fig. 1) depicts the biblical story of Susanna and the elders, which came to be known as the title of the work. In this painting, Susanna sits on a stone bench, with a parapet behind her. Behind the parapet are two men, one is an older man with spots of white hair and a beard, dressed in a red cloak. He is in the act of leaning over Susanna as he gazes at her, while holding a fnger to his lips. Te other man has a fuller head of hair and is leaned over, so his face is largely hidden from the viewer. Tis man is standing directly behind Susanna, as he whispers something in the older man’s ear. Below the hips, Susanna is positioned away from the men, with her knees pointed in the opposite direction as them. Her torso is contorted in the direction of the men, with her arms outreached towards them as she seems to push them away. Her right hand is placed palms out in an attempt to hide her face from the men, while her left hand also has her palms towards the men as she seems to try to swat them away. Her facial expression is distressed, as she refuses to look at them, and instead bends her neck in an exaggerated, almost unnatural manner. Susanna is seated nude, except for the small cloth draped over her left thigh that hides her reproductive region from the viewer. Although she is nude, much of her chest is hidden from view, as her extended arm covers most of her breast area. It is known through surviving texts that Caravaggio painted a version of Susanna and the elders, and furthermore it is rumored that Artemisia copied his painting while training her father.26 Tis painting has now been lost to history, and no credible reproduction has been passed down, leaving the question of how Caravaggio chose to depict Susanna, and to what extent this infuenced Artemisia, whether hers was in the same vein, or an entirely diferent approach. Another painting that has a more solidifed connection to Artemisia is Guiseppe Cesari’s 1606 painting, Susanna and the Elders. Cesari, who may be better known as Cavalier d’Arpino, was an associate of Artemisia’s father, Orazio Gentileschi.27 While Cesari and Artemisia may have personally never crossed paths, it is certain she would have known of his work, and may very possibly have seen his Susanna and the Elders in person. Painted just four years before Artemisia created her own version, at a brief comparison between Cesari’s and Artemisia’s Susanna and the Elders, it may be a shock to some to learn the same narrative is being told in their works. In Cesari’s depiction (Fig. 2), Susanna sits nude on a pile of fabrics, combing her long hair as she looks out to the viewer. Te act of looking was reserved strictly for men, the woman was the object of gaze. Te act of never acknowledging the men demonstrates her not initiating the interaction.28 Her private regions are still being covered, her genitalia with fabric, and her breasts are covered by the arm that is combing her hair. Tis diversion from a full nude, something that would not have been well received in its time, is the only dosage of modesty Cesari has to ofer. Susanna sits with her body facing the direction of the elders watching her, and juts her leg out towards them, seemingly unbothered by their presence, or otherwise even encouraging their gaze. Te two elders face each other, seemingly in conversation, while the man closer to Susanna points at her, making it clear she is the topic of conversation. To the right of Susanna sits a fountain resembling an older man’s face, spewing water out of its mouth towards her, just narrowly missing her foot. By no means was the inclusion of a fountain, let alone one that takes on a human form, merely an aesthetic choice for the composition, but rather a provocative insinuation of the inner
26 Barker, The First Biography of Artemisia Gentileschi: Self-fashioning and Proto-feminist Art History in Cristofano Brozini’s Notes on Women Artists, 416.
27 Garrard, Artemisia Gentileschi and Feminism in Early Modern Europe, 71.
28 Babette Bohn, “Rape and the Gendered Gaze: Susanna and the Elders in Early Modern Bologna,” Biblical Interpretation 9, no. 3 (July 1, 2001), 266.
sexual pervasive thoughts of the men, personifed and understood by Cesari.
Peter Paul Rubens’ 1609 painting (Fig. 3), Susanna and the Elders would have been less likely to be seen by Artemisia, but it ofers a very unique perspective when juxtaposed to Artemisia’s. Unlike Artemisia and Cesari, Rubens was not Italian, but rather a Flemish painter. But as a long time admirer of both Italian artwork and their culture, both centered around Catholicism, he traveled across Italy for nearly a decade, studying artworks while improving his own skillset and adapting to the Italian style, both aesthetically and culturally.29 Painted in the fnal year of his travels before he returned to Antrwerp, his Susanna and the Elders is a unique refection of how Rubens, an outsider looking in, viewed Italians attitudes towards sexual assault. Also just one year predating Artemisia’s, it is an excellent window into the same society Rubens was coexisting in alongside Artemisia, but from the privileged standpoint of a man.
Rubens’ 1609 Susanna and the Elders features another nude Susanna, with her genitalia covered by a thin white cloth, and her breast covered by her arm, which is quite muscular. Tis is most likely because at this time, artists used almost exclusively male models, as women were seen as too virtuous to be nude in front of someone other than her husband. Te fabrics surrounding Susanna almost insinuates a throne structure she sits on. Her feet are elevated from the foor that the men beside her stand on. She sits on a royal red fabric with animal fur lining. A white fabric that she clings on to is her backdrop, as the elders hold on the other side. Tis fabric resembles the table lining of the eucharist and is often seen in images of infant Christ; Rubens seems to be emphasizing her purity with the white cloth by associating her with the Christ child. Te inclusion of making reference to her purity could have acted as another indicator of reasoning for the lustful actions of the elders; they have erotized her chaste nature. While Susanna is nude and presumably about to or just fnishing bathing, she is adorned with jewelry, including earrings, a headband, and bracelet. From the standpoint of a man, who is both the artist and intended audience, this is in a nod that Susanna is intentionally complying to beauty standards set by men, and therefore is seducing them rather than rejecting them. Her body is turned away from the men, but she turns back in their direction, with a rather disinterested expression. To the right of Susanna are the elders in the act of climbing over a stone banister to reach her, as one extends his arm out, touching her shoulder. To her left is a fountain, with water cascading out of a fsh’s mouth, a only marginally more subtle sexual innuendo than Cesari. In the background are vines along the wall to indicate this scene is taking place in her own garden.
Beyond surface level diferences in seemingly minute and stylistic details between artists, lay more complex discrepancies that reveal the true nature of society in the Italian seventeenth century. Te dichotomy of these paintings refect the experiences and mindset of the artists, all centered around their gender. A critical component in these paintings is that Artemisia’s predecessors are both male artists, living and working in the same environment as Artemisia, but the key diference is their paintings are a refection of the story from a male’s perspective, as the dominating presence in society. Tese paintings are representative of the lustful attitudes towards Susanna, pushed onto her by male audiences. In order to reclaim Susanna from these harmful and unjustifed stereotypes attributed to all women in this time, Artemisia made specifc alterations within her Susanna and the Elders, done so in an act of defance against misogynist viewpoints that dominated the art world. Although Artemisia demonstrates an incredible amount of knowledge of biblical stories, her life does not prove to be one situated around religion. Her father from records did not seem to be an overly pious man, and did not make attempts to bring Artemisia 29 Wilhelm Ribhegge, “Counter-Reformation Politics, Society and Culture in the Southern Netherlands, Rhineland and Westphalia in the First Half of the 17th Century,” Humanistica Lovaniensia 49 (2000), 177.
out of the house to service to hear the word of God. It is likely her knowledge of the Bible comes from being read stories day after day, and eventually reading them herself, as Artemisia was a privileged female of her time to be allowed literacy. As a captive to her home, her days were flled with reading the Bible, and eventually painting. Tis would explain why most paintings throughout her career are depictions taken from the Bible, this is simply what she is most familiar with. But this is not to say she was painting with the godly spirit of the Counter Reformation in mind. She was separated from the driving force that came to embody the Catholic faith. However the same can not be said for Rubens, who converted to Catholicism and dedicated his life to the faith, using his paintings as a means of worship and commitment to his religion.30 His Susanna is more in line with how the church wanted women to be seen, as passive fgures to be ruled over by men, physically, emotionally, and sexually. While Artemisia and Rubens were both likely reading Catholic Bibles, she did not possess the same propagandistic endeavors as Rubens.
Artemisia’s career, training, and overall lifestyle was drastically diferent from other women, or men during her lifetime, and particularly unique for an artist. She both lived and worked in a male dominated society and profession, living in the constant shadow of men. From the moment she showed interest in possessing a career of her own, she was already old enough to recognize that her path would not be any easy one, having to divert so far from the typical route of outsourcing an apprenticeship.31 Art was again a learned skill, and the belief that artists must be predestined with divine skill, such as in Michelangelo’s lifetime, was once again outdated, something that Caravaggio assisted in reverting. As adolescents, men were sent to live and work beside renowned artists for several years, mastering all they could learn, with the ultimate goal to exceed the skill of their teacher. Te typical apprenticeship consisted of the apprentice beginning by copying their teacher, the closer to mimicry, the better. In addition, apprentices would also explore their city and even travel to other countries, copying the previous greats and studying the current art trends of other provinces. Being well educated on art was at the heart of apprenticeships, immersing young impressionable artists in diferent cultures and styles. Artemisia was denied all of these opportunities, on account of her gender. Instead she was confned to her own home, with little to no connection to her outside environment. Her father acted as her main infuencer, teaching her everything he knew. Tis created a dynamic where Artemisia was less restrained with her craft. Having been exposed to far less art than possibly any other artist of her time, she had a freer slate on what she chose to paint, and how she would like to paint it. On the other hand, since men learned painting through the art of copying, it was embedded in them to continue with traditional motifs in order to make scenes more identifable, as well as to demonstrate their skill in comparison to other well known artists. Artemisia was far less restricted in this case, and had little to no dictation on her compositions due to her lack of outside infuences. Tis means largely, particularly in Artemisia’s early career, she painted straight from her mind, possibly using her art as a vessel to express her inner thoughts that otherwise would be brushed aside. Having no other female companions,32 with no mother, or sisters to confne in, Artemisia would turn to painting as her form of expression, in a world not unlike Susanna’s, where women were expected to remain silent.33
A detail that refects this idea of the freeness of Artemisia’s infuence is the inclusion of foliage within these scenes. Te setting in which these scenes take place is also a crucial factor in how these works are interpreted. As the bible says, Susanna was in her private
30 Ribhegge, Counter-Reformation Politics, Society and Culture in the Southern Netherlands, Rhineland and Westphalia in the First Half of the 17th Century, 185.
31 Garrard, Artemisia Gentileschi and Feminism in Early Modern Europe, 13.
32 Garrard, Artemisia Gentileschi and Feminism in Early Modern Europe, 14.
33 Garrard, 3.
garden when the men approached her, and vines can be seen in the background of Cesari’s and Rubens’ paintings to indicate this. Tis was a very common motif in the story of Susanna and the elders to indicate to the viewer what scene they are viewing. However Artemisia has completely removed any reference to a garden setting, giving more room for interpretation within the scene.34 Te vagueness in location is one way Artemisia ties this story back into her present day. Te stone bench Susanna sits on could be found in any location, in any time period, including her present day location in Rome. Gardens at this time were not common in the busy and overcrowded Papal State, but stone architecture on the other hand was abundant. Her removal of the garden setting was also very deliberate for another reason, as this was an act to further distance Susanna from the negative connotations cast down on her. During the seventeenth century, vines were most commonly used within art as a reference to the garden of Eden. Te tale of Eden for centuries had been used against women to shame them, blaming them for original sin as it was Eve, a woman, who bit the forbidden fruit. Te usage of a garden setting in this time is used to compare Susanna to Eve, to further insinuate that Susanna is not guiltless, but rather a seductress, a title Artemisia purposely combated with her exclusion of any reference to Eve. Artemisia reinterpreted the foliage, representing it in a new light, and therefore giving it a new meaning. Behind Susanna, engraved into the parapet are designs of leaves, circling her chest area. Tis usage of foliage is so far removed from the traditional usage that a new application must be applied. It is possible that the foliage now being made of stone is Artemisia making a statement about the set in stone, concrete ideas pertaining to femininity, which have been connected back to Eve. Additionally, the garden of Eden is also associated with ideas of fertility, which again draw women back to their biological function, placing Susanna within a sexualized context. Painting this as a young, independent woman, Artemisia knew from a young age that she did not want to follow the traditional route women were mandated to follow, and here Artemisia is attributing some aspects of her own life and rejection of the status quo into Susanna, something that male artists could not recreate.
What arguably sets men apart from women, what draws the societal line, is not a biological diference, but rather the construction of mindset, something that has been developed over a lifetime as a refection of how valued they are in their environment. When the concept of a gendered mindset is applied to the story of Susanna and the elders, research shows that throughout time, men have a hard time empathizing with Susanna. As scholar Stephanie Dickey explains, “men fnd it difcult to identify with her emotional state. While responding to her situation he would have viewed her as essentially diferent from himself. He might even imagine himself responding to her emotions from the perspective of a male protagonist within the narrative.”35 She also further elaborates that men found eroticism in her fear, rather than invoking an empathetic response. Such a result is the outcome of a society where men and women lived two completely separate lives, with two completely separate experiences. One could not fathom living in the other’s shoes for even a day, each other’s existence was too foreign one another. Tis lack of understanding of the opposite gender is refected both in Cesari’s and Rubens’ paintings of Susanna, through the relationship Susanna holds with her assaulters, which is juxtaposed by Artemisia’s reinterpretation.
Te interaction displayed between the elders as they plot to attack her, and Susanna, is a window into the minds of the painters on how they perceived the dynamics between genders of this time, and how they viewed the “other.” In Cesari’s painting, Susanna is
34 Mahima Sharma, “Susanna and the Elders: Artemisia’s Earliest Masterpiece a Look,” SimplyKalaa, (April 1, 2024).
35 Dickey, Damsels in Distress: Gender and Emotion in Seventeenth-Century Netherlandish Art, 57.
seemingly unaware of their presence, or otherwise does not mind their gaze. Tis refects the ideological standpoint of a man, referring to the male gaze, that women are objects for men to derive pleasure from. Cesari gives leeway that allows men to envision himself as the hero that alerts her of the men. Tis concept can also be referred to as scopophilia, defned as the love of watching women being objectifed.36 Tere is a certain criteria for this, that the woman is both passive, and arranged for maximum erotic efect. Tis is for the specifc purpose that invites the viewer to see female fgures from the erotic perspective of the painting’s male fgures. Margaret Miles ofers a counterclaim to this, that eroticisim is expressed through the relation of Susanna and the men, but not through the elders themselves, but rather through Susanna’s exposed and provocative body.37 As her body becomes the cause of male desire, Susanna’s innocence is implicitly transformed into guilt.38 Tis concept of the male gaze is similarly refected in Rubens, with the addition that now the elders are making physical contact with Susanna. Te elders’ eyes are still locked onto Susanna, as she turns to meet their gaze. Her facial expression is not very telling of her internal refections, which supports the claim that men were unable to understand or empathize with women, especially a woman in distress from male interaction.
Artemisia does not share this experience of mental distance between artist and subject. In Artemisia’s reinterpretation, she makes it evident that Susanna is standing up for herself and taking matters into her own hands, by forcefully pushing them away, and turning her face to avert the male gaze. She also positions her hand in front of the men, in an attempt to further block their gaze. Artemisia makes it clear that Susanna is refusing to be cast as their subject of lustful onlooking and fuel to fre of their sinful thoughts, opposite of Cesari’s Susanna who puts herself on display for the elders and viewer alike. Furthermore, another notion of this disconnect seen in the mens’ paintings can be observed in the physical relationship between the men and Susanna. Te men in Cesari’s painting watch Susanna from a distance, and taken a step further by Rubens, when the men reach out for her. But in Artemisia’s, she ofers a much more personal experience, as the men violate Susanna’s space, and seems to depict the moment that the men tell her of their sinister plan, a much more intimate and emotional moment than the one given to us by either Cesari or Rubens. Tis would further explain why Artemisia’s Susanna is so much more expressive than her male contemporaries Susannas, because Artemisia’s Susanna is aware of her fate, a fear that resonated with the artist.
It is not grasping at straws to observe that gender based violence was a prevalent issue in Artemisia’s personal life, even prior to her own sexual assault. Growing up in the artists’ quarters of Rome, her seldom outings would imaginably not have been pleasant experiences. In an environment where young girls were the prime target and not often on the streets, her outings with her father were similar to vultures focking to roadkill. It is nearly impossible for Artemisia to have been a stranger to unwanted advances from men, prior to the conception of her 1610 painting. Tis is further supported by claims that in the seventeenth century, records show sexual assault and violence towards women was on the rise, as women were beginning to leave their homes more than centuries prior. Yet there was a remarkable decline in the level of assault cases brought to the courts. Tis leads to the conclusion that sexual assault was becoming more normalized in society, and women were losing faith in the courts that their assaulter would be held accountable to their actions. In Mary Garrards’ words who also paraphrases a historian of Italian History, Guido Ruggiero, “[women] and their sexual victimization tended to be regarded as merely an extension of
36 Tamber-Rosenau, Biblical Bathing Beauties and the Manipulation of the Male Gaze: What Judith Can Tell Us about Bathsheba and Susanna, 56-7.
37 Bohn, Rape and the Gendered Gaze: Susanna and the Elders in Early Modern Bologna, 265.
38 Bohn, 265.
an exploitative sexuality that was quite common and not particularly troubling.”39 Tis normalization of violating women was surely a growing issue that would have weighed on the young Artemisia.
Another shift in society into the seventeenth century that mostly likely contributed to the rise of these violent crimes against women was in the art market, which women were beginning to take part in for the frst time. Te era of Savonarola and the counter reformation were beginning to lose their grasp on society, as they began to revert to the more humanistic society that the Medicis had once fostered. Women were leaving their homes and viewing more art, as well as participating in the sales of art.40 Artemisia seems to acknowledge this shift and cater more towards female viewers, who could better understand the complexities of Susanna and her internal dialogue, compared to male artists and viewers. Tis was Artemisia’s opportunity to give new breath to an old parable. Artemisia takes this a step even further and brings attention to the patriarchal society that had been contributing to rape culture, making this image a much more accurate depiction of the treatment of women in the sevententh century, than any man had dared to attempt. Artemisia would be the frst to use the story of Susanna to bring to awareness the rising issues of sexual assault of women.
Artemisia’s predecessors, Cesari and Rubens, did not see any reason to depict scenes with Susanna any diferent than how their own predecessors had. Starting with Cesari’s painting, the elders are stereotypical old men, with white beards and bald or balding heads. Tese men do not refect the average man living in Rome at this time. Te man closer to Susanna is also wearing a toga, removing him from the present, and therefore intentionally removing parallels between the elder and men of the seventeenth century. Tis trend is continued in Rubens, as both the elders wear robes emulating togas, and have the same white beards with balding heads. Cesari and Rubens have both chosen to make this a historical scene rather than a contemporary one, creating distance between the narrative and modern day implications.
However, in Artemisia’s painting, the elders are dressed in contemporary clothing, a detail that signifes she is situating this story in her current day society. Furthermore, the scholar Mary Garrard makes note that one of the men is not an elder at all, indicated by his full head of hair without a hint of white.41 Tis addition must have been an intentional inclusion of Artemisia, as she diverts from a main detail of the story in order to incorporate it into her own personalized narrative. Tis inclusion of a younger man calls to attention that men of all age ranges contribute to the societal issue of objectifying women and using them for sexual gratifcation. Te younger man hovers over Susanna, hiding his face from her. Tis anonymity of the fgure represents that this man could be anyone, a neighbor, a friend, a stranger, or in Artemisia’s case, a mentor. But no matter who he is, he is an invention by Artemisia, that no man had the objective, or the courage, to include.
Modern day scholars, including the renowned Mary Garrard, have been quick to label Artemisia Gentileschi as an early “feminist.” Tis term is found to be inaccurately applied to her. Very little frst hand sources of Artemisia have been passed down to present day, leading to a lot of speculation revolving around the artist. Scholars cannot jump to conclusions on the mindset of an artist, especially one living in a society so diferent from the present day. Feminism as it is defned today simply did not exist in the seventeenth century, the concept had not yet been coined until centuries later. Other scholars have also used her identity as a victim and survivor of sexual assault as the directing factor of her life, reducing her to nothing more than this one circumstance. While it is improper to
39 Garrard, Artemisia Gentileschi and Feminism in Early Modern Europe, 20.
40 Dickey, Damsels in Distress: Gender and Emotion in Seventeenth-Century Netherlandish Art, 46.
41 Garrard, Artemisia Gentileschi and Feminism in Early Modern Europe, 76.
give Artemisia the title of “a feminist,” it would be fair to say that Artemisia was a forward thinking artist that sought to revolutionize the way Susanna was perceived, and in turn, addressed greater issues at hand about the treatment of women during her lifetime. Her identity as a woman was a staple component in her composition of Susanna and the Elders, and this intertwining of her personal frst hand experiences as a woman is the main factor that makes her rendition of Susanna and the elders so drastically diferent than that of any males of the time.
Images
(Fig. 1) Gentileschi, Artemisia. Susanna and the Elders. 1610. Oil on canvas. 170 cm x 119 cm. Schloss Weißenstein, Pommersfelden
(Fig.2) Cesari, Giuseppe. Susanna and the Elders. 1606. Oil on copper. 51.2 cm x 31.5 cm. Gallerie di Siena.
(Fig. 3) Paul Ruben, Peter. Susanna and the Elders. 1609. Oil on board. 198 cm x 218 cm. Real Academia de Bellas Artes de San Fernando, Madrid, Spain.
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About the Author
Savannah Spady is a graduating senior from Christopher Newport University, obtaining her undergraduate degree in Art History. Her interest in Artemisia Gentileschi and gender relations transpired from a semester abroad in Florence, Italy, where she took a class on gender studies in the Italian Renaissance. Being inspired by the life and art of Artemisia, Savannah visited museums to witness her work frsthand. Speechless from the emotion encapsulated in Artemisia’s paintings, she dived into more research on the experiences and history of Artemisia Gentileschi. Savannah intends on becoming a professor of Art History, and aims to educate others on the under examined topics of the past.
A Revolution on Rails: Railroads and Geography in the Russian Revolution
Colin Steensprang
Faculty Sponsor: Dr. Deirdre Harshman, Department of History
Abstract
Tis paper focuses on the role railroads played in determining the territory of and relationships within the hatchling Bolshevik state during the Russian Revolution of 191724. In the vacuum left by the collapse of the Russian Empire and the chaotic end of World War I, new polities struggled to establish themselves. Te Bolshevik state—the future Soviet Union—was one such polity, as were the numerous councils, radas, and provisional governments thrown together by various nationalist separatist movements. Tese polities varied enormously in size, ideology, and culture, but were all united by the pre-Revolution railroad network, the layout, condition, and secondary efects of which had a powerful— and largely overlooked—infuence on the outcome of the Russian Revolution.
Introduction
Railroads run from a “Point A” to a “Point B.” Tis is one of their core traits, and it has a number of consequences. It is now faster and easier to move people between these points. It also becomes far easier to move bulk goods between these points. Another core trait of railroads is that they are incredibly heavy—and surprisingly durable. Te rails are made of iron or steel, and they are laid on top of large beds made of huge amounts of dirt, gravel, and stone. Additionally, railroads often run across bridges or causeways, through tunnels, and along greatly regraded slopes. Tey form a new geography, changing the spatial relationship between their destinations and the topography of the areas they run through. Te Russian Empire’s railroads created a new physical and economic geography designed to embody and reinforce imperial relationships, and said geography played a signifcant determining role in the formation of subsequent polities and institutions during the Civil War, despite the eforts of the Soviet Union to overcome imperial relationships.
Te above will be proven by focusing on the role railroads played in the redefning (or lack thereof) of relationships between the Russian metropole and periphery, using the two regions of Central Asia and Poland plus the Baltics as illustrative case studies.
Historiography
However, before indulging in either case study, it is important to understand how this paper’s research fts into the broader feld. J.N. Westwood’s A History of Russian Railways is an older but solid work, and is the authoritative piece on Russia’s railroads, especially for technical details. It is mainly a repository of said technical details, and advances little argument of its own. Some subsequent authors have looked at Russia’s railroads from an international political perspective, like David Hamlin’s article “Infrastructures, Circulation and the Limits of Empire: German War Aims in the First World War” or Karl E.M. Starn’s “Te Russian Railways and Imperial Intersections in the Russian Empire.” Both describe how Russia’s level of railroad development played into foreign powers’ (Germany and France, respectively) assessments of Russia’s strength, and how this impacted their plans. Anthony Heywood’s Modernizing Lenin’s Russia is similar due to its focus on foreign trade, but difers by specifcally focusing on Soviet economic recovery policy in 1920. Tese works are all good at what they do, but they do not do what this paper does: focus on Russia’s railroads as actors, not tools, which were able to powerfully shape and constrain the actions of human actors in complex, impactful ways.
Other authors have approached railroads from a social history perspective, a group best represented by Henry Reichman, whose book Railwaymen and Revolution: Russia, 1905 examines the unique role railroad workers played in the wider proletarian movement, with Reichman attributing said uniqueness in large part to the peculiarities of railroad work and the railroad industry. While interesting, this work focuses on railroad workers, not the railroads themselves. Robert Argenbright’s “Te Russian Railroad System and the Founding of the Communist State, 1917-22” argues that control over railroads was the single most important factor in the Bolshevik’s state building eforts, since without it they could not take, hold, or administer territory. Tis argument, while compelling, misses the fact that regardless of what the Bolsheviks or any other Civil War groups did or prioritized, the railroads’ geography would have played a signifcant role in determining the evolution of new polities, and that railroads thus deserve to be examined as a signifcant actor in their own right.
As for the two regions this paper highlights, David Christian’s goliath A History of Russia, Central Asia, and Mongolia: Volume II and Marcin Przegiętka’s chapter in Eastern European Railways in Transition (plus Spencer C. Tucker’s Te Great War: 1914-1918) provide essential background information and some technical details for Central Asia and
Poland and the Baltics, respectively. Tese works also illustrate how basically all historians, even ones only indirectly focusing on Russia’s railroads, agree that railroads were critical parts of Russian Imperial planning, administration, and control. Lastly, Jennifer Keating’s recent book On Arid Ground: Political Ecologies of Empire in Russian Central Asia comes the closest to this paper’s argument. Keating argues that imperial railroads were “inherently environmental ventures…[that] reshaped the physical, imagined, political, and economic geographies of empire.”42 Unfortunately, Keating does not extend this to the post-imperial period, and does not evaluate how the new geographies created by railroads shaped the Civil War and its participants. Tis is the gap this paper seeks to fll.43
Central Asia
Railroads were essential to establishing and solidifying Russian military and political control over Central Asia. Te frst railroad in Central Asia, the Caspian–Kyzyl-Arvat leg of the Transcaspian Railroad, was built from 1880 to 1881 by the Russian military to help put down a revolt.44 It was soon extended to Ashgabat, Merv, Bukhara, and Samarkand by 1888, before fnally reaching Tashkent in 1899.45 Tis line formed the nucleus of Central Asia’s railroad network, with several smaller branching lines sprouting from it, most signifcantly ones to fortresses on the Afghan and Chinese borders.46
Te Transcaspian Railroad was a very peculiar railroad. For the frst few decades of its operation, it had no connections to the rest of Russia’s rail network. Tis is because, as Westwood explains, the Transcaspian was built to facilitate “a quick transfer of troops from the Caucasus to Central Asia,”47 as troops would cross the Caspian Sea and then use the railroad to rapidly deploy inland. As a result, the railroad, even in its earliest stages, signifcantly strengthened Russian control over Central Asia.
Once the railroad reached more fertile areas, like the Amu Darya river near Bukhara and the Syr Darya near Tashkent, it began to have massive economic impacts as well. Previously, geography had made it essentially impossible to ship bulk goods—like cotton— from Central Asia’s breadbasket to the Imperial core. Te fertile river valleys lead into the Aral Sea or Lake Balkhash, not the Caspian, so goods could not transit by water. Additionally, transporting millions of tons of crops across steppe and desert by caravan was far from optimal, eliminating overland transit. Te Transcaspian Railroad fundamentally changed this geography. Huge quantities of crops, raw materials, and Aral Sea fsh could now be loaded onto trains and rapidly shipped across the desert to the Caspian coast. From there, barges could take goods up the Volga to the Imperial core. Goods could also be
42 Jennifer Keating, On Arid Ground: Political Ecologies of Empire in Russia and Central Asia (Oxford University Press, 2022), 34.
43 A brief aside on terminology: “Railroad” and “railway” are exact synonyms, with the first being American and the latter being British. This paper will use “railroad” unless quoting. As for more technical terms, a railroad’s physical track is made of rails, typically metal, and ties (also called “sleepers”), which are the wooden boards underneath the rails connecting them. The track is almost always (and ideally) laid on top of ballast, a layer of rocks and/or gravel. A track’s grade is the steepness of an incline it is trying to climb. Lastly, and most importantly, a track’s gauge is the distance between the rails. Many railroads lines had special nicknames, for example the St Petersburg-Moscow line became renowned as the “Nikolaev Railway.” For clarity’s sake, this paper will avoid such nicknames, mentioning well-known ones once when introducing the relevant line, but largely referring to railroad lines by their terminals, e.g. “St-Petersburg–Moscow line.”
44 J.N. Westwood, A History of Russian Railways (George Allen and Unwin, 1964), 125-6, and Keating, On Arid Ground, 35-6.
45 Keating, On Arid Ground, 35-6.
46 Westwood, A History of Russian Railways, 127, and Keating, On Arid Ground, 49.
47 Westwood, A History of Russian Railways, 126.
shipped in reverse, and Central Asia was soon importing millions of tons of manufactured goods, sugars, and food.48 Overall, “Railways cheapened the export of cotton and fruit to Russia, and allowed the import of Russian grains to replace subsistence crops…warping the entire Central Asian economy in the interests of the empire.”49 Te later opening of a direct line from Tashkent to Orenburg in 1906,50 fnally connecting Central Asia with Russia’s rail network, supercharged these changes—and the formation of a new geography of Central Asia.
Tat this new geography made Central Asia more proftable for and reliant on the Imperial core was no accident: imperial planners deliberately connected certain regions and cities in specifc ways to produce outcomes benefcial to the Empire. Most obviously, it was plainly understood by planners that railroads would reinforce Russia’s military position in Central Asia by allowing troops and supplies to reach areas faster and in greater numbers.51 But planners were also aware of subtler economic and geographic ramifcations. For example, the Ministry of Transport knew full well that a railroad connecting Semirechye, a rural region with high wheat surpluses, and Tashkent would drive down wheat production around Tashkent and increase cotton production.52 Most damning is a quote from Russia’s Minister of Agriculture in 1912: “Every extra pud of Turkestani wheat [provides] competition for Russian and Siberian wheat; every extra pud of Turkestani cotton [presents] competition to American cotton. Terefore, it is better to give the region imported, even though expensive, bread, [and thus] to free irrigated land in the region for cotton.”53 Tus, imperial railroads warped geography by shortening and easing transportation between specifc destinations in order to eliminate Central Asian self-sufciency and exploit the region.
Enter the Bolsheviks, staunch anti-imperialists who wanted to end the exploitation of Central Asia. In their November 1917 “Declaration of the Rights of the Peoples of Russia,” they denounced Tsarists’ inciting of confict and “slavery of peoples”, and proclaimed that “Tere can be and there must be no return to this disgraceful policy of instigation. Henceforth the policy of a voluntary and honest union of the peoples of Russia must be substituted.”54 Te Bolsheviks even went so far as to recognize “Te right of the peoples of Russia to free self-determination, even to the point of separation and the formation of an independent state.”55 Yet, the Civil War in Central Asia would ultimately end with Mikhail Frunze’s Red Army sweeping the region in 1919, crushing independence movements in Kazakhstan and Bukhara and establishing Bolshevik control by force.56 Te Tsarist-era economic relationship between the imperial core and Central Asia reemerged, to the extent that “by 1927, the area under cotton was larger than in 1914, and the area under grains was smaller.”57 While a good number of things—political organization, role of religion, women’s rights—would change under Soviet rule, Central Asia’s position as an exploited part of a larger, Russian-dominated empire would not.
48 Keating, On Arid Ground, 45.
49 David Christian, A History of Russia, Central Asia, and Mongolia: Volume II (John Wiley & Sons, 2018), 287.
50 Westwood, A History of Russian Railways, 127
51 Keating, On Arid Ground, 50.
52 Keating, On Arid Ground, 59.
53 Christian, A History of Russia, Central Asia, and Mongolia, 287.
54 “Declaration of Rights of the Peoples of Russia - November 16, 1917,” Soviet of People’s Commissars, Seventeen Moments in Soviet History, September 13, 2022. https:// soviethistory.msu.edu/1917-2/the-empire-falls/the-empire-falls-texts/declaration-of-rightsof-the-peoples-of-russia/.
55 “Declaration of Rights of the Peoples of Russia - November 16, 1917.”
56 Christian, A History of Russia, Central Asia, and Mongolia, 407.
57 Christian, A History of Russia, Central Asia, and Mongolia, 410.
Some authors, like David Christian, attribute Central Asia’s continued subjugation to Bolshevik opportunism or insincerity. He argues that “their analysis of nationalism as a bourgeois phenomenon meant that they saw no contradiction in ignoring nationalist movements supported by their enemies. Such dialectical subtleties gave the Bolsheviks plenty of room for maneuver during the rapidly changing events of the Civil War.”58 He broadly frames Bolshevik victory as “Rebuilding the Empire,” as the “heartland” reasserting its control over “the peripheries”59 so it can fulfll its economic desires.60
However, the new geographic and economic realities created by the imperial railroads pushed the Bolsheviks toward restoring imperial relationships regardless of the Bolsheviks’ intent, be it reforging the Russian Empire or aiding the oppressed. If the Bolsheviks were insincere opportunists, the railroads provided the perfect means for establishing military control and restoring Central Asia’s economic role as Russia’s commodity frontier. If the Bolsheviks were attempting to end the oppression of Central Asia, the railroads would have pressured them toward the same end via the need for economic recovery and threats of famine. First, railroad-created increased access to Central Asian resources made Russian industry dependent on said resources. In 1908, over twelve million puds of cotton alone were sent to Russia, with this amount only increasing until 1914.61 During the Civil War, White Armies exploited this and “cut the railroad connection with Turkestan… thus wrecking Russian textile production,”62 often for months at a time. If the Bolsheviks wanted to rebuild the economy and restore the livelihoods of millions of Russian workers, they had to restore rail exports from Central Asia.
Second, and far more signifcantly, was that restoring the railroad network and the previous trade in goods was the only way to prevent mass famine in Central Asia. On two occasions White Army Cossacks under Dutov cut the railroad between Orenburg and Tashkent, once in May 1918 and once in mid 1919.63 Central Asia could no longer import the Russian and Siberian grain it so heavily relied on. While there were wartime eforts by Central Asians to secure themselves by planting wheat instead of cotton, these eforts were small-scale and subsistence-focused, and millions were still threatened by famine. Averting this famine would require securing the Orenburg–Tashkent railroad and resuming grain imports, and this is precisely what happened when the Red Army took Orenburg in late 1919. Tus, regardless of Bolshevik intentions, the railroads created economic and humanitarian incentives that pushed them to restore the imperial relationship between Russia and Central Asia.
In sum, railroads in Central Asia were designed to reshape Central Asia’s geography and its connections with the rest of Russia in ways benefcial to imperial rule. Railroads can slash travel times and allow massive quantities of goods to be moved overland, so imperial planners built railroads for rapid troop deployment, regional control, and to facilitate extractive economic policies. One such policy was promoting Central Asia’s cotton industry, since railroads were built to connect fertile areas of Central Asia to areas of high cotton demand, and connect areas with high wheat surpluses to said fertile areas. As a result, when the Bolsheviks were establishing their state, the new geography created by the railroads pushed them toward restoring the imperial-era political and economic relationship between Russia and Central Asia. Poland and the Baltics
While the previous Central Asian case proves that railroads’ new geography could
58 Christian, A History of Russia, Central Asia, and Mongolia, 337.
59 Christian, A History of Russia, Central Asia, and Mongolia, 337.
60 Christian, A History of Russia, Central Asia, and Mongolia, 410.
61 Keating, On Arid Ground, 45.
62 Robert Argenbright, “The Russian Railroad System and the Founding of the Communist State, 1917-22” (PhD Diss., University of California, 1990), 174, Proquest (9126467).
63 Argenbright, “The Russian Railroad System,” 174, 261.
trigger the recreation of imperial relationships, the case of Poland and the Baltics proves the opposite. It shows that, if the railroads’ geography hindered imperial recreation, it was far less likely to happen. Both cases ultimately show the strong determining role railroads had in shaping the Soviet Union.
Due to the Tsarist government’s authoritarian power and the general alignment of the interests of private railroad lords with said government, most railroads served as embodiments and reinforcers of Tsarist structures. However, there was a notable exception: the local railroads of Russian Poland and the Baltic.
Te Empire’s second ever railroad was the Warsaw–Vienna railroad, built before any empire-level plan or standardization for railroads existed. According to Polish historian Marcin Przegiętka, this railroad was initially planned and funded by private Polish capitalists and built by Polish engineers. Przegiętka states that “At the time of the partitions Poles underlined the signifcance for this enterprise because in this way they were able to show the need of independence at least in the economic sphere.”64 While the line ultimately terminated in Vienna, its real purpose was to connect Krakow, Poland’s ancient capital now under Austrian rule, with Warsaw, the capital of Russian Poland.65 All in all, the Warsaw–Vienna railroad was planned, funded, and built by nationalist Poles to tie together two Polish capitals. Instead of embodying and reinforcing Tsarist structures, this railroad actually undermined them.
Te Warsaw–Vienna Railroad ended up physically embodying this unique diference in intent. Because it was designed to connect with an Austrian railroad, the line was built to Austrian 4ft 8½in gauge.66 Tis gauge, also known as Standard Gauge, would go on to become the norm in much of Europe, the US, and subsequently many other countries— but not Russia. In 1842, in preparation for the building of the St Petersburg–Moscow line, 5ft was chosen as Russia’s national gauge. Going forward, all other major railroads in Russia were built in 5ft gauge.67 As a result, the line was completely non-interoperable with the rest of Russia’s network: the Warsaw–Vienna railroad required unique track ties, locomotives, train cars, turntables, trainyards, etc. In other words, the railroad not only tied Warsaw and Krakow—tied two parts of partitioned Poland—closer together, but it was physically incapable of tying Warsaw into the rest of the Russian Empire. Tus, from the beginning, the new geography created by railroads was working to divide Poland from Russia.
Unfortunately for Poland, its independence would have to wait until this new geography became unignorable. In early World War II, the Central Powers inficted a massive defeat on Russia, taking control of Poland, Lithuania, and parts of Latvia.68 For the next three years, these areas would be under German and Austro-Hungarian control—both countries used standard gauge, not Russia’s wide gauge. As a result, in order to strengthen their supply lines, the Central Powers would regauge many Russian railroads to standard gauge. Tis was most pronounced in Lithuania and Poland, which were occupied the longest. Tere was also substantial construction of new railroads, with around 2000km of track built in Poland69 and 315.4km of standard gauge track built in Lithuania, in addition to
64 Marcin Przegiętka, “1918, 1945 and 1989: Three Turning Points in the History of Polish Railways in the Twentieth Century,” in Eastern European Railways in Transition: Nineteenth to Twenty-First Centuries, ed. Ralf Roth and Henry Jacolin (Routledge, 2016), 132.
65 Martin Kvizda, “Czech Military Railways–History and a Comparative Analysis of the Czech Railway Network’s Efficiency,” in Eastern European Railways in Transition: Nineteenth to Twenty-First Centuries, ed. Ralf Roth and Henry Jacolin (Routledge, 2016), 105.
66 Westwood, A History of Russian Railways, 25.
67 Westwood, A History of Russian Railways, 30.
68 Spencer C. Tucker, The Great War: 1914–1918 (UCL Press, 1998), 75.
69 Przegiętka, “1918, 1945 and 1989,” 133.
narrower frontline railroads.70
After the Central Powers’ defeat, the Soviets attempted to invade and restore Russian control over Poland and the Baltics. However, the railroad network, which had previously tied these areas into Russia, had been drastically altered: the new geography created by the railroads now acted solely to prevent imperial restoration.71 Westwood lightly concludes that “the Soviet attack on Warsaw was hampered by the diference in gauges.”72 In fact, during the defense of Warsaw and subsequent counterattacks on Soviet forces, the Poles’ newfound monopoly on the use of railroads gave them huge supply and mobility advantages. It is not surprising that at Warsaw the Soviets were outfanked, failed to bring up reserves or react to counterattacks, and could not organize an orderly retreat (and instead disintegrated): the Soviets simply lacked the Poles’ ability to properly move large forces.73 Te railroads’ new geography meant that the Soviets were fghting on deeply unfavorable terrain.
Conclusion
Te title of this paper, “A Revolution on Rails,” alludes to both the signifcance of railroads in the Russian Revolution and Civil War and the fact that the railroads greatly constrained the possibilities of said Revolution. In the Central Asian case, the railroads deliberately tugged at and compressed the connections between specifc areas and cities to reshape the region’s geography, turning it into the perfect commodity frontier. Te railroads provided the skeletonwork for a strong, military-backed administration, and the perfect channels to drain Central Asia of its natural resources. Tis made the region reliant on food imports. Tese pressures ultimately pushed the Bolsheviks toward reestablishing imperial relationships. In the Polish case, the railroad network did the opposite, with the unique Warsaw–Krakow–Vienna railroad binding Poles to each other, not to Russia. Later, the regauging done by the Central Powers made the rest of the region’s railroads have the same efect, ultimately preventing the Soviets from reasserting imperial borders and relationships.
Tese lessons highlight the role that physical things—infrastructure, geography—play in politics and economics. Te Russian Empire was not just a set of ideas, an emperor, or a ruling class people: it had a physical skeleton: the railroad network. Te Empire built its skeleton to determine what the parts of its body were, how they connected to one another, which parts were central or peripheral. And, as Central Asians and Poles ultimately discovered, if you wanted to build a new society on top of the Empire’s bones, you had to break them frst.
70 “AB „Lietuvos Geležinkeliai”,” Lietuvos geležinkelių istorija - AB „Lietuvos geležinkeliai”, January 16, 2016, https://web.archive.org/web/20210116081108/https:// www.litrail.lt/istorija.
71 It is likely that a significant amount of regauging consisted of laying another rail between the wider Russian rails, meaning some regauged track would still be usable for Russian trains. However, switches and turntables would have had to be completely reworked for regauging, making them completely unusable for wide gauge trains. Additionally, it is far more difficult to regauge standard to wide than vice versa, meaning all new standard gauge tracks proved significant obstacles to wide gauge trains.
72 Westwood, A History of Russian Railways, 30.
73 Jonathan Smele, The “Russian” Civil Wars, 1916–1926: Ten Years that Shook the World (Oxford University Press, 2016), 157-8.
Works Cited
“AB „Lietuvos Geležinkeliai”.” Lietuvos geležinkelių istorija - AB „Lietuvos geležinkeliai”, January 16, 2016. https://web.archive.org/web/20210116081108/https://www.litrail.lt/istorija
Argenbright, Robert. “Te Russian Railroad System and the Founding of the Communist State, 1917-22.” PhD Diss., University of California, 1990. Proquest (9126467).
Christian, David. A History of Russia, Central Asia, and Mongolia: Volume II. John Wiley & Sons, 2018.
Hamlin, David. “Infrastructures, Circulation and the Limits of Empire: German War Aims in the First World War.” Contemporary European History 31, no. 3 (08, 2022): 321-338, https:// cnu.idm.oclc.org/login?url=https://www.proquest.com/scholarly-journals/infrastructurescirculation-limits-empire-german/docview/2686006956/se-2 (accessed May 7, 2025).
Heywood, Anthony. Modernizing Lenin’s Russia: Economic Reconstruction, Foreign Trade and Railways. Cambridge University Press, 1999.
Keating, Jennifer. On Arid Ground: Political Ecologies of Empire in Russia and Central Asia. Oxford University Press, 2022.
Kvizda, Martin.“Czech Military Railways–History and a Comparative Analysis of the Czech Railway Network’s Efciency.” In Eastern European Railways in Transition: Nineteenth to Twenty-First Centuries, edited by Ralf Roth and Henry Jacolin. Routledge, 2016.
Przegiętka, Marcin, “1918, 1945 and 1989: Tree Turning Points in the History of Polish Railways in the Twentieth Century.” In Eastern European Railways in Transition: Nineteenth to TwentyFirst Centuries, edited by Ralf Roth and Henry Jacolin. Routledge, 2016.
Reichman, Henry. Railwaymen and Revolution: Russia, 1905. University of California Press, 1987.
Smele, Jonathan. Te “Russian” Civil Wars, 1916–1926: Ten Years that Shook the World. Oxford University Press, 2016.
Soviet of People’s Commissars. “Declaration of Rights of the Peoples of Russia - November 16, 1917.” Seventeen Moments in Soviet History, September 13, 2022. https://soviethistory.msu edu/1917-2/the-empire-falls/the-empire-falls-texts/declaration-of-rights-of-the-peoples-ofrussia/.
Starns, Karl E.M. “Te Russian Railways and Imperial Intersections in the Russian Empire.” MA thesis., University of Washington, 2012. Proquest (1515998).
Tucker, Spencer C. Te Great War: 1914–1918. UCL Press, 1998.
Westwood, J.N. A History of Russian Railways. George Allen and Unwin, 1964.
About the Author
Colin Steensprang is from Fairfax, but was lucky enough to live overseas in Berlin and Paris for fve years during elementary school. Now, he is a rising senior majoring in History and International Afairs and minoring in German, Middle East and North Africa Studies, and US National Security Studies. When he isn’t swamped with classwork, he reads scif books, practices with the rest of the CNU Improv Team, or plays the odd videogame. Currently, he is getting ready for his last year of undergrad and working at the Salvation Army’s National Archives in Alexandria, Virginia.
Is American Capitalism Unethical: A Kantian Critique of its Moral Foundations
Andrew Steimer
Faculty Sponsors: Dr. Lori Underwood, Dr. Chris Tweedt, Dr. Joe Balay, Department of Philosophy and Religion
Abstract
Using Immanuel Kant’s Moral Framework as a guide, this paper makes the case that American capitalism is immoral. Tis paper was motivated by growing concerns over structural inequality, labor exploitation, and systemic injustice in the United States. Te central issue that this paper addresses is whether the moral foundations of American capitalism align with the assumed Kantian framework. By using Kant’s three formulations of the categorical imperative, this paper evaluates the morality of core principles of capitalism like proft motivation, market competition, and private property. Te paper uses historical examples, economic data, and philosophical analysis to support its claim. It fnds that American capitalism incentivizes actions that cannot be universalized without contradiction, treats individuals as mere means to economic ends, and cannot sustain the conditions for moral autonomy. Tis suggests that American capitalism systematically violates human dignity and moral law. Tis paper contributes to moral philosophy and economic ethics by integrating Kantian ethics into critiques of contemporary American capitalism.
In this essay I will outline a selection of perceived issues with American capitalism in the context of Immanuel Kant’s ethical theory and demonstrate that these issues violate the three formulations of the Categorical Imperative. Tis paper assumes Kantian ethics are true, and by extrapolating specifc premises from formulations of the categorical imperative, I’ll show that aspects of American capitalism violate these formulations. First, I will give specifc scenarios to demonstrate the severity and pervasiveness of these issues as well as show how they are a part of the inner workings of American capitalism. Ten, I will demonstrate how each issue violates the specifc formulations, and fnally, I will conclude that American capitalism is unethical.
Capitalism & American Capitalism History
Capitalism is considered by many economists and philosophers to be the dominant economic system of the modern world. It has seen many changes from its conception and implementation across centuries, usually going by something-capitalism, in reference to its location or an exaggerated aspect. Some argue that Capitalism can be traced back to 14th century feudalism. After certain catastrophic events that led to a major population crash, an inevitable decline in agricultural production led feudal lords to look for ways to expand and increase production through warfare. Tis, in turn, led to new technologies that fanned the early sparks of capitalism.1
Others argue that the frst defnitive signs of capitalism can be seen during 16th century mercantilism in England.2 Mercantilism was efectively proto-capitalism with an emphasis on creating goods domestically and exporting more than was imported. Tis was done to amass wealth in a nation.3 Mercantilism declined in the 18th century however, with new economic theories from the likes of Adam Smith4, directly challenging old Mercantilist doctrines. With these new ideas, the 18th century gave rise to industrial capitalism, the frst iteration of capitalism in America5
Karl Marx published Das Kapital and Te Communist Manifesto alongside Fredrich Engals in the mid-19th century, heavily criticizing Capitalism and arguing that it was a temporary step in the evolution of economics. In 1961 the Civil war began in America, over the human rights of enslaved African Americans. Although largely a civil rights issue, the economic signifcance cannot be understated. Many believe that the rapid growth of the American economy was due to the millions of enslaved people used as a free labor force.6 Troughout history, capitalism has proven to fourish at the cost of human dignity, valuing proft far more.
Defning Features
Broadly speaking, Capitalism retains three defning characteristics that separate it from other economic systems. Te private ownership of the means of production is one such aspect. Tis means that land, labor and capital are owned by private individuals, rather than
1 Maurice Dobb, Studies in the Development of Capitalism, by Maurice Dobb. (New York, International Publishers, 1963).
2 Ellen Meiksins Wood, The Origin of Capitalism (Verso, 2002).
3 Ibid.
4 Smith, Adam. The Wealth of Nations. Lexington, Ky.: Seven Treasures Publications, 1776.
5 “Industrial Capitalism,” ScienceDirect, accessed April 18, 2025, https://www. sciencedirect.com/topics/social-sciences/industrial-capitalism
6 Joseph E. Inikori, “Atlantic Slavery and the Rise of the Capitalist Global Economy,” Current Anthropology 61, no. S22 (September 25, 2020): S000-S000, https://doi. org/10.1086/709818.
the government or the public.7 Another aspect is the market, or the system of purchasing and selling goods and services. While not unique to Capitalism, it is fundamental for the distribution of goods and services, and as a result, the distribution of wealth. It is important to note, however, that the market does not guarantee the distribution of wealth in an equal or equitable manner.8 Te third and most prominent aspect of capitalism is proft motivation. Tis is the fundamental driving force behind capitalism as it leads individuals to compete for fnancial resources. Invention and innovation are byproducts of proft motivation.
For the purpose of this paper, American capitalism will refer to the economic system in America regardless of its similarities and diferences with other forms of capitalism. American capitalism contains the same aspects as the broad ‘Capitalism’ with only slight variations. Te private ownership of the means of production are available for most industries, but not all. Public education is funded and operated by local governments, the Military is wholly government operated (yet does rely on private contracting), and social security and medicare are retirement and healthcare programs for senior citizens that are controlled by the government at a federal level. While the defnition of pure capitalism denotes a free market economy in which the exchange of goods and services is uninhibited by government control, American capitalism is a mixed market economy, where the government can intervene to correct the economy or redistribute wealth. Tat being said, there is no case of pure capitalism in the world today, and American capitalism is as close to a free market as possible without receiving the label of a ‘free market’.
Kantian Ethics
How It Works
Immanuel Kant proposed an ethical framework that valued intention and duty. He frst introduces his concept of a good will. “Tere is no possibility of thinking of anything at all…which can be regarded as good without qualifcation, except a good will.”9 Kant is saying this ‘good will’ is good in itself and that it is something “we all highly value.”10 A good will is not the same as having a good nature or good inclinations, but put simply, possessing a good will is the will to do the right thing, or to act according to duty.
Te defnition of duty is nuanced in that it difers in context. Te Merriam-Webster Dictionary defnes duty as, “a moral or legal obligation,” but this defnition isn’t quite enough. Kant would drop the ‘legal’ part of the defnition, as obliging to legal laws might contradict what is moral, and add that duty is an individual’s compulsion to respect Te Moral Law. Tis might prohibit, oblige, or permit an action such that one is adhering to Te Moral Law. Te Moral Law is simply whatever morality demands. So, it could be said that an individual’s duties are decisive adherence to whatever morality demands. Following this, our sense of duty should be to adhere to the moral laws and we should only be motivated by duty in our actions because we recognize these moral laws to rationally be the correct choice of action.
While the frst defnition I ofered captures an important aspect of a good will, it lacks the precision needed to account for Te Moral Law. With this in mind, I ofer a more accurate defnition; a good will is to have a character whose aims and choices are in
7 Andrew Zimbalist, Stuart Brown, and Howard J Sherman, Comparing Economic Systems : A Political-Economic Approach (San Diego, Calif. ; London: Harcourt Brace Jovanovich, 1989).
8 Frank Stilwell, Political Economy: The Contest of Economic Ideas (South Melbourne: Oxford University Press, 2012).
9 Pojman, L. P., & Tramel, P. (Eds.). (2009). Moral philosophy : A reader. Hackett Publishing Company, Incorporated, 391.
10 Johnson, R., & Cureton, A. (2016). Kant’s Moral Philosophy (Stanford Encyclopedia of Philosophy). Stanford.edu. https://plato.stanford.edu/entries/kant-moral/#ForUniLawNat
complete accord with the moral law.11 In determining what is good or what duties we may have, Kant uses the Categorical Imperative: It’s the fundamental principle of our ‘Moral Duties’, or what we should/ought to do. Te Categorical Imperative has three formulations but are all diferent interpretations of the same singular concept. So, while this paper may refer to one formulation it can be assumed that a violation of one formulation violates the Categorical imperative as a whole.
Universalizability
Formulations
Te frst formulation is called the Universalizability principle, and it states that one must, “Act according to that maxim which can at the same time make itself a universal law.”12,13 In application it works like this:
1. A moral principle is valid only if it can be universalized
2. If an action’s maxim cannot be universalized, it is morally impermissible.
3. Lying cannot be universalized without contradiction (because if everyone lied, it would create a world with no trust)
4. Terefore, lying is morally impermissible.
Applied to capitalism, we see that if every employer prioritized proft maximization over fair treatment of workers, the fallout would be exploitation and economic instability. Tis action would therefore be unethical.
Humanity Formulation
Te second formulation is the Humanity Formulation. Tis states that an individual should never treat themself or others merely as a means to an end, and should be treated as ends in themselves.14
1. We must treat humanity (ourselves and others) as an end, never merely as a means
2. Deception, coercion, and exploitation treats others merely as a means
3. Terefore, these acts are morally impermissible
An economic example of this would be worker exploitation or if an economy permitted an extreme unequal distribution of wealth that restricted wealth so that the less fortunate could not survive without circumventing laws.
Kingdom of Ends Formulation
Te third formulation is the kingdom of ends formulation, which posits that one must act in accordance with the maxims of a member making universal laws in the kingdom of ends. Te theoretical Kingdom of ends is a “systematic union of diferent rational beings under common laws.”15
1. A moral action must be based on a maxim that could be willed as a
11 Kant, I., & Ellington, J. W. (1994). Ethical philosophy : the complete texts of Grounding for the metaphysics of morals, and Metaphysical principles of virtue, part II of The metaphysics of morals. Hackett Pub. Co. (Original work published 1785)
12 Kant, I., & Ellington, J. W. (1994). Ethical philosophy : the complete texts of Grounding for the metaphysics of morals, and Metaphysical principles of virtue, part II of The metaphysics of morals. Hackett Pub. Co. (Original work published 1785)
13 A maxim can be defined as a principle according to which a subject acts.
14 Kant, Immanuel, and James W Ellington. Ethical Philosophy : The Complete Texts of Grounding for the Metaphysics of Morals, and Metaphysical Principles of Virtue, Part II of the Metaphysics of Morals. 1785. Reprint, Indianapolis: Hackett Pub. Co, 1994
15 Kant, I., & Ellington, J. W. (1994). Ethical philosophy : the complete texts of Grounding for the metaphysics of morals, and Metaphysical principles of virtue, part II of The metaphysics of morals. Hackett Pub. Co. (Original work published 1785)
universal law
2. Every rational being is an end in themselves and must never be treated as merely a means
3. A rational being should act as if they are both the legislator and subject of universal moral law
4. A society in which all rational beings legislate and follow universal moral laws is a kingdom of ends
5. Terefore, one must act only on maxims that could contribute to a kingdom of ends
We can see that the Kingdom of ends formulation ties the other formulations together to ofer a utopia of sorts that is only achievable if all members of society are rational beings that act according to laws that they would have an equal share in determining.
Applying Kantian Ethics
Kant’s Categorical Imperative outlines how we can determine what actions are good, and thus what would be permitted in a social environment. Tis ethical theory ofers a perfect framework for evaluating the moral failures of capitalism. As a deontological form of ethics, this framework assesses actions based on adherence to universal moral laws as opposed to their consequences. It can decide if an economy is moral based on how it forces or encourages interactions that afect people in such a way that violates the Categorical Imperative.
Capitalism as a whole would posit that self-interest is moral. “By pursuing his own interest he frequently promotes that of the society more efectively than when he really intends to promote it”16. American capitalism is no diferent in that it promotes the idea that the pursuit of personal wealth benefts everyone. Tis suggests that individual greed and market competition will result in a benefcial outcome for all.
Of course, if that were really true, America would have no need for the numerous welfare programs that help thousands of people survive. However, Kantian ethics rejects self interest as a foundation for moral action. “Te moral worth of an action does not lie in the efect expected from it, but in the principle of the will in accordance with which the action is done”17. Kant says that an action is only moral if it is done out of duty, not for personal gain. Te proft-driven nature of American capitalism means that the byproduct of ‘good for everyone’ is not synonymous with capitalism’s ethicality, because the main point of a proft-driven system is self-interest.
Violation of the Universalizability Formulation
One of the central features of American capitalism is its emphasis on proft as a motive, or the idea that business and individuals should act to maximize fnancial gain. When viewed under a Kantian framework, it seems that this aspect of American capitalism violates the Universalizability formulation. Kant argues an action must be able to be conceived as a universal action that all could take. If an action was universalised, and there was a contradiction in its theoretical implementation, then it would be an immoral action. If we were to take the maxim “Maximize proft over everything else”, the result would be a world full of worker exploitation with widening inequality and economic instability, two aspects that would oppose the fundamental aspects of capitalism.
It could be argued that the maxim, “Maximize proft over everything else” is fawed because it’s too broad or because it doesn’t quite encapsulate the entire ‘proft-maximization’
16 Smith, Adam. The Wealth of Nations. Lexington, Ky.: Seven Treasures Publications, 1776. 17 Kant, Immanuel, and James W Ellington. Ethical Philosophy : The Complete Texts of Grounding for the Metaphysics of Morals, and Metaphysical Principles of Virtue, Part II of the Metaphysics of Morals. 1785. Reprint, Indianapolis: Hackett Pub. Co, 1994.
that drives American capitalism. A better maxim could be “Earn proft through mutually voluntary exchange of goods and services”. Tis, in theory, could be universalized using the same metric applied to the frst proposed maxim. Assuming it was universalized, it would seem that the issue of worker exploitation is circumvented because the ‘proft’ is earned through voluntary exchange of goods and services. Te issue of economic instability also becomes a nonissue as the voluntary nature of this maxim serves the self regulation inherent in capitalism as a whole.
Kant insists that the moral worth of an action lies in its motive. If the primary motive behind an action is proft, then it is not driven by duty. Even if the exchange is voluntary it would still lack the moral worth. Additionally, the systematic pursuit of proft as an end cannot be moral unless it is subordinated to duty. For Kant, only a good will is unconditionally good. Tings like intelligence, happiness, or proft are only good when used by a good will. In this instance of American capitalism, both maxims do not have proft as a mere side efect, but rather as the driving force behind them.
Another issue is that American capitalism masks coercion as freedom. A main attraction of American capitalism is the American dream, where everyone is free to pursue wealth and become rich. Of course in reality, the American economy is a fnite system, if some are rich then others must be poor. Tis creates an issue because if anyone is free to become rich but not everyone can be rich, this violates Kant’s principle of universalizability. If I can’t conceive of a society in which everyone can be rich then I can’t do it for myself. Additionally, basic needs are tied to employment. Kant would say individuals must make choices based on rational moral principles, not economic survival. Healthcare for most comes from job insurance, higher education is almost necessary for fnancial stability, and housing requires a stable income, yet income does not keep up with rising rent and mortgages.
Tis isn’t a hypothetical situation, as reported by Te Independent, the car manufacturer Volkswagen chose proft over the environment. “In the 1970s, some vehicles were found to be rigged with ‘defeat devices’ that turned of the emission systems when the air-conditioning was on. Others had sensors that activated pollution controls only at the temperature regulators used during the tests. According to the article, Clarence Ditlow of Washington’s Center for Auto Safety had this to say, “Te concept of a defeat device has always been there, because there’s such an incentive for the manufacturers to cheat on the emissions tests,” “[Volkswagen] took it to another level of sophisticated deception we’ve never seen before”.
In 1995, General Motors committed a similar act. In 2019 BP was ousted for advertising itself as low-carbon but in reality more than ninety six percent of their spending was on oil and gas. Tese are examples of Greenwashing in which a company will be intentionally deceptive about their part in protecting the environment. Additionally, America has even commercialized carbon responsibility with the ability to purchase carbon credits to ofset an individuals or business’s carbon production. Tis is placing proft over the environment and thus proft over people, once again violating Kant Categorical imperative.
Violation of the Humanity Formulation
Even voluntary exchanges can involve asymmetric power dynamics, coercion through ‘necessity’, or manipulation. If someone freely chooses to work in poor conditions because it’s their only option for survival, the transaction is technically voluntary, but does not respect their dignity. Under American Capitalism, people are often treated instrumentally. Valued only insofar as they contribute to proft or things that lead to proft like productivity or efciency.
While contracts and labor under capitalism are by nature ‘freely chosen’ many workers are forced by economic needs. If someone accepts a low paying or dangerous job simply because they need to survive, their consent is coerced and thus they have to make a truly free
decision, even by Kantian terms, because it is coerced by structural conditions. Ultimately, their labor is bought because they are useful tools for proft generation. Tis means they are not treated as rational beings with ends of their own, violating the Humanity formulation.
Although modern American capitalism alleges ‘freely chosen’ contracts and labor, it was not always such. American slavery was a driving factor of the development of early American capitalism.18 Tis system prioritized proft above all else, using people as a means to an end while neglecting to acknowledge their rights. Te aforementioned end, of course, being an economically ‘prosperous’ nation, essentially exploiting low-cost labor for high proft margins, which can be tied to the modern state of American capitalism that exists today.19 Exploitation is still prevalent, as many companies use undocumented individuals as a cheap labor source. “Tere are thought to be approximately eight million undocumented immigrants in the U.S. workforce—a conservative estimate given the difculty counting such workers”.20 Undocumented workers are forced to work harder jobs with less pay and are often victims of exploitation and poor working conditions simply because companies can get away with it. Once again, proft motivation as an end places monetary gain over individuals.
Violation of the Kingdom of Ends Formulation
Te third point against the morality of American capitalism is that it runs directly in opposition to the Kingdom of Ends, by consistently treating individuals as mere instruments for proft rather than as autonomous beings with intrinsic moral worth.21 Adam Smith is considered to be a foundational thinker of capitalism and his notion of the invisible hand ofers that the market will self-regulate.22 Even though Smith acknowledges the role of self-interest, he warns against unchecked greed, and how a system centered on wealth accumulation leads to moral decay. Tis moral decay is ever prevalent in America, as poverty is pervasive and the wealth disparity damning. Because greed is, by nature, selfserving and requires placing ends above the means it is unethical.
Adam Smith observed that people admire wealth and status and this leads to distorted moral judgment. “We frequently misjudge the value of virtue when we are dazzled by wealth and greatness.” Tis is evident in modern American capitalism, where material wealth is substituted for moral worth. When wealth becomes a marker of value, it leads to the preferential treatment of the rich and devaluation of the poor. Instead of seeing one another as moral equals, American capitalism forces society to view people diferently based on ‘market value’ or ‘economic input’, demonstrating a hierarchy of worth that is incompatible with universal moral legislation. It could be argued that capitalism, and by extension American capitalism, refect human nature, including admiration for success. Tis does not mean that the system is unethical simply because it incentivises achievement, rather the system simply makes this specifc aspect of human nature visible. Further, legal systems and moral norms still protect individual rights.
18 Joseph E. Inikori, “Atlantic Slavery and the Rise of the Capitalist Global Economy,” Current Anthropology 61, no. S22 (September 25, 2020): S000-S000, https://doi. org/10.1086/709818.
19 Ghilarducci, Teresa. “American Capitalism’s Fault Line: Poverty Wages and Policy Bloopers.” Forbes, June 29, 2019.
20 Quijano, Josselyn. “Workplace Discrimination and Undocumented First-Generation Latinx Immigrants.” Crown Family School of Social Work, Policy, and Practice. University of Chicago, 2023.
21 Kant, Immanuel, and James W Ellington. Ethical Philosophy : The Complete Texts of Grounding for the Metaphysics of Morals, and Metaphysical Principles of Virtue, Part II of the Metaphysics of Morals. 1785. Reprint, Indianapolis: Hackett Pub. Co, 1994.
22 Smith, Adam. The Wealth of Nations. Lexington, Ky.: Seven Treasures Publications, 1776.
While Smith notes that admiration for success is a natural human tendency, Kantian ethics are not descriptive, they are prescriptive. Tey emphasize what should be done and how one should act. Te Ideal moral community of Kant’s Kingdom of Ends isn’t grounded in economic status but rather equal dignity of all rational beings. American capitalism has institutionalized moral inequality, making it harder for society to treat individuals as moral equals.
Counter
Tose who argue in defense of American capitalism’s morality say the system incentivizes innovation, economic growth, and individual freedoms better than alternative systems despite its faws. One such fgure being Milton Friedman, a Nobel-Prize winning economist and staunch advocate for American capitalism. In a 1979 interview, Friedman stated that “the record of history is absolutely crystal clear. Tat there is no alternative way so far discovered of improving the lot of the ordinary people that can hold a candle to the productive activities that are unleashed by a free enterprise system.”23 However the moral value of innovation and growth is dependent on ethical foundations. Kantian ethics requires progress through moral means that oppose exploitation and self interest as driving factors. Innovation as a result of greed or exploitation are not moral, especially when they result in harm to the environment, exploitation and wealth inequality.
Others would argue that capitalism is the lesser evil of economic systems. Tey criticize communism for its inherent corruption and socialism for its inability to produce the level of wealth seen in capitalism. As I’ve stated throughout this paper however, capitalism’s benefts cost human dignity. Kant’s ethical framework emphasizes the importance of treating people as ends in themselves. In this framework, American capitalism cannot be justifed.
Conclusion
Te ethical issues that are ingrained within American capitalism can be visualized through long-standing demonstrations of extreme failure to redistribute wealth, prioritization of the ends while neglecting the means, and exploitation of the disenfranchised; which reveal that the system is fundamentally fawed. Under a Kantian framework, American capitalism explicitly violates the formulations of the Categorical imperative. Te universality principle is violated by the inability to fundamentally imagine everyone being able to become wealthy. Te humanity principle is violated as entities involved in the market of American capitalism engage in the exploitation of workers prioritizing proft over individuals. Te autonomy principle is violated when corporations circumvent the very rules of capitalism, or engage in loopholes that undermine any integrity that capitalism would have had. Terefore, it is clear that American capitalism in its current form fails to align with the values of an ethical and just society.
23 Milton Friedman, interview by Phil Donahue, The Phil Donahue Show, 1979, transcript available at https://www.azquotes.com/quote/103084.
References
Beck, Naomi. Hayek and the Evolution of Capitalism. Chicago: Te University Of Chicago Press, 2018.
Block, Fred L. Capitalism : Te Future of an Illusion. Oakland, California: University of California Press, 2018.
Calvo, Christopher W. Te Emergence of Capitalism in Early America. Gainesville University Press Of Florida, 2020.
Degen, Robert. Te Triumph of Capitalism. Routledge, 2017.
Dobb, Maurice. Studies in the Development of Capitalism, by Maurice Dobb. New York, International Publishers, 1963.
Ellen Meiksins Wood. Te Origin of Capitalism. Verso, 2002.
Friedman, Milton. Interview by Phil Donahue. Te Phil Donahue Show, 1979. Transcript available at https://www.azquotes.com/quote/103084
Ghilarducci, Teresa. “American Capitalism’s Fault Line: Poverty Wages and Policy Bloopers.” Forbes, June 29, 2019. https://www.forbes.com/sites/teresaghilarducci/2019/06/29/americancapitalisms-fault-line-poverty-wages-and-policy-bloopers/
Inikori, Joseph E. “Atlantic Slavery and the Rise of the Capitalist Global Economy.” Current Anthropology 61, no. S22 (September 25, 2020): S000-S000. https://doi org/10.1086/709818.
Johnson, Robert, and Adam Cureton. “Kant’s Moral Philosophy (Stanford Encyclopedia of Philosophy).” Stanford.edu, 2016. https://plato.stanford.edu/entries/kantmoral/#ForUniLawNat.
Kant, Immanuel, and James W Ellington. Ethical Philosophy : Te Complete Texts of Grounding for the Metaphysics of Morals, and Metaphysical Principles of Virtue, Part II of the Metaphysics of Morals. 1785. Reprint, Indianapolis: Hackett Pub. Co, 1994.
Kleingeld, Pauline. “Kant’s Formula of Autonomy: Continuity or Discontinuity?” Philosophia, April 12, 2023. https://doi.org/10.1007/s11406-023-00642-z.
Quijano, Josselyn. “Workplace Discrimination and Undocumented First-Generation Latinx Immigrants.” Crown Family School of Social Work, Policy, and Practice. University of Chicago, 2023. https://crownschool.uchicago.edu/student-life/advocates-forum/workplacediscrimination-and-undocumented-frst-generation-latinx.
Smith, Adam. Te Teory of Moral Sentiments. Oxford: Clarendon, 1759.
Smith, Adam. Te Wealth of Nations. Lexington, Ky.: Seven Treasures Publications, 1776.
Stilwell, Frank. Political Economy: Te Contest of Economic Ideas. South Melbourne: Oxford University Press, 2012.
Zimbalist, Andrew, Stuart Brown, and Howard J Sherman. Comparing Economic Systems : A Political-Economic Approach. San Diego, Calif. ; London: Harcourt Brace Jovanovich, 1989.
About the Author
Andrew Steimer is an undergraduate Philosophy major. He has an associate’s degree in business administration and plans to pursue a career in human resources. In 2024 Andrew became interested in the current moral climate of America and began researching the ethical aspects of politics. Tis inspired him to write his senior thesis on the ethics of American capitalism.
Te Legacy of Alexander Hamilton: Who Tells Your Story?
Lucy Vick
Faculty Sponsor: Dr. Frank Garmon, Department of Leadership and American Studies
Abstract
Lin-Manuel Miranda’s Hamilton: An American Musical examines Alexander Hamilton’s legacy in three pivotal moments: his contributions to the American Revolution, his afair with Maria Reynolds, and his duel with Aaron Burr. In each of these episodes, however, the musical presents a false portrait of Hamilton’s character. Just as Aaron Burr serves as the musical’s central narrator, much of the historical interpretation surrounding Hamilton’s life has been written by his enemies. Whereas the musical presents Hamilton as obsessed with martyrdom, willing to risk his life to advance his career, the historical record proves that he was a devoted family man who carefully cultivated his reputation.
Legacy is one of the major themes of Lin-Manuel Miranda’s musical Hamilton and was at the core of Hamilton’s motivation throughout his life, guiding his choices for better or for worse. Te musical presents Hamilton’s legacy unfolding in three pivotal moments. Motivating Hamilton’s revolutionary years was a reckless abandon in hopes of securing martyrdom through the war to gain a legacy. Tis idea of legacy matures as he ages and is instead embodied in his career and “Te Reynolds Pamphlet” as he defends his legacy. Finally, Hamilton’s legacy is most evident when history has been made, after his death. Although Hamilton is motivated by legacy in Miranda’s musical, the musical does not tell the whole story. A musical meant to preserve the true story of Alexander Hamilton falsifed or excluded many parts of his life, painting another false picture for the vast gallery already created by his enemies and historians. By examining these three crucial moments, the revolution, the afair, and the duel, much can be gleaned about Hamilton’s idea of legacy that was not captured properly in the musical.
Te Revolution
Te central confict of the frst act of the musical is Hamilton’s struggle to secure a feld command that is motivated by his desire for “legacy.” Hamilton, despite knowing he had a wife and new family beginning, chose to deliberately risk his life to secure his vision of legacy through battle rather than intellect. His obsession with martyrdom and glory overshadowed his duty to provide for both the revolution and his family. Miranda’s musical would have the viewer believe Hamilton was a bystander to the revolution, making his command a point of glory, rather than display his accomplishments as the revolution’s true architect, erasing the need to secure honor through potential martyrdom.
Hamilton’s obsession with martyrdom is frst displayed in “Te Story of Tonight” when Hamilton sings, “I may not live to see our glory! But I will gladly join the fght! And when our children tell our story … Tey’ll tell the story of tonight.”1 At the outset of the musical, when Hamilton is around twenty years old, he is already displaying a desire to die for his country. His wish is depicted as a passionate, honorable desire which is refected in the gallant and choir-like call and response nature of this piece, a sobering up of the stakes sung about in the jubilant and defant “My Shot.” Most of what Miranda depicts in the musical is true to Hamilton’s life. In a letter to a friend in 1769, he exclaims “my Ambition is prevalent that I contemn the grov’ling and condition of a Clerk … and would willingly risk my life tho’ not my Character to exalt my Station. …I wish there was a War.”2 As a young man, Hamilton was moved by a great desire to fght in a war and rise above his station in the only way he knew how as an impoverished bastard. Forrest McDonald, a Hamilton biographer, puts it best: “A passion for immortal fame is characteristic of the romantic, and Hamilton was a romantic to the core of his being … In childhood the romantic writes poetry and dreams of grand and noble exploits. As a youth he embraces causes and fghts for them with reckless bravery … he is unable to imagine that failure or defeat is possible.”3 Hamilton was endlessly dreaming of heroic exploits and zealously took to the call for revolution. Tis ambition does not leave him, but follows him until he is made Washington’s aide-de-camp in “Right Hand Man.” In “Right Hand Man” Hamilton again asserts, “I am either gonna die on the battlefeld in glory or-rise up!”4 Tis verse explicitly displays Hamilton’s vision of the revolution as it pertains to him, a bastard with no prospects, wishing for death or achievement. Miranda
1 Lin-Manuel Miranda, Hamilton: An American Musical, directed by Thomas Kail, (filmed June 2016), 2017, 14.
2 Alexander Hamilton to Edward Stevens, 11 November 1769, Papers of Alexander Hamilton: Founders Online
3 Forrest McDonald, Alexander Hamilton: A Biography, (New York: W.W. Norton & Company, 1979), 5.
4 Miranda, Hamilton: An American Musical, 25.
agrees, noting, “For many in this country, joining the armed services is still seen as a path to security. ‘Twas ever thus.”5 Hamilton is seeking a way to rise above his station and secure a legacy through glory. He even agrees with Washington in “Right Hand Man” that his head is “full of fantasies of dying like a martyr” rather than focusing on assisting Washington with his genius and intellect, something he takes immense pride in, bordering on arrogance.6 Miranda admitted to how difcult it was to write for Hamilton in this respect admitting “We have to systematically prove that Hamilton is the most fearsome intellect in the room, not just by saying so, but by demonstrating it.”7 Hamilton prides himself on his superior intellect and unique genius, making his desire, in Miranda’s words, to “fght not write” illogical and immature.8
According to Miranda’s depiction of Hamilton’s life, it seems entirely reasonable for him to demand a command after settling down with his wife. At this point in the musical the audience also empathizes with Hamilton on this matter. Miranda’s character has not been very physically active at all or sung any great musical numbers proclaiming his success or honor in his position at Washington’s side. Miranda fails to cover the signifcant action and honorable duties Hamilton was tasked in carrying out under General Washington. Before becoming Washington’s aide, Hamilton saw combat as the captain of an artillery group and faced intense fghting in New York and Delaware at the beginning of the revolution.9 Washington dispatched Hamilton to destroy a grain mill and met British troops to which he made a daring and exciting escape by jumping into a nearby river, after being shot at from its bank.10 Te fghting was so close many believed Hamilton had actually died in the skirmish.11 Washington also tasked Hamilton with the incredibly important duty of collecting supplies from Philadelphia to ensure the British did not pillage them, while also placating its residents, a crucial balancing act.12 In addition to this, Hamilton was tasked, as the youngest and newest aide, to secure more troops from General Gates. Ron Chernow calls this a “remarkable” choice in the face of “such a tough assignment.”13 A selection like this was so unusual of an occurrence Gates received it as an insult, creating a rift between the men for years to come.14
Hamilton was also incredibly active during this time in the war. He served not only as a French translator for the baron Frederick William August von Steuban, who greatly assisted in retraining American troops at Valley Forge, but as the interpreter between Washington and the new French allies who arrived in 1778. 15 When not working for Washington in an ofcial capacity, Hamilton was often studying the greats, such as Hobbes and Cicero, while also reading the histories of Greece, Rome, and France to prepare for the formation of a new government, dedicating 112 pages of handwritten notes to the subject.16 He also took this time to study fnancial systems in preparation for after the war. Nine years before his appointment as treasury secretary, Hamilton prepared by reading fnancial treaties and writing a twelve-point program to Congress on the necessary creation of a national
5 Lin-Manuel Miranda and Jeremy McCarter, Hamilton the Revolution (New York: Grand Central Publishing, 2016), 60.
6 Miranda, Hamilton: An American Musical, 31.
7 Miranda and McCarter, Hamilton the Revolution, 27.
8 Miranda, Hamilton: An American Musical, 33.
9 Ron Chernow, Alexander Hamilton, 75, 83-84.
10 Chernow, Alexander Hamilton, 98.
11 Chernow, Alexander Hamilton, 99.
12 Ibid.
13 Chernow, Alexander Hamilton, 101.
14 Chernow, Alexander Hamilton, 102-105.
15 Chernow, Alexander Hamilton, 110, 119, 120.
16 Chernow, Alexander Hamilton, 109-110.
bank and reliance on foreign loans during wartime.17 While Hamilton’s recklessness and ambition in battle likely put him on Washington’s radar as a valuable asset, these traits could have been put aside when it was clear Hamilton had secured an honorable position, as the character Burr asserts, “at the right hand of the father.”18 Contrary to the musical, Hamilton was incredibly active throughout the revolution in a variety of meaningful ways, making him indispensable to the war efort without necessitating a command.
After meeting Eliza, notions of martyrdom continued with Hamilton’s romanticization of the execution of Major Andre, a man who was found consorting with the traitor Benedict Arnold.19 Hamilton even claims that these morbid fxations are past and Eliza has given him a reason to live, writing “I was once determined to let my existence and American liberty end together. My Betsey has given me a motive to outlive my pride, I had almost said my honor; but America must not be witness to my disgrace.”20 Hamilton writes as if Eliza is the only person stopping his martyr-like death as a result of the revolution. Regardless of this confession, he still applied to lead a charge before their wedding.21 Tis very union, increasing his status, made him all the more capable of receiving a legitimate command.22 Te revolution even managed to creep its way into Hamilton’s wedding in the musical when he fnally settles down with Eliza in the songs “Helpless” and “Satisfed.” In this frst piece, there is a feeling of transformation. Not only has the music transformed from the gritty sounds of rap and rhythm and blues to a pop piece, the lyrics also say “In New York you can be a new man,” signifying Hamilton’s transition from bachelor revolutionary to soldier husband.23 Te transformation is also based on Miranda’s own understanding of their relationship, “Eliza changed his life, and might have saved it.”24 At the wedding itself, during the toasts, when Angelica says “To your union,” the men are able to twist these lyrics and say “To the union,” as in the country they are trying to fght for and create, imposing the confict on their marriage.25
Eliza reveals she is expecting their frst child and declares her vision for legacy in the piece “Tat Would Be Enough.” In the song she tells him explicitly “We don’t need a legacy. We don’t need money.”26 She then lists the legacies in their life she deems important: his survival, their child, and his peace of mind.27 She acknowledges he is not recognizing those legacies and their importance, wishing “I could be enough and we could be enough,” referring to herself and their child.28 In the musical, Hamilton appears to have no reaction to this moving plea for his well-being and the domestic life Eliza envisions as he reappears onstage to accept his new command.
While this song presents a fabrication of Eliza’s true opinions, it is a well-educated guess based on Hamilton’s real actions and words. Just like in the musical, Eliza worried about Alexander.29 He knew she did not approve of what he was doing and openly defed her worries by accepting the command, arguing, “Tough I know my Betsey would be happy to hear I rejected this proposal, it is a pleasure my reputation would not permit me to
17 Chernow, Alexander Hamilton, 137-138.
18 Miranda, Hamilton: An American Musical, 33.
19 Chernow, Alexander Hamilton, 144.
20 Alexander Hamilton to Elizabeth Schuyler, 6 September 1780, Papers of Alexander Hamilton: Founders Online.
21 Chernow, Alexander Hamilton, 149.
22 Chernow, Alexander Hamilton, 150.
23 Miranda, Hamilton: An American Musical, 37.
24 Miranda and McCarter, Hamilton the Revolution, 107.
25 Miranda, Hamilton: An American Musical, 38.
26 Miranda, Hamilton: An American Musical, 63.
27 Miranda, Hamilton: An American Musical, 63.
28 Miranda, Hamilton: An American Musical, 63.
29 Chernow, Alexander Hamilton, 158-159.
aford … I hope my beloved Betsy will dismiss all apprehensions for my safety; unhappily for public afairs, there seems to be little prospect of activity … Heaven will restore me to the bosom of my love.”30 Not only did he dismiss Eliza’s anxieties, he seemed to feel ambivalent about his command and predicted there would be little fghting. While his words were perhaps meant to reassure his wife, it displays Hamilton’s mastery of words to manipulate those around him into thinking he has complete control, something entirely out of his hands in the heat of battle and in the face of death. While Hamilton may have been trying to secure a new station for his bride and future family, he was reckless in its execution, ignoring the prominent positions he already held as an aide and ofcer of the continental army.
Hamilton, at this point in his life, already had the experience and knowledge of fghting. He was assigned prestigious duties by Washington and met the enemy. Trough it all he was also improving his mind and working as an invaluable tool under Washington to hold the fedgling revolutionaries together. Yet, he maintained until his later years that if he had claimed an early feld command it “in all probability would have led further” than his position with Washington.31 Before marrying Eliza he appealed to her to “examine well your heart” because “Your future rank in life is a perfect lottery; you may move in an exalted you may move in a very humble sphere; the last is most probable.”32 Ten, after the war, knowing he had a new family beginning and little way to provide for them, he renounced his pension to avoid a confict of interest as the army was disbanded and its compensation debated.33 Even though this renouncement had honorable intentions, his family deeply regretted it in later years when they were plunged into fnancial insecurity after his death.34 Hamilton’s only reason for asking for a command was to earn him his own legacy. Miranda allowed his importance in the revolution as an aide to go unnoticed, providing a false image of Hamilton in a pursuit of glory, when in reality he was ignoring his duties as a husband and father.
Te Reynolds Pamphlet
Hamilton did not stay a reckless glory monger, however, hell bent on war. As he aged he became eagerly and entirely devoted to his wife and children and focused on his career as Secretary of the Treasury Department. However, this contentment would not last as Hamilton’s personal reputation became marred by his afair with Maria Reynolds. Tis destruction was not due to pride or rage, as Miranda would have us believe, but due to legacy. Te Reynolds afair was the frst sex scandal in American history, drawing the same brazen kind of attention then, as one does now. Te scandal is a blemish on Alexander Hamilton’s otherwise unmarred familial record, tainting the devoted family image he created with the Schuylers. Te depiction of the scandal in the musical gave it a new national image, portraying the afair as the singular downfall of one of America’s greatest founding fathers. Te show presents a selfsh man, concerned only with his political career, ignorant of the pain and sufering he has caused through his extramarital relations. Miranda’s musical depicts Hamilton as an unscrupulous and reckless philanderer, when in reality he was a devoted family man, victimized by malicious individuals, and deeply concerned about maintaining his political integrity and legacy to keep his career.
Philip Hamilton is the only child out of Hamilton’s eight children to appear in the
30 Alexander Hamilton to Elizabeth Hamilton, 10 July 1781, Papers of Alexander Hamilton: Founders Online
31 Alexander Hamilton to George Washington, 29 July [–August 1] 1798, Papers of Alexander Hamilton: Founders Online
32 Alexander Hamilton to Elizabeth Hamilton, August 1780, Papers of Alexander Hamilton: Founders Online
33 Chernow, Alexander Hamilton, 165.
34 Ibid.
musical. His introduction occurs in the song “Take A Break” when Philip performs a rapped poem for his father. In this scene Eliza has to beg Hamilton to leave his desk and then notifes Hamilton, “Your son is nine years old today,” as if Alexander was not aware it was his son’s birthday.35 After Philip nervously performs, to Hamilton’s encouragement, Alexander shockingly exclaims to Eliza, “Hey, our kid is pretty great,” as if he was having a revelation.36 Both of these instances depict Hamilton as a workaholic father who is mostly absent from the life of his child and the home, which could not be further from the truth. Tis portrayal of distant father is only exacerbated by Miranda’s delineation of Hamilton as a sexual being. Tis defamation includes the story Miranda tells about Martha Washington naming her feral tomcat after Hamilton, as a reference to Hamilton’s supposed debauched bachelor lifestyle. Stephen F. Knott fnds the story to be, “a fabrication frst disseminated in the 1780s and later circulated by his domestic political opponents.”37 Miranda claims this tale’s inclusion was intended to promote Hamilton’s “peak cockiness,” and does admittedly provide some comedic relief, but also perpetuates a false narrative.38 Hamilton ends “Take A Break” by continuously pushing Eliza and Angelica away as he needs “to get my plan through Congress. I can’t stop until I get this plan through Congress.”39 Te next song immediately following is “Say No To Tis,” the introduction to Hamilton’s afair with Maria Reynolds. Te placement of these two songs makes it appear as if Hamilton is entirely distracted from his family and completely focused on his career, which does not accurately portray Hamilton’s true character. He was actually a devoted father to his children. Chernow notes, Hamilton tutored his children, praised them, and trained them in manners.40 Hamilton made it a point of his honor to never break any promises he made to them and he even sang duets with his daughter.41 Tis reality is greatly contrasted by Hamilton’s depiction in the musical as Miranda desired to make Hamilton appear so overworked as to overlook his own family, providing an excuse for his infdelity.
Miranda’s musical also makes it appear as if James Reynolds was aware of the afair between his wife and Hamilton the entire time, with Maria an innocent victim seeking comfort in a married man. In the show, Maria appears openly distraught, belting to Hamilton with anguished melodrama at all times. Tere is no indication of a conniving relationship at work, and perhaps Maria harbors some true feelings for Hamilton. Her feelings are most speculated on in the musical as Jasmine Cephas Jones, the actress originating the role of Maria, notes, explaining, “What makes ‘Say No to Tis’ interesting is the possibility that she’s falling in love with him … Tat’s what makes the stakes so high.”42 In reality, the afair began when Maria Reynolds came to Hamilton posing as a woman in distress. Hamilton, up to this point in his life, had been shown to be susceptible to the distress of helpless women, most likely due to his mother’s status as an impoverished, twice-abandoned divorcee growing up.43 Maria approached him, telling him her husband had left her for another woman which made her indigent, taking advantage of Hamilton’s weakness.44 She asked for money but, to Hamilton, “it was quickly apparent that other
35 Miranda, Hamilton: An American Musical, 94.
36 Ibid.
37 Stephen F. Knott. “The Four Faces of Alexander Hamilton: Jefferson’s Hamilton, Hollywood’s Hamilton, Miranda’s Hamilton, and the Real Hamilton,” American Political Thought: A Journal of Ideas, Institutions, and Culture Issue 7, no. 4 (Fall 2018), 553.
38 Miranda and McCarter, Hamilton the Revolution, 70.
39 Miranda, Hamilton: An American Musical, 98.
40 Chernow, Alexander Hamilton, 337.
41 Ibid.
42 Miranda and McCarter, Hamilton the Revolution, 174-175.
43 Chernow, Alexander Hamilton, 363-364.
44 Printed version of the “Reynolds Pamphlet,” 1797, Papers of Alexander Hamilton: Founders Online.
than pecuniary consolation would be acceptable.”45 Te crime was the Reynolds’ modus operandi, according to the son of their landlady they habitually preyed on wealthy men for money by having Maria sleep with them and then extort them for money.46 Te couple were a fanatical team of swindlers and had been continuing this scam for an indefnite period of time, as the son claimed “so infamous was the Perfdy of Reynolds, that he had frequently enjoined and insisted that she should insinuate herself on certain high and infuential Characters,—endeavour to make Assignations with them, and actually prostitute herself to gull Money from them.”47
Hamilton did ultimately end the afair, but he left a paper trail involving the money he paid. Tese papers reappeared later on at another tumultuous time in his career, when he was under severe scrutiny. In the musical, he is confronted by his main adversaries, Tomas Jeferson, James Madison, and Aaron Burr, in “We Know.” Te three confront him, telling him, “I can almost see the headline, your career is done” in regards to embezzlement accusations.48 Hamilton then probes, “If I can prove that I never broke the law, do you promise not to tell another soul what you saw?” as if swearing some teenage friends not to tell a frivolous secret.49 Hamilton then rapid fre raps to defend himself in an impressive array which Miranda admits, “has some of my favorite internal rhyming in the show,” rendering his enemies speechless.50 By the end of the number, it is unequivocal that each member of the party is stunned and will not tell the people of Hamilton’s afair. Te song makes Hamilton’s reaction appear childish, dramatic, and impulsive. Tis appearance is only exacerbated by “Te Reynolds Pamphlet” with its comical call outs and echoey laughs, surreal inclusion of every prominent character on stage (including King George III), and its closing line, “You ever see somebody ruin their own life?”51 Te scene paints a picture of rapid, foolish, and entire destruction created to prevent rumors from fying about Hamilton’s sex life.
In reality, the accusations were much more intense and serious. James Reynolds and a friend, Jacob Clingman, were caught defrauding the government by claiming to be executors of an estate from a list which was taken from the Treasury Department.52 Reynolds began to threaten exposure to Hamilton while imprisoned as Clingman appealed to his friend, Congressman Frederick Muhlenberg.53 Muhlenberg was able to strike a deal and Hamilton agreed to clear both men as long as they shared the source of the list.54 Clingman then began to hint to Muhlenberg that Hamilton was hiding involvement in their speculation scheme, leading to an investigation within the Senate by Muhlenberg, James Monroe, and Abraham Venable. 55 Maria Reynolds told Monroe and Muhlenberg that Hamilton was speculating with her husband, and produced the extortion letters as proof.56 Te three congressmen then questioned Hamilton at which point Hamilton revealed the afair.57 Hamilton feared that these enemies, however, particularly Monroe, would share his afair
45 Ibid.
46 Chernow, Alexander Hamilton, 366.
47 Richard Folwell to Edward Jones, 12 August, 1797, Papers of Alexander Hamilton: Founders Online.
48 Miranda, Hamilton: An American Musical, 43.
49 Miranda, Hamilton: An American Musical, 44.
50 Miranda and McCarter, Hamilton the Revolution, 230.
51 Miranda, Hamilton: An American Musical, 51.
52 Chernow, Alexander Hamilton, 413.
53 Ibid.
54 Chernow, Alexander Hamilton, 414.
55 Ibid.
56 Chernow, Alexander Hamilton, 415.
57 Chernow, Alexander Hamilton, 416.
with the press.58 At the time Hamilton was under intense scrutiny in newspapers, with Jeferson and Madison attacking him relentlessly.59 Rather than arm his enemies with more scandal to slander his name, he decided to tell the story himself.
Te stakes here in real life were much greater than those which appeared in the musical. In the show, Hamilton appears to contemplate spreading his afair because it will allow him to “dignify schoolyard taunts with a response,” to use a phrase from Angelica in “Te Hamilton Mixtape,” to redefne his legacy rather than defend the career he built from the ground up.60 Te Treasury Department was his entire political legacy up until this moment, with the National bank and his debt plan being the jewels within its proverbial crown. His career was unblemished when his ofce was most attributed to wariness because of the corruption which occurs in regards to money. In a letter to a friend, Hamilton admitted “you remember the saying … I think the spirit of it applicable to every man concerned in the administration of the fnances of a Country … Suspicion is ever eagle eyed, And the most innocent things are apt to be misrepresented.”61 Hamilton knew the damage his position could sufer, making his publication of the Reynolds Pamphlet entirely justifable to defend his legacy. He was also aware he was the head of the Federalist party and fghting to prove American industrialism and business were not corrupt, aristocratic entities, but healthy economic vehicles which could push America to great wealth and success. Rather than allow his political enemies to tarnish his spotless career by accusing him of dishonest conduct in regards to the American public, he admitted his own private mistake, something which would be unheard of today. He was willing to humble himself before the American populace for an err in private virtue versus damaging the reputation of American capitalism and mercantilism by being accused of fraudulent speculation.
Hamilton, unlike other politicians such as Jeferson, had to claw his way up the social ladder to create his career. He built his prestige through his actions and mind alone, not through the inheritance or titles others were left behind, making the accusations a personal matter. He had to protect his station as well as the career which provided for the family he cared deeply about. Miranda’s musical paints the Reynolds afair as a salacious debacle where a prideful man and absent father throws his career and family away to have sex with a beautiful ingenue. In reality, Hamilton was victimized by a scheming couple who used him for proft. He was a devoted family man who cherished Eliza and the stability she provided in his life.62 Te truth behind the afair does not make his actions justifable, but it provides a new dimension to the one-sided story portrayed in Hamilton. Tere were many actors here, not just Hamilton, and the risks were signifcantly higher than the gossipy threats posed on stage. Hamilton’s career was on the line, as well as his personal reputation, making the Reynolds pamphlet a logical, if reckless, choice to defend the place in society he carved out for himself and his family.
To her credit, Eliza Hamilton remained by her husband’s side and was determined to support him. How much she did privately will never be known, as it is widely believed she destroyed her letters at some point in the latter years of her life. However, her actions speak for themselves in her and Hamilton’s later years after the afair and after his death. Eliza spent these years serving the underprivileged, compiling Hamilton’s biography, talking about Hamilton to any and all visitors, and never faltering in the defense of her husband’s
58 Chernow, Alexander Hamilton, 417
59 Chernow, Alexander Hamilton, 397-398
60 Dessa, vocalist, “Congratulations,” by Lin-Manuel Miranda, recorded 2015-2016, track 16 on The Hamilton Mixtape, Atlantic, digital.
61 Alexander Hamilton to Henry Lee, 1 December 1789, Papers of Alexander Hamilton: Founders Online.
62 Chernow, Alexander Hamilton, 554.
legacy.63 Without her constant and unwavering support, Hamilton’s legacy as it is known by Ron Chernow and other historians would have crumbled. Tis degradation of legacy is due to the fact that Hamilton continued to make enemies and meddle in politics after the afair’s publication. Te democratic-republicans already harbored a deep hatred and enmity for Hamilton, but Hamilton also began to turn members of his own party against him through the election of 1800. At the time he disparaged both Aaron Burr and John Adams by encouraging Federalists to vote not for their own candidates, but for his democraticrepublican nemesis, Tomas Jeferson. Hamilton’s death occurred only four years later with his enemies in power and capable of writing the narrative of his life and death and therefore, his legacy.
Te Duel
“I imagine death so much it feels more like a memory. Is this where it gets me, on my feet, sev’ral feet ahead of me? I see it coming, do I run or fre my gun or let it be? Tere is no beat, no melody.”64 Tese are the words Lin-Manuel Miranda uses to describe Alexander Hamilton’s fnal moments after his duel with Aaron Burr. Burr appears gutted by this experience as he laments the loss of Hamilton, allowing the audience to sympathize with both antagonist and protagonist at the show’s end. Unfortunately, this depiction deviates from the reality of Hamilton’s duel with Burr. In the musical, Burr’s character appears reserved, pious, and remorseful, when in reality he was a promiscuous scoundrel, unbothered by the murder he committed in cold blood. Te relationship between Hamilton and Burr as seen on stage is also untrue to real life, making Hamilton’s death even more tragic and baseless because of the limited, if stormy, history between the two men. Burr’s characterization and his relationship to Hamilton also changes the efect of Hamilton’s death and his legacy, making the distortion of his memory by his enemies even more callous, highlighting Eliza’s struggle after his death.
From the beginning of the show Aaron Burr appears as Hamilton’s opposite. While Hamilton is an obnoxious, impulsive, active revolutionary, Burr is polite, reserved, and patient in his political career. Teir contrariness is best seen in the musical numbers “Aaron Burr, Sir” and “Wait For It.” In the former song his lines reveal his character as he advises Hamilton to, “Talk less. Smile more.” and condemns the contrary saying, “Fools who run their mouths of wind up dead.”65 Te audience comes to understand Burr’s character and perspective on life in “Wait For It.” His motto “Wait for it,” gives the audience a view of Burr that he is content to wait his turn for greatness, but is frustrated by Hamilton’s lack of restraint and impulsivity. He also deeply and sincerely regrets his actions against Hamilton as he introduces himself as “the damn fool who shot him” and, after Hamilton’s death, he mournfully sings, “I was too young and blind to see… I should’ve known … Te world was wide enough for both Hamilton and me.”66 Te only stain on his character within the show is his afair with his soon-to-be wife Teodosia. Te characters bring up her marital status multiple times as Burr is “keeping her bed warm while her husband is away,” as he puts the afair in “Wait For It.”67 Burr’s afair is treated, however, as morally right and unsurprising throughout the musical, whereas the characters condemn Hamilton’s afair and destroy his personal character in the process. When Burr announces he is in love with a woman who is married to a British ofcer, his afections seem almost patriotic since her husband is a political enemy and Burr is an unmarried revolutionary. He is never condemned by any character for loving Teodosia, in fact, this afair is depicted as tender and sentimental when Burr sings to their daughter of the same name in “Dear Teodosia.” Yet, Teodosia
63 Chernow, Alexander Hamilton, 544.
64 Miranda, Hamilton: An American Musical, 77.
65 Miranda, Hamilton: An American Musical, 6.
66 Miranda, Hamiltonl, 4, 79.
67 Miranda, Hamilton, 48.
was a married woman Burr had an afair with while her husband was deployed in the military. Tis immoral depiction of Burr is much more true to his reality.
Burr’s immoral character is obvious in discussing what comments could have provoked the duel between the two men. Ron Chernow explained how Hamilton had much to choose from since, “Burr had been openly accused of every conceivable sin: defowering virgins, breaking up marriages through adultery, forcing women into prostitution, accepting bribes, fornicating with slaves, looting the estates of legal clients.”68 Tese accusations assailed Burr openly, and yet Hamilton has been condemned for his one ofcial extramarital afair by his contemporaries and historians alike. Burr also made it a point to warn his daughter to burn letters he had written to his mistresses, urging her to “burn all such as … would injure any person. Tis is more particularly applicable to the letters of my female correspondents.”69 Tis notion was upheld by Burr’s biographer, Matthew L. Davis, who claimed there was “no very strict morality in some of his female correspondents” and, in reviewing Burr’s correspondence, “separated out and destroyed such letters to protect the reputations and virtue, not of Burr, but of the young women and their families.”70 After the duel, Burr did not act honorably in speaking of Hamilton or acting in a way which would have seemed remorseful. He ignored the widowed wife and mother of Hamilton’s eight children, never acknowledging the sufering he caused them or ofering condolences or aid.71 Burr also continued to preside over the senate as vice president, appearing only a few days after the murder to continue business as usual. He avoided accountability in private by informing his son-in-law, “General Hamilton died yesterday” distancing himself from responsibility for the death.72 After the duel, he fed New York and, after meeting multiple mistresses, he told his daughter, “If any male friend of yours should be dying of ennui, recommend him to engage in a duel and a courtship at the same time.”73 Indeed, he often had a sense of humor surrounding the entire afair, often referring to Hamilton as “my friend Hamilton, whom I shot” and responded in laughter when seeing a wax museum exhibition of the duel.74 Te most damning evidence of all is that upon refection in his seventies at the dueling ground Burr commented, “he heard the ball whistle among the branches and saw the severed twig above his head,” admitting that he knew Hamilton’s fre missed, to which he responded by shooting him fatally at point blank range.75
A false narrative is also presented in the musical surrounding the relationship between Burr and Hamilton. Tey are frequently in conversation together and Burr appears at key moments in Hamilton’s life such as his arrival in New York, his appointment as an aide-de-camp to Washington, his bachelor party, and his confession of his afair. All of these events taken together with Hamilton do not make Burr an adversary, but almost a friend, until much later in the musical. If Burr is viewed as the protagonist then it becomes obvious that Hamilton is his antagonist. Hamilton stands in the way of every goal Burr sets, making the duel a fnal release, where Burr has had enough of waiting for his chance and fnally takes justifed action against Hamilton. In reality, their interactions were spread out over many years with a variety of inconsequential meetings that were not necessarily confrontational. Te duel itself was triggered by a passing remark where Hamilton alluded
68 Chernow, Alexander Hamilton, 694.
69 Aaron Burr to Theodosia Alston, July 10, 1804, Memoirs of Aaron Burr.
70 Thomas A. Foster. “Sex and Public Memory of Founder Aaron Burr,” Commonplace: the Journal of Early American Life, 15, no. 1 (Fall 2014), https://commonplace.online/article/ sex-public-memory-founder-aaron-burr/.
71 Chernow, Alexander Hamilton, 715.
72 Aaron Burr to Joseph Alston, July 13, 1804, Memoirs of Aaron Burr
73 Aaron Burr to Theodosia Alston, August 11, 1804, Memoirs of Aaron Burr
74 Chernow, Alexander Hamilton, 721.
75 James Parton, The Life and Times of Aaron Burr, (Boston: James R. Osgood, 1872), 617.
to “a still more despicable opinion” of Burr.76 Burr took this slight as an opportunity to challenge Hamilton to a duel from which he could not back down.
Both Hamilton and Burr were military men who, in the words of Chernow, “prided themselves on their romantic sense of honor and found this ritualized violence the perfect way to express it.”77 If one were to avoid this duty, they could be branded a coward and have that reputation impact future military pursuits.78 Duels were also common among politicians, and a failure to respond to this challenge could result in a stained reputation.79 Hamilton, being both a military man and a politician, risked this type of defamation if he did not respond accordingly. Te point of these duels was not to kill the opponent, but to display the courage required to participate in a duel.80 To murder ones opponent would be political suicide as the murderer would be ousted from society, defeating the purpose of the duel.81 Hamilton acknowledged all of these facts in a letter to Eliza in which he admitted, “If it had been possible for me to have avoided the interview, my love for you and my precious children would have been alone a decisive motive. But it was not possible, without sacrifces which would have rendered me unworthy of your esteem.”82 Hamilton had every reason to believe he would make it out of this duel alive with his reputation intact. He went to the duel to preserve his career, a part of his life which would deeply impact his family if it were to be destroyed. Te absence of a repeated, oppositional confrontation between both fgures coupled with the true purpose of a duel makes Hamilton’s death seem a senseless slaughter.
Te true nature of Burr and Hamilton’s relationship sheds light on his death and its aftermath. Eliza, in the musical, sings of the various eforts she undertook to maintain Hamilton’s memory, which seem easy and supported considering how much Miranda has endeared the character to the audience and how tragic his death was. Tis entire sequence in “Who Lives, Who Dies, Who Tells Your Story” is aided by the ensemble, prompting a unifed vision of remembrance in which both the actors and the audience are able to take a moment to remember the life of Alexander Hamilton. Many minds and many voices are remembering him all at once, and Eliza Hamilton gasps as she views her husband fnally being remembered through Miranda’s work. Hamilton’s legacy has been preserved as the fnal notes ring out from the orchestra. Tis efortless production does not capture the difculty in preserving Hamilton’s legacy Eliza actually faced after her husband’s death, which was exacerbated by his connection with Burr.
Burr and Hamilton were not ever truly friends or adversaries, they were simply rivals in political opposition with one another. Te musical depicts Burr as a condemned villain with Hamilton the vindicated martyr. In reality an insult at a dinner party led to his being mercilessly shot. Hamilton’s brutal murder makes Eliza’s preservation of his memory even more desperate and even more pressing as she fought to preserve a story her husband never lived to tell himself. She and their children were left in crippling debt, with a secret fund set up to support the children and Eliza allowed to buy back their house at half its market price after it was repossessed.83 After Hamilton’s death, the political landscape changed, with Jeferson and the Republicans dominating the national government for thirty years,
76 Alexander Hamilton to Aaron Burr, 20 June, 1804, Papers of Alexander Hamilton: Founders Online.
77 Chernow, Alexander Hamilton, 683.
78 Chernow, Alexander Hamilton, 684.
79 Ibid.
80 Ibid.
81 Ibid.
82 Alexander Hamilton to Elizabeth Hamilton, 4 July, 1804, Papers of Alexander Hamilton: Founders Online.
83 Chernow, Alexander Hamilton, 725.
with the political party they created taking over beyond Eliza’s death. American politics continued moving forward past its roots, and the revolution began to fade along with Hamilton’s memory. With his foes in power, it became easy for his image to be slandered as he was unable to defend himself and his mightiest supporter, Washington, who had died fve years before him. In refecting on writing the musical Miranda concluded, “Tat’s the whole show. Ron tells you a story and he’s the star of the story. I tell you a story and I’m the star of the story. History is entirely created by the person who tells the story.”84 Eliza was alone in her struggle to remember her husband and tell his story in a way which was much more painful and Sisyphus-like than displayed on stage. She constantly had to combat insults and false rumors against “her Hamilton,” as she called him.85 After Eliza’s death, John Church Hamilton, their son, fnally secured his father’s legacy by publishing his biography, after many authors had quit or died before its completion.86 Given the horrifc and atypical circumstances of Hamilton’s death, one would think masses would have fought to aid her efort, but this was not the case. Slighted in life, Hamilton was slighted in death. His family and allies had to fght to preserve his good name and memory. Tis struggle obviously did not carry on into the present as Burr’s character onstage was the polar opposite of his true self. Burr’s remorseful character changed the meaning of Hamilton’s death in the musical, making his murderer a tragic anti-hero condemned by the audience and Eliza’s preservation of his memory efortless. In reality, Alexander Hamilton has always received the short end of the stick in regards to reputation and endurance of memory. In the words of Angelica in the musical, “Every other founding father story gets told. Every other founding father gets to grow old.” while Hamilton’s legacy was left in the hands of his devoted wife who struggled endlessly for the world to know the man she knew. 87
Hamilton went through his life preserving his own legacy. As a child and young bachelor, he believed himself to be solely responsible for his future and the legacy he would leave behind. Tis made him a reckless man, focused on military exploits to achieve glory and remembrance, but as he aged this viewpoint mellowed. He gained political allies and prestige as he became Secretary of the Treasury. His view of legacy went beyond himself to his wife and his family. He wrote “Te Reynolds Pamphlet” to ensure his career would not be tarnished to not only protect his reputation but to also protect his family’s. Te duel that ended his life was an extension of that protection as well.
Most of the founding fathers understood their letters were being kept to preserve the picture of who they were and their ideals.88 Te creation of the nation itself was a result of preservation for the future, of a legacy left for a new generation of liberated peoples. Miranda provides an accurate defnition in his musical: “Legacy. What is a legacy? It is planting seeds in a garden you will never get to see.”89 Te framers had legacy on their minds, including Hamilton. He was a true “study on the use of time,” as deemed by Chernow, constantly working to build his rapport and rise above his station.90 He was consistently focused on his legacy and historians can trace it as it grew from a selfsh desire to an all-encompassing, driving force that enveloped Eliza and their children. Tough Hamilton never did live to share his true refection on life or provide more infuences on history, Eliza was able to. She established the Orphan Asylum Society of the City of New York and did much for
84 Miranda and McCarter, Hamilton the Revolution, 33.
85 Chernow, Alexander Hamilton, 724.
86 Chernow, Alexander Hamilton, 2-3.
87 Miranda, Hamilton: An American Musical, 80.
88 Annette Gordon-Reed and Peter S. Onuf, “Most Blessed of the Patriarchs:” Thomas Jefferson and the Empire of Imagination (New York: Liveright Publishing Corporation, 2016), 13.
89 Miranda, Hamilton: An American Musical, 77.
90 Chernow, Alexander Hamilton, 52.
widows and the poor. She established a public school for literature and raised funds for the Washington Monument. She continued to preserve the truth of his memory through her actions and words, resulting in an ofcial biography and her many charitable works. Hamilton’s loss meant just as much as his life because he cherished the legacy he left behind in Eliza, answering Burr’s query in Hamilton, “But when you’re gone, who remembers your name? Who keeps your fame? Who tells your story?”91 Eliza was Hamilton’s legacy and his memory spurred her to move in grand and gracious ways, ones which can be emulated when telling the stories of those who never had the opportunity to tell their own.
91 Miranda, Hamilton: An American Musical, 80-81.
Bibliography
Chernow, Ron. Alexander Hamilton. New York: Penguin, 2004.
Davis, Matthew L. ed., Memoirs of Aaron Burr. Volume 2. New York: Harper & Brothers, 1837.
Foster, Tomas A. “Sex and Public Memory of Founder Aaron Burr.” Commonplace: the Journal of Early American Life 15, no. 1 (fall 2014). https://commonplace.online/article/sex-publicmemory-founder-aaron-burr/.
Gordon-Reed, Annette, and Peter S. Onuf. “Most Blessed of the Patriarchs:” Tomas Jeferson and the Empire of the Imagination. New York: Liveright Publishing Corporation, 2016.
Knott, Stephen F. “Te Four Faces of Alexander Hamilton: Jeferson’s Hamilton, Hollywood’s Hamilton, Miranda’s Hamilton, and the Real Hamilton.” American Political Tought: A Journal of Ideas, Institutions, and Culture 7, no. 4 (fall 2018).
McDonald, Forrest. Alexander Hamilton: A Biography. New York: W. W. Norton & Company, 1979.
Miranda, Lin-Manuel. “Congratulations.” Performed by Dessa. Recorded 2015-2016. Track 16 on Te Hamilton Mixtape. Atlantic, digital.
Miranda, Lin-Manuel, and Jeremy McCarter. Hamilton the Revolution. New York: Grand Central Publishing, 2016.
Miranda, Lin-Manuel. Hamilton: An American Musical. Directed by Tomas Kail, featuring Lin-Manuel Miranda, Phillipa Soo, Leslie Odom Jr., and Daveed Diggs. Filmed June 2016; Disney+ released July 3, 2020.
Parton, James. Te Life and Times of Aaron Burr. Boston: James R. Osgood, 1872.
Syrett, Harold C. ed., Te Papers of Alexander Hamilton. 27 Volumes. New York: Columbia University Press, 1961-1987.
About the Author
Lucy Vick is a senior majoring in American Studies with minors in Teatre and Leadership Studies. She has worked for the Center for American Studies for the past three years, and plans to attend law school after graduating in the fall.
Te 2019 Green New Deal: Why It Failed and Its Implications for Climate Policy
Lillian Young
Faculty Sponsor: Dr. Andrew Rose, Department of English
Abstract
Te 2019 Green New Deal (GND), introduced by Representative Alexandria OcasioCortez and Senator Ed Markey, proposed a transformative framework linking climate action with economic and social justice. Inspired by Franklin D. Roosevelt’s New Deal, the fourteen-page framework aimed to create high-wage jobs, invest in infrastructure, ensure clean air and water, and build a more equitable society. Despite early bipartisan support, the GND failed to gain legislative traction and ultimately received insufcient votes in the Senate to move forward. Tis paper examines the key variables behind its legislative failure, arguing that it stemmed from political polarization, corporate lobbying, and institutional resistance to radicalism in policymaking. Te GND’s all-encompassing strategy and radical framing made it an easy target for opposition—but also a double-edged sword. On one edge, it pushed the boundaries of climate policy, reframing climate action to include economic and social justice while making more moderate proposals appear politically acceptable. On the other, it intensifed partisanship and fueled opposition, undermining its legislative viability. Tis paper also adopts a comparative approach, examining successful climate policies like the Infation Reduction Act (IRA) and the European Green Deal (EGD) to better understand why they succeeded where the GND failed. Ultimately, the GND’s failure illustrates the difculty of enacting transformative climate policy in a fragmented and polarized political system. Nevertheless, by acting as a policy-based radical fank, it reshaped climate policy and paved the way for more incremental measures like the IRA. Subsequently, the GND’s failure was a barrier to immediate success but a catalyst for long-term change.
I. Introduction
Te urgency for climate action has grown increasingly apparent in recent years, emphasizing the need for immediate action and large-scale interventions. One policy framing for those interventions is the so-called Green New Deal (GND). Since the 2000s, GND-inspired proposals have emerged throughout Europe, the United States, and other parts of the world. Introduced as a policy framework that aimed to address climate change as well as other social goals, such as a large-scale transition to renewable energy, green infrastructure, and federal jobs to promote economic security, the GND framing sought to move past the choice between a healthy environment and a healthy economy. Instead, it integrated both choices into climate legislation in the form of a sweeping transformation— one its supporters deemed necessary to combat joint climate and economic crises.
In 2019, Representative Alexandria Ocasio-Cortez and Senator Ed Markey introduced their version of the GND, with the intent to “(1) achieve net-zero greenhouse gas emissions; (2) create millions of high-wage jobs and ensure prosperity and economic security; (3) invest in American infrastructure and industry to meet the needs of the 21st century; (4) ensure clean air and water, healthy food, access to nature, and a sustainable environment for all; and (5) create just and equitable social and economic systems that care for our frontline and vulnerable communities” (H.Res. 109, 2019). Te 14-page resolution drew inspiration from Franklin D. Roosevelt’s New Deal, a sweeping set of programs that revitalized the U.S. economy during the Great Depression of the 1930s. Te GND shared the same idea of an ambitious vision, emphasizing immediate action, but emerged in a polarized political landscape. Although it aimed to transcend these partisan divides, it ultimately became entangled in the polarization it sought to overcome.
Te proposal faced many of the same challenges as traditional climate policy, failing to gain legislative traction due to a combination of partisan polarization, corporate opposition, and institutional resistance to sweeping reform. Te intense partisan divide surrounding the GND refected a broader pattern in the American political landscape, where ideological extremes and party loyalty increasingly defne public opinion and legislative behavior. As a result, it quickly became a spearhead for partisan confict, promoted by left-leaning supporters as a necessary step toward sustainability and condemned by rightleaning opponents as economically reckless and ideologically extreme. Te framing as a comprehensive, all-or-nothing transformation further deepened this divide. In contrast to incremental policies, in which policy changes unfold gradually (Mitrom & Norman, 2009), the proposal’s ambitious scope made it an easy target for opposition. Corporate lobbying, particularly from fossil fuel interests, further fueled opposition. Groups like the Anti-Green New Deal Coalition worked to amplify the narrative that portrayed the proposal as a threat to economic stability and politically unviable (Seidman, 2019). Together, these forces created a political climate in which large-scale environmental policy was not only difcult to pass but could be described as politically toxic. Te failure of the GND demonstrates how deeply embedded interests and partisan confict can block even the most urgent and broadly supported proposals for change.
Tis paper will examine other legislation addressing environmental and climate change that have passed, such as the Infation Reduction Act (IRA) and European Green Deal (EGD), taking a comparative approach to understand the factors that contributed to their success while the GND failed. By examining the role of political polarization, corporate lobbying, and incrementalism, this analysis will highlight how framing, strategic policy design, and stakeholder engagement infuenced legislative outcomes. Te IRA, for instance, gained enough support to pass by incorporating key provisions from the GND but presenting them in a more moderate and politically viable format. Similarly, the EGD succeeded by adopting an incremental approach, setting long-term goals while
implementing policies gradually to reduce political resistance. Unlike the GND’s allencompassing approach, the IRA and EGD achieved more support by making policy changes more digestible to stakeholders. Tis comparative work will provide much-needed insight into how future climate policy can be structured to maximize political viability while still achieving environmental and economic goals.
By examining how the framing of climate policies, the political climate, and the role of lobbying and corporate interests shaped U.S. climate legislation, it becomes clear that the GND’s failure infuenced the design and implementation of later policies like the IRA. One possible explanation lies in the very nature of the GND’s approach: its radicalism is a double-edged sword. While it likely backfred by fueling partisanship and lobbying opposition that framed climate action as extreme, it also expanded political possibility. I will argue it functioned as a policy-based radical fank to the traditional policy structure— an ambitious, boundary-pushing proposal that, while unlikely to pass in its original form, helped redefne the terms of the climate debate. With a sweeping vision that connected environmental reform to social and economic justice, the GND pushed the boundaries of traditional climate policy’s sole focus on greenhouse gas reduction. In doing so, it made previously ambitious ideas—such as large-scale public investment in green infrastructure— seem more mainstream in comparison. In the context of America’s political landscape, this mirrors the “radical fank efect,” where the direct contrast between extreme proposals, such as the GND, can make moderate ones, like the IRA, appear safer and more politically acceptable, ultimately expanding the space for stronger environmental policy action (Dasch et al., 2024). In this way, the GND was a failure, but not a dead end. It is best understood, in fact, as a recalibration point that helped expand the political possibilities for future climate legislation.
II. Literature Review
Te concept of a GND has been present in policy and academic discussions since the mid-1990s, but it gained mainstream recognition in 2007 when New York Times columnist Tomas Friedman introduced the term (Green, 2024). Friedman (2007) advocated for moving the U.S. economy away from oil and addressing climate change. By arguing that this process required a large-scale industrial transformation, involving a broad array of policies and investments in clean energy, infrastructure, and technological innovation, Friedman positioned the GND as both an economic strategy and an environmental solution. Subsequently, this laid the groundwork for what would later become the Green New Deal—a pivotal policy framework. Te groundwork resulted in the formation of the Green New Deal Group, which aimed to kickstart the rapid transition originally called for by the GND. As explained by Livvy Hanks, a member of the group, after initial interest, the original GND did not gain much political traction in 2009–2010, primarily due to the banking crisis of 2008–2009. However, it continued to shift the emphasis toward largescale environmental employment opportunities (Hanks, 2023). Ten years later, the concept was introduced to the U.S. political sphere by Representative Alexandria Ocasio-Cortez and Senator Ed Markey. Since then, it has been a leading force for climate action, and its legacy still resonates today, as the 2019 GND was at the forefront of a shift in how climate legislation is conceptualized and pursued. Te shift reframes climate change as a multi-variable challenge, calling for reform across multiple sectors. Trough the policy bundling approach, the GND, without ever becoming law itself, has become a vehicle for transformative change.
In fact, the GND has evolved into a multifaceted and increasingly global framework. Te 2019 version marked the beginning of the “second wave” of GNDs, drawing inspiration from “a wide range of social movements, ideological traditions, and contemporary scholarship” (Green, 2024), refecting a shift toward more concrete and politically viable
legislation around the world. A study by Boyle et al. (2021) analyzes fourteen GND-style policy proposals across diferent national and international contexts, highlighting a shared emphasis on integrating climate, economic, and social goals. Several U.S.-based GND proposals are explicitly mentioned and compared, including Ocasio-Cortez–Markey’s 2019 GND (H.Res 109), the Sanders GND, and the Biden Plan, which primarily emphasizes environmental justice-focused jobs while taking a “quiet” approach to climate policy, avoiding explicit links to the GND (Boyle et al., 2021).
Tese proposals set broad goals across multiple sectors. Boyle et al. (2021) fnd that job creation is central to the GND vision, achieved through a just transition to renewable energy—mitigating any negative socioeconomic consequences during this transition (Lee et al., 2021)—and supporting communities afected by the shift away from fossil fuels. Additionally, all versions of the GND focus on large-scale public investment in clean energy, infrastructure, and sustainable industries, while also prioritizing equity and justice by directing resources to historically marginalized communities (Boyle et al., 2021). Yet, despite these similarities, each proposal has a unique approach to achieving its goals, varying in detail and scope. For example, the 2019 GND focuses on broad goals, leaving the specifcs of policy design and implementation to be developed; the Sanders GND is framed by heavy investment in multiple sectors; and, as mentioned earlier, the Biden Plan takes an environmental justice approach. In terms of climate mitigation targets, the core target of the 2019 GND is net-zero GHG emissions by 2030; the Sanders GND focuses on more sector-specifc goals, such as 100% renewable energy for electricity and transportation by 2030; and the Biden Plan calls for a “carbon pollution-free power sector by 2035” (Boyle et al., 2021). While all three proposals aim to address climate change and incorporate elements of economic and social justice, the 2019 GND is seen as a broad, aspirational resolution; the Sanders GND was a detailed plan with a focus on multiplesector investments; and the Biden Plan was a more targeted approach with an emphasis on job creation and environmental justice. However, these proposals still share the common goals of “fostering climate action, creating economic opportunity, and advancing social equity” (Boyle et al., 2021).
GND frameworks difer signifcantly from traditional climate policies, which have largely emphasized market-based mechanisms—such as carbon taxes and capand-trade systems—to reduce greenhouse gas (GHG) emissions (Boyle et al., 2021). Tese conventional strategies tend to treat climate change as a discrete, technical issue that can be managed through economic incentives and technological innovation, often without addressing the broader social and economic systems connected to environmental degradation. In contrast, the GND promotes a more expansive and integrated vision of climate policy—one that connects environmental sustainability to economic and social justice. It aims not only to reduce emissions but also to create green jobs, invest in public infrastructure, and address long-standing social inequalities. Tis approach reframes climate policy as a multi-dimensional opportunity rather than a singular environmental obligation—positioning climate policy as a tool not only for environmental protection but also for stimulating inclusive economic growth, green job creation, and addressing structural inequalities. Te GND frameworks represent a broader, more integrated approach. Te elements of this integrated approach can be seen in more politically viable policies such as the IRA, which—through a more incremental stance—draws from the GND’s principles by linking emissions reductions to job creation and investment in disadvantaged communities. Te IRA’s success demonstrates that while sweeping reforms like the GND may face steep political resistance, their underlying principles can infuence and reshape the trajectory of climate policy over time.
One of the main ways this infuence manifests is through policy bundling, the
integration of environmental goals with economic and social reforms. By combining multiple objectives, such as infrastructure development, poverty alleviation, and climate action, bundled proposals are often more appealing to a broader coalition of stakeholders, increasing public support. Trough experiments on a representative sample, Bergquist et al. (2020) found that policy bundling generally increases support compared to standalone climate policy. For example, climate policy is often bundled with issues like poverty, inequality, and social vulnerability, as demonstrated by the GND. Specifc social policies commonly included are afordable housing, universal health care, a $15 minimum wage, and free college tuition—proposals that increased public support by as much as 35 percent (Bergquist et al., 2020). Tis integrative strategy not only enhances the political feasibility of climate legislation but also strengthens the economic rationale for environmental action, presenting it as a pathway to growth and innovation rather than merely a fnancial burden.
Tis approach is refected in the 2019 GND, which is described by Galvin & Healy (2020) as a “comprehensive economic, social, and technical package aimed at radically averting the impending climate catastrophe.” Similarly, the GND adopts a crisis-response framework that positions climate change not only as an environmental emergency but also as an opportunity to restructure the economy and address deep-rooted social inequities (Galvin & Healy, 2020). By describing long-term national goals for greenhouse gas emission, pollution reduction, employment, infrastructure, housing, and equity, the GND calls for 10 years of investment and mobilization; these goals classify the 2019 GND among the most “prominent and infuential” (Boyle et al., 2021) versions of the framework. Its infuence plays a key role in climate policymaking, reframing the issue from just an environmental topic to a question of economics and government-led change. As explained above, the 2019 version represents just one version of the GND policy trend. Te GND’s legacy lives on not through direct implementation but through its efect on broader climate policy, such as the IRA, which ties emissions reductions to job creation and investment in disadvantaged communities.
However, the broader political landscape in which the 2019 GND emerged played a signifcant role in its eventual fate. Authors Christopher Hare and Keith Poole argue that “even the most casual observer of American politics cannot help but notice that partisan confict has grown sharper, more unrelenting, and more ideological over recent decades” (Hare & Poole, 2014). While it is debated whether this is a top-down or bottom-up process, either coming from elites providing cues that party followers adopt or party activists and primary voters pushing candidates to adopt more extreme views, they have started to fall into more polarizing party camps (Dunlap et al., 2016). In turn, the organization of both politicians and voters into these party camps can limit bipartisan cooperation. With such a drastic diference in ideologies—and extremes on both sides—compromises can become harder to achieve. Legislation such as climate policy can become difcult to pass, as belief in climate change and support for government intervention have become divided along partisan lines.
Tis division has had direct consequences for policy-making. Dunlap et al. (2016) fnd that what was once a modest divide between Congressional Republicans and Democrats on environmental issues has grown into a substantial gap, with Republicans increasingly adopting anti-environmental stances on key legislation, particularly since 2015. As the gap widens, polarization deepens, and compromise becomes less politically viable. A lack of compromise can result in legislative gridlock. Tis growing polarization on climate issues has made compromise more difcult, leading to legislative gridlock, where even urgent and widely acknowledged problems struggle to fnd solutions. Additionally, the rise of ideological bubbles and echo chambers, particularly through social media and partisan news outlets, has further increased the partisan gap, increasing the polarization surrounding
climate policy debates. Tese bubbles, or silos, reinforce selective exposure to information, where individuals are only exposed to information that aligns with their pre-existing beliefs, subsequently becoming more polarized.
A study performed by Gustafson et al. (2018) shows that, during its introduction, support for the GND was originally relatively bipartisan. In the study, respondents were shown a brief description of the GND, followed by the question, “How much do you support or oppose this idea?” Te results found that there was overwhelmingly positive support for the GND, with 81% of registered voters saying they either “strongly support” (40%) or “somewhat support” (41%) the legislation. Additionally, the strongest support was among Democrats (92%). However, a large majority of Republicans (64%), including conservatives (57%), also supported the goals described by the GND (Gustafson et al., 2018). Yet, while the provided description of the GND was accurate in terms of details from the legislation, it did not mention that it was introduced by Democratic members of Congress. Terefore, before most Republicans and conservatives were made aware that it was proposed by the left, they were in favor of the GND’s policies. Tese fndings highlight the infuence of partisan identity in shaping public opinion—leading people to support or reject ideas based on who proposed them.
Te infuence of partisan identity shaping public opinion is further supported by research. For example, in his article Party over Policy, Geofrey L. Cohen (2003) of Yale University discusses four studies he conducted that demonstrate how individuals’ support for public policies is heavily infuenced by party cues, often more so than the actual policy content. In these studies, participants aligned their views with their political party’s stated position, regardless of whether liberal or conservative, with party positions changing how the participants evaluated the policy itself (Cohen, 2003). For the GND, this is demonstrated by the shift in public opinion that arose when the legislation started gaining media attention. Another study by Gustafson et al. (2019) found that, in two nationally representative surveys conducted in December 2018 and April 2019, public opinion on the GND shifted notably as it gained national attention. Increased media coverage— especially from conservative outlets such as Fox News—was linked to a sharp decline in Republican support, while Democratic support remained consistently high (Gustafson et al., 2019). When considering the idea that the GND frst received bipartisan support, this shift demonstrates the infuence of partisanship in support for policies. As the study demonstrates, individuals’ policy preferences are often driven more by party afliation and media framing than by the content of the policy itself. Terefore, even when individuals lacked a full understanding of the GND, the framing and partisan reactions signifcantly impacted the fate of the legislation.
Additionally, a survey conducted by Te Yale School of Environment’s Kathryn McConnell (2022) found that the phrase “Te Green New Deal” acts as a partisan cue, serving as a signal that is used to form an opinion about the policy. Tis quickly formed opinion is based on the policy’s perceived political afliation rather than its specifc details. In the case of the GND, since the perceived afliation is with the Democratic Party, support for bundled climate and social policy among rural U.S. West residents, particularly Republicans, is low. It was found that ‘Te Green New Deal Treatment’ caused a statistically signifcant 0.64-point decline (on a 7-point scale) in support for the policy across all rural residents, which corresponds to a 9.1 percentage point decrease (McConnell, 2022). Tese fndings, along with Gustafson et al.’s (2019) outlined above, have key implications for the GND: these results clarify just how signifcantly partisan signaling drives division. Individuals align their views on policies based on party afliation, which leads to policy names or proposals acting as partisan cues, which contributes to political polarization. Tis reinforces a key dynamic of polarization: people often evaluate policy based on who
supports it rather than what it might accomplish. A meaningful debate about the policy’s content is pushed aside; the legislation is then transformed into a symbolic, identity-driven issue. Tis increasing polarization undoubtedly helped seal the GND’s fate.
Tis already polarized political environment was further exacerbated by intensive lobbying eforts that strategically undermined the GND. Lobbying—broadly defned as attempts to infuence government actions—is widely seen as a powerful force shaping public policy (Mayer, 2007). In the realm of climate policy, lobbying plays a crucial role in determining legislative outcomes, particularly through corporate interests aiming to protect their economic standing. Michaelowa (1998) describes industrial lobbies as divided into two primary groups: those that stand to lose from climate policies and those that stand to beneft. Te natural gas industry, with a network of industry associations, lobbyists, think tanks, gas utilities, labor unions, and nonprofts, are the traditional groups when it comes to losing. Walker and Malmuth (2024) argue that the natural gas industry collaborates closely with the Republican Party and exerts signifcant infuence over policy decisions. Teir research identifes the natural gas industry as an “anchor group” for Republican policy preferences, reinforcing its opposition to climate legislation. Tis infuence has contributed to the spread of preemption bills—model legislation that interfaces directly with lawmakers to block local climate action before it can take root (Walker & Malmuth, 2024).
Tese lobbying dynamics were clearly visible in the campaign against the GND. Seidman (2019) notes that in response to the GND’s ambitious scope, a coordinated antiGreen New Deal coalition emerged, composed largely of actors tied to oil and natural gas money, infuence, and advocacy. Te fossil fuel industry has employed a primary strategy to weaken support for broad climate legislation and has backed industry-friendly carbon tax proposals to delay or dilute stronger regulations. For example, ExxonMobil donated $1 million to the conservative lobbying group Americans for Carbon Dividends, which promoted a “carbon fee” plan tied to rolling back regulations like the Clean Power Plan. Although carbon taxes can aid in climate mitigation, they often fail to curb fossil fuel production and emissions at their source, so industry sees this approach as a less of a threat to its proft model. Alongside these eforts, the fossil fuel industry has also advanced natural gas, obtained through oil fracking, as a greener option and possibly a “bridge fuel” toward renewable energy. Groups like the Western Energy Alliance claim that natural gas has reduced emissions by 14% since 2005 and argue that the GND unfairly ignores its role (Seidman, 2019). Tis narrative enables continued fossil fuel investment under the guise of a gradual transition. Financial institutions have followed suit. Even major banks like Bank of America, which publicly support “environmental sustainability,” continue to fnance fossil fuel infrastructure projects such as the Dakota Access Pipeline (Seidman, 2019).
Lobbying’s impact extends beyond legislative outcomes to the shaping of public discourse. Trough coordinated messaging eforts with conservative media outlets and afliated think tanks, these lobbies have shaped dominant narratives that present the GND as fscally irresponsible or economically destructive. Gustafson et al. (2019) emphasize how such narratives frame climate policies as unrealistic and economically harmful, contributing to public skepticism. Brock (2021) further demonstrates that political polarization fuels lobbying intensity, creating a feedback loop: partisan divisions amplify lobbying strategies, which in turn reinforce ideological resistance to climate action. Tis cycle presents ambitious climate legislation like the GND not only as impractical but also as politically toxic. Te anti-GND coalition’s strategy demonstrates that lobbying is not merely a tool to block legislation—it is a force that constructs the political terrain climate policy must navigate. While sweeping proposals like the GND deserve thorough inspection, a well-funded opposition campaign can redefne them as politically unviable. In the case of the GND, lobbying eforts successfully eroded bipartisan support and
framed the legislation as a “radical and unrealistic agenda,” ultimately discouraging elected ofcials and contributing to its political collapse (Brock, 2021). Tis outcome raises critical questions about the viability of transformative proposals in a polarized political landscape and whether incremental approaches, such as the Infation Reduction Act, represent a more pragmatic path forward.
Following the lobbying backlash that framed the GND as politically impossible, another key factor of the legislation’s failure comes into focus: the debate between radicalism and incrementalism in environmental policymaking. In their book, Gradual: Te Case for Incremental Change in a Radical Age, Berman and Fox (2023) argue that incrementalism— not radical change—is the most realistic and efective strategy for advancing environmental policy in the American system. While climate change may appear as an issue that requires urgent and transformative action, “the structure of American governance, the realities of implementation, and the limitations of public opinion” (Berman & Fox, 2023) make large-scale proposals like the GND unlikely to succeed. Te world is not black and white. Instead, it’s full of competing interests and information—creating a political landscape where policy has to learn how to navigate and accommodate. American political institutions are intentionally designed with multiple veto points and a fragmented balance of power (Berman & Fox, 2023), making it difcult to generate the support needed for radical change. People can be inherently wary of rapid change—especially when it threatens established routines, introduces uncertainty, or challenges familiar systems. Berman and Fox go on to emphasize that, in contrast to the sudden changes, incremental policies are better suited to navigate a political landscape where both institutions and the public can be resistant to dramatic change. Te GND’s failure directly refects this with its vision for environmentally friendly transformative change. Te legislation called for dramatic transitions that needed a level of political and public support that was difcult to achieve. In contrast, successful policy is often achieved through ofering smaller, more digestible steps, making policy easier to implement and also more politically viable. Incremental policies can simplify decision-making by focusing on narrow adjustments rather than sweeping change. Tese policies take on a trial-and-error approach that enables learning over time, which can lower the stakes—potentially lowering political confict and allowing for faster action (Berman & Fox, 2023).. Instead of requiring broad support for a major overhaul from the start, incrementalism allows policymakers to gradually build buy-in by showing steady progress over time.
Subsequently, the GND’s failure refects a disconnect between the policy’s transformative ambitions and the incremental nature of American political and social change. Te GND’s bold vision required widespread and immediate support across both institutions and the public—support that proved difcult to secure in a fragmented, vetoheavy political environment, as established by Berman and Fox (2023). Yet, as Boyle et al. (2021) demonstrates, the GND’s core principles of climate action, job creation, and social equity have not disappeared. Instead, they have begun to shape more targeted, politically viable policies like the IRA, which refects an incremental approach while drawing from the GND’s broader vision.
III. Te Infation Reduction Act and the European Green Deal
Building on the policy frameworks established by the 2019 GND, both the Build Back Better (BBB) plan and the Infation Reduction Act (IRA) represent successful eforts to translate the GND’s ambitious vision into politically viable legislation. Te BBB was proposed by the Biden administration shortly after his election and paired economic stimulus with green economic growth, containing “$4 trillion in investments aimed at incentivizing the low-carbon energy transition in the U.S.,” and included central features of the GND, such as large-scale job creation through clean energy investments and a
strong emphasis on environmental justice, which would be achieved through targeted public spending in communities most afected by the transition away from fossil fuels (Bang, 2025). In some ways similar to the GND’s fate, the BBB ultimately failed to pass in Congress due to political opposition; its ambitious scope and alignment resulted in a stalled and revised framework.
In response to the BBB’s collapse, the Biden administration introduced the IRA in 2022—a restructured version of the BBB that retained its climate goals but shifted toward a more politically viable structure. Te IRA introduced a range of reforms, including signifcant defcit reduction eforts aimed at curbing infation. It seeks to lower energy costs, expand clean energy production, and cut carbon emissions by about 40% by the year 2030. In addition, it empowers Medicare to negotiate drug prices and caps annual out-ofpocket costs at $2,000 for seniors. Te legislation also reduces health insurance premiums under the Afordable Care Act (ACA), benefting millions of Americans. To fund these initiatives, it ensures that large corporations and the wealthiest individuals contribute a fairer share in taxes, imposing no new taxes on families earning under $400,000 or on small businesses, instead closing loopholes and enhancing tax code enforcement (H.R. 5376, 2022). While the IRA lacks the comprehensive regulatory framework and broader social policy provisions proposed in the 2019 GND and the BBB plan, it retains many of their core principles, including major investments in clean energy, the creation of high-quality jobs, and a commitment to environmental justice. Te IRA was signifcantly shaped by the political groundwork laid by the GND movement and drew inspiration from its core principles.
One of the clearest continuities between the GND and the IRA is the emphasis on a “just energy transition.” Te “just energy transition” concept, central to the GND in its focus on the connections between climate action and racial and income inequality, also became an important component in the IRA process. While the GND advanced a justicecentered framework that called for large-scale public investment, wealth redistribution, and community-level guarantees for historically marginalized groups, the IRA pursued many of these same goals in a much more measured, incremental, and market-based approach. Instead of mandates, the IRA relies on economic incentives such as tax credits, subsidies, and targeted public investment to steer industry and consumers toward clean energy adoption (Bang, 2025). Tese “carrots,” rather than regulatory “sticks,” refect an adaptation to the polarized political climate, enabling the IRA to pass where the GND failed. Yet, this shift in strategy also marked a shift in emphasis. While the IRA incorporates elements of environmental justice, its engagement with “just transition” principles is less explicit and more market-driven. Tis contrast suggests that while the just transition can be part of an incrementalist framework, its meaning and impact vary signifcantly depending on the policy approach—with the GND emphasizing transformation and equity, and the IRA prioritizing feasibility and incrementalism
Te BBB served as a critical connection between the two policies. It attempted to translate many of the GND’s principles—particularly those related to environmental justice, green job creation, and systemic reform—into a comprehensive legislative package. Te combined failure of the BBB and the GND demonstrated the limitations of sweeping climate proposals in a fragmented political system and paved the way for the IRA’s more narrowly tailored approach. Terefore, the IRA represents not just a policy response to climate change but also a strategic shift: preserving the spirit of the GND while adapting to the constraints of the political landscape. In this sense, the 2019 GND served not only as a call for climate action but also as a policy incubator. Tis progression from GND to BBB to IRA refects a broader tension between radicalism and incrementalism in American politics, illustrating how bold ideas may ultimately drive change—not through immediate
adoption, but through their power to inspire, reframe, and reshape what is politically possible. While neither policy embodied the same transformative agenda, both carried forward core principles, demonstrating the GND’s lasting infuence on U.S. climate policymaking.
Te domestic infuence of the GND on U.S. climate legislation invites a comparison to the EGD. Unlike the U.S. GND proposal, which failed to proceed in the Senate, the EGD was adopted by the European Parliament in 2020 and currently serves as an action plan under implementation. Te success of the EGD is partially explained by the EU’s consensus-driven political culture, where climate change is not as ideologically polarizing. While there are diferences in issues such as funding or implementation speed, there is a broader agreement on the need for climate action. In this context, its success benefted from a broader political consensus around the need for climate action. Te EGD can be seen as a response to the increasing recognition of climate change as an existential threat, but it also emerged as a strategy to ensure Europe’s competitiveness in the global economy (European Council, 2025). Described by the European Council (2025), the legislation is a package of policy initiatives that set the EU on the path of a green transition to reach their ultimate goal of climate neutrality by 2050. Key goals include a drastic reduction of greenhouse gas emissions, a circular economy—an economic model where products are reused, repaired, and recycled—clean industry, a healthier environment, more sustainable farming, and climate justice and fairness (European Council, 2025). At frst glance, the two frameworks appear fairly similar. Both embed climate action with economic and social reform, as well as redefne sustainability not just in an environmental context but as an opportunity for change. However, while the two share common ground in their key features, they difer signifcantly in terms of comprehensiveness and concreteness.
Lee et al. (2021) provide an in-depth analysis and comparison fo the GND and EGD across several key categories, including the actors, aims, contents, and measures. In terms of actors, both legislations identify key governing bodies as the primary policy initiators, the federal government and the European Commission, respectively, with a willingness to consider various actors such as academics, businesses, civil society, and labor unions. With this, the EGD places a stronger emphasis on the role of local and municipal authorities, actively fostering citizen dialogue at the community level, particularly through energy communities. In contrast, the GND includes local authorities among various administrative levels, but it does not clearly defne their roles in implementation. Both policy frameworks commit to climate change mitigation and adaptation, working toward carbon neutrality. Yet, according to Lee et al., the EGD includes more explicit goals regarding biodiversity and environmental conservation, while the GND focuses more intensively on economic and social justice. Both frameworks aim to advance green economic growth and longterm job creation. Te EU emphasizes “decoupling” resource consumption from economic growth, achieving economic growth without a corresponding increase in the consumption of natural resources. Tough the GND does not specifcally mention this concept, it still addresses resource depletion through proposals to increase efciency and sustainability. While both frameworks also seek to reduce inequality, the GND more directly integrates environmental justice (Lee et al., 2021).
Policy content follows a similar pattern, with both frameworks prioritizing infrastructure development and energy transition. Tey also integrate plans for transitioning to renewable energy and smart grids, and both aim to transform industries such as agriculture and transportation. However, the two start to diverge regarding restructuring the economy. As explained by Lee et al. (2021), the EGD explicitly includes fnancial reforms, such as tax policy changes, to achieve its carbon-neutral goals and also emphasizes the circular economy with a specifc plan to minimize waste. In contrast, while the GND mentions
resource efciency and improved waste management, it does not explicitly adopt the principles or policy tools of a circular economy. It lacks specifc measures to transform supply chains, establish circular markets, or regulate product life cycles through design standards or extended producer responsibility (Lee et al., 2021). Tis absence refects a broader diference in how each framework views sustainability: the EGD proposes transformative economic changes to reach environmental goals at every stage of production and consumption, while the GND focuses more directly on decarbonization, green job creation, and environmental justice.
When it comes to policy measures—how the GND and EGD plan to achieve their goals—both include plans to educate the public to increase climate change awareness. Tey also include job training programs for workers and minority groups to ensure more sustainable and equal employment opportunities. Both recognize the importance of technological advancement and include investment and support for research and development. However, the EGD articulates these eforts with greater specifcity in its implementation plans. Additionally, it includes clearly defned funding mechanisms, targeting 25% of the EU budget for climate objectives, and stresses international cooperation, while the GND fails to address specifc funding sources (Lee et al., 2021).
Te above comparative analysis has shown that while both frameworks share overarching goals of promoting climate justice, economic opportunity, and social equity, their implementation paths diverge signifcantly. Te EGD became law in part because its structured design—complete with clear targets, timelines, and implementation mechanisms—helped it gain the necessary political support to become law. It presented a more incremental action plan that proved to have greater political viability. In contrast, the GND represents a more aspirational and transformative framework, with bold, sweeping goals centered on systemic economic and social restructuring alongside climate action. Yet, it remained non-binding and lacked concrete implementation mechanisms, which contributed to its lack of political viability and ultimate failure. While the GND has shaped discourse around climate legislation and inspired policies like the IRA, its broad scope and sweeping ambitions have made it more symbolic than actionable in the short term.
Given the cultural and policy dynamics surrounding climate change in the U.S., incremental policies such as the IRA have proven to be more politically viable, particularly by trying to proactively reduce interest group opposition (Levmore, 2009). Unlike the GND, which aimed for a rapid and sweeping transformation, the IRA adopted a more incremental approach, making it more politically feasible. Tis incrementalism—defned by Mitrom and Norman (2009)—saw the process of enacting gradual, piecemeal policy change, which proved critical to the IRA’s passage. Rather than introducing sweeping mandates, the legislation focused on incentivizing voluntary compliance through marketbased tools, particularly tax credits, subsidies, and government investments in clean energy technologies. A key factor in its success was its reliance on market-based incentives rather than government mandates. As Pomerleau (2025) notes, these fnancial incentives were designed to make the clean energy transition economically attractive to industries and consumers alike, reducing industry pushback. By leveraging fnancial incentives over regulatory enforcement, the legislation minimized direct resistance from the fossil fuel industry and gained broader political support. Tis carrot-based strategy not only mitigated opposition but also created a framework where industries, including fossil fuel companies, could gradually change while still benefting fnancially. It increased the likelihood of the IRA’s passage, preserving key elements of the GND while adapting its strategy to structural and political realities.
Te European Green Deal (EGD) is another example of incremental climate policy. While setting a long-term goal of net-zero emissions by 2050, the legislation itself is
presented as an action plan ready for implementation. Lee et al. (2021) note that the EGD outlines “measures for the education of the public through existing institutions of learning” and emphasizes “proactive reskilling and upskilling.” Tese measures are part of a longer-term strategy, depicting a more gradual implementation. Tis incremental approach is further refected in the EGD’s focus on “just transition” principles, which aim to ensure that climate-policy-related economic shifts do not disproportionately impact vulnerable communities—ensuring that no one is left behind in the green transition and mitigating potential harm. Te EGD foregrounds the government’s power to disincentivize and incentivize certain corporate behavior. In contrast to the GND’s more radical vision and the IRA’s limited use of regulatory power, the EGD’s emphasis on concrete, phased, step-by-step reforms should be seen as a middle ground for advancing environmental and economic goals. By framing the EGD as a series of manageable government-led actions, the legislation has become more politically viable. Tat viability, though, is specifc to Europe’s political context, and in the United States the IRA leaned into a market-based approach to make itself viable in a society more skeptical of government.
IV. Conclusion
Te failure of the 2019 Green New Deal was more than just the collapse of a legislative proposal—it demonstrated the challenges transformative climate policies face when trying to navigate the U.S. political landscape. Political polarization, corporate lobbying, and institutional constraints all interacted to block the GND’s progress. Understanding why the GND failed is crucial not only for recognizing the limitations of past climate policy but also for learning how those committed to developing and supporting climate policy might strategically utilize both aggressive and more moderate policy approaches. While it’s easy to dismiss the GND as simply too ambitious, it still served an important strategic purpose. By acting as a policy-based radical fank within the traditional policy structure, its radical approach wasn’t necessarily meant to pass—instead working to move the conversation forward. Te GND expanded the boundaries of traditional climate policy, making more moderate proposals, such as the IRA, appear more politically feasible. However, when that more moderate policy emerges, it is fair to recognize that the original vision has been watered down. In place of the bold, transformative GND is something more cautious and incremental, which doesn’t capture the same sense of purpose and urgency that the original proposal tried to achieve.
Terefore, even if we accept the idea that the climate crisis demands urgent, largescale change, the challenge lies in making that change politically viable. Te GND’s failure refects this struggle. Tis leads to the question of not just whether to prioritize bold reforms or gradual steps. Instead, it prompts the understanding that bold reforms may need to coexist with more gradual approaches to achieve long-term success. Change isn’t something that usually comes in one sweeping action; instead, it comes in more incremental steps that move towards a transformative future. Given the current Trump administration’s attempt to undo even the more moderate climate policies implemented via the IRA, it is clearly the case that sometimes we also take a step backwards. Additionally, the failure of the GND also refects a greater pattern of climate legislation. Tere will always be roadblocks, failures, or steps backwards, but these shouldn’t be taken at face value; instead, they’re something to learn from. When the next moment for positive federal action on climate change presents itself, as it surely will, the analysis of the Green New Deal ofered in this paper should remind us of the integral relation between transformational and incremental policy proposals. Te 2019 GND’s continuing infuence is not just about the policies it proposed. It is also about the space it opened up in the conversation—a conversation that is necessary to help us shape the trajectory of climate action in the U.S.
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About the Author
Lillian Young is a May 2025 graduate with a Bachelor of Arts in Environmental Studies and a minor in Biology. She graduated with cum laude Latin Honors distinction. For four years, she spent two weeks each summer at Nature Camp—a program specializing in natural history and environmental science education—which inspired her to pursue an environmentally focused path at CNU. Initially averse to politics due to the partisan polarization of her hometown, she didn’t develop an interest in political science until her junior year. What once drove her away from politics eventually fueled her desire to explore how climate policy could be reframed as a less polarizing issue to help address the growing climate crisis. With the guidance of Dr. Andrew Rose during her environmental studies senior capstone project, this interest resulted in work she is proud to call her own—and proudly contributing to Christopher Newport University.
Methamphetamine Efects on Impulsivity, Alexithymia, and Aggression
Penelope Wong
Faculty Sponsor: Dr. Gina Fernandez, Department of Psychology
Abstract
Methamphetamine use in the United States is rising, afecting millions of individuals and leading them to serious health issues. Even moderate methamphetamine users can experience disruption in their lives, such as impulsivity, inexpressible emotions, and aggression. Tis disruption makes it more difcult to control usage and can develop into a vicious cycle where emotional distress and methamphetamine use reinforce each other. Methamphetamine’s efect on the brain may cause lasting issues with memory, decision-making, and emotional control, which can create challenges in the recovery process. Tis review aims to highlight how even moderate methamphetamine use can considerably impact individuals’ lives, and why understanding these efects is pivotal to assisting those afected and advancing treatment approaches.
According to the Substance Abuse and Mental Health Services Administration (2024), 2.6 million individuals in the United States actively use methamphetamines. Tey also report that 0.6% of individuals aged 12 or older had a methamphetamine use disorder (SAMHSA, 2024). Although it is often assumed that only severe methamphetamine uses leads to addiction and fallout, it has been shown that even moderate usage can lead to disturbances, including emotional dysregulation (National Institute on Drug Abuse, 2013). Tis may reveal itself through issues such as impulsivity, alexithymia, and increased violence and aggression. Emotional dysregulation not only afects behavior, but it also creates a cyclical relationship, where use of methamphetamines increases emotional dysregulation, and emotional dysregulation pushes further methamphetamine use. Tis cycle can lead to symptoms linked to the diagnostic criteria for a stimulant use disorder, such as impaired control of intake, craving of stimulations, and more (American Psychiatric Association, 2022).
Moderate Methamphetamine Use
Although methamphetamines were frst introduced to the United States in 1932, it was not popularized until the 1980s, when it became available in its “free-based form” (Gettig et al., 2006). Early forms of methamphetamines were available through tablet or injection and was used for both medicinal and non-medicinal use amongst various groups. However, an increase in awareness of the dangers of using caused regulations to become frmer, and overt use declined. Ten, in the 1980s, a smokable form more commonly known as “crystal meth” emerged, and intense and immediate highs became accessible to a much broader audience leading to its popularization (Vearrier et al., 2012). Because methamphetamines increase dopamine levels, those who use it may experience efects that include intensifed exhilaration, attentiveness, and stamina (Substance Abuse and Mental Health Services Administration, 2023). Dopamine is important for both pleasure in the brain and potentiality of abuse. When methamphetamines are consumed, they encourage dopamine release in nerve endings, block reuptake, and inhibit breakdowns. Te outcome is a large cumulation of dopamine in the brain, especially in areas that involve motivation and attention (Hedges et al., 2018). Although there are benefts that come from controlled doses, those can become defcits with higher usage, which can lead to cognitive impairments. Methamphetamine, even at low doses can still be neurotoxic, specifcally when it disrupts dopamine systems, which play a crucial role in memory and executive functioning systems, like planning, decision-making, and regulating impulses. Methamphetamine users may have a more difcult time recalling information or learning new tasks. Tese efects can endure even after the use has ceased, hindering the individual’s ability to sustain a balanced lifestyle (Shukla & Vincent, 2021).
Individuals who use methamphetamines may fnd that acquiring new skills can become overly demanding, as it is difcult to retain new information (Marshall & O’Dell, 2012). Because of this, the individual’s capacity to grow in careers or explore professional development and satisfaction may be restricted. Even moderate use can result in negative consequences such as irrational mistrust, illusory visual and auditory perceptions, and falsely fxed beliefs, which may last months or longer (National Institute on Drug Abuse, 2011). Furthermore, methamphetamine use may lead to lasting depressive symptoms and psychosis, which muddles with the diagnosis and treatment of a stimulant use disorder, as the distinction between substance-induced efects and underlying mental health disorders is often challenging to discern (Cohen et al., 2004).
As noted in the Diagnostic and Statistical Manual of Mental Disorders (2022), a stimulant use disorder, which methamphetamines fall under, is marked by a harmful pattern of stimulant usage that causes substantial dysfunction or distress (American
Psychiatric Association). Tere are several distinctions between the severity of a methamphetamine use disorder (MUD) that an individual may be diagnosed with. While mild severity includes the presence of two to three symptoms, moderate severity requires four to fve, and severe ratings include six or more (p. 632-635). Some of these symptoms include persistent urges to use the stimulant, negligence in social and occupational duties, unnecessary time spent acquiring the stimulant, and a built-up tolerance (p. 633).
A cross-sectional study reported the patterns of methamphetamine use, as well as discussing the socioeconomic risk factors and diversifying factors of those with MUD (Han et al., 2021). Methamphetamine use may begin with mild to moderate use, but over time it has contributed greatly to the rising epidemic of stimulant use disorders.
Impulsivity within Moderate Methamphetamine Use
Impulsivity has been defned as behavior that is preemptively executed, and without sufcient thought or plan, which frequently leads to adverse outcomes (Evenden, 1999; Moeller et al., 2001). Two notable features of impulsivity are that it is specifed as a predisposition, and it is quick and spontaneous. Tat is, impulsivity is a component of a behavior pattern, instead of a solitary action, and it requires an action that happens before conscious evaluation of the potential consequences. It is essential to highlight this because impulsivity is not the result of misjudgment, but rather the absence of judgment altogether (Moeller et al., 2001).
Impulsivity is a complex psychological construct with diferent dimensions. Firstly, impulsivity can lead to a decrease in inhibitory control. Inhibitory control is the capacity to direct focus, actions, mental processes, and emotional responses in order to overrule internal predispositions or external temptations (Diamond, 2013). In one study, researchers found evidence that supported suggestions that impulsivity in adults may be explained by difculties in certain types of inhibitory control, such as disregarding non-essential stimuli and controlling undesired physical urges (Enticott et al., 2006). To clarify, the action of ignoring irrelevant information refers to the inability to focus on relevant and often important information. Suppressing inappropriate motor responses refers to the ability to prevent the self from performing behaviors at an unsuitable time given the context. Both are important components for decision making.
Another dimension of impulsivity is an individual’s preference towards immediate gratifcation, instead of larger delayed rewards (Fischer et al., 2016). Tis is also known as choice impulsivity, where individuals, especially those who self-report impulsivity, choose smaller rewards that come immediately over larger rewards that would take a waiting period (Huang et al., 2017).
Amidst the various efects of methamphetamine use, its infuence on impulsivity is particularly noteworthy. Impulsivity plays a crucial role in the maintenance of methamphetamine use. Te connection between methamphetamine uses and impulsivity appears to be symbiotic. While those with preceding impulsive traits can be more prone to methamphetamine use, the substance itself also escalates impulsive behaviors.
Chronic methamphetamine users can show structural and functional changes in the brain. Tese include reduced gray matter volume in areas like the prefrontal cortex, which plays a key role in executive functions such as decision making and impulse regulation (Guerin et al., 2019). Defciencies in these cortical areas can bring about a decreased range for cognitive control (Baicy & London, 2007). Tese neurological changes may explain the decrease in cognitive control among methamphetamine users, which also may intensify their impulsive tendencies.
Interestingly, self-reported impulsivity corresponds with methamphetamine
consumption patterns. Tose who self-report as impulsive are more likely to consume higher quantities of methamphetamine and engage in frequent binging episodes (Moallem et al., 2018). Even in remission (2 to 3 months of withdrawal), those who used methamphetamines exhibit higher levels of impulsivity compared to non-users, which can lead to worsened psychiatric symptoms like somatization, excessive anxiety, increased irritability, irrational fears, and hopelessness (Wang et al., 2023). Tis persistent advancement of impulsivity suggests that the impact of methamphetamine use stretches beyond the period of active addiction, which could complicate the recovery process and risk of relapse, as well as further the cyclical relationship methamphetamine has on an individual’s emotional regulation patterns.
A measure of impulsivity that clinicians use is self-report measurements. Te Barratt Impulsiveness Scale (BIS) and Eysenck Impulsiveness Questionnaire (EIQ7) are both common self-report measures which give researchers the opportunity to collect information about a variety of diferent impulse acts. Clinicians can tailor methamphetamine-related interventions through BIS by addressing an individual’s particular impulsivity profle. Although self-report measures can create drawbacks due to their subjectivity, it may be a helpful tool for developing interventions with personalized impulse control techniques.
Alexithymia within Moderate Methamphetamine Use
Alexithymia, also multifaceted in its construct, is characterized by a struggle to recognize one’s own emotions, challenges in expressing emotional states, and a thought process that emphasizes outward interactions over internal rumination (Luminet et al., 2021). Tose individuals who score higher on alexithymia scales tend to avoid sharing negative events with others. In general, they are also emotion-avoidant when asked about the negative event (Luminet & Zech, 2000). Additionally, studies indicate that alexithymia is linked to the absence of cognitive undertaking of emotions (Lane et al., 1996). Because individuals with alexithymia struggle with the recognition, characterizing, and articulation of their emotions, this could result in a scarcity of their cognitive depiction of emotional states. Tis difculty sets a base for emotional dysregulation.
For those with alexithymia, methamphetamines may initially present themselves as a tool or coping mechanism to deal with the distress associated with emotion processing. However, a reliance on methamphetamines has shown in some cases to increase emotional dysregulation and create more tension and discomfort for those individuals. Alexithymia has a strong positive correlation with any substance use, particularly in its aspects of difculty recognizing and expressing feelings (Honkalampi et al., 2022). Tis relationship is relevant for methamphetamine use, as individuals struggling with emotional awareness may seek out stimulants to induce feelings of euphoria to mask the difculty in expressing themselves naturally.
Incidentally, it has been found that individuals with high alexithymia scores were also more likely to have high levels of depression, anxiety, and impulsivity rates. Furthermore, people with alexithymia tend to lack positive or efective methodology to manage their emotions, instead falling into continued methamphetamine use to emotionally escape (Cui et al., 2021). Tese psychological challenges continuously increase the likelihood of persistent usage, creating another cyclical relationship between methamphetamine use and specifc emotional dysregulation.
Similar to impulsivity’s relationship to executive functioning, alexithymia has been associated with impairments in executive functioning as well (Correro et al., 2021). Te infuence that alexithymia has on the identifcation of feelings plays an important role in
executive functioning; it afects cognitive processes like attentional focus and evaluation. Such changes can have efects on many aspects of cognition and behavior, observable in even non-emotional situations (Nielson et al., 2021). Tis relationship sustains a pattern where methamphetamine use not only fails to alleviate the emotional distress, but intensifes it, revealing the challenges posed by alexithymia and executive dysfunction.
Two measurements used for alexithymia include: the Toronto Alexithymia Scale (TAS-20) and the Bermond-Vorst Alexithymia Questionnaire (BVAQ). Bagby et al. (1994) developed the TAS-20, a self-reporting questionnaire which may be used as an intervention for methamphetamine-using individuals, as it assesses the level of difculty persons are having in identifying and describing their emotions. By understanding specifc areas of defciencies that an individual faces, clinicians can refne targeted practices to implement emotional regulation skills and lessen the desire to use methamphetamines.
With the BVAQ, researchers can understand the fve dimensions of alexithymia: difculty identifying feelings, difculty describing feelings, the reduced ability to fantasize, reduced emotional arousal, and externally oriented thinking (Vorst & Bermond, 2001). Based on the individual’s results on this questionnaire, clinicians can use emotion recognition exercises and use other therapies, such as art and music therapy, to motivate non-verbal expression. In addition, clinicians may use the BVAQ and the dimensions it entails to explore the relationship between emotional difculties and the use of methamphetamines as a coping strategy.
Aggression within Moderate Methamphetamine Use
Violence and aggression encompass behaviors that infict physical or emotional harm or cause injury to another person (National Collaborating Centre for Mental Health, 2015). It is important to note that aggression is not only related to physical harm, but also inappropriate behaviors towards another individual, psychological damage that can be evoked onto another person, and verbal abuse. In some ways, aggression is viewed as a natural, adaptive behavior that is benefcial for survival. However, when aggression exceeds acceptable levels, it transforms into violence, which is considered to be a negative and inappropriate form of behavior (Ramírez, 2011). Methamphetamine use often aggravates this issue of aggression, which in turn contributes to further emotional dysregulation.
Although aggression is not the inescapable end result or antecedent of methamphetamine use, there is a connection between violent conduct and perceived methamphetamine afliated aggression. Interestingly, methamphetamine users sometimes report feeling more aggressive while using the substance because of its desensitizing efect and the control it has over their lives (Brecht & Herbeck, 2013). Another study showed a strong link between methamphetamine use and aggressive behavior through a doseresponse relationship. Regular methamphetamine use (16+ days per month) notably increased the risk of violent and aggressive behavior, with frequent users being ten times more likely to engage in it. Less frequent users still faced triple the risk. Tis trend held true even after controlling for various confounding factors like psychotic symptoms, demographics, and simultaneous substance use (McKetin et al., 2013).
Furthermore, methamphetamine use, even without the infuence of other substances, is independently associated with increased aggression and violent conduct in certain settings. In fact, Stretesky (2009) notes that even without the infuence of other substances, the probability of a homicide being committed is almost nine times greater for individuals who use methamphetamines, in contrast to those who do not. Tese
fndings stress the interconnectedness between methamphetamine use and aggressive behavior. Methamphetamine’s ability to overwhelm the brain with dopamine (that can change neural circuits managing impulse control and emotional regulation) may also lower inhibitions against aggressive behavior and acts (Piper et al., 2023; Sekine et al., 2006). Tis accentuates the efects of methamphetamine on behavioral outcomes, suggesting that the substance both enhances aggressive inclinations and creates an environment where users may comprehend aggression as a more acceptable response to stress or confict.
Aggression can be measured in several ways, including self-report measures like the Buss-Perry Aggression Questionnaire (BPAQ), behavioral measures like the Competitive Reaction Time Task (CRTT), or cognitive bias measures like the Hostile Attribution Bias Task (HAB Task). Researchers use the BPAQ to understand aggression through four dimensions: physical aggression, verbal aggression, anger, and hostility. Based on the results of this questionnaire, psychologists can further explore the interactions between methamphetamine cravings and aggressive impulses to cultivate strategies to manage aggression, especially during the withdrawal and recovery phases (Suris et al., 2004). Te CRTT helps to assess the intensity and duration of aggressive responses, and results from this measurement may be used to address impulse control and instigation responses. Additionally, CRTT results can be used to help challenge distortions that violenceprone methamphetamine users have by reframing interpretations of other’s actions and addressing biases (Warburton & Bushman, 2019).
Finally, the HAB Task gives insight into an aggressive individual’s tendency to interpret uncertain social indicators as hostile. For methamphetamine users, this task assessment can pinpoint more specifc types of situations that may stimulate hostile inferences. Clinicians can use the HAB Task measurement to understand how methamphetamine use specifcally heightens hostile attributions and assess the efciency of other interventions (Heleniak & McLaughlin, 2020). By using diferent aggression measurement tools, researchers can gain a better understanding of the relationship between methamphetamine use, aggression, and in turn guide more efective interventions for individuals seeking assistance.
Discussion of Limitations
Although previous studies have examined the relationship between methamphetamine use and emotional dysregulation (in the forms of impulsivity, a, and aggression), many of those studies focus on specifc populations. Tese populations include those who are actively seeking treatment, or individuals who are in clinical and laboratory settings. Tese fndings may therefore not apply to the broader population of methamphetamine users. Further research could expand to groups such as recreational users or those in a non-clinical setting. In addition, subjective measures, like the Barratt Impulsiveness Scale or the Toronto Alexithymia Scale, may be less dependable in precisely representing the correct levels of impulsivity or alexithymia in users. Future studies may be aided by using more objective neurological markers.
Discussion of Implications
Research has found that cognitive impairments often persist throughout remission. Cognitive Bias Modifcation (CBM) is an intervention technique that can examine cognitive distortions that are associated with impulsivity, alexithymia, and aggression in abstinent methamphetamine users (MacLeod & Mathews, 2012). One specifc form of CBM is Attention Bias Modifcation, where individuals are trained to redirect their attention away from substance-related cues, which can reduce impulsive substance-
seeking behavior (Heitmann et al., 2018). Moreover, response inhibition training may be applied to practice inhibition responses to methamphetamine-related stimuli, therefore improving the ability to control impulsive urges (Drummond et al., 2021).
Alexithymia may require more integrative care models for individuals who use methamphetamines to cope with the inability to properly express their emotions. A few of these models like Mindfulness-Based Stress Reduction (MBSR) and MindfulnessBased Relapse Prevention (MBRP) can help to increase emotional awareness and regulation in alexithymic individuals. While the MBSR approach allows individuals to become more aware of how their bodily sensations relate to emotions, MBRP is designed specifcally for substance use disorders, and can adapt to addressing alexithymia by encouraging awareness of internal experiences (Marlatt et al., 2005). It is noteworthy that MBRP has demonstrated feasibility as an intervention for individuals with MUDs, with studies showing advantageous efects in lessening cravings and elevating coping skills in managing withdrawal symptoms (Hamidi & Kheiran, 2019).
According to the National Center for Drug Abuse Statistics (2023), there has been an increase in methamphetamine use among younger populations. Public health campaigns may fnd it useful to focus on education and prevention, as well as the shortand long-term consequences of methamphetamine use. Research conducted by the National Institute on Drug Abuse (2006) shows that prevention programs, especially school-based ones, can lower the rates of methamphetamine abuse, even years after intervention. Furthermore, expanding resources for mental health services that specifcally focus on addiction and emotional dysregulation issues may aid in alleviating the rise of stimulant use disorders.
Conclusion
Tis review emphasizes the impact of methamphetamine use on emotional dysregulation factors which include impulsivity, alexithymia, and aggression. Te fndings also show the necessity and demand for more targeted interventions among individuals who use and abuse methamphetamines. To address the cognitive and emotional impairments, as well as the behavioral issues that are associated with harmful methamphetamine consumption, interventions such as the CBM and mindfulnessbased approaches may be used to combat the damages that are associated with methamphetamine use. Directing conversations towards the relationship between methamphetamine use and emotional dysregulation may be essential towards breaking their cyclical relationships and creating a space of recovery.
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About the Author
Penelope Wong graduated from Christopher Newport in December of 2024. She fnished her B.A. in psychology with a minor in writing. She is currently working as a registered behavior technician in Ames, IA. As a student, Penelope was involved in the servant team on CRU, worked as a research apprentice under Dr. Kelly Cartwright, and tutored fellow students in the Alice F. Randall Writing Center. After her gap year, Penelope plans to pursue a master’s degree in Applied Behavioral Analysis and continue advocating for children on the Autism spectrum and those with developmental diferences.
How Skinny Do You Have to Be in Order to Receive a Proper Diagnosis?
Lauren Jones
Faculty Sponsor: Dr. Christina De Leon-Menjivar, Department of English
Abstract
Tis paper addresses the challenges of “normal weight” and overweight patients when it comes to receiving diagnoses and healthcare for eating disorders due to societal stereotypes and problematic parameters. Despite being the second deadliest psychiatric illness, many patients navigating eating disorders are denied proper care due to weight stigma and rigid diagnostic criteria, resulting in delayed diagnoses and inadequate treatment. Tis paper examines why weight contributes to disparities in eating disorder diagnoses and explores how society can better support all individuals, regardless of weight. Trough an analysis of media portrayals, societal stigma, diagnostic criteria, and research on atypical anorexia, fndings conclude the need for more inclusive diagnostic criteria, increased awareness of atypical anorexia, and greater education for healthcare professionals to eliminate weight bias. Ultimately, the paper argues that equal treatment and timely interventions are essential for all patients, regardless of weight, to improve outcomes and reduce the harmful efects of misdiagnosis and stigma.
Keywords: eating disorders, weight stigma, “normal weight”, atypical anorexia
Introduction
Unfortunately in modern society, appearance has become another vessel where judgment and stigma can continue to permeate through our struggling society. Western society’s obsession with weight is a dangerous phenomenon that pushes individuals to strive for unattainable standards. Although society may not interpret eating disorders to be minacious, it is this very condition that takes a human life every 52 minutes in the United States (Eating Disorder Statistics). Society has numerous preconceived perceptions surrounding eating disorders, such as you need to look a certain way, usually severely underweight, to have an eating disorder. However, these beliefs have no validity and are often harmful because practitioners may not take “normal weight”1 and overweight patients’ concerns seriously. Although there are several diagnoses that are considered eating disorders, anorexia is notably problematic because of the cultural and social stereotypes that are reinforced in the diagnostic language set by the DSM-IV and 5, resulting in certain patients being overlooked or undertreated. According to the fourth edition Diagnostic and Statistical Manual of Mental Disorders (DSM-IV), a patient must refuse to maintain a “normal body weight” in order to have anorexia, however, this harmful notion has caused many patients sufering to go unnoticed, leading to a worsening in their condition. Tere have been improvements in recognizing eating disorders in those who aren’t underweight, with atypical anorexia being diagnosed more commonly, however, there is still a signifcant delay in care for these patients due to practitioners following distorted parameters, which can be detrimental to the patient (Ringeisen 48).
Diagnostic Criteria and Defnitions
Anorexia nervosa is a specifc eating disorder that receives a lot of attention due to the high mortality that it is associated with, which is why it is important to understand the controversial language used to diagnose patients, which unfortunately discounts “normal weight” and overweight patients. Anorexia nervosa (AN) is a very serious mental disorder that has been recognized in the Diagnostic and Statistical Manual of Mental Disorders as a condition that is “...defned by restriction of energy intake relative to requirements, leading to a signifcantly low body weight” (Moore). According to the DSM-IV patients had to reject a “normal weight” in relation to their height and age, which was considered to be “...less than 85th percentile” (Ringeisen 48). However, now the DSM-5 states that a patient must have a “...signifcantly low body weight” to be diagnosed with anorexia (Moore). Te diferences between the DSM-IV and DSM5’s anorexia criteria may cause practitioners to have a difcult time providing proper diagnoses due to either extremely strict guidelines or vague specifcations (see table 1) (Moore).
DSM IV
Refusal to maintain body weight at or above minimally normal weight for height/age (less than 85th percentile).
1
DSM-5
Restriction of energy intake relative to requirements, leading to a signifcant low body weight in the context of the age, sex, developmental trajectory, and physical health (less than minimally normal/expected).
Sources: Diagnostic and Statistical Manual of Mental Disorders: DSM-IV and Diagnostic and Statistical Manual of Mental Disorders, 5th ed.
Normal weight: refers to a weight that is appropriate for someone in comparison to their height, based upon Body Mass Index
Table 1
Comparison of DSM IV and DSM-5 Anorexia Weight Guidelines
Patients that sufer from anorexia nervosa partake in these unhealthy habits because they have “...an intense fear of gaining weight and distorted body image…” which leads to them not even realizing the severity of their condition (Moore). However, weight loss is not the only thing that is occurring in the body of someone with anorexia. In fact, these patients are at extreme risk for complications such as but not limited to amenorrhea, hypothermia, osteoporosis, bradycardia, peripheral neuropathy, cardiomyopathy, and infertility. Tese extensive conditions afect the entire body ranging from the reproductive organs, to the cardiovascular system, nervous system and even the skeletal system (Moore). Anorexia also disrupts cognitive functioning by altering the brain structure creating “...defcits in neurotransmitters dopamine (eating behavior and reward) and serotonin (impulse control and neuroticism)...” (Moore). Patients that sufer from anorexia commonly struggle with generalized anxiety disorder, major depressive disorder, and suicidal ideations, showcasing the high comorbidity anorexia has alongside other psychiatric conditions. Due to the vast efects and dangers of this grave disorder, it is vital that patients are able to access psychotherapy to discuss their inner feelings and nutrition rehabilitation centers to ensure their body is receiving proper sustenance (Moore).
Media Portrayals
Undoubtedly, anorexia is already an onerous condition to endure, yet there are people in society who are judging patients by their appearance, making claims that they are not “sick enough.” Tese misperceptions could be the result of the media’s portrayals, however, they are not accurately depicted, as the depiction of an anorexic patient almost always tends to be a young, thin, white woman (Tomas 3). In fact, research has showcased that “...representation in flm can infuence viewers’ attitudes and behaviors. Indeed, flm often reiterates existing stereotypes that can lead viewers to use these portrayals as a frame to view and understand people,” which further perpetuates the idea that anorexic patients “should” look a certain way (Basset). Te media also does not encapsulate the destruction that anorexia brings into all of the multitudes of one’s life (Ramaswamy 540). In fact, the media’s portrayal of the “ideal woman” is so entrenched in our society that a recent study displayed that “...50 percent girls ages three to six said that they ‘sometimes’ or ‘almost always’ worried about being fat,” which is so incredibly disturbing that young girls are more concerned with their weight, than just being children (Tomas 110). It is evident that in modern society, much of the youth has access to media so it is very necessary to characterize eating disorders factually to extinguish prior biases and beliefs that are inaccurate. If the media were to have a shift in how eating disorders, specifcally anorexia, were represented then stigma would be reduced, and more patients would be able to receive proper care (Basset). Unfortunately, it will be extremely difcult to eliminate this stigma around weight when it comes to eating disorders because it is so pervasive.
Stigma
Due to the stigma around what an anorexic person should “look like,” there are false assumptions made which further harm the patient and may even cause them to further engage in restrictive behaviors. In a qualitative study, Kari Eiring explores the experience of anorexic patients being dismissed based upon their weight, but she opposes this notion stating that, “A prevailing misconception is that an eating disorder, particularly those marked by restrictive eating, is always outwardly recognizable due to malnutrition or emaciation. In reality, restrictive eating disorders occur across a range of body weights” (Eiring 2). Eiring’s study examined seven women who struggled with variations of anorexia in a semi-structured interview method. A common theme throughout the respondents’ answers focused on their friends, family, and even practitioners not
taking their concerns around eating disorders seriously because they were not “skinny enough” for their condition to be worrisome. Tea, one of the seven women, shared how her friends inferred that she couldn’t be anorexic based on their preconceptions, “... they point blank don’t believe that I’ve ever had an ED because they didn’t see me as being skinny enough” (Eiring 4). Another participant, Stine, explained how even her practitioners ignored her pleas for help and delayed her access to treatment with the explanation that “...they just needed to monitor this, but there’s nothing now that indicates that we need to take action because your weight is relatively stable, and your blood samples are fne” (Eiring 5). Tis dismissal of an individual’s battle with anorexia can lead them to feel “...shame, confusion and self-doubt regarding the seriousness of their symptoms” (Eiring 2). Tis self-doubt can lead to a regression in an individual’s condition because now they feel that they need to prove their disorder to be real. Tis phenomenon feeds this “competitive” and “perfectionist” driven disorder causing it to worsen, and oftentimes an individual will restrict or engage in unhealthy habits to convey how much they are sufering (Eiring 2).
Furthermore, patients struggling with eating disorders have felt so secluded and invalidated that they have shared their experiences to a public forum, Te Mighty, in the hopes of fnding a sense of community. Jenni Holman shares her perspective on how isolating it can be to be overweight and feel that her experience is insignifcant as she states, “I also question where I belong or if I even ft in the ED community…and unfortunately this is mostly a result of the stigmas and stereotypes that are portrayed with eating disorders” (Holman). Similarly to the patients from Eiring’s study, Holman also shares how friends and family have been dismissive of her circumstances and made insensitive comments towards her, further displaying the inherent weight bias that exists. Holman explains the most egregious comments that have been made towards her typically surround weight loss, as she is encouraged and congratulated for it, despite whatever detrimental behaviors have led to the end result. Holman shares how these comments are unnecessary and have actually caused her to feel further alone, as she expressed, “I am overweight and need to lose weight, so the reaction is that I’m making great progress. Te truth is I am slowly regressing to a world of torment, rage, and obsession” (Holman). Although it is very saddening, it is important to listen and understand the perspectives of “normal weight” and overweight patients who are struggling with eating disorders, so that society can learn to treat them with the same respect and level of concern that any eating disorder patient would receive.
Recognizing Atypical Anorexia
Fortunately, the medical feld is beginning to recognize this occurrence where patients struggling with eating disorders feel as though they must reach a specifc weight or body mass index for their condition to be considered seriously. Whilst anorexia has been recognized since 1689 and diagnosed since 1859, the identifcation of atypical anorexia was a huge advancement in the healthcare industry, being that it was frst recognized in 2013 (Pearce; Digitale). Atypical anorexia nervosa (AAN) was an addition to the “Other Specifed Feeding or Eating Disorders” section of the 5th version of the DSM. AAN is similar to anorexia nervosa because in both disorders the patient has an “...intense fear of gaining weight…” and they “...engage in potentially dangerous weight control behaviors such as dietary restriction, fasting, excessive exercise, self-induced vomiting…” (Vo 1). Traditionally, patients with AN had to be underweight, but now patients who are considered to be in the “normal weight” range or overweight can receive a diagnosis of AAN with this breakthrough. Since AAN was acknowledged in 2013, there have been numerous positive impacts such as raising “...awareness that individuals of all
weights can have an eating disorder,” despite what they look like, which will hopefully reduce the inappropriate comments made to individuals struggling with AAN (Golden 1). In addition to this awareness, research is helping individuals with AAN realize they are not alone, and that atypical anorexia nervosa is actually fairly common. Erin Harrop discovered that atypical anorexia has a lifetime prevalence of 0.2%-4.9%, which is approximately two to three times higher than those that experience anorexia in their lifetime (Harrop 9). Another beneft of AAN gaining recognition is that more patients are beginning to seek help, getting admitted into hospitals, and starting treatment programs. In fact, atypical anorexia patients account for one third of individuals in inpatient treatment for eating disorders (Garber 2). Although this statistic is heartbreaking, it is so important that these individuals are receiving proper treatment that they may not have received prior, just because they didn’t appear “sick enough”.
Barriers and Misconceptions
Considering that society believes that eating disorders only occur in petite bodies, it’s very possible for some medical professionals to also adopt these unfair preconceptions, leading to negligence in patient care. As previously discussed, it is common for patients with AAN to receive a diagnosis late in their illness (Vo 1). Leslie Slim discovered that eating disorder diagnoses are “...delayed by an average of 9 months among patients who were once overweight or obese compared with patients who were never overweight”, which exemplifes the bias and prejudice towards people who weigh more or don’t “ft the appearance of having an ED” (Ramaswamy 541). Tere truly is a discrimination against “normal weight” and overweight patients concerning eating disorders, even when it comes to doctors because they may not see these patients’ conditions to be life threatening in comparison to a severely underweight patient. A cross-sectional study displayed that there was “...a higher rate of disordered eating behaviors…found in those who were overweight…However, those same individuals were half as likely to receive a clinical diagnosis of an eating disorder from a health care practitioner as those who were of normal weight or underweight,” which displays the evident dismissal of those who don’t “appear to be anorexic” according to society’s standards (Ramaswamy 541). Te system of diagnosing eating disorders is extremely fawed to the point that patients feel compelled to further restrict themselves and lose more weight so that they reach the “threshold” weight and are able to access the assistance they need. Patients have also declared that they feel as though they must be “...physically on death’s door…” to receive treatment, which is so alarming (Eiring 3). In fact, some patients have even “...admitted to cutting calories in the weeks prior to beginning therapy because they were worried that they wouldn’t qualify for treatment at their current weight,” which is a prime example of how the eating disorder diagnostic criteria is failing these already struggling patients and inficting more negative feelings and behaviors in these patients (Tomas 64).
If the healthcare industry continues this system of basing their diagnoses and decisions solely of of weight and body mass index, then sufering patients will continue to go unnoticed by their providers. Tis fawed approach is particularly harmful to patients with eating disorders, as Tomas explains “because the diagnosis depends on an individual’s actual weight rather than his or her degree of weight loss, someone could lose 10, 20, or even 100 pounds using unhealthy behaviors and would not ofcially have anorexia unless the fnal number on the scale fell within the underweight range” (Tomas 25). Furthermore, it is difcult for patients to receive proper treatment because “insurance companies typically use BMI to assess whether patients meet criteria for medical necessity for higher levels of treatment such as residential and partial hospital programs” (Bennell). Tis abominable cycle is basically conveying the idea that patients
should continuously get sicker until they can’t function anymore and then they will fnally deserve resources and attention (Eiring 5). In addition to all of these negative implications for overweight patients with eating disorders, they may even be commended for their progress in their weight loss journey, regardless of whether their eforts are healthy or not. Tis newfound approval due to their weight loss may reinforce unhealthy behaviors due to the negligence of providers who don’t believe that they are actually struggling and insurance companies who don’t provide treatment until it is a life or death matter (Digitale). Te procedure of diagnosing eating disorders should not be focused on weight because that denies numerous patients the treatment they are desperately seeking. If practitioners were more open to eating disorders presenting themselves atypically then there would be more early detection which is “...key to making a full recovery…” (Eiring 2).
Impacts and Efects of Anorexia Nervosa/Atypical Anorexia
Considering that eating disorders are the second deadliest out of all psychiatric illnesses, it is crucial for society to fnally understand the dangers of this condition in order to raise awareness (Eating Disorder Statistics). As previously discussed, anorexia has numerous impediments to one’s health, but atypical anorexia has many of the same physical symptoms combined with more severe eating disorder psychopathology in some cases. Beginning with neurological efects, the symptoms for AAN can range from seizures to disrupted brain activity causing a patient to have difculty remembering people simply by facial recognition. A patient’s circulatory system is also impacted due to an “...inadequate nutritional intake…” which causes a low count of red blood cells, white blood cells, and platelets (Vo 4). Finally, another concerning study revealed that adolescents who sufer from AAN have an estimated “...34.2% lifetime risk of low bone mineral density” (Vo 4). In addition to the gruesome physical impacts of AAN, patients often struggle mentally and socially. It is common for individuals with AAN to lose interest in activities that they previously enjoyed and they may even isolate themselves from their family and friends because of how pervasive an eating disorder can be to one’s mental health. Furthermore, patients may deal with anxiety disorders, depression, or self-harm behaviors alongside their eating disorder (Schlapp-Gilgof). Taking all of the research into account, it is clear that atypical anorexia nervosa deserves the same treatment and attention that patients with anorexia receive because the only signifcant diference between the disorders is the weight of the patient. Ultimately, many practitioners are biased against overweight patients and feel that their time should be focused on underweight patients, even though both can be sufering equally. Weight discrimination, especially in the process of diagnosing eating disorders, must end because it is unethical to allow an individual in need of medical support to be in agony simply because they don’t “look the part.”
Possible Solutions
It is integral to provide equitable and timely treatment for all patients with disordered eating, regardless of the patient’s weight, which can be ensured by recognizing pre-existing weight biases and taking appropriate measures to correct them. To raise awareness and help “normal”/overweight individuals receive timely treatment for their condition “...physicians and other medical professionals should regard potential disordered eating behaviors with the same index of suspicion in all patients, regardless of BMI or weight, and adopt a more holistic approach to their management of perceived obesity” (Ramaswamy 542). A practical solution for doctors to provide more equitable treatment for all their patients, despite weight, would be to create a specifc training focused on eating disorders that discusses weight bias and how it manifests in the medical
feld due to stereotypes and preconceived notions. Tese training sessions could even include a quiz at the beginning, which would evaluate their current prejudices against “normal weight” and overweight patients when it comes to diagnosing an ED . Tere are already weight bias trainings in the medical feld, however they are not yet “... widely implemented…,” therefore, they are not as efective as they should be (Brown). Administering these trainings universally, with a focus on eating disorders, will give a new perspective to practitioners, which will be very advantageous to those afected by weight bias. Tis could open a practitioner’s eyes to how infuenced they are by societal beliefs and help them to change their views and provide more equitable services. Another possible solution is to attack the root of the problem, which is the problematic language used in the DSM-IV and 5 that fortifes the belief that you need to be underweight to struggle with an ED2, specifcally anorexia. Te Joy Project, a non-proft organization that uplifts people with eating disorders by providing resources and support to aid patients’ recoveries, is working towards removing body mass index scales and weight requirements from anorexia criteria through petitions; these actions could possibly bring awareness to the writers of the DSM and providers about how damaging these parameters are to those who are struggling (Te Joy Project). Finally, another way to support those struggling from this bias is to further promote support groups for those that sufer from eating disorders, but feel dismissed due to being a “normal weight” or overweight. Te National Association of Anorexia Nervosa and Associated Disorders (ANAD) ofers free 75 minute sessions focused on eating disorders in “normal weight” and overweight patients, which is a great resource for those that are sufering and need to fnd their community. ANAD also ofers an easy to navigate directory for treatment which can recommend diferent treatment plans based upon location, state, age, gender, and insurance plans (Eating Disorder Peer Support Groups). National Alliance for Eating Disorders also ofers a similar service, with therapist-led support groups that are entirely confdential and allow participants to openly talk about what they are going through so they can “...feel seen, heard, supported, and valued” (Larger Bodied Individuals Support Group). In combination, these various approaches and solutions may be able to make a diference for the patients who feel disregarded and receive delayed treatment due to weight bias, stereotypes, and the controversial parameters in the DSM.
Conclusion
Studies indicate that approximately 6% of those diagnosed with an eating disorder are considered to be medically underweight, therefore the 94% of other patients diagnosed with eating disorders are regarded as “normal weight” or overweight (Eating Disorder Statistics). If this many “normal weight” and overweight individuals have been diagnosed with an eating disorder, then it is frightening to imagine how many more “normal weight” and overweight patients are also sufering, but have not yet received a diagnosis due to stereotypes, weight bias and problematic parameters. Tis matter is infuriating because if doctors listened to their patients’ concerns and the stories they were trying to convey, rather than immediately judging based upon weight, then many more individuals would experience efective interventions. Nevertheless, this failure of the medical system does not only fall upon doctors; the criteria that practitioners must follow is fawed due to being contingent upon weight which is inherently prejudiced. Tis change in the healthcare system is necessary considering the high mortality of eating disorders and competitive nature that surrounds them. Not only do these patients deserve treatment and diagnosis in order to recover, but they need it because their lives are in the hands of these providers who are bound to prejudiced criteria. Te delay in care for patients who are “normal weight” or overweight is an extreme shortcoming of providers and treatment facilities. Change to this maladaptive system and the absurd parameters in the DSM is absolutely necessary.
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About the Author
Lauren Jones is a member of the Class of 2027 at Christopher Newport University, where she is majoring in Psychology and double minoring in Leadership Studies and Childhood Studies. A dedicated member of the Presidential Leadership Program, Lauren actively serves her community through volunteering as a 4th-grade math mentor at Yorktown Elementary and by stunting with aspiring cheerleaders at FAME All Stars Cheerleading. She is also a member of the CNU Cheerleading team. In her free time, Lauren enjoys reading, playing board games, going on walks, and exploring new foods. With aspirations to attend a master’s program in School Psychology in her home state of New York, Lauren is committed to becoming a compassionate and efective leader. She is passionate about advocating for equal educational opportunities and aims to support all children in reaching their full potential.
Christopher Newport university
